NCIER®

Records Documentation

28 claims on pp. 20–85 (fact 3, statement 22, evidence 3).

Claims about Records Documentation

Fact [V] p040-10

California plan must be specific to each work area and employers must keep an incident log

The plan must be specific to the hazards and complexities of each work area, and employers are required to maintain a workplace violence incident log. (Source: endnote 7.)

The plan must be specific to the hazards and complexities of each work area, and employers are required to maintain a workplace violence incident log.

p. 40 · NCIER Claim Map
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Fact [V] p040-11

S.B. 553 sets documentation, training, and plan-accessibility standards

The legislation sets standards for documentation, record-keeping, and employee training. It also mandates that the violence prevention plan be written and easily available to employees. (Source: endnote 7.)

This legislation also sets standards for documentation, record-keeping, and employee training, and it mandates the violence prevention plan be written and easily available to employees.

p. 40 · NCIER Claim Map
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Statement [V] p042-09

Documented procedures reveal strengths and areas for improvement

Documenting procedures allows an organization to assess programmatic and procedural strengths and to identify areas for continued improvement.

documenting procedures allows an organization to assess programmatic and procedural strengths and to identify areas for continued improvement.

p. 42 · NCIER Claim Map
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Statement [V] p043-01

SOPs should define actionable tasks, owners, timeframes, and documentation

SOPs should identify actionable steps and tasks, who is responsible for them, timeframes for completion, and documentation requirements.

identify what actionable steps and tasks must be taken to move through the process, who is responsible for completing them, timeframes for completion, and documentation requirements

p. 43 · NCIER Claim Map
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Evidence [V] p043-06

Sample language requires secure, access-controlled meeting records

Sample language requires that all meeting proceedings, attendance, decisions, and assigned actions be documented in a secure, access-controlled record.

All meeting proceedings, including attendance, topics discussed, decisions made, and assigned actions, will be documented in a secure, access-controlled record for accountability and future reference.

p. 43 · NCIER Claim Map
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Statement [I] p045-05

HR can access personnel records and offer insight on conduct and policy

HR can access personnel records, offer insight on employee performance and conduct, utilize safe hiring and firing practices, share knowledge of policies, and assist with employee morale and office culture.

HR professionals can access employee personnel records

p. 45 · NCIER Claim Map

Why inferred The quote covers the personnel-records clause; the remaining items are paraphrased from the same HR sentence on the page.

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Statement [V] p045-07

IT can access digital records and limit an individual's system access

IT professionals can access digital records, system access logs, and communication records, and can limit an individual's access to systems and facilities.

IT professionals can also limit an individual's access to systems and facilities

p. 45 · NCIER Claim Map
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Statement [V] p048-15

Documentation training should cover when forms are required, who completes them, and storage

Documentation training should include when forms are recommended versus required, who must complete the forms, and how the forms should be completed, shared, and/or stored.

This should include when forms are recommended as opposed to when they are required, who must complete the forms, and how the forms should be completed, shared, and/or stored.

p. 48 · NCIER Claim Map
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Statement [V] p057-15

Document referrals and preserve records under retention policy

When a report is referred elsewhere, the reason for referral should be documented and records preserved under the organization's retention policy.

the reason for referral should be documented, and the records should be preserved based on the organization's records retention policies

p. 57 · NCIER Claim Map
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Evidence [V] p061-01

Process figure lists full-assessment steps through case closure

Figure 9 continues: Full Assessment (interviews and records review, Systems Approach, Assessment Themes, analysis) leads to a decision whether the IOC poses a risk of harm to self or others. If yes, Implement Risk Management Strategies, then Evaluate, repeating the decision; if no, a check whether the IOC could benefit from other resources. If no, Close BTAM Case (document all actions, findings, and determinations; follow record retention protocols; share information as appropriate), ending in case closure.

Full Assessment

p. 61 · NCIER Claim Map
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Statement [V] p062-09

Full assessments typically use interviews, records, social media and devices

A full assessment typically involves multiple interviews, records checks, reviews of publicly available social media, and analysis of employer-issued electronic devices.

A full assessment typically involves multiple interviews, records checks, reviews of publicly available social media, and analysis of employer-issued electronic devices

p. 62 · NCIER Claim Map
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Statement [V] p065-03

HR can supply employment history, conduct, grievances and discipline records

HR professionals may offer information on employment history, work performance, conduct, grievances, conflicts, disciplinary actions, accolades, and attendance records.

professionals may offer information pertaining to the individual's employment history

p. 65 · NCIER Claim Map
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Statement [I] p065-04

Physical security can supply incident details, access logs and footage

Physical security personnel may offer behavioral observations, details of security incidents, witness statements, access logs, and security footage.

