Mandatory State Reporting Guidance

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Purpose and Applicability

This guidance describes the role of the Human Subjects Division (HSD), the UW Institutional Review Board (IRB), and UW researchers with respect to mandatory reporting as required by Washington State laws. This refers to events and circumstances that must be reported to specified authorities by the individuals or entities that learn about the events or circumstances. For example, Washington State law requires all UW employees to report reasonable knowledge of child abuse to specific authorities.

This Guidance does not address the issue of permitted (permissive) reporting, although the same Washington State statute generally describes both types of reporting. The Department of Health and Social Services has a useful website about mandatory versus permissive reporting.

Roles and Responsibilities

HSD and the IRB

HSD and the IRB do not provide advice about whether specific events or circumstances require mandated reporting or who is a mandatory reporter. The roles and responsibilities of HSD and the IRB are to:

Provide the table below as a list of the Washington State mandatory reporting laws that may be relevant to human subjects research (based on HSD’s knowledge) and the laws’ statements about who is a mandatory reporter.

Ask researchers about whether participants should be provided with information about possible mandatory reporting. This question is raised only when it seems appropriate based on the nature of the participant population and the nature and circumstances of the research. HSD or the IRB also ask researchers about consent processes in which mandatory reporting language has been included but seems inappropriate or unnecessary.

Review and assist with the language used to inform participants about the possibility of mandatory reporting, specifically:

• What will be reported and to whom
• In what time frame
• Whether the participant (parent/guardian/LAR) will be told about the reporting)
• Any confidentiality and privacy protections
• Whether any assistance or referrals will be available to the participant (or the individual to whom the reporting pertains)

Clarify the relative authority of the IRB versus state requirements by ensuring that researchers understand that consent information and IRB requirements do not legally override mandatory state reporting requirements.

Researchers

The roles and responsibilities of the researcher are to:

Assess whether there is a reasonable possibility that mandatory reporting circumstances or events will be encountered while conducting the research.

Identify any mandatory reporters on the research team.

Provide participants with information about the possibility of mandatory reporting, when appropriate and after obtaining IRB approval.

Applicable Washington State Laws

The table below summarizes HSD’s knowledge of the Washington State laws about mandatory reporting that may be relevant to circumstances encountered by UW researchers.

Wording and definitions are taken directly from the state laws (RCW and/or WAC). No interpretation is provided. UW researchers who wish to obtain legal guidance about whether or not they are “mandated reporters” should consult with the UW Attorney General’s office or appropriate UW attorney. Some key definitions are copied here but additional definitions are available in the RCW and/or WAC.

RCW	Notifiable events/conditions	Mandated reporter
RCW 74.34	Abuse or neglect of a vulnerable adult. Abuse means willful action or inaction that inflicts injury, unreasonable confinement, intimidation, or punishment on a vulnerable adult. In instances of abuse of a vulnerable adult who is unable to express or demonstrate physical harm, pain, or mental anguish, the abuse is presumed to cause physical harm, pain, or mental anguish. Abuse includes sexual abuse, mental abuse, physical abuse, and personal exploitation of a vulnerable adult, and improper use of restraint against a vulnerable adult. Vulnerable adult includes a person: Sixty years of age or older who has the functional, mental, or physical inability to care for themself; or Found incapacitated under chapter 11.88 RCW; or Who has a developmental disability as defined under RCW 71A.10.020; or Admitted to any facility; or Receiving services from home health, hospice, or home care agencies licensed or required to be licensed under chapter 70.127 RCW; or Receiving services from an individual provider; or Who self-directs their own care and receives services from a personal aide under chapter 74.39 RCW.	Mandated reporter is an employee of the state Department of Social and Health Services (DSHS); law enforcement officer; social worker; professional school personnel; individual provider; an employee of a facility [licensed residence; assisted living facility; nursing home; adult family home; solders’ home or chapter; residential rehab center; any other facility licensed or certified by DSHS or the state Department of Health]; an operator of a facility; an employee of a social service, welfare, mental health, adult day health, adult day care, home health, home care, or hospice agency; county coroner or medical examiner; Christian Science practitioner; or health care provider subject to chapter 18.130 RCW. Social worker: A social worker as defined in RCW 18.320.010(2); or Anyone engaged in a professional capacity during the regular course of employment in encouraging or promoting the health, welfare, support, or education of vulnerable adults, or providing social services to vulnerable adults, whether in an individual capacity or as an employee or agent of any public or private organization or institution. Hospital means a facility licensed under chapter 70.41 or 71.12 RCW or a state hospital defined in chapter 72.23 RCW and any employee, agent, officer, director, or independent contractor thereof. Individual provider means a person under contract with DSHS to provide services in the home under chapter 74.09 RCW or chapter 74.39A RCW.
RCW 26.44.030 RCW 288.10.846	Child Abuse or neglect. Abuse or neglect means sexual abuse, sexual exploitation, or injury of a child by any person under circumstances which cause harm to the child’s health, welfare, or safety, excluding conduct permitted under RCW 9A.16.100; or the negligent treatment or maltreatment of a child by a person responsible for or providing care to the child.	Many of these terms are defined in the RCW Practitioner County coroner or medical examiner Law enforcement officer Professional school personnel Registered or licensed nurse Social service counselor Psychologist Pharmacist Employee of state Department of Children, Youth, & Families Licensed or certified child care providers or their employees Employee of the state Department of Social & Health Services Juvenile probation office Placement and liaison specialist Responsible living skills program staff HOPE center staff State family and children’s ombuds or ombuds volunteers Host home program Anyone in an official supervisory capacity with a non-profit or for-profit organization (reporting about an employee, contractor, or volunteer) State Department of Corrections personnel Any adult who has reasonable cause to believe that a child who resides with them has been abused Guardians ad litem, including court-appointed advocates Administrative & academic or athletic department employees (including student employees) of institutions of higher education All employees of institutions of higher education, not considered academic or athletic department employees (who are covered under RCW 26.44.030)
WAC 246-101	Notifiable conditions are defined by Washington state in this list. The list includes specific communicable diseases (including HIV/AIDS), specific health conditions, and specific other diseases.	Washington health care provider: means any person having direct or supervisory responsibility for the delivery of health care who is: (a) Licensed or certified in this state under Title 18 RCW; or (b) Military personnel providing health care within the state regardless of licensure. Laboratories means any facility licensed as a medical test site under chapter 70.42 RCW and chapter 246-338 WAC. Health care facilities means (a) assisted living facility; (b) birth center; (c) nursing home; (d) hospital; (e) adult family home; (f) ambulatory surgical facility; (g) private establishment licensed under chapter 71.12 RCW; (h) clinics, or other settings where one or more health care providers practice; and (i) in reference to a sexually transmitted disease, other settings as defined in chapter 70.24 RCW.

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Keywords: Regulations; Reporting