New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.2 - Background and Intent

Current through Register Vol. 46, No. 28, July 10, 2024
(a) It is the
				intent of this Part to require an incident management system, including the
				reporting, investigation, review, correction, and monitoring of certain events
				or situations, in order to protect individuals receiving services (to the
				extent possible) from harm; ensure that individuals are free from abuse and
				neglect; and to enhance the quality of their services and care.
(b) A primary function of the reporting of
				certain events or situations is to enable a governing body (see glossary,
				section
				624.20), executives, administrators, and supervisors to become aware of problems; to
				take corrective measures; and to minimize the potential for recurrence of the
				same or similar events or situations. The prompt reporting of these events and
				situations can ensure that immediate steps are taken to protect persons
				receiving services from being exposed to the same or similar risk.
(c) The reporting of certain events or
				situations in an orderly and uniform manner facilitates identification of
				trends, whether within a facility or class of facilities, by one or more
				agencies, or on a statewide basis, which ultimately allows for the development
				and implementation of preventive strategies.
(d) It is the intent of this Part to require
				a process whereby those events or situations that endanger a person's wellbeing
				while under the auspices of an agency, which are defined in section
				624.3 
				of this Part as "reportable incidents," and in section
				624.4 
				as "notable occurrences," are reported, investigated, and reviewed, and
				protective, corrective, and remedial actions are taken as necessary.
(e) It is not the intent of this Part to
				mandate that every potentially harmful event or situation attributable to or
				involving a person receiving services while under the auspices of an agency, be
				recorded as a reportable incident or notable occurrence in accordance with this
				Part.
It is the responsibility of the agency to determine how
				  events or situations involving persons receiving services that are under the
				  auspices of the agency or sponsoring agency, other than reportable incidents
				  and notable occurrences are to be documented, processed, corrected, monitored,
				  and analyzed for trends through the development of policies and procedures that
				  are in compliance with 14 NYCRR, and to develop a mechanism for review to
				  ensure compliance with such policies and procedures.
(f) It is the intent of this Part to require
				a process whereby the governing body ensures the effectiveness of the
				identification, recording, investigation, review, and corrective actions with
				regard to events or situations involving persons receiving services referenced
				within this Part. This must be achieved through the establishment of the
				governing body's own protocol, which may include, but not be limited to,
				regular review of the minutes of the incident review committee and periodic
				attendance at that committee's meetings.
(g) It is the intent of this Part to hold the
				governing body and the chief executive officer (see glossary, section
				624.20) 
				responsible for the management of incidents. However, the chief executive
				officer may designate staff members to assume specified responsibilities to
				facilitate the day to day process, and these designations must be set forth in
				writing in agency policies and procedures and made known to all staff and
				others with a need to know.
(h)
				Though failure on the part of an agency to provide appropriate services may not
				meet the definition of an incident or notable occurrence as defined in sections
				624.3
				or
				624.4 
				of this Part, OPWDD has, pursuant to statute, the authority to investigate or
				cause the investigation of conduct, performance, and/or alleged neglect of
				duty.
(i) It is the intent of this
				Part to require a process for facilities that is in full compliance with the
				provisions of section 29.29  of the Mental Hygiene Law.
(j) Facilities and programs that are
				certified or operated by OPWDD, except those programs that are certified under
				paragraph 16.03(a)(4) or 16.03(a)(5) of the Mental Hygiene Law, are required to
				comply with relevant provisions of Article 20 of the Executive Law (Protection
				of People with Special Needs) and Article 11 of the Social Services Law
				(Protection of People with Special Needs), and to implement regulations
				promulgated by the Justice Center for the Protection of People with Special
				Needs (Justice Center).