N.Y. Comp. Codes R. & Regs. Tit. 14 § 624.4 - Notable occurrences, defined
(a) Notable
occurrences are events or situations that meet the definitions in subdivision
(c) of this section and occur under the auspices of an agency.
(b) Notable occurrences do not include events
and situations that meet the definition of a reportable incident in section
624.3
of this Part even if the event or situation otherwise meets the definition of
one of the categories in subdivision (c) of this section. An exception is that
a death that also meets the definition of a reportable incident must be
reported both as the reportable incident and as a notable occurrence.
(c) Serious and minor notable occurrences are
defined and categorized as follows:
(1) the
following types of incidents prior to January 1, 2016:
(i)
Injury.
(a)
Minor notable
occurrence. Any suspected or confirmed harm, hurt, or damage to an
individual receiving services, caused by an act of that individual or another,
whether or not by accident, and whether or not the cause can be identified,
that results in an individual requiring medical or dental treatment (see
glossary, section
624.20) by a
physician, dentist, physician's assistant, or nurse practitioner, and such
treatment is more than first aid. Illness in itself shall not be reported as an
injury or any other type of incident or occurrence.
(b)
Serious notable occurrence.
Any injury that results in the admission of a person to a hospital for
treatment or observation because of injury.
Note: In accordance with clause 624.3(b)(9)(i)(e) of this Part, an injury due to self-injurious behavior that requires medical care beyond first aid is a "reportable incident."
(ii)
Unauthorized absence.
The unexpected or unauthorized absence of a person after formal search
procedures (see glossary, section
624.20) have
been initiated by the agency. Reasoned judgments, taking into consideration the
person's habits, deficits, capabilities, health problems, etc., shall determine
when formal search procedures need to be implemented. It is required that
formal search procedures must be initiated immediately upon discovery of an
absence involving a person whose absence constitutes a recognized potential
danger to the wellbeing of the person or others. Any unauthorized absence event
is considered a serious notable occurrence.
Note: In accordance with subparagraph 624.3(b)(9)(i)(c) of this Part, an unauthorized absence that results in exposure to risk of injury to the person receiving services is a "reportable" missing person incident.
(iii)
Death. The death of
any person receiving services, regardless of the cause of death, is a serious
notable occurrence. This includes all deaths of individuals who live in
residential facilities operated or certified by OPWDD and other deaths that
occur under the auspices of an agency.
(iv)
Choking, with no known
risk. For the purposes of this paragraph, partial or complete blockage
of the upper airway by an inhaled or swallowed foreign body, including food,
that leads to a partial or complete inability to breathe, other than a
"reportable" choking, with known risk, incident (see clause
624.3(b)(9)(i)(d) of this Part), involving an individual with
a known risk for choking and a written directive addressing that risk. Any
choking with no known risk event is considered a serious notable occurrence.
(v)
Theft and financial
exploitation.
(a)
Minor
notable occurrence. Any suspected theft of a service recipient's
personal property (including personal funds or belongings) or financial
exploitation, involving values of more than $15.00 and less than or equal to
$100.00, that does not involve a credit, debit, or public benefit card, and
that is an isolated event.
(b)
Serious notable occurrence. Any suspected theft of a service
recipient's personal property (including personal funds or belongings) or
financial exploitation, involving a value of more than $100.00; theft involving
a service recipient's credit, debit, or public benefit card (regardless of the
amount involved); or a pattern of theft or financial exploitation involving the
property of one or more individuals receiving services.
(vi)
Sensitive situations.
Those situations involving a person receiving services that do not meet the
criteria of the definitions in subparagraphs (i) - (v) of this subdivision or
the definitions of reportable incidents as defined in section
624.3
of this Part, that may be of a delicate nature to the agency, and are reported
to ensure awareness of the circumstances. Sensitive situations shall be defined
in agency policies and procedures, and shall include, but not be limited to,
possible criminal acts committed by an individual receiving services. Sensitive
situations are serious notable occurrences.
(vii)
ICF Violations. Events
and situations concerning residents of Intermediate Care Facilities (ICFs) that
are identified as violations in federal regulation applicable to ICFs and do
not meet the definitions of reportable incidents as specified in section
624.3
of this Part or other notable occurrences as specified in this section. ICF
violations are serious notable occurrences.
(2) the following types of incidents on and
after January 1, 2016:
(i) Serious Notable
Occurrences:
(a)
Death. The
death of any person receiving services, regardless of the cause of death. This
includes all deaths of individuals who live in residential facilities operated
or certified by OPWDD and other deaths that occur under the auspices of an
agency;
(b)
Sensitive
situations. Those situations involving a person receiving services
that do not meet the definitions of other incidents in section
624.3
of this Part or in this subdivision, but that may be of a delicate nature to
the agency, and are reported to ensure awareness of the circumstances.
Sensitive situations must be defined in agency policies and procedures, and
include, but not be limited to, possible criminal acts committed by an
individual receiving services.
(ii) Minor Notable Occurrences
(a)
Theft or financial exploitation,
minor notable occurrence. Any suspected theft of a service recipient's
personal property (including personal funds or belongings) or financial
exploitation, involving values of more than $15.00 and less than or equal to
$100.00, that does not involve a credit, debit, or public benefit card, and
that is an isolated event; and
(b)
Injury, minor notable occurrence. Any suspected or confirmed
harm, hurt, or damage to an individual receiving services, caused by an act of
that individual or another, whether or not by accident, and whether or not the
cause can be identified, that results in an individual requiring medical or
dental treatment (see glossary, section
624.20) by a
physician, dentist, physician's assistant, or nurse practitioner, and such
treatment is more than first aid.
Notes
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