Ariz. Admin. Code § R9-4-503 - Review of Records; Information Collected

A. Upon notice from the Department of at least five business days, the following persons or facilities shall allow the Department access to the facility and the electronic or written records specified in subsection (B)(1) to collect the information specified in subsection (B)(2):

1. A hospital,

2. A clinic,

3. A physician,

4. A midwife,

5. A registered nurse practitioner,

6. A genetic testing facility,

7. A prenatal diagnostic facility,

8. A physician assistant,

9. A clinical laboratory, or

10. A medical examiner.

B. The Department may:

1. Review any of the following records in electronic or written format, as are applicable to the person or facility specified in subsection (A):

a. Patient medical records;

b. Medical records for the mother of a patient;

c. Reports from:

i. Physicians or other individuals who clinically evaluated, diagnosed, or treated a patient or the patient's mother, including physical therapists, as defined in A.R.S. § 32-2001; occupational therapists, as defined in A.R.S. § 32-3401; podiatrists, as defined in A.R.S. § 32-801; and speech-language pathologists, licensed according A.R.S. Title 35, Chapter 17;

ii. High-risk perinatal practices;

iii. Prenatal diagnostic facilities;

iv. Genetic testing facilities;

v. Pathology laboratories; or

vi. Other facilities or clinical laboratories that performed a test for a patient or the patient's mother;

d. Logs and registers containing information about surgical procedures, as specified in A.A.C. R9-10-215(6) or A.A.C. R9-10-911(A);

e. Other logs that may contain information about a patient or the mother of a patient with a birth defect, such as:

i. Labor and delivery unit logs,

ii. Nursery unit logs,

iii. Pediatric unit logs,

iv. Intensive care unit logs,

v. Autopsy logs, and

vi. Ultrasound logs;

f. Autopsy reports; and

g. Records other than those specified in subsections (B)(1)(a) through (f) that contain information about or may lead to information about:

i. A patient,

ii. The patient's mother, or

iii. The patient's biological sibling; and

2. Collect the following information from a person or facility specified in subsection (A), as applicable to a patient or the mother of a patient:

a. The name, address, and telephone number of the person or facility, or the identification number assigned by the Department to the person or facility;

b. The date of first contact and the date of last contact;

c. The date the patient was admitted to a hospital;

d. The date the patient was discharged from a hospital;

e. The dates the mother of the patient was admitted to and discharged from a hospital for:

i. The birth of the patient, or

ii. Treatment related to a possible birth defect in the patient;

f. The name and address of the hospital or other location in which the patient was born;

g. The name and address of a hospital in which the patient or the mother of the patient was admitted for treatment related to a possible birth defect in the patient;

h. The specific unit of a hospital that provided medical services to the patient or the patient's mother;

i. The medical record number of the patient or the patient's mother;

j. The patient's name and any other name by which the patient is known;

k. The names, addresses, and dates of birth of the patient's parents;

l. The name, address and telephone number of the patient's guardian, if a parent of the patient does not have physical custody of the patient;

m. The patient's date of birth and hour of birth;

n. The estimated date of confinement for the pregnancy resulting in the patient's birth;

o. The estimated gestational age, length, weight, and head circumference of the patient at birth;

p. The patient's gender, race, and ethnicity;

q. The race and ethnicity of the patient's biological mother and father;

r. The address of the patient's mother at the time of the patient's birth;

s. The address and telephone number of the patient at the date of last contact;

t. The county in which the patient was born;

u. The name of each physician, registered nurse practitioner, physician assistant, or other person that clinically evaluated, diagnosed, ordered a test for, or treated the patient or the patient's mother;

v. The names of any facility from which or to which the patient or the patient's mother was transferred or referred;

w. Whether the patient was referred for or approved to receive services under 9 A.A.C. 22, Article 13, and, if so, the date of referral or approval;

x. Whether the patient is receiving any medical services, nursing services, health-related services, or other services to support the patient or the patient's parent related to a birth defect, other than services under 9 A.A.C. 22, Article 13, and, if so, the name of the person providing the services and the date the provision of the services began;

y. The name of the insurance company, if applicable, that:

i. Paid for the birth of the patient, and

ii. Is currently covering medical expenses for the patient or the patient's mother;

z. Any perinatal risk factors documented in:

i. The patient's medical record,

ii. The patient's mother's medical record, or

iii. The patient's family medical history;

aa. Whether any tests were performed on the patient or the patient's mother by a genetic testing facility and, if so:

i. The types of tests performed,

ii. The test dates,

iii. The test results,

iv. The age or estimated gestational age of the patient at the time of each test,

v. The estimated date of confinement of the patient's mother at the time of each test,

vi. The name of the genetic testing facility that performed each test; and

vii. The names of the individuals who interpreted the test results;

bb. Whether any tests were performed on the patient or the patient's mother by a prenatal diagnostic facility and, if so:

i. The types of tests performed,

ii. The test dates,

iii. The test results,

iv. The estimated gestational age of the patient at the time of each test,

v. The estimated date of confinement of the patient's mother at the time of each test,

vi. The name of the prenatal diagnostic facility that performed each test, and

vii. The names of the individuals who interpreted the test results;

cc. Whether any other types of tests were performed on the patient or the patient's mother that may enable the diagnosis of a birth defect and, if so:

i. The types of tests performed,

ii. The test dates,

iii. The test results,

iv. The age or estimated gestational age of the patient at the time of each test,

v. The estimated date of confinement of the patient's mother at the time of each test,

vi. The names of the facilities that performed the tests, and

vii. The names of the individuals who interpreted the test results;

dd. Whether any surgical procedures associated with a birth defect were performed on the patient or the patient's mother and, if so:

i. The types of surgical procedures performed,

ii. The dates of the surgical procedures,

iii. The results of the surgical procedures,

iv. The ages or estimated gestational ages of the patient at the time of the surgical procedures,

v. The estimated date of confinement of the patient's mother at the times of the surgical procedures, and

vi. The names of the facilities at which the surgical procedures were performed, and

vii. The names of the individuals who performed the surgical procedures;

ee. For each diagnosis made for the patient or the patient's mother:

i. The diagnosis,

ii. Whether the diagnosis is a principal or secondary diagnosis,

iii. The facility at which the diagnosis was made,

iv. The date on which the diagnosis was made, and

v. The name of the individual who made the diagnosis;

ff. The number of times the patient's mother has been pregnant;

gg. The number of times a pregnancy of the patient's mother has lasted:

i. More than 37 weeks,

ii. Between 20 and 37 weeks, and

iii. Less than 20 weeks;

hh. The number of children who were born as a result of the patient's mother's pregnancies, and whether the children were born alive or dead;

ii. Whether the patient is from a singleton or multiple gestation, and, if from a multiple gestation, whether a co-twin of the patient:

i. Is identical or fraternal;

ii. Is alive, and, if not alive, the co-twin's date of death; and

iii. Has:

(1) The same birth defect as the patient,

(2) A different birth defect from that of the patient, or

(3) No birth defect;

jj. If the patient is being adopted or living with a guardian rather than a parent;

kk. If the patient is being adopted, the name, address, and telephone number of the individual who will adopt the patient;

ll. The date of last contact; and

mm. If the patient has died:

i. The patient's date and county of death,

ii. The facility in which the patient's death occurred, and

iii. Whether an autopsy was performed on the patient.

Notes

Ariz. Admin. Code § R9-4-503

New Section made by final rulemaking at 13 A.A.R. 1702, effective June 30, 2007 (Supp. 07-2). Amended by final rulemaking at 25 A.A.R. 3429, effective 1/1/2020.