(a) If an agency becomes aware of an event or situation involving an individual receiving services from the agency in which the event or situation is not under the auspices of the agency (see section 625.2[a] of this Part), the agency must respond to the event or situation as follows:

1. (1) If the event or situation meets one of the definitions in section 624.3 or 624.4 of this Title (reportable incidents and notable occurrences) and occurred under the auspices of another agency subject to the requirements of Part 624 of this Title:

   1. (i) The agency must comply with the requirements of section 624.5(r) of this Title. This includes the requirement to document the event or situation and report the situation to the agency under whose auspices the event or situation occurred.
   2. (ii) Note that mandated reporters (e.g., custodians) are required to make reports to the Vulnerable Persons’ Central Register (VPCR) pursuant to section 491 of the Social Services Law. This means that mandated reporters at the discovering agency must report to the VPCR upon discovery of a reportable incident that occurred in another program or facility that is certified or operated by OPWDD.
2. (2) If the event or situation meets one of the definitions in section 624.3 or 624.4 of this Title and occurred in a facility or service setting subject to the regulatory oversight of another State agency (e.g., school, hospital), the agency must document the event or situation and shall report the situation to the management of the facility or service setting.
3. (3) The agency must intervene as specified in subdivision (b) of this section if it has reason to believe (e.g., a report or complaint is made to the agency, etc.) that the event or situation meets the definition of physical, sexual, or emotional abuse; active, passive, or self neglect; or financial exploitation as defined in section 625.2 of this Part, unless the event or situation meets the criteria in paragraph (1) or (2) of this subdivision.
4. (4) Requirements concerning agency involvement in deaths that are not under the auspices of an agency are in section 625.5 of this Part.

(b) The agency must intervene in an event or situation that meets the definition of physical, sexual, or emotional abuse; active, passive, or self neglect; or financial exploitation by taking actions to protect the involved individual with developmental disabilities. Such actions, as appropriate, may include but are not limited to the following:

1. (1) notifying an appropriate party that may be in a position to address the event or situation (e.g., Statewide Central Register of Child Abuse and Maltreatment, Adult Protective Services, law enforcement officials, family members, school, hospital, or the Office of Professional Discipline);
2. (2) offering to make referrals to appropriate service providers, clinicians, State agencies, or any other appropriate parties;
3. (3) interviewing the involved individual and/or witnesses;
4. (4) assessing and monitoring the individual;
5. (5) reviewing records and other relevant documentation; and
6. (6) educating the individual about his or her choices and options regarding the matter.

(c) The agency must intervene as it deems necessary and appropriate (see subdivision [b] of this section for a list of interventions) when the event or situation meets the definition of physical, sexual, or emotional abuse; active, passive, or self neglect; or financial exploitation, and involves an adult who meets the following criteria:

1. (1) the individual resides in a residence certified or operated by OPWDD (or a family care home);
2. (2) the individual receives day program services certified or operated by OPWDD;
3. (3) the individual receives Medicaid Service Coordination (MSC) or Plan of Care Support Services (PCSS) authorized by OPWDD; and/or
4. (4) the individual receives Home and Community Based Services (HCBS) waiver services authorized by OPWDD.

(d) The agency shall intervene by notifying Adult Protective Services of any event or situation that meets the definition of physical, sexual or emotional abuse; active, passive, or self neglect; or financial exploitation, when it involves an adult receiving services who meets the following criteria:

1. (1) the individual is only receiving family support services (FSS), individual support services (ISS), or article 16 clinic services; and/or
2. (2) the individual is not available to the agency or sponsoring agency; and/or
3. (3) the individual is in need of protective services that the agency cannot provide.

(f) If more than one agency is providing services to the individual, there must be a responsible agency that is designated to intervene in events or situations that meet the definition of physical, sexual, or emotional abuse; active, passive, or self neglect; or financial exploitation.

1. (1) The agency responsible for intervening must be the provider of the services to the individual (or sponsoring agency) in the order stated:

   1. (i) residential facility, including a family care home (note: this does not include free-standing respite facilities);
   2. (ii) certified day program (if the individual is receiving services from more than one certified day program, the responsible agency shall be the agency that provides the greater duration of service on a regular basis);
   3. (iii) MSC or PCSS;
   4. (iv) HCBS Waiver services including respite services provided at a free standing respite facility or services under the Care at Home Waiver;
   5. (v) FSS, ISS and/or article 16 clinic services;
   6. (vi) any other service certified, operated, or funded by OPWDD.
2. (2) If the discovering agency is not the responsible agency, the discovering agency must notify the responsible agency of the event or situation (unless it is sure that the responsible agency is already aware).