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UIR Reporting & Writing Guidelines | State of Florida

Explore APD's operating procedures for reporting and preventing incidents concerning persons with disabilities in the community or in ICF/DDs. Learn about critical incident reporting requirements and follow-up measures. Stay informed and ensure timely reporting according to regulations.

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UIR Reporting & Writing Guidelines | State of Florida

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  1. Welcome! To Today’s presentation of Reporting & Writing UIR’s (Unusual Incident Report) Sponsored By Apd Agency for persons with disabilities State of Florida Area 14 Revised November 8, 2014

  2. Welcome! To Today’s presentation of Reporting & Writing UIR’s (Unusual Incident Report) Sponsored By Apd Agency for persons with disabilities State of Florida Area 14 Revised November 8, 2014

  3. APD OPERATING PROCEDURE STATE OF FLORIDA No. 10-002 AGENCY FOR PERSONS WITH DISABILITIES TALLASSEE, September 19, 2005 Operations INCIDENT REPORTING AND RISK PREVENTION FOR CONSUMERS LIVING IN THE COMMUNITY OR IN ICF/DDs • Purpose. This operating procedure established APD Procedures and guidelines for identifying, reporting and analyzing information related to critical and reportable incidents and risk prevention involving APD consumers living in the community or in Intermediate Care Facilities for the Developmentally Disabled (ICF/DDs).

  4. APD OPERATING PROCEDURE NO. 10.002 September 19, 2005 Incident Reporting and Risk Prevention For Persons Living In the Community or In ICF/DDs

  5. Module 2 Medical UIR’s & Med Error Reports (Group Breakouts) Performance-Based Exercise: Writing an EBI & UIR Report Module 3 What Happens To Your UIR? APD UIR Databases .

  6. APD OP 10-002 September19,2005 2.Scope c. This operating procedure also applies to APD employees initiating or responding to incident reporting and risk prevention involving APD consumers in the community or in ICF/DDs. d. This operating procedure does not replace the abuse, neglect and exploitation reporting required by the by law and rule. Regardless of the reporting requirements provided in this operating procedure, allegations of abuse, neglect or exploitation must always be reported IMMEDIAATELY to the Florida Abuse Hotline 1-800-962-2873

  7. APD OP 10-002 September19,2005 2. Scope b. This operating procedure, therefore, applies to incident reporting and risk prevention in APD community programs, in APD contracted and licensed residential facilities, in any other community setting, and in private ICF/DDs in which consumers of APD services are receiving either state general revenue funded or Medicaid funded services. Incident reporting and risk prevention in APD developmental disabilities institution will be governed by a separate procedure.

  8. APD OP 10-002 September19,2005 2. Scope a. In accordance with the requirements outlined in the PD Standard Contract, the Core Assurances for Medicaid developmental disabilities waiver providers, and the rules regulating licensed residential facilities and ICFR/DDs, it is the responsibility of all APD operated, contracted, and their subcontractors, and ICF/DDs licensed and regulated by the Agency for Health Care Administration, to report incidents to ASD in accordance with this operation procedure.

  9. APD OP 10-oo2 September19,2005 (2) The oral report must be followed by an APD Incident Reporting Form (Appendix 1), submitted to the APD Area Office at the earliest opportunity but no later than the next business day. Whenever possible, the form should be completed electronically and submitted as an e-mail attachment to the area office. If handwritten, it must be legible. The first page of the form must be completed in its entirely by the person who initiated the original report. (3) The APD Area Office Administrator or designee will immediately inform APD’s Deputy Director for Operation or designee at the Central Office in Tallahassee of the critical incident.

  10. APD OP 10-002 September19,2005 3.REPORTING PROCEDDURES • CRITICAL INCIDENTS. (1) Critical incidents must be reported to the appropriate APD Area Office by telephone or in person within one hour of becoming aware of the incident. If this occurs after normal business hours or on the weekend or holiday the person reporting the incident shall call the APD after-hours designee. If the incident occurs between the hours of 8:00 pm and 8 am and 9 am of the following day. It shall be within the provider’s discretion and judgment to determine the appropriate of waiting until the following morning.

  11. APD OP 10-002 September19,2005 • REPORTING PROCEDURES a. CRITICAL INCIDENTS.

  12. APD OP 10-002 September19,2005 (6) CRITICAL INCIDENTS INCLUDE: ***(a) Consumer Death – The death of a person who is receiving services from an APD operated, licensed or contracted provider, Medicaid waiver provider, or ICF/DD that occurs due to or allegedly due to an accident, act of abuse, neglect, or other unexpected incident.

  13. APD OP 10-002 September19,2005 (5) Follow-up measures taken by provider (or APD staff as appropriate) to project consumers, gain control or manage the situation must be noted on the second page of the incident reporting from which may be completed at a later date. The measures must specify what actions will be taken to mitigate a recurrence of a similar incident.

