The Department is establishing a new Incident Reporting process. We have worked for a number of years to change the way it reports incidents, defines incidents and manages the information that such reports provide. This is the new process we have created with the help of the provider community. In early January 2006, providers and department staff will be trained on this new reporting process which will be initially, a written paper process. This paper process will be used by both providers and the Department.

Later this year, we will roll out an electronic Incident Management process called HCSIS, the Home and Community Services Information System, and will use the technology that HCSIS provides us to facilitate the reporting process.

After a Pilot of the electronic system in March, HCSIS will be phased-in across the state until all offices, facilities, state operated programs and private providers are using the electronic reporting system (June 30, 2006). The paper process will be used as a default process once HCSIS is live but when electronic reporting is not available.

For the current purpose, our goal is for us and our provider network to become familiar with the new Incident Reporting practices and definitions. Below is a workflow that reflects the process for reporting Incidents in accordance with the definitions and guidance provided in the training.

  1. An event has occurred to an individual and the observer or reporter begins to fill out a paper Incident Report form (after making sure the person is safe and free from further harm, if applicable). This is usually a person in the provider's agency or someone in the Area Office who receives information about an individual not attached to a provider's program.
  2. For Major Incidents, as defined in the guidelines, the reporting agency calls the Area On-Call person immediately upon discovering that a major incident has occurred. The Area On-Call person then telephones the RD immediately.
  3. It is imperative that providers make sure that the Initial Incident Report is completed as soon as possible, but not later than the next business day, and that before faxing it to the AO, the supervisory review takes place at the provider agency.
  4. The Provider faxes the Initial Report to the Area Office (AO) - to the attention of the Area Director (AD), Service Coordinator (SC) and Service Coordinator Supervisor (SCS), as soon as possible, but no later than the next business day. This process applies to all incidents, whether Major or Minor.
  5. The SC, SCS and AD receive the fax and the AO will complete a Critical Incident Report (CIR) for all Major Incidents and follow the notifications as required by CIR. Until such time that HCSIS is live statewide, we will need to complete the Critical Incident Reporting process so we don't lose the ability to track important information about individuals and what happens to them.
  6. For all Incidents, the Provider submits the Final Report, the second section of an Incident Report, as soon as possible, but no later than 7 calendar days from the Incident discovery. The provider faxes the Final Report to the SC, SCS, and AD.
  7. Once the Final Report is received by the AO, the AO Management Review is completed. This entails review of the incident materials and actions. The goal is to agree on the plans around correcting issues related to the Incident. For Minor Incidents, if the plan is approved, the AO can move to close the Incident. If the plans around the correction of the Incident are not approved or not all information is provided on the forms, the AO will contact the provider and record the conclusion of negotiations or discussion with the provider on the management review. For Minor Incidents, the AO can close the Incident. For Major Incidents, the AO must fax the Incident Report with its Management Review to the Regional Director (RD), the AO cannot close-out Major Incidents.
  8. Once the RD receives the Major Incident Report package from the AO, the RD, or designee, conducts the Regional Management Review. Similarly, if the Regional Office (RO) does not approve the plan, it will contact the AO and record conclusions in its Management Review. Once approved, the RO can close the Incident.
  9. Once any Incident is closed, a copy of the completed report will be sent to the Provider and the DDS copy will be sent to the SC and placed into the individual's record.
  10. An SC, upon notification that an incident has occurred for an individual on their caseload, will make an entry in the Meditech Record for that individual.

This concludes the paper process associated with the New Incident Reporting Process. This process will be used until electronic reporting is fully implemented, in which case much of the faxing and notifications will be replaced with instantaneous processes and electronic alerts. Once the electronic process is fully implemented, the CIR process will be suspended.

This information is provided by the Department of Developmental Services.