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Office of Mental Health

Incident Reporting Policy for Home Community Based
Services (HCBS) Waiver Programs

300.6 Incident Reporting

The HCBS Waiver Program is an unlicensed funded program and therefore is not subject to the Justice Center’s jurisdiction. HCBS Waiver incidents need to be reported to The Office of Mental Health (OMH) only, and can be done through the NYS Incident Management Reporting System (NIMRS). These incidents must be reported within one business day of discovery of the incident. NIMRS is a web based application.

Please refer to the How to Report an HCBS Waiver Incident in NIMRS for specific instructions on how to do this.

Reportable Incidents

A Reportable Incident is any situation in which an enrolled child experiences a perceived or actual threat to his/her health and welfare. Reportable incidents fall into six general categories:

Please refer to the HCBS Waiver Definitions for Reportable Types for specific information on incidents that require reporting.

Who Must Report Incidents

As HCBS Lead Agency, the Individualized Care Coordination (ICC) Agency is responsible for incident reporting in an effective and timely manner. To ensure proper protocols and procedures are being maintained, the ICC Agency must maintain the following responsibilities:

Please refer to the How to Report an HCBS Waiver Incident in NIMRS for specific instructions on how to do this.

Incident Reporting Follow-up

The ICC Agency is responsible for providing follow-up regarding unresolved incidents. The ICC Agency should be in contact with the family/ caregiver to find out if there is any new information regarding the incident(s) and report this new information in NIMRS along with any action that has been taken since the initial reporting or the last follow-up, until the incident is resolved. This information should be updated in the Investigation Conclusions area on the Investigation Findings & IRC (Investigation Review Committee) Sub Tab. For example: if a Waiver participant is reported missing, the ICC agency will need to keep in contact with the family and report updates in NIMRS until the child is found. The incident should not just be entered into NIMRS and closed with no follow-up with the family on status of the incident.

Oversight

OMH will monitor all incidents and use the data collected to determine if there are any systemic issues that need to be addressed, OMH reserves the right to review incidents at any time and may request additional information in NIMRS if not updated accordingly.

Significant Incidents (SI)

OMH must report certain significant incidents associated with individuals receiving HCBS Waiver Service to the NYS Department of Health. The following classify as Significant Incidents:

Incidents considered to be significant will require the ICC Agency to enter follow up details into NIMRS until the incident involving the HCBS Waiver participant is closed. This information should be updated in the Investigation Conclusions area on the Investigation Findings & IRC tab.

Please refer to the HCBS Waiver Definitions for Reportable Types for further information regarding Significant Incidents.

Mandated Reporting

If an employee of an ICC or subcontractor agency suspects abuse or maltreatment, the employee must immediately report the incident to the Statewide Central Register of Child Abuse and Maltreatment (SCR) at 1–800–342–3720. ICC and subcontractor agencies must cooperate in, and not interfere with, all Child Protective Services (CPS) and law enforcement investigations.

If a report is filed with an ancillary agency, (i.e., Statewide Central Register of Child Abuse and Maltreatment, local law enforcement, etc.) the date the report was filed, the agency, and any additional pertinent information must be clearly indicated in the NIMRS summary.

Comments or questions about the information on this page can be directed to the Home and Community Based Waiver Program.