  14. APD OP 10-002 September19,2005 (4) The reporter must also provide immediate notification to the person’s support coordinator, and to a child’s or incompetent adult’s parents or guardian. If the child is in the custody of the Department of Children and Family Services, the child's family services counselor (or DCF after hours on-call staff) must be immediately notified.

  15. APD OP 10-002 September19,2005 (d) MEDIA-An unusual occurrence or circumstance that may initiate unfavorable media attention.

  16. APD OF 10-002 September19,2005 • Missing Child or Adult Who Has Been Adjudicated Incompetent- The unauthorized absence or unknown whereabouts of a minor or an adult who has been adjudicated incompetent who is receiving services from APD operated, licensed or contracted provider, Medicaid waiver provider, or ICF/DD (see additional procedures below).

  17. APD OF10-002 ` September19,2005 *** (b) Sexual Misconduct – Any sexual activity, as described in 393.135,F.S., between a provider and a consumer, regardless of the consent of the consumer, or incident of nonconsensual sexual activity between consumers. A provider is an paid staff member, volunteer, or intern; any person under contract with APD; or any person providing care or support to a consumer on behalf of APD.

  18. APD OF 10-002 September19,2005 (7) Reportable Incidents: • Other rep0ortable incidents that are not critical incidents must be reported within one business day to the appropriate APD Area Office through the completion of an APD Incident Reporting Form (Appendix 1). • The form may be faxed, electronically mailed, or personally delivered to the Area Office. If handwritten, it must be legible. The first page must be completed in its entirety by the person who is initiating the repot.

  19. Reportable Incidents (24 Hours)

  20. Arrest • If any individual being served by APD is arrested for any reason, this is now a critical UIR as of November 3,2010 per a change in APD statewide policy.

  21. APD OF 10-002 September19,2005 (7) Reportable Incidents: ***(a) Altercations-a physical confrontation occurring between a consumer and a member of the community, a consumer and provider, or tow consumers at the time that services are rendered and that results in law enforcement contact. If the altercation results in consumer injury care, emergency room or physician office setting, it is to be reported as a Consumer Injury. If the altercation results in consumer arrest, it is to be reported as a Consumer Arrest.

  22. APD OF10-002 September19,2005 (5) These incidents will be managed at the area level, and only aggregate data on such incidents will be reported to APD’S Deputy Director for operations.

  23. APD OF 10-002 September19,2005 (3) Follow-up measures taken by the provider (or APD staff as appropriate) to protect consumers, gain control or manage the situation must be note on the second page of the Incident Reporting Form which may be completed at a later date. The measures must be specify what actions will be taken to mitigate recurrence of the same type of incident. (4) The reporter must also provide immediate notification to the person’s support coordinator, and to a child’s or incompetent adult’s parent or guardian. If the child is in the custody of the Department of Children and Family Services, the child’s family services counselor (or DCF after hours on-call staff) MUST BE Immediately notified.

  24. APD OF 10-002 September19,2005 (e) Suicide Attempt-An act which clearly reflects the physical attempt by a consumer to cause his or her own death while receiving services from an APD operated, licensed or contracted provider. Medicaid waiver provider, or ICF/DD.

  25. APD OF 10-002 September 19,2005 (d) Missing Competent Adult- The unauthorized absence or un known whereabouts beyond eight hours (or less time if the person is known to lack capacity to make safe decisions) of a legally competent adult who is receiving services from a APD operated, licensed or contracted provider. Medicaid waiver provider, or ICF/DD. Local providers should refer to their Area Office Procedures to determine if they are required to report missing persons sooner than the time frame stated above.

  26. APD OP 10-002 September 19, 2005 ***(b) Consumer Injury- Any injury sustained or allegedly sustained due to an accident, act of abuse, neglect or other incident occurring while receiving services from an APD operated, licensed or contracted provider. Medicaid waiver provider, or ICF/ DD that requires medical attention in a urgent care center, emergency room, or physician office setting.

  27. APD OP 10-002 September 19,2005 (a) Immediately call local law enforcement and ask the officer to: • Take a report of the missing child or incompetent adult. • Assign a case number and provide the number to the person reporting the child incompetent adult as missing.

  28. APD OP 10-002 September 19,2005 4. Procedures for Missing Children or Incompetent Adults: Upon discovering that a minor or adult who has been adjudicated incompetent is missing, staff of an APD operated, licensed or contracted provider. Medicaid waiver provider, or ICF/DD who is responsible for the consumer’s care, shall:

  29. APD OP 10-002 September 19,2005 (f) Other- Any event not listed above that jeopardizes a consumer’s health, safety or welfare. Examples may include but not restricted to severe weather condition damage (e.g. tornadoes or hurricanes), criminal activity by providers or employees, fires or other hazardous events or conditions, etc. If the event may generate unfavorable media attention, it is to be reported as a critical incident (see ‘Media’ above).

