Understanding Reporting Procedures for Human Rights Allegations

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Learn about the reporting procedures for serious incidents that also involve allegations of human rights violations. Discover the regulations related to human rights in Virginia, reporting requirements, deadlines, and the importance of timely submission to the Office of Human Rights. Ensure proper handling of sensitive issues to protect the rights of individuals receiving services.

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Serious Incident Reporting Human Rights Allegations Office of Compliance and Risk Management 2021

CSB Mission, Vision and Values UNIT TWO Defining Serious Incidents TOPIC 4 Human Rights Allegations

CSB Mission, Vision and Values OBJECTIVES Determine when a Serious Incident is also an Allegation of Human Rights Violation

Regulations Related to Human Rights The Code of Virginia outlines rights of individuals receiving services. Additionally, the Administrative Code of Virginia outlines regulations to assure the rights of individuals receiving services from providers licensed, funded, or operated by DBHDS. Together, these regulations define Human Rights, the responsibilities of providers to protect those rights, and the reporting requirements when there is an Allegation of a Human Rights violation. The CSB offers a separate training on Human Rights. This course will focus on information related to Human Rights that is most relevant to serious incidents. reporting.

Reporting Requirements The CSB Serious Incident Report form includes a checkbox for reporting staff to indicate if the serious incident is also a Human Rights Allegation. If the reporting staff member check the box for yes they must provide a brief explanation as to why the serious incident is also considered an Allegation of a Human Rights violation. OCRM receives and reviews this information. They may follow-up with the reporting CSB staff member and/or supervisor for more information. From that point, a designated staff member will complete a report to the Office of Human Rights.

Reporting Deadlines Reports submitted to the Office of Human Rights must be submitted before OCRM submits the serious incidents report to DBHDS Reports submitted to the Office of Human rights must be submitted within 24-hours of discovery of the Allegation This means that OCRM staff must complete and submit reports to the Office of Human Rights and the Serious Incident Report to DBHDS within the 24- hour reporting timeframe PLEASE NOTE: CSB staff are required to report serious incidents as soon as possible but no later than the end of their shift to ensure timely delivery of information to OCRM

Human Rights and Serious Incidents Not every Allegation of a Human Rights violation is a serious incident. However, there are instances when a serious incident is also an Allegation of a Human Rights violation. The most common Human Rights Allegations that are also considered to be serious incidents include examples of neglect, abuse, and exploitation.

Abuse is defined by DBHDS as: CSB Mission, Vision and Values ABUSE Any act or failure to act by an employee or other person responsible for the care of an individual in a facility or program operated, licensed, or funded by the department, excluding those operated by the Department of Corrections, that was performed or was failed to be performed knowingly, recklessly, or intentionally, and that caused or might have caused physical or psychological harm, injury, or death to a person receiving care or treatment for mental illness, intellectual disability, or substance abuse. Examples can include: Rape, sexual assault, or other criminal sexual behavior Assault or battery Use of language that demeans, threatens, intimidates, or humiliates the person

CSB Mission, Vision and Values NEGLECT Neglect is defined by DBHDS as: Failure by a person, program, or facility operated, licensed, or funded by the department, excluding those operated by the Department of Corrections, responsible for providing services to do so, including nourishment, treatment, care, goods, or services necessary to the health, safety, or welfare of an individual receiving care or treatment for mental illness, intellectual disability, or substance abuse. Examples can include: A missing person Peer to Peer violence

CSB Mission, Vision and Values EXPLOITATION Exploitation is defined by DBHDS as: The misuse or misappropriation of the individual's assets, goods, or property. Exploitation is a type of abuse. Exploitation also includes the use of a position of authority to extract personal gain from an individual. Examples can include: Misuse of funds Situations where an individual s money is missing

CSB Mission, Vision and Values Two individuals in a residential program engage in a verbal and physical altercation. Despite staff intervention, individual 1 punches individual 2 in the face and breaks his nose. EXAMPLE 1

Is this a Level 1, Level II, or Level III serious incident? This is a Level II serious incident because the incident occurred on the premises of the provider and the incident resulted in significant harm. A serious incident report would need to be completed and submitted for (1) the individual who sustained injuries (2) the individual who caused harm

Is this an Allegation of a Human Rights violation? Yes. Even though in this situation staff tried to intervene, per regulation 12VAC35-115-50Dit is the provider s duty to assure that there was no neglect on the part of the staff by conducting an investigation. An additional report is to be completed to the Office of Human Rights for the individual who sustained the injuries as it is required by the regulation set forth in 12VAC35-115-50

Is any further action required? Yes. An assigned investigator will investigate this event. All staff must cooperate with the investigation and maintain confidentiality for the duration of the investigation.

CSB Mission, Vision and Values It was discovered that an individual had not received their medication delivery and as a result, the individual missed his medications for 7 days. The medication was supposed to be dropped off by the staff. The individual was noted to have an increase of paranoia and delusions, but is redirectable. EXAMPLE 2

Is this a Level 1, Level II, or Level III serious incident? This is a Level II serious incident because the incident occurred on the premises of the provider and the incident resulted in significant harm. A serious incident report would need to be completed and submitted

Is this an Allegation of a Human Rights violation? Yes, this is an Allegation of possible Neglect as defined by 12VAC35-115-30. The staff was ultimately responsible to ensure the individual received their medications and it was not discovered until 7 days later. 12VAC35-115-30. Neglect: means failure by a person, program, or facility operated, licensed, or funded by the department, excluding those operated by the Department of Corrections, responsible for providing services to do so, including nourishment, treatment, care, goods, or services necessary to the health, safety, or welfare of an individual receiving care or treatment for mental illness, intellectual disability, or substance abuse. See 37.2-100 of the Code of Virginia.

Is any further action required? Yes An assigned investigator will investigate this event All staff must cooperate with the investigation and maintain confidentiality for the duration of the investigation The individual should follow up with his psychiatrist to ensure there was no additional harm to the individual

Human Rights regulations define the rights of the individual receiving services, the responsibilities of providers to protect REVIEW CSB Mission, Vision and Values those rights, and the reporting requirements when there is an Allegation of a Human Rights violation Allegations of Human Rights Violations are not always serious incidents, but serious incidents are sometimes also considered to be Allegations of Human Rights violations CSB staff members reporting serious incidents must fill out the information on the SIR form to indicate if a serious incident is an Allegation of a Human Rights violation and why OCRM must complete and submit a report to the Office of Human Rights within 24-hours of discovery of the Allegation before submitting the Serious Incident Report to DBHDS (also required within the 24-hour reporting timeframe)