N.H. Admin. Code § He-M 202.07

Current through Register No. 50, December 12, 2024

Section He-M 202.07 - Complaint Investigation

(a) The OCLS shall at all times have at least 3 persons designated as complaint investigators to carry out all the duties of the complaint investigator within the timelines required by He-M 202.

(b) Complaint investigators shall not serve as employees of, or contractors, consultants, or volunteers for an area agency or program. This requirement shall not restrict complaint investigators from providing, by short-term contract, training on rights under He-M 310, the complaint process, or related subjects to the staff of programs or area agencies.

(c) Following receipt from the department, each area agency shall annually forward to programs and family groups the procedures and contact information for filing a complaint.

(d) Area agencies and programs shall post the information identified in (c) above within area agency and program offices and on websites, as applicable.

(e) At each individual's annual service planning meeting, the service coordinator shall provide, in writing, to the individual, guardian, and family the procedures and contact information for filing a complaint.

(f) OCLS shall submit all complaints to a complaint investigator as soon as possible, but not later than one business day following receipt.

(g) Complaints involving abuse, neglect, or exploitation shall be investigated prior to any other complaints. Such other complaints shall be investigated in the order received.

(h) The complaint investigator shall investigate and attempt to resolve the complaint to the satisfaction of the individual or his or her guardian within 15 business days.

(i) The complaint investigator shall conduct an impartial and thorough investigation that includes, at a minimum:

(1) Interviewing:

a. The complainant;

b. The individual;

c. The guardian, if any;

d. The respondent; and

e. Any witnesses to any incident on which the complaint is based;

(2) As deemed relevant by the complaint investigator, consulting with professionals or other persons who have knowledge of the individuals involved;

(3) Reviewing information in the individual's record, program policies and procedures, and any other documents that have been determined by the investigator to be relevant;

(4) Reviewing relevant systemic factors; and

(5) Reviewing any physical evidence.

(j) Area agencies and programs shall allow complaint investigators:

(1) Unfettered access to program premises, staff, training records, files of individuals who are the subjects of complaints; and

(2) Access to any other program documents or information determined relevant by the complaint investigator, unless otherwise restricted by law.

(k) During the complaint process, the complaint investigator shall keep the area agency executive director or his or her designee informed of the progress of the investigation.

(l) The respondent may be represented by counsel during the interview conducted by the complaint investigator. However, the complaint investigator shall not share an individual's confidential information with the respondent or the respondent's attorney without the permission of the individual or his or her guardian.

(m) Regardless of the number of individuals affected, 2 or more complaints involving the same act or incident shall be consolidated and treated as one complaint, provided that:

(1) Separate notices and copies of resolutions shall be sent to each individual or his or her guardian; and

(2) Each individual, or his or her guardian, shall be given the opportunity to accept or appeal such resolution.

(n) The complaint investigator shall prepare a report for OCLS review that includes:

(1) A summary of the issues presented, including any issues that arose during the investigation;

(2) The names of persons interviewed during the investigation;

(3) A list of all documents and other evidence reviewed;

(4) The dates of any reports made to BEAS or DCYF, if applicable;

(5) Investigatory findings of fact;

(6) A discussion of the investigatory findings of fact, a proposed determination of whether the allegations are founded or unfounded, and an explanation of why such determination was made;

(7) A discussion of systemic factors that caused, contributed to, or exacerbated the violation; and

(8) The proposed resolution and, as applicable, the proposed corrective action by the area agency, program, or bureau.

(o) Following OCLS review to determine that the elements in (n) (1)-(8) above have been addressed and within 15 business days of the filing of the complaint, the complaint investigator shall forward the full report to the individual or his or her guardian, the area agency executive director, and the program involved, if any.

(p) To protect the confidentiality of individuals, witnesses, and accused parties, an area agency or program shall limit access to complaint reports to its management staff and officers of its board of directors, and shall not release reports to outside entities. Reports shall not be made part of an individual's record.

(q) The timeframe in (o) above shall be extended for 10 business days if any of the following factors makes it impossible to issue a report as required:

(1) The number of allegations to be investigated;

(2) The number or availability of witnesses to be contacted;

(3) The availability of evidence; or

(4) Other similar complicating circumstances.

(r) The individual or his or her guardian, the area agency executive director, and the program involved, if any, shall have 10 business days from the receipt of the report to respond in writing, indicating approval or disapproval of the determination and the proposed resolution in the complaint investigation report. Failure to respond within the time allowed shall constitute acceptance of the report's determination and proposed resolution, and the report shall be considered final.

(s) The timeframe to respond in (r) above shall be extended by 10 business days upon written request of the individual, guardian, area agency executive director, or program to the complaint investigator. Failure to respond within the extended time allowed shall constitute acceptance of the report's determination and proposed resolution, and the report shall be considered final.

(t) If the individual or his or her guardian, the area agency executive director, or the program involved, if any, does not accept the proposed determination or proposed resolution, such party shall, within 10 business days, request further investigation by the complaint investigator or further review by the bureau administrator by stating, in writing, and submitting to the bureau the specific reasons for the disagreement.

(u) If further investigation is requested pursuant to (t) above, the requesting party shall specify, in writing, the areas of concern, and the complaint investigator shall review all relevant materials and amend the report as needed, which shall be considered the final report.

(v) If further review by the bureau administrator is requested pursuant to (t) above, the requesting party shall specify, in writing, the areas of concern, and the bureau administrator shall review all relevant materials prior to issuing a decision pursuant to (w) below.

(w) The bureau administrator shall issue a final written decision to the individual or his or her guardian, the area agency executive director, and the program involved, if any, within 10 business days of a request pursuant to (t) above and notify the parties of the right to appeal to the commissioner pursuant to He-C 200.

(x) Once a complaint report is final pursuant to (r), (s), (u), or (w) above, if the report includes recommendations for resolution that require area agency or program action, the area agency or program shall send written documentation of implementation of such actions to the complaint investigator within 20 business days of the date of the final report, unless a shorter timeline is specified. If implementation of the action will take longer than 20 business days, the area agency or program shall send documentation to the complaint investigator of the planned action within 20 business days from the date of the report, and shall send written documentation demonstrating implementation of the action to the complaint investigator upon completion.

(y) An area agency or a program may conduct its own investigation of a complaint. Such an investigation shall not commence until an OCLS complaint report is final.

N.H. Admin. Code § He-M 202.07

(See Revision Note at part heading for He-M 202) #5830, eff 5-24-94, EXPIRED: 5-24-00

New. #7730, eff 7-24-02; ss by #9754, INTERIM, eff 7-24-10, EXPIRED: 1-20-11

New. #9962, eff 8-15-11

Amended by Volume XL Number 2, Filed January 9, 2020, Proposed by #12940, Effective 12/10/2019