Code of Maine Rules › 03 - DEPARTMENT OF CORRECTIONS › 201 - DEPARTMENT OF CORRECTIONS/GENERAL › Chapter 12 - POLICY AND PROCEDURES MANUAL - JUVENILE › Subsection 201-12-29.01 - Client Grievance Rights: Prisoner Grievance Process, General

Current through 2024-29, July 17, 2024
I.
AUTHORITY
The Commissioner of Corrections adopts this policy pursuant
				  to
				  34-A M.R.S.A.
				  Section1402(5).
II.
APPLICABILITY
All Juvenile Facilities
III.
POLICY
The purpose of this policy is to establish a grievance
				  process for reviewing and resolving complaints of residents of juvenile
				  facilities, other than complaints concerning matters for which there is a
				  separate grievance process or separate appeal procedures. It is anticipated
				  that prior to filing a lawsuit, a resident will attempt to resolve his or her
				  complaint by using the grievance process. This process shall be evaluated at
				  least annually to determine its efficiency and effectiveness.
IV.
CONTENTS
Procedure A: Resident Grievance Process, General
Procedure B: First Level Review of a Resident's
				  Grievance
Procedure C: Informal Resolution Process
Procedure D: Formal Grievance Process
Procedure E: Second Level Review of a Resident's
				  Grievance
Procedure F: Third Level Review of a Resident's
				  Grievance
Procedure G: Abuse of the Grievance Process
Procedure H: Grievance Records
V.
ATTACHMENTS
Attachment A: Resident Grievance Form
Attachment B: Notification of Dismissal and/or Return
Attachment C: Informal Resolution Form
Attachment D: Response to Grievance - Level I
Attachment E: Response to Grievance - Level II
Attachment F: Resident's Appeal of Grievance Response -
				  Levels I and II
Attachment G: Notification of Suspension of Access to the
				  Grievance Process
VI.
PROCEDURES
Procedure A: Resident Grievance Process,
				  General
1. The Superintendent
				of each juvenile facility shall designate a Grievance Review Officer and
				another staff person to be acting Grievance Review Officer in his/her absence.
				The Superintendent shall designate supervisors responsible to attempt informal
				resolutions with residents for subjects within their jurisdiction and shall
				ensure that the list of those designated is forwarded to the Grievance Review
				Officer and acting Grievance Review Officer.
2. During the orientation process for each
				resident admitted or transferred to a juvenile facility, the resident shall be
				informed that a copy of this grievance policy and procedures, resident
				grievance forms, and envelopes are readily available in each housing unit, the
				special management unit, the infirmary, and the library. The grievance process
				and how to obtain assistance with the process shall also be
				explained.
3. It is the
				responsibility of the Juvenile Program Manager, or designee, of the housing
				unit assigned to a resident who needs or requests assistance with the grievance
				process to provide assistance in a timely manner, including, but not limited
				to, as appropriate, a sign language interpreter, foreign language interpreter,
				reasonable accommodation for a resident with a physical or mental disability,
				assistance to a resident who is illiterate, and assistance to a resident whose
				access to paper and/or writing materials has been restricted for safety or
				security reasons. A resident may also be assisted in the grievance process by
				another staff member on a voluntary basis or by any other person with whom the
				resident is permitted to have contact, provided that in all cases the grievance
				and grievance appeal forms are filed by the resident.
4. A resident of a juvenile facility may file
				a grievance with the appropriate facility Grievance Review Officer to request
				administrative review of any policy, procedure, practice, condition of
				confinement, calculation of a 30 day or less period of confinement (including,
				but not limited to, an issue with credit for detention time), action, decision,
				or event that directly affects the resident, that the resident believes is in
				violation of his/her rights or is in violation of Departmental policies and
				procedures, and for which the resident believes a Departmental employee or
				contractor is responsible. A resident may not file a grievance regarding the
				following subjects, since there exist separate appeal procedures for these
				matters:
a. Classification procedures and
				decisions, including, but not limited to, a decision to place a resident on
				individual behavior management status or a decision about risk level,
				participation in an institutional or community-based program, or
				transfer;
b. Disciplinary procedures
				and decisions; and
c. Furlough
				pass/furlough leave procedures and decisions.
5. A resident may not file a grievance under
				this policy and procedures regarding medical care or mental health care, since
				there exists a separate grievance process for these subjects (Policy 29.2,
				Juvenile Grievance Process, Medical and Mental Health Care). A resident may not
				file a grievance under this policy regarding community corrections matters,
				since there exists a separate grievance process for those (available by request
				from the facility library). A resident may not file a grievance under this
				policy alleging sexual misconduct, since there exists a separate grievance
				process for this subject. (Policy 6.11, Sexual Misconduct, PREA and Maine
				Statutes).
