Special Incident Reporting Requirements

South Central Los Angeles Regional Center

Vendor Technical Assistance Training

July 2017

Housekeeping

• Restrooms

• Cell Phones

• Introductions

• Handouts

• Training Outline

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Training Outline

• Mandated Reporters– Legal Obligations and Responsibility

– Penalties and Safeguards

• Special Incident Reports– Special Incident Report

– Who is Required to Report and to Whom do They Report

– What is Reported• Types of Incidents

• Content Requirements

– When are Reports Due • Timelines

– Where and How are Reports Submitted

– Activity, Discussion and Questions

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Who is a Mandated Reporter

• In the scope of their employment, an individual who has a special relationship or contact with a consumer or a facility or program.

• Is legally required to report if he/she knows of an actual or have a reasonable suspicion of an abuse or neglect.

• Includes:

– Care Custodians

– Health Practitioners

– Clergy**

– Other

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Legal Obligations in California

• Telephone “Protective Service Agency” as soon as possible.

• File a written report.

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Employer’s Responsibility

• Required to inform employees of their responsibilities.

• Required to have employees sign a statement to the effect that he/she has knowledge of the provisions of the Mandated Reporter Law, and will comply with those provisions.

• Keep blank forms on file at all times.

• Maintain good record keeping and documentation.

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Penalties

• GUILTY of a misdemeanor crime.

• Punishment includes:

– Six months in county jail

– Up to $1,000 in fines.

– Loss of license or credential

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Employee Safeguards

• Cannot be prevented from reporting.

• Cannot lose their job for making a report.

• Identity if kept confidential.

• Not required to inform parents of the report.

• Employers must inform employees of their responsibilities.

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Special Incidents

Documentation prepared by vendor staff or long-term health care facility staff detailing a special incident and provided to the regional center.

Why Write and Submit the Report

CLIENT SERVICES

• Documented data is available to analyze and use to ensure the client’s health and safety in future

STATE REQUIREMENTS

• Satisfy regulations

• Ensure accurate data is available

• Analyze and trend incident data

• To meet personal and professional responsibility

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Who is Required to Report

• All vendors and long-term health care facilities must report incidents during the time the consumer was receiving services and supports.

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Who Receives the Report

• Regional Centers

• If you are a licensed facility or program:

– Department of Social Services’ Community Care Licensing Division

– Department of Health Services’ Licensing and Certification Division

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When the regional center with case management responsibility is not the vendoring regional center, a

special incident must be reported to BOTH parties.

Vendoring Regional Center v. Case Management Responsibility

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• Suspected Abuse/Exploitation

• Suspected Neglect

• Serious Injury/ Accident

• Unplanned or Unscheduled Hospitalization

• Crime Victim

• Missing Person

• Death

What Do You Report (#)

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• Serious Injury/Accident

– Injury from all accidents

– Injury of unknown origin

– Injury from a seizure

– Injury from another consumer

– Injury from a behavioral episode

Additional Reporting Per Regional Center

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• Aggression

– Act to self

– Act to another consumer

– Act to staff

– Act to family member

– Act to visitor

Additional Reporting Per Regional Center

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• Other Incidents

– Rights Violation

– Pregnancy

– Disease Outbreak

– Fire

– Suicide Attempt

– Threatened Suicide

Additional Reporting Per Regional Center

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• Other Incidents

– Medical Emergency

– Property Damage

– Sexual Incident (not rape)

– Unauthorized Absence (law enforcement not notified)

Additional Reporting Per Regional Center

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• Name, address and telephone number

• Date, time and location of the special incident

• Name(s) and date(s) of birth of the consumer(s) involved

• Description of the Special Incident

Content Requirements

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• Description of the alleged perpetrator(s)

– Age, height, occupation, relationship to consumer

• Treatment provided

• Name and address(es) of witness(es)

• Action taken by the vendor, the consumer or any other agency(ies) or individual(s)

Content Requirements

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• Law enforcement, licensing, protective services

• Other agencies, individuals notified of the special incident or involved in the special incident

• Family member(s) or the consumer’s authorized representative who have been contacted and informed

Content Requirements

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• Thorough

• Accurate

• Clear

• Grammatical

The Incident Description

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• Unless you witnessed the incident, don’t write as if you did

• Document what witnesses reported to you

• Don’t draw conclusions or make judgements

Description TIPS

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• INCIDENT

• Explore causes

• Note and make necessary procedural, supervision or programming changes

• Track follow-up & completion

The Incident Response Cycle (#)

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• Verbal report immediately, by the end of the business day, but not more than 24 hours after learning of the occurrence.

• Written report within 48 hours after the occurrence.

• By telephone, electronic mail or fax.

Timelines

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• DDS.CA.GOV– SEARCH SIR OR SPECIAL INCIDENT REPORT (248 RESOURCES)

– SEARCH DSPT OR DIRECT SUPPORT PROFESSIONAL TRAINING

– CLICK LAWS AND REGULATIONS; CLICK TITLE 17; SEARCH 54327

Training Your Staff- All the Resources You Need

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Activity

1. You come to work on Monday morning and notice that Ben did not receive his seizure medication last evening. This is the 3rd time the same staff failed to give Ben his seizure medication.

The Incident – Would You Report

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Activity

2. It was 3am and Sharon reported that she didn’t feel well. She then vomited the dinner she had an hour earlier. She was hot to the touch and her skin flushed.

The Incident – Would You Report

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Activity

3. “JJ” returned from a weekend visit with his Aunt Lilla and Uncle John. JJ is limping and reports that his ankle hurts.

The Incident – Would You Report

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Activity4. Noah was acting out. Not only was he

yelling, throwing various items and hitting his peers. Staff implements CPI techniques by holding Noah on the ground and putting pressure on his chest. Their goal is to intervene in an effort to keep Noah and his peers safe. After Noah settles down, staff notices that his breathing is labored and he is slipping and out of consciousness.

The Incident – Would You Report

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Activity5. Donna reports that she and Daryl had

consensual sex while riding home on the van. She further reports that Jacob watched and then stated that it was his turn. She told him no, stating that she didn’t like Jacob. She then reported that he pushed her down and had sex with her anyway. Daryl egged him on. The van driver had headphones on and was listening to music as he drove the van.

The Incident – Would You Report

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Activity1. Would you report and why?2. What additional information would you

seek before reporting?3. Would you take any safety or treatment

actions? What and why?4. What preventative measures would you

take?5. Would you consider a disciplinary actions or

a discipline policy? Discuss.

The Incident – Would You Report

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