441—90.7(249A) Case management services provider requirements. Rule 441—90.7(249A) applies to all categories of case management and all populations covered by case management.
	90.7(1) Reporting procedures for major incidents.
	a. 	When a major incident occurs or a staff member becomes aware of a major incident:
	(1)	The staff member shall notify the following persons of the incident by midnight of the next calendar day after the incident:
	1.	The staff member’s supervisor;
	2.	The member or member’s legal guardians; and
	3.	The member’s case manager. The case manager shall create an incident report if a provider has not submitted a report.
	(2)	By midnight of the next business day after the incident, the staff member who observed or first became aware of the incident shall also report as much information as is known by the staff member about the incident to the member’s managed care organization in the format required by the managed care organization. If the member is not enrolled with a managed care organization, or is receiving money follows the person funding, the staff member shall report the information by direct data entry into the Iowa Medicaid portal access (IMPA) system. The case manager is responsible for reporting the incident if the provider of service has not already reported the incident.
	(3)	The following information shall be reported:
	1.	The name of the member involved;
	2.	The date, time, and location where the incident occurred;
	3.	A description of the incident;
	4.	The names of all provider staff and others who were present at the time of the incident or who responded after becoming aware of the incident. The confidentiality of other Medicaid-eligible members or non-Medicaid-eligible persons who were present must be maintained by the use of initials or other means;
	5.	The action taken to manage or respond to the incident;
	6.	The resolution of or follow-up to the incident; and
	7.	The date the report is made and the handwritten or electronic signature of the person making the report.
	(4)	When complete information about the incident is not available at the time of the initial report, the case management services provider must submit follow-up reports until the case manager is satisfied with the incident resolution and follow-up.
	(5)	The case management services provider shall maintain the completed report in a centralized file with a notation in the member’s file.
	(6)	The case management services provider shall track incident data and analyze trends to assess the health and safety of members served and to determine whether changes need to be made for service implementation or whether staff training is needed to reduce the number or severity of incidents.
	b. 	When an incident report for a major incident is received from any provider, the case manager shall monitor the situation to ensure that the member’s needs continue to be met.
	c. 	When any major incident occurs, the case manager shall reevaluate the risk factors identified in the risk assessment portion of the service plan in order to ensure the continued health, safety, and welfare of the member. Documentation must be made in the person-centered service plan of this review and follow-up activities.
	90.7(2) Reporting procedures for minor incidents. Minor incidents may be reported in any format designated by the case management services provider. When a minor incident occurs, or a staff member becomes aware of a minor incident, the staff member involved shall submit the completed incident report to the staff member’s supervisor within 72 hours of the incident. The completed report shall be maintained in a centralized file with a notation in the member’s file.
	90.7(3) Quality assurance. Case management services providers shall cooperate with quality assurance activities conducted by Iowa Medicaid or a Medicaid managed care organization, as well as any other state or federal entity with oversight authority to ensure the health, safety, and welfare of Medicaid members. These activities may include, but are not limited to:
	a. 	Postpayment review of case management services;
	b. 	Review of incident reports;
	c. 	Review of reports of abuse or neglect; and
	d. 	Technical assistance in determining the need for service.
[ARC 4897C, IAB 2/12/20, effective 3/18/20; ARC 6854C, IAB 2/8/23, effective 4/1/23]