Home » 2015 Issues » December 09, 2015 » ASA-37-15-00001-A Incident Reporting in Oasas Certified, Licensed, Funded, or Operated Services
ASA-37-15-00001-A Incident Reporting in Oasas Certified, Licensed, Funded, or Operated Services
12/9/15 N.Y. St. Reg. ASA-37-15-00001-A
NEW YORK STATE REGISTER
VOLUME XXXVII, ISSUE 49
December 09, 2015
RULE MAKING ACTIVITIES
OFFICE OF ALCOHOLISM AND SUBSTANCE ABUSE SERVICES
NOTICE OF ADOPTION
I.D No. ASA-37-15-00001-A
Filing No. 1008
Filing Date. Nov. 19, 2015
Effective Date. Nov. 20, 2015
Incident Reporting in Oasas Certified, Licensed, Funded, or Operated Services
PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following action:
Action taken:
Repeal of Part 836; and addition of new Part 836 to Title 14 NYCRR.
Statutory authority:
Mental Hygiene Law, sections 19.09(b), 19.20, 19.20-a, 19.40, 32.02; Executive Law, section 296(15) and (16); Corrections Law, art. 23-A; Civil Service Law, section 50; Protection of People with Special Needs Act, L. 2012, ch. 501
Subject:
Incident Reporting in Oasas Certified, Licensed, Funded, or Operated Services.
Purpose:
To enhance protections for service recipients in the OASAS system.
Substance of final rule:
The Proposed Rule would Repeal the current Part 836 and Replace it with a new Part 836. The new Part incorporates amendments related to incident reporting consistent with statutory requirements, definitions and procedures of the Justice Center, pursuant to the Protection of People with Special Needs Act (Chapter 501 of the Laws of 2012).
The Proposed Rule also makes technical amendments to standardize formatting for all Office regulations. Amendments related to the Justice Center include:
Section 836.1 sets forth the background and intent and adds language referencing the purpose for establishing the Justice Center and for coordinating agency incident reviews with the Justice Center.
§ 836.2 sets forth the statutory authority for the promulgation of the rule by the Office of Alcoholism and Substance Abuse Services (“Office”); adds The Protection of People with Special Needs Act; removes repealed statutes; adds the Vulnerable Persons Central Register in § 492 of the social services law.
§ 836.3 amends applicability of this Part to be consistent with Justice Center statute and regulations.
§ 836.4 adds new definitions or amends to be consistent with the Justice Center: “Reportable incident”, “physical abuse”, “psychological abuse”, “deliberate inappropriate use of restraints”, “use of aversive conditioning”, “obstruction of reports of reportable incidents”, “unlawful use or administration of a controlled substance,” “neglect”, “significant incident”, “custodian”, “facility or provider agency”, “mandated reporter”, “human services professional”, “physical injury”, “delegate investigatory entity”, “Justice Center”, “Person receiving services,”, “Personal representative,” “Abuse or neglect”, “subject of the report,” “other persons named in the report,” “Vulnerable Persons Central Register,” “vulnerable person”, “intentionally and recklessly”, “clinical records”, “Incident management programs”, “Incident report”, “Missing client”, “qualified person”, “staff”, “Incident review Committee”.
§ 836.5 adds requirements for providers of services’ policies and procedures related to, and implementation of, an Incident Management Program consistent with the requirements of Chapter 501 of the Laws of 2012.
§ 836.6 adds requirements for incident reporting, notice and investigation to incorporate changes in processes necessitated by Chapter 501 of the Laws of 2012.
§ 836.7 adds requirements for additional notice and reporting requirements for reportable and significant incidents necessitated by Chapter 501 of the Laws of 2012 such as: reporting “immediately” upon discovery of an incident; required reporting to the Justice Center Vulnerable Persons Central Register, Office and regional Field Office; includes all “custodians” as “mandated reporters” for purposes of this regulation.
§ 836.8 adds requirements for configuration of Incident Review Committees consistent with requirements of Chapter 501 of the Laws of 2012.
§ 836.9 adds requirements for recordkeeping and release of records to qualified persons consistent with requirements of Chapter 501 of the Laws of 2012.
§ 836.10 adds to a provider’s duty to cooperate regarding inspection of facilities by permitting the Justice Center access for purposes of an investigation of a reportable or significant incident consistent with requirements of Chapter 501 of the Laws of 2012.
A copy of the full text of the regulatory proposal is available on the OASAS website at: http://www.oasas.ny.gov/regs/ index.cfm
Final rule as compared with last published rule:
Nonsubstantive changes were made in section 836.4(u).
Text of rule and any required statements and analyses may be obtained from:
Sara Osborne, Associate Attorney, NYS Office of Alcoholism and Substance Abuse Services, 1450 Western Ave., Albany, NY 12203, (518) 485-2317, email: Sara.Osborne@oasas.ny.gov
Revised Regulatory Impact Statement
OASAS is not submitting a Revised Regulatory Impact Statement because amendments to the text of this rule subsequent to close of public comments do not constitute substantive amendments that would alter the purpose and substance of the rule as Proposed and Adopted by emergency and as published in the September 16, 2015 State Register.
Revised Regulatory Flexibility Analysis
OASAS is not submitting a Revised Regulatory Flexibility Analysis for Small Businesses and Local Governments because amendments to the text of this rule subsequent to close of public comments do not constitute substantive amendments that would alter the purpose and substance of the rule as Proposed and Adopted by emergency and as published in the September 16, 2015 State Register.
Revised Rural Area Flexibility Analysis
OASAS is not submitting a Revised Rural Areas Flexibility Analysis because amendments to the text of this rule subsequent to close of public comments do not constitute substantive amendments that would alter the purpose and substance of the rule as Proposed and Adopted by emergency and as published in the September 16, 2015 State Register.
Revised Job Impact Statement
OASAS is not submitting a Revised No Job Impact Statement because amendments to the text of this rule subsequent to close of public comments do not constitute substantive amendments that would alter the purpose and substance of the rule as Proposed and Adopted by emergency and as published in the September 16, 2015 State Register.
Initial Review of Rule
As a rule that requires a RFA, RAFA or JIS, this rule will be initially reviewed in the calendar year 2018, which is no later than the 3rd year after the year in which this rule is being adopted.
