10A NCAC 27G .0604. INCIDENT REPORTING REQUIREMENTS FOR CATEGORY A AND B PROVIDERS

(a)  Category A and B providers shall report all level II incidents, except deaths, that occur during the provision of billable services or while the consumer is on the providers premises or level III incidents and level II deaths involving the clients to whom the provider rendered any service within 90 days prior to the incident to the LME responsible for the catchment area where services are provided within 72 hours of becoming aware of the incident.  The report shall be submitted on a form provided by the Secretary.  The report may be submitted via mail, in person, facsimile or encrypted electronic means.  The report shall include the following information:

(1)           reporting provider contact and identification information;

(2)           client identification information;

(3)           type of incident;

(4)           description of incident;

(5)           status of the effort to determine the cause of the incident; and

(6)           other individuals or authorities notified or responding.

(b)  Category A and B providers shall explain any missing or incomplete information.  The provider shall submit an updated report to all required report recipients by the end of the next business day whenever:

(1)           the provider has reason to believe that information provided in the report may be erroneous, misleading or otherwise unreliable; or

(2)           the provider obtains information required on the incident form that was previously unavailable.

(c)  Category A and B providers shall submit, upon request by the LME, other information obtained regarding the incident, including:

(1)           hospital records including confidential information;

(2)           reports by other authorities; and

(3)           the provider's response to the incident.

(d)  Category A and B providers shall send a copy of all level III incident reports to the Division of Mental Health, Developmental Disabilities and Substance Abuse Services within 72 hours of becoming aware of the incident.  Category A providers shall send a copy of all level III incidents involving a client death to the Division of Health Service Regulation within 72 hours of becoming aware of the incident.  In cases of client death within seven days of use of seclusion or restraint, the provider shall report the death immediately, as required by 10A NCAC 26C .0300 and 10A NCAC 27E .0104(e)(18).

(e)  Category A and B providers shall send a report quarterly to the LME responsible for the catchment area where services are provided.  The report shall be submitted on a form provided by the Secretary via electronic means and shall include summary information as follows:

(1)           medication errors that do not meet the definition of a level II or level III incident;

(2)           restrictive interventions that do not meet the definition of a level II or level III incident;

(3)           searches of a client or his living area;

(4)           seizures of client property or property in the possession of a client;

(5)           the total number of level II and level III incidents that occurred; and

(6)           a statement indicating that there have been no reportable incidents whenever no incidents have occurred during the quarter that meet any of the criteria as set forth in Paragraphs (a) and (d) of this Rule and Subparagraphs (1) through (4) of this Paragraph.

 

History Note:        Authority G.S. 122C-112.1; 143B-139.1;

Temporary Adoption Eff. July 1, 2003;

Eff. July 1, 2004;

Amended Eff. August 1, 2009.