6. The Chief
				Administrative Officer, or designee, of each juvenile facility shall ensure
				that this grievance policy and procedures, as well as resident grievance forms
				(Attachment A) and envelopes are readily available in each of the facility's
				housing units, the special management unit, the infirmary, and the library. A
				resident may use only this form to submit a grievance. Any attempt by a
				resident to submit a grievance by a letter or in any other way shall not be
				accepted.
7. A resident shall be
				allowed to submit a grievance form or a grievance appeal form in an envelope
				sealed by the resident and addressed to the appropriate Grievance Review
				Officer. Any attempt by a resident to submit a grievance or a grievance appeal
				to anyone other than the appropriate Grievance Review Officer shall not be
				accepted. The Chief Administrative Officer, or designee, shall provide a
				grievance mailbox or other means for residents to submit grievance forms and
				grievance appeal forms to the facility Grievance Review Officer. A resident who
				has a grievance about a matter that occurred at a Departmental juvenile
				facility that he or she was previously housed in shall be allowed to submit a
				grievance form or grievance appeal form to that facility's Grievance Review
				Officer by mailing it through the U.S. Mail. If the resident wishes to have it
				treated as privileged mail, he or she may do so by marking it as such on the
				outside of the envelope.
8. A
				resident housed at one Departmental juvenile facility who has a grievance about
				a matter that occurred at another Departmental juvenile facility shall direct
				the grievance form to the Grievance Review Officer at the facility where the
				matter occurred.
9. A resident
				housed in a jail, in another jurisdiction's facility, or a Departmental adult
				facility who has a grievance about a matter that occurred while housed at a
				Departmental juvenile facility shall request a grievance form from the
				Grievance Review Officer at the Departmental juvenile facility where the
				resident was previously housed and shall submit the grievance form to that
				facility's Grievance Review Officer. A resident housed in a jail, in another
				jurisdiction's facility, or a Departmental adult facility who has a grievance
				about any other matter shall use that facility's grievance process.
10. If a resident's grievance concerns a
				policy, procedure, practice, or condition of confinement, the grievance form
				must be filed within fifteen (15) days of when the policy, procedure, practice,
				or condition of confinement first affected the resident. If the grievance
				concerns a period of confinement calculation, the grievance form must be filed
				within fifteen (15) days of when the resident first became aware of the
				allegedly erroneous calculation. If the grievance concerns an action or
				decision that is ongoing, the grievance form must be filed within fifteen (15)
				days of when the action first occurred or the decision was first made. If the
				grievance concerns any other action, decision, or event, the grievance form
				must be filed within fifteen (15) days of when the action, decision, or event
				occurred. In any case in which a grievance implicates more than one of the
				above, the grievance form must be filed within the shortest of the above time
				limits.
11. The Chief Administrative
				Officer, or designee, shall ensure that grievance forms and grievance appeal
				forms are collected and date stamped at least once every business day. A
				grievance form or grievance appeal form is considered filed on the day it is
				collected and date stamped. The Grievance Review Officer shall grant an
				exception to the time limit for filing if and only if it the resident makes a
				clear showing that it was not possible for the resident to file the form within
				the fifteen (15) day period. The fact that a resident was seeking assistance,
				gathering information, or conducting research shall not be grounds for an
				exception to the time limit for filing a grievance form or grievance appeal
				form, unless the resident's Juvenile Program Manager confirms that it was not
				possible for the resident to file the form without assistance and that the
				Juvenile Program Manager, or designee, was unable to provide the assistance in
				a timely manner. The fact that a resident is not housed at a Departmental
				facility shall not be grounds for an exception to the time limit for filing a
				grievance or grievance appeal form.
12. The resident shall state, using one
				grievance form only, as briefly and concisely as possible, the specific nature
				of the complaint, including all the persons and dates involved. The resident
				shall provide sufficient information to show when the fifteen (15) day time
				limit began. The resident shall also state the specific remedy
				requested.
13. A resident may not
				bring up more than one subject in any one grievance. Except for photocopies of
				relevant documents (e.g., property inventory sheet, proof of purchase, health
				care report, etc.), the resident shall not submit any attachments with the
				grievance form.
14. No resident
				using the grievance process in good faith shall be subjected to retaliation in
				the form of an adverse action or a threat of an adverse action for using the
				grievance process. However, a resident may have his/her access to the grievance
				process suspended under Procedure G. and/or may be subjected to disciplinary
				action for abuse of the grievance process.
