Incident Approvals: Getting It Right the First Time Agenda Brief Incident Management Review First Section Requirements Final Section Requirements Management Review Reasons for Non-approval Tracking Incidents 1
What is Incident Management? Risk management process assuring the health, safety, and rights of participants receiving services Standardized, web-based mechanism for reporting incidents in the Enterprise Incident Management system (EIM) Incident Management enables appropriate users to record incidents, track the status of recorded incidents, document corrective actions taken to prevent future occurrences, close incidents, and analyze aggregate incident data reported in EIM. Provider Responsibilities Enter incidents that occur while providing services to a participant Timely documentation and finalization of incidents in EIM First section due within 24 hours Final section due within 30 days Communicate with the SC and families regarding incidents Provide appropriate follow-up and corrective action 2
Supports Coordinator Responsibilities Review with participants and families how to report incidents, especially concerns regarding abuse, neglect or exploitation SCs need to enter incidents if directly reported to them by participants or families unless providers are responsible SCs need to review incident reports. Monitoring must include follow-up to ensure any corrective actions have been implemented and are effective. BAS Report Types Individual Incidents Crisis Event Restraint Medication Error Optionally Reportable Event (Don t use) 3
BAS Incident Categories What are the incidents that need to be reported? 24 Hour Reporting: Death Suicide Attempt Hospitalization Psychiatric Hospitalization Emergency Room Visit Abuse Individual to Individual Abuse Neglect 24 Hour Reporting: Missing Person Injury Requiring Treatment Beyond First Aid Disease Reportable to the Department of Health Fire Misuse of Funds Rights Violation Law Enforcement Activity Crisis Event Emergency Closure Use of Restraint, even if authorized 72 Hour Reporting Medication Error Definitions and How to Resources For more detailed training on how to create, enter, and submit incidents, consult the Learning Management System. For incident definitions, please consult the Adult Autism Waiver Supports Coordinator Manual or Provider Manual. ACAP follows the ODP Incident Management Bulletin which also includes definitions. 4
First Section Requirements INITIATOR INFORMATION Include contact information (email address) DISCOVERY DATE Should reflect when you were first made aware that an incident occurred If the date of the actual incident is different, that date can be entered under the Primary Category Date Occurred If a report is late, the incident description should include an explanation as to why the report is late First Section Requirements ACTIONS TAKEN TO PROTECT HEALTH AND SAFETY Provide description of what was done during the event to protect the health and safety of participant and others These actions are the immediate responses upon discovery of the incident Actions may include but are not limited to: Checking for injuries, applying first aid, or medical attention Contacting Adult Protective Services (APS) Contacting law enforcement if a crime is suspected Separating the participant from the target of an investigation Protecting property Arranging alternative housing/respite 10 5
Actions Taken to Protect Health and Safety Example: Peggy Smith, the off duty support worker who discovered that Jen had been left unattended in a vehicle, immediately notified her supervisor and stayed with Jen until the support staff member returned to the vehicle. Peggy checked Jen to assure that she was not in any distress from being left alone. Upon the support staff member s return, Peggy Smith informed the support staff worker that she had telephoned the supervisor and they were to immediately return to the day habilitation center. Peggy Smith returned with Jen and the worker to assure Jen s safe return. The support worker was suspended from her position pending the outcome of the investigation. 11 INCIDENT DESCRIPTION Succinctly and chronologically detail what happened during the incident. Include dates, times, people involved, and the current status of the participant Information should be objective, refrain for inserting subjective comments 6
INCIDENT DESCRIPTION EXAMPLE: On Tuesday, January 12, 2016 at approximately 12:00 PM Peggy Smith, an off-duty staff member from ABC Agency, noticed Jen unattended in a vehicle in the parking lot of the Turkey Hill convenience store in Hazleton. Peggy reported that she was aware that Jen required 24 hour supervision and should not have been left alone in the vehicle. Peggy immediately notified her supervisor at ABC Agency to report that a staff member had entered the convenience store and had left Jen unattended with the keys in the ignition. Peggy waited with Jen for approximately 10 minutes until the staff member returned to the vehicle. Peggy informed the staff member that she had discovered Jen was alone and that she notified the supervisor and that they were instructed to return to the agency immediately. Peggy accompanied them back to the agency to assure Jen s safety. Other First Section Considerations Law Enforcement category~ use crisis intervention as the secondary category if police were called during a behavioral crisis Crisis Events ~ indicate if another incident needs to be filed as a result of the crisis event (e.g., ER visit, Psych Hospitalization) Use Link feature to connect incidents if they are directly related (e.g., crisis event and a resulting psychiatric hospitalization) When two separate incident reports are linked together (e.g., crisis event and ER visit), each report needs to capture the information relevant to the incident category. They should NOT be exact duplicates! **Remember. It is better to file a report if unsure and have it deleted than to not report and have the report be late** 7
