Code of Maine Rules
14 - DEPARTMENT OF HEALTH AND HUMAN SERVICES
197 - OFFICE OF AGING AND DISABILITY SERVICES
Chapter 12 - REPORTABLE EVENTS SYSTEM
Section 197-12-2 - REPORTING REPORTABLE EVENTS TO THE DEPARTMENT

Universal Citation: 14 ME Code Rules ยง 197-12-2

Current through 2024-38, September 18, 2024

1. Who Must Report

A. Any Required Reporter shall report a Reportable Event through the Reportable Event Database when he or she becomes aware of any incident that meets the criteria of Section 2(2)(A).

B. A Required Reporter need not have witnessed the incident in order to report that a Reportable Event has occurred. Second-hand information received by a Required Reporter triggers the duty to report a Reportable Event .

C. Where multiple Required Reporters witness or become aware of a Reportable Event, only one Reportable Event report is required to be submitted. Where a Required Reporter is not submitting a Reportable Event report on the basis that a Reportable Event report has already been submitted by another individual, the Required Reporter has the affirmative duty to ensure that a Reportable Event report has in fact been submitted and that it contains all information known or readily available to the Required Reporters related to the Reportable Event , including the names of all witnesses to the Reportable Event.

D. No individual may impede or inhibit a Required Reporter's reporting of a Reportable Event. No employer, supervisor, manager, or associate of a Required Reporter may require that permission be granted to report a Reportable Event, and a person making a report may not be subject to any sanction for making a report.

E. This rule does not require an individual acting in a professional capacity to report if reporting would violate a legal duty of confidentiality.

2. What Must Be Reported

A. Report of a Reportable Event shall be made to the Department for any event or incident involving an Individual Receiving Services that meets any of the following criteria:
i. Death, including but not limited to an unexpected death not attributed to a current medical diagnosis or chronic condition and a natural or expected death caused by a long-term illness, diagnosed chronic medical condition, or age;

ii. A Suicide Attempt;

iii. A Suicide Threat made by an Individual Receiving Services, which indicates a present intention to end his or her life and a plan to end his or her life;

iv. Emergency Department visit;

v. Planned or unplanned Hospital admission, including observation status;

vi. Medication Error that leads to a health or safety concern of a serious and immediate nature due to any of the following:
(a) Refusal to take a prescribed medication;

(b) Taking medication in an incorrect dosage, form, or route of administration;

(c) Taking medication on an incorrect schedule;

(d) Taking medication which was not prescribed;

(e) An allergic reaction to a medication; or

(f) Incorrect procedure followed for assisting an Individual Receiving Services with self-medication.

vii. Medical treatment outside of a Hospital setting provided by Emergency Medical Services beyond first aid;

viii. Serious Injury, defined as an injury where an Individual Receiving Services requires treatment beyond first aid;

ix. Lost or missing Individual Receiving Services;

x. A Physical Plant disaster including, fire, natural disaster, or other incident causing displacement due to the condition of the Physical Plant

xi. Law Enforcement Intervention involving any of the following:
(a) An Individual Receiving Services is charged with a crime or is the subject of a police investigation;

(b) An Individual Receiving Services is a victim of a crime and law enforcement has been contacted regarding the crime; or

(c) Law enforcement personnel have been contacted as a result of planned strategy or unplanned crisis situation.

xii. Transportation accident involving any of the following:
(a) An Individual Receiving Services is a pedestrian or cyclist involved in a traffic accident;

(b) An Individual Receiving Services is a passenger in a motorized vehicle or on a watercraft involved in an accident; or

(c) An Individual Receiving Services is involved in any accident involving a motorized vehicle.

xiii. Physical assault or altercation involving any of the following:
(a) An Individual Receiving Services initiates a physical altercation with another individual(s) (including staff, another Individual Receiving Services, or any other member of the community);

(b) An Individual Receiving Services is physically assaulted by another Individual Receiving Services.

xiv. Use of an Emergency Restraint (not as part of an approved behavior plan pursuant to 14-197 C.M.R. ch. 5) on an Individual Receiving Services;

xv. Rights Violation involving any action or inaction that deprives an Individual Receiving Services with an intellectual disability or autism of any of the rights or basic protections described in 34-B M.R.S. §5605;

xvi. Individual Receiving Services is in a dangerous situation posing an imminent risk of harm to self or others that is not included in any of the categories listed in Section 2(2)(A)(1) -(15).

B. Reporting a Reportable Event through the Reportable Event Database to the Department does not relieve any individual or Provider of any other duties under statute or regulation, including duties to report known or reasonably suspected Abuse, Neglect, or Exploitation of an incapacitated or dependent adult through Adult Protective Services (APS) Central Intake or duties to report to law enforcement.

C. Reporting Reportable Events through the Reportable Event Database does not relieve any individual or Provider of any other duties related to ensuring the health, safety, and welfare of individuals receiving services. This rule does not preclude any Provider from monitoring or tracking incidents that are not included in any of the categories listed in Section 2(2)(A)(1) -(15).

3. When Must a Report Be Made

A. All of the Reportable Events listed in Section 2(2)(A)(1) -(16) shall be reported through the Reportable Event Database as soon as possible within one (1) business day of the Reportable Event.
i. In the event that a Required Reporter does not have access to the Reportable Event Database and can reasonably anticipate that the Reportable Event Database will not be accessible within one (1) business day from the time of the Reportable Event, a report shall be faxed to the Department.

4. How to Report

A. Reportable Events shall be reported through the Reportable Event Database except under the circumstances described in Section 2(3)(A)(1).

B. A Required Reporter shall provide information in all of the required fields to the extent that such information is known or readily available to the Required Reporter, including information on the immediate response(s) employed to protect the health and safety of the Individual Receiving Services, if applicable.

C. Within the Reportable Event Database, Required Reporters shall specify all categories identified in Section 2(2)(A) that apply to the Reportable Event being reported within the Reportable Event Database.

Disclaimer: These regulations may not be the most recent version. Maine may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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