15. A resident shall be entitled to pursue,
				through the grievance process, any complaint that the resident has been
				subjected to retaliation for using the grievance process in good
				faith.
16. A resident may withdraw
				his/her grievance at any time by written notice to the Grievance Review
				Officer.
Procedure B: First Level Review of a Resident
				  Grievance
1. The Grievance
				Review Officer shall first review a grievance form to determine whether the
				subject is grievable, whether the grievance form has been filed within the
				fifteen (15) day time limit (or an exception should be granted), whether the
				complaint is a duplicate of an earlier grievance, or whether there has been an
				obvious abuse of the grievance process by the resident.
2. If the Grievance Review Officer determines
				the subject is not grievable, the grievance form has been submitted untimely,
				the complaint is a duplicate of an earlier grievance, the grievance is
				obviously frivolous in nature or there has otherwise been an obvious abuse of
				the grievance process by the resident, the Grievance Review Officer shall
				dismiss the complaint and return the original grievance form to the resident,
				along with a form noting the reason for the dismissal of the complaint
				(Attachment B). The Grievance Review Officer shall make a copy of the grievance
				form and the form noting the reason for dismissal for the file. No appeal of a
				dismissal is allowed.
3. Any attempt
				to file a grievance about a decision of the Grievance Review Officer acting as
				the Grievance Review Officer shall be treated as not grievable and dismissed.
				No appeal of a dismissal is allowed.
4. If the information provided by the
				resident on the grievance form is not sufficient for the Grievance Review
				Officer to determine whether it was filed within the required fifteen (15) day
				time limit, the Grievance Review Officer shall immediately return the original
				grievance form to the resident, along with a form noting the reason for the
				return of the complaint (Attachment B). The Grievance Review Officer shall make
				a copy of the grievance form and the form noting the reason for return for the
				file. The resident must resubmit the grievance form with the missing
				information within seven (7) days of the date it was returned to the resident,
				or within the original fifteen (15) day time limit for filing a grievance,
				whichever is later, in order to utilize the grievance process.
5. If a complaint is dismissed, but the
				Grievance Review Officer determines that the complaint requires follow up, the
				Grievance Review Officer shall forward the complaint to the Chief
				Administrative Officer, or designee, for determination, outside the grievance
				process, as to any other action required.
6. Unless the complaint is dismissed or
				returned for additional information, the Grievance Review Officer shall date
				the form with the date the grievance was date stamped, log the receipt of the
				grievance, and assign to the grievance a log number. The log number shall
				consist of the last two digits of the year, the initials for the facility, and
				the order of receipt of the grievance (e.g., the thirteenth grievance received
				by the Long Creek Youth Development Center Grievance Review Officer in the year
				2011 would be logged as 11-LC-13). That log number shall be used to identify
				the grievance throughout the entire grievance process.
7. If the grievance concerns a decision of
				the person designated as Grievance Review Officer (made by that person in a
				capacity other than Grievance Review Officer), the Grievance Review Officer
				shall immediately forward the grievance to the other staff designated as acting
				Grievance Review Officer for review and shall so advise the resident.
Procedure C: Informal Resolution Process
1. If the matter being grieved might also be
				the subject of or otherwise involve a criminal investigation or investigation
				of an allegation of abuse or neglect, the Grievance Review Officer shall
				immediately contact the Department's Assistant Attorney General for instruction
				as to how to respond to the grievance. The Grievance Review Officer shall not
				inform the resident that the subject has been referred to the Attorney
				General's Office and shall not provide any other information to the resident
				prior to receiving this instruction.
2. Unless the resident is housed in a jail,
				another jurisdiction's facility, or a Departmental adult facility, once logged,
				the Grievance Review Officer shall immediately send a copy of the grievance and
				the Informal Resolution Form (Attachment C) to an available supervisor who is
				designated on the Chief Administrative Officer's list as having jurisdiction
				over the subject and shall so advise the resident. That supervisor or another
				supervisor designated on the Chief Administrative Officer's list as having
				jurisdiction over the subject shall meet with the resident to attempt to
				resolve the grievance informally, if possible. Any informal resolution requires
				the agreement of the supervisor and resident and must be consistent with
				Departmental policies, procedures, and practices.
3. If the grievance is resolved, the
				supervisor who met with the resident shall date and sign the form, note on the
				form what the resolution is, including the implementation date, have the
				resident sign the form acknowledging the resolution of the grievance, and
				return the grievance form and the informal resolution form to the Grievance
				Review Officer within seven (7) days of being sent the grievance, with copies
				to the resident.