Final Section Requirements Complete Witness screen if others were present during the incident Target Information refers to the person being investigated If Individual to Individual Abuse, use the individual s first name initial, last name initial, and last 4 digits of social security number (WJ 1234) Complete Notifications screen - SC should be notified, avoid stating team Crisis Events require a team meeting within 10 days of crisis, please enter date of team meeting. If no meeting, please document why in the Additional Information Section. Final Section Requirements CORRECTIVE ACTIONS Critical part of incident management Individualized risk mitigation An overall approach to reduce the risk, impact, severity and/or likelihood of reoccurrence Focused not only on the current situation but also prevention of future occurrence Linked directly to BAS s waiver performance measures which are reported to The Center for Medicaid/Medicare Services (CMS) CMS requires BAS to report number and percent of confirmed incidents of abuse, neglect, exploitation and unexplained death for which corrective action was taken 8
Final Section Requirements CORRECTIVE ACTIONS Include what was done or will be done to address current situation and to prevent future occurrences Be specific Some examples of corrective actions (which are entered individually in EIM using the add button feature) reviewing and updating BSP-CIP retraining of staff modifying environment new instructional strategies adding a new service to address an identified need CORRECTIVE ACTIONS EXAMPLE Corrective Action 1: All agency personnel have been retrained in the agency s policies regarding abuse and neglect, which included specific discussion on the definitions of each. Completion Date: 1/18/2016 Responsible Party: Kathy Smith Corrective Action 2: All agency personnel who provide support to Jen have been retrained on her specific supervision needs and where to locate her information in her ISP if they are not clear on her supervision needs. Completion Date: 1/24/2016 Responsible Party: Kathy Smith 9
Final Section Requirements Thoroughly complete Hospitalization screen for medical hospitalizations and psychiatric hospitalizations Do not finalize the FINAL SECTION until participant has been discharged. For all incident reports, use the Additional Information section to capture new information that was not previously captured in the first section, to clarify/correct previously reported information, and to update on the participant s status Final Section Considerations Remember to use the add feature correctly when entering information on screens that require multiple entries (e.g., witnesses, notifications, corrective action) Do not submit final section until the incident has been resolved Request a Report Extension if the Final Section cannot be completed in 30 days (e.g., participant has not been discharged from hospital, legal proceedings not completed) Request should be made BEFORE the report is late For extenuating circumstances only 10
A few pointers about investigations Only select a certified investigator from your own provider organization or with whom you have an agreement Investigations need to begin promptly, within 24 hours Investigator must complete and submit their section before incident can be submitted to BAS Be sure the outcome/determination of the investigation is consistent throughout the incident sections (CI section and final section verification of incident classification screen) Determinations: Confirmed, Not Confirmed, Inconclusive Providers can now assign the CI roles without going through BAS Management Review After the final section is submitted by the provider, BAS has 30 days to review the incident Do not assume the incident has been approved Check in EIM periodically to see the status of the incident 22 11
23 Frequent Reasons for non-approval of incidents Incomplete reports Final section submitted without completing each screen Witnesses, Notifications screens left blank Lack of corrective action Corrective Actions should be entered for most reports, especially Crisis Events, Law Enforcement, Psychiatric Hospitalization or any report that requires an investigation ( Abuse, Neglect, Rights Violation, Misuse of Funds) Incorrect incident categorization Reclassification can be done in the final section under the Verification of Incident Classification screen Lack of detail Report lacks detail to fully understand what happened 12
BAS STATISTICS Fiscal Year 14 15: 55% approval rate for first submissions of final sections Fiscal Year 14-15: 35% compliance with timeliness Tracking of Incidents at Provider Level Recommend providers have their own procedures for tracking incidents through the incident report cycle Be sure to check to make sure BAS approved the incident BAS is monitoring for incident reporting compliance and will issue Plans of Correction for noncompliance 13
Using My Dashboard Alerts are not given to providers to remind providers of upcoming due dates Utilize My Dashboard for tracking purposes 14
Incident Management Resources Supports Coordinator Manual Provider Manual Learning Management System (LMS) EIM Captivate Tools EIM User Guide For BAS-specific technical assistance: ra-basprovidersupprt@pa.gov For EIM system issues/glitches: c-hhcsishd@pa.gov (HCSIS Help Desk) 15