Code of Maine Rules › 03 - DEPARTMENT OF CORRECTIONS › 201 - DEPARTMENT OF CORRECTIONS/GENERAL › Chapter 12 - POLICY AND PROCEDURES MANUAL - JUVENILE › Subsection 201-12-29.02 - Client Grievance Rights: Prisoner Grievance Process, Medical and Mental Health Care

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, concerning medical and mental health care. It is anticipated that
				  prior to filing a lawsuit, a resident will attempt to resolve his or her
				  complaint by using the grievance process.
IV.
CONTENTS
Procedure A: Resident Health Care 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 Health Care Grievance Process,
				  General
1. The Grievance Review
				Officer designated to review grievances under Policy 29.1, Grievance Process,
				General, shall also serve as the Grievance Review Officer for health care
				issues. The staff person designated to be acting Grievance Review Officer under
				Policy 29.1 shall have that same function under this policy.
2. Prior to using the grievance process, a
				request for medical or mental health care must first be made by the resident
				using the established facility health care procedures (e.g., by submitting a
				sick call slip, submitting a request for mental health services, or presenting
				a problem during a chronic care clinic).
3. The facility's Health Services
				Administrator (HSA) shall be responsible to attempt, or designate staff to
				attempt, informal resolutions with residents for medical and mental health
				complaints.
4. 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 health care grievance process and how to obtain assistance with
				the process shall also be explained.
5. 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.
6.
				A resident of a juvenile facility may file a grievance with the Grievance
				Review Officer to request administrative review of any policy, procedure,
				practice, action, decision, or event that directly affects the medical or
				mental health care received by the resident, that he/she believes is not
				responsive to his/her medical or mental health needs, is in violation of
				his/her rights or is in violation of Departmental policies and procedures, and
				for which he/she believes a Departmental health care employee or contractor is
				responsible.
7. The Chief
				Administrative Officer, or designee, 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.
8. 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 Grievance Review Officer. Any attempt by a resident to
				submit a grievance or a grievance appeal to anyone other than the 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 concerning
				medical or mental health care 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.
9. A resident housed
				at one Departmental juvenile facility who has a grievance about a matter
				concerning medical or mental health care that occurred at another Departmental
				juvenile facility shall direct the grievance form to the Grievance Review
				Officer at the facility where the matter occurred.
10. A resident housed in a jail, in another
				jurisdiction's facility, or a Departmental adult facility who has a grievance
				about a matter concerning medical or mental health care 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.
11. If a resident's grievance concerns a
				policy, procedure, or practice concerning medical or mental health care, the
				grievance form must be filed within fifteen (15) days of when the policy,
				procedure, or practice first affected the resident. If the grievance concerns
				an action, decision, or event concerning medical or mental health care that is
				ongoing, the grievance form must be filed within fifteen (15) days of when the
				action or event first occurred or the decision was first made. If the grievance
				concerns any other action, decision, or event concerning medical or mental
				health care, 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.
12. 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.
13. The resident shall state,
				using one grievance form only, as briefly and concisely as possible, the
				specific nature of the medical or mental health 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.
14. A resident may not bring up more than one
				medical or mental health subject in any one grievance. Except for photocopies
				of relevant documents (e.g., health care report, etc.), the resident shall not
				submit any attachments with the grievance form.
15. 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.
16. 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.
17.
				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.
Procedure C: Informal Resolution Process
1. 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 the facility Health Services
				Administrator and shall so advise the resident. The Health Services
				Administrator shall meet with the resident to attempt to resolve the grievance
				informally, if possible. Any informal resolution requires the agreement of the
				Health Services Administrator and resident and must be consistent with
				Departmental policies, procedures, and practices.
2. If the grievance is resolved, the Health
				Services Administrator 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.
3. If the grievance is not
				resolved, the Health Services Administrator 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.
4. No Health
				Services Administrator may refuse to comply with any requirement of this
				procedure, for any reason.
5. If an
				informal resolution is reached, the Grievance Review Officer shall document the
				resolution in the grievance log and close out the grievance.
6. 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.
7. If an informal resolution is not reached,
				the Grievance Review Officer shall proceed with the formal grievance
				process.
8. 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., 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 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. Except for photocopies of
				relevant documents (e.g., 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.
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.