4. If the grievance
				is not resolved, the supervisor who met with the resident shall date and sign
				the form, list on the form the actions taken in the attempt to resolve the
				complaint, have the resident sign the form acknowledging the lack of resolution
				of the grievance, and return the grievance form and the informal resolution
				form to the Grievance Review Officer within seven (7) days of being sent the
				grievance, with copies to the resident.
5. No supervisor may refuse to comply with
				any requirement of this procedure, for any reason.
6. If an informal resolution is reached, the
				Grievance Review Officer shall document the resolution in the grievance log and
				close out the grievance.
7. If the
				informal resolution is not implemented by the specified date, the resident may
				file another grievance within fifteen (15) days of the date specified in the
				informal resolution. This grievance shall be handled through the formal
				grievance process, with no further attempt at an informal resolution.
8. If an informal resolution is not reached,
				the Grievance Review Officer shall proceed with the formal grievance
				process.
9. If the resident is
				housed in a jail, another jurisdiction's facility, or a Departmental adult
				facility, the Grievance Review Officer shall not initiate the informal
				resolution process but immediately proceed with the formal grievance process.
Procedure D: Formal Grievance Process
1. The formal grievance process shall begin
				with an investigation by the Grievance Review Officer. This may include, but is
				not limited to, conducting interviews with the resident, staff, or others,
				requesting copies of documents, requesting oral or written reports from staff,
				reviewing policies and procedures, etc. All staff shall cooperate fully with
				the requests of the Grievance Review Officer.
2. The Grievance Review Officer shall respond
				to the grievance, in writing, no later than thirty (30) days following receipt
				of the grievance form from the resident, indicating any action taken to resolve
				the resident's grievance or the reasons for the denial of the grievance
				(Attachment D). The Grievance Review Officer shall include a grievance appeal
				form (Attachment F) with the response.
3. If the only remedy for the grievance
				requires action by the Chief Administrative Officer, the Grievance Review
				Officer shall forward the grievance, together with any investigative reports
				and other documentation, to the Chief Administrative Officer for review and
				shall so advise the resident.
4. If
				the only remedy for the grievance requires action by the Commissioner (e.g.,
				changing a Departmental policy or procedure), the Grievance Review Officer
				shall forward the grievance to the Commissioner for review and shall so advise
				the resident.
5. If a response
				cannot be made within the thirty (30) days, the Grievance Review Officer shall
				so advise the resident and shall indicate when the response will be made, which
				must not be later than an additional ten (10) days.
Procedure E: Second Level Review of a Resident's
				  Grievance
1. If, after receipt
				of the response from the Grievance Review Officer, the resident wishes to
				appeal, the appeal must be filed with the Grievance Review Officer, using the
				grievance appeal form, within fifteen (15) days of the date of the response
				(the date the Grievance Review Officer signs the response and sends it to the
				resident). The resident shall include on the appeal form the log number
				assigned to the grievance by the Grievance Review Officer. If the resident does
				not appeal within the fifteen (15) day time period, the Grievance Review
				Officer shall close the case. A resident may use only this form to submit an
				appeal. Any attempt by a resident to submit an appeal via letter or in any
				other way shall not be accepted.
2.
				The resident shall state, using one grievance appeal form only, the reasons for
				the appeal. The resident shall not raise an argument on appeal that was not
				raised in the original grievance or the response to the original grievance.
				Except for photocopies of relevant documents (e.g., property inventory sheet,
				proof of purchase, health care report, etc.), the resident shall not submit any
				attachments with the grievance form.
3. The Grievance Review Officer shall first
				review a grievance appeal form to determine whether the grievance appeal form
				has been filed within the fifteen (15) day time limit (or an exception should
				be granted). If the Grievance Review Officer determines the grievance appeal
				form has been submitted untimely, the Grievance Review Officer shall dismiss
				the appeal and return the grievance appeal form to the resident, along with a
				form noting the reason for the dismissal of the appeal (Attachment B). The
				Grievance Review Officer shall make a copy of the grievance appeal form and the
				form noting the reason for dismissal for the file. No appeal of a dismissal is
				allowed.
4. Unless the appeal is
				dismissed, the Grievance Review Officer shall log the receipt of the appeal and
				forward the grievance appeal form, together with all prior correspondence and
				documentation, to the Chief Administrative Officer.
5. The Chief Administrative Officer, or
				designee, shall review all prior correspondence and documentation and may
				require additional investigation before making a written response to the
				resident.
6. The Chief
				Administrative Officer, or designee, shall respond to the grievance, in
				writing, within twenty-five (25) days of filing of the appeal, indicating any
				action taken to resolve the resident's grievance or the reasons for the denial
				of the appeal (Attachment E). The Chief Administrative Officer, or designee,
				shall include a grievance appeal form with the response.
