Recordable Incidents

Note: Providers of AT, E-mods, Congregate and Home Delivered Meals and Home Visits by Medical Personnel will not be assigned the responsibility of investigating any allegations of a SRI unless they provide other services for which they are responsible for investigating incidents.

Recordable Incidents are defined as incidents that do not meet the level of severity described as SRI, but which adversely affects the participant's life in the community. An example of these incidents is a fall that does not require medical attention. These Recordable Incidents do not need to be reported to DOH. However, Recordable Incidents must be investigated by the provider and included in the annual report prepared by the Serious Incident Review Committee provided to QMS. DOH WMS reserves the right to review Recordable Incidents at any time.

Provider policies and procedures regarding Recordable Incidents must include an explanation or identification of the:

  1. Title or position of the individual(s) responsible for implementing these policies;
  2. Process for reporting, investigating and resolving Recordable Incidents within the agency;
  3. Process for identifying patterns of incidents which involve a specific participant or staff within the agency that threaten the health and welfare of participants in general;
  4. System for tracking the reporting, investigation and the outcome of all Recordable Incidents which includes:
    • Name of the waiver Participant involved
    • Date(s) of the incident
    • Time incident occurred
    • Type or description of Incident
    • Action(s) taken by the provider including making recommendations for changes in policies and procedures
    • Provider staff or others involved
  5. Criteria used to determine when a Recordable Incident should be upgraded to a Serious Reportable Incident to be reported to DOH WMS.