  30. APD OF 10-002 September 19,2005 5. APD Area Office Responsibilities: (a) Each APD Area Administrator shall ensure that all APD operated, licensed or contracted providers. Medicaid waiver providers, and all ICF/DDs are informed about and provided with:

  31. APD OF 10-002 September 19,2005 (b) The person will immediately notify the APD’s Area Office Administrator (or after-hours designee and provide all the information listed above, including the case number. If the law enforcement officer refused to take the missing person report, the staff person shall inform the area Office Administrator or designee and the Administrator will contact the law enforcement agency to request assistance filing the report.

  32. APD OF 10-002 September 19,2005 4. Procedures for Missing Children or Incompetent Adults (continued): (3) If the responding law enforcement missing person report, when it is available. (4) If the responding law enforcement officer refuses to take a missing person report, for any reason, the person making the report will document the name of the officer’s and the responding local law enforcement agency and request to speak to the appropriate Watch Commander.

  33. Medicaid Waiver Core Assurances AHCA (Federal Requirements) Reportable Events

  34. APD OF 10-002 September 19,2005 6. Risk prevention-APD Procedure APD Procedures (SEE HARD COPY OF POLICY0) 7. References-(SEE HARD COPY OF POLICY)

  35. APD OF 10-002 September 19, 2005 5. APD Area Office Responsibilities: • Each APD Area Administrator shall ensure that all APD operated, licensed or contracted providers, Medicaid waiver providers, and all ICF/DDs are informed about and provided with: (1) This operating procedure (2) The most current contact reporting incidents to the APD Area Office (Appendix 2) (3) The after-hours contact home number of the APD Area Administrator or Designee (Appendix 2) (4) A description of and more stringent procedures required at the local level

  36. b. Recipient Death.A person whose life ends due to or allegedly due to an accident, act of abuse, neglect or other incident occurring while in the presence of an employee, in a Department of Children and Families operated or contracted facility or service center; while in the physical custody of the Department; or when a death review is required.

  37. a. Altercation.A physical confrontation occurring between a beneficiary and employee or two more beneficiaries at the time services are being rendered, or when a beneficiary is in the physical custody of the department, which results in one or more beneficiaries or employees receiving medical treatment by a licensed health care professional

  38. Reportable Events are any of the following events, which must be reported to the District.

  39. e. Escape. The unauthorized absence as defined by statute, departmental operating procedure or manual, of a recipient committed to, or securely detained in, a Department of Children and Families mental health or developmental services forensic facility covered-by Chapters 393, 394 or 916, F.S.

  40. d. Elopement. The unauthorized absence beyond eight hours, or other time frames as defined by a specific program operating procedure or manual, or a child or adult who is in the physical custody of the Department.

  41. c. Recipient Injury or Illness. A Medical condition or a recipient requiring medical treatment by a licensed health care professional sustained or allegedly sustained due to an accident, act or abuse, neglect or other incident occurring while in the presence of an employee, in a Department of Children and Families or contracted facility or services center, or who is in they physical custody of the department.

  42. h. Suicide Attempt: An act which clearly reflects the physical attempt by a recipient to cause his own death while in the physical custody of the Department or a Departmental contracted or certified provider and which results in bodily injury requiring medical treatment by a licensed health care professional.

  43. g. Sexual Battery. An allegation of sexual battery by a recipient of a recipient, employee on a recipient, or recipient on an employee as indicated by medical evidence or law enforcement involvement.

  44. f. Other Incident. An unusual occurrence or circumstance initiated by something other that natural causes or out of the ordinary such as a tornado, kidnapping, riot or hostage situation, which jeopardizes the health, safety and welfare or recipients who are in the physical custody of the Department.

  45. The only person(s) qualified to determine if abuse exists is an Adult Protective Services Investigator, or Child Protective Investigator

  46. NO! You are a mandated reporter regarding allegations of or suspected abuse, neglect, exploitation or sexual abuse including that of a person receiving services on person receiving services suspected sexual abuse.

  47. Can your agency/supervisor instruct or require you to report any or all abuse allegations to them directly or prior to making a report to the Central Abuse Registry?

  48. Criminal charges and fines can be imposed upon a person for the false reporting abuse up to the amount of $10,000

  49. The reporting procedures do not replace the abuse, neglect and exploitation reporting system. Regardless of their status as an event in beneficiary risk prevention, allegations of abuse, neglect or exploitation must always be reported immediately to the Florida Abuse Hotline and appropriate district human rights advocacy committees as required by law.

  50. You DO NOT have to give your name as a reporter. If you do, it is kept confidential and against the law for an investigator or the Central Abuse Hotline or reveal your name. Your agency is required to submit a UIR regarding allegations of abuse but DO NOT need to know who reported it.

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