Physical security personnel may offer behavioral observations, details about security incidents, witness statements, building or facility access logs, and security footage

p. 65 · NCIER Claim Map

Why inferred Descriptive 'may' about information sources; typed as guidance.

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Statement [I] p065-06

IT can provide login history, email and internet usage records

IT may assist with access to system records, including login history, email communications, and internet usage.

IT may assist with access to system records, including login history, email communications, and internet usage

p. 65 · NCIER Claim Map

Why inferred Descriptive 'may' about information sources; typed as guidance.

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Statement [V] p066-15

Public court records can give context on legal history and other stressors

Publicly available court records such as criminal charges, convictions, protective orders, civil lawsuits, eviction filings, and bankruptcy declarations, found on many judicial and governmental websites, can provide relevant context about an individual's legal history or other stressors.

Publicly available court records (e.g., criminal charges, convictions, protective orders, civil lawsuits, eviction filings, bankruptcy declarations), which can be found on many judicial and governmental websites, can provide relevant context about an individual’s legal history or other stressors.

p. 66 · NCIER Claim Map
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Statement [I] p067-03

Personnel-file emergency contacts may identify family and community members

For current or former employees, emergency contacts in personnel files may help identify family and community members with personal information about the individual.

emergency contacts listed in their personnel file may help BTAM teams identify family and community members who have personal information about the individual

p. 67 · NCIER Claim Map

Why inferred Descriptive 'may' about a practical route; typed as guidance.

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Statement [V] p074-11

Organizations should develop standardized forms for the BTAM process

Organizations should develop standardized forms to give structure and consistency to documentation of the BTAM process.

Organizations should develop standardized forms to provide structure and consistency in documenting the BTAM process

p. 74 · NCIER Claim Map
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Statement [V] p074-12

Preliminary inquiry forms should record the report and determination of action

Preliminary inquiry forms should capture the nature of the report, sources reviewed, initial findings, and a determination of action.

Preliminary inquiry forms to capture the nature of the report, sources of information that must be reviewed, initial findings, and a determination of action

p. 74 · NCIER Claim Map
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Statement [V] p076-08

Teams should document closure rationale and check in with stakeholders

BTAM teams should be able to articulate the rationale for closing a case, document the decision, and check in with relevant stakeholders, including the individual of concern as deemed appropriate, to ensure no concerns return and no new concerns arise.

BTAM teams should be able to articulate the rationale for closing a case, document the decision, and conduct a check-in with relevant stakeholders

p. 76 · NCIER Claim Map
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Statement [V] p079-02

Organizations should develop standardized forms to document management plans

Organizations should develop standardized forms to document management plans and ensure structure and fidelity to the BTAM process.

Organizations should develop standardized forms to document management plans and ensure structure and fidelity to the BTAM process.

p. 79 · NCIER Claim Map
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Statement [V] p079-03

Case Management Plan form records interventions, timelines, monitor, outcomes

The case management plan form should record the interventions pursued, referral timelines, the person monitoring compliance, and the outcome of each intervention.

This form should document the specific interventions pursued and implemented, detailed timelines for providing referrals, the person designated to monitor response and compliance with interventions, and the outcome of each referral or intervention

p. 79 · NCIER Claim Map
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Statement [V] p079-04

Management plan should be adaptive and allow review of effectiveness

The management plan should be an adaptive, evolving process, and its forms should allow changes and review of how well strategies work.

This management plan should be an adaptive, evolving process, and the forms created to document management should allow for changes to the plan and opportunities to review the effectiveness of the management strategies implemented.

p. 79 · NCIER Claim Map
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Statement [V] p079-05

Case Completion Form should summarize the case and justify closure

The case completion form should document completion of the BTAM process, including a summary overview and an articulable reason for closure.

It should include a summary overview of the case and a reasonable and articulable determination for case closure.

p. 79 · NCIER Claim Map
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Evidence [V] p084-02

Healthcare network flags a patient's digital record when concerning behaviors arise

At a nationwide healthcare network, when patients engage in problematic or concerning behaviors, a flag placed in the patient's digital record notifies staff.

When patients engage in problematic or concerning behaviors, a flag placed in the patient’s digital record notifies staff.

p. 84 · NCIER Claim Map
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