7. If the only remedy for the grievance
				requires action by the Commissioner (e.g., changing a Departmental policy or
				procedure), the Chief Administrative Officer, or designee, shall require the
				Grievance Review Officer to forward the appeal, together with all prior
				correspondence and documentation, to the Commissioner for review and shall so
				advise the resident.
Procedure F: Third Level Review of a Resident's
				  Grievance
1. If, after receipt
				of the response from the Chief Administrative Officer, the resident wishes to
				appeal, the appeal must be filed with the Grievance Review Officer, using the
				grievance appeal form, within fifteen (15) days of the date of the response
				(the date the Chief Administrative Officer signs the response and sends it to
				the resident). The resident shall include on the appeal form the log number
				assigned by the Grievance Review Officer to the grievance. If the resident does
				not appeal within the fifteen (15) day time period, the Grievance Review
				Officer shall close the case. A resident may use only this form to submit an
				appeal. Any attempt by a resident to submit an appeal via letter or in any
				other way shall not be accepted.
2.
				The resident shall state, using one grievance appeal form only, the reasons for
				the appeal. The resident shall not raise an argument on appeal that was not
				raised in the original grievance or the response to the original grievance.
				Except for photocopies of relevant documents (e.g., property inventory sheet,
				proof of purchase, health care report, etc.), the resident shall not submit any
				attachments with the grievance form.
3. The Grievance Review Officer shall first
				review a grievance appeal form to determine whether the grievance appeal form
				has been filed within the fifteen (15) day time limit (or an exception should
				be granted). If the Grievance Review Officer determines the grievance appeal
				form has been submitted untimely, the Grievance Review Officer shall dismiss
				the appeal and return the grievance appeal form to the resident, along with a
				form noting the reason for the dismissal of the appeal (Attachment B). The
				Grievance Review Officer shall make a copy of the grievance appeal form and the
				form noting the reason for dismissal for the file. No appeal of a dismissal is
				allowed.
4. Unless the appeal is
				dismissed, the Grievance Review Officer shall log the receipt of the appeal and
				forward the grievance appeal form, together with all prior correspondence and
				documentation, to the Commissioner. The resident shall not raise an argument on
				appeal that was not raised in the original grievance, the response to the
				original grievance, or the response to the appeal to the Chief Administrative
				Officer.
5. The Commissioner, or
				designee, shall review all prior correspondence and documentation and may
				require additional investigation before making a written response to the
				resident, which must be done within twenty (20) days of filing the appeal. A
				copy of the response shall be forwarded to the Grievance Review Officer and the
				Chief Administrative Officer.
6.
				This level is the final administrative level of appeal.
Procedure G: Abuse of the Grievance
				  Process
1. If the Commissioner,
				or designee, or the Chief Administrative Officer determines that a resident has
				abused the grievance process by filing a frivolous grievance (a grievance is
				not frivolous if it is a complaint about a violation of law, a violation of
				policy or procedures, a risk to health or safety, or an ongoing or frequent
				deviation from a normal practice or condition of confinement), by filing
				multiple grievances on the same subject, or by otherwise creating an
				administrative burden, or by knowingly making a false statement in a grievance,
				the Commissioner, or designee, or the Chief Administrative Officer, may suspend
				the resident's access to the grievance process for up to a ninety (90) day
				period. If the Commissioner, or designee, or the Chief Administrative Officer
				suspends a resident's access to the grievance process, the Commissioner, or
				designee, or the Chief Administrative Officer shall notify the resident in
				writing (Attachment G). If the Chief Administrative Officer suspends a
				resident's access to the grievance process, the Chief Administrative Officer
				shall ensure that the Commissioner or designee is notified of this decision at
				least one (1) week prior to notifying the resident. If the Commissioner, or
				designee, does not agree with the Chief Administrative Officer's decision, he
				or she shall notify the Chief Administrative Officer prior to the expiration of
				the one (1) week time period.
2. A
				resident who has been suspended from access to the grievance process may not
				file a grievance during the period of suspension unless it concerns a violation
				of a constitutional right.
Procedure H: Grievance Records
1. Records regarding the filing and
				disposition of individual grievances shall be collected and maintained
				systematically within each juvenile facility and shall be handled in the same
				manner as other resident records.
2.
				Each juvenile facility shall send quarterly reports to the Commissioner
				concerning the operation of the grievance process. These reports shall include
				the numbers and types of grievances logged, the numbers of grievance appeals
				logged, the response times to each, and the highest level response and the
				nature of the resolution in each case.