Code of Maine Rules › 03 - DEPARTMENT OF CORRECTIONS › 201 - DEPARTMENT OF CORRECTIONS/GENERAL › Chapter 13 - Community Corrections › Subsection 201-13-29.01 - Client Grievance Rights: Community Corrections Client 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
Adult and Juvenile Community Corrections
III.
POLICY
The purpose of this policy is to establish a grievance
				  process for reviewing and resolving complaints of community corrections
				  clients, other than complaints concerning matters for which there is a criminal
				  or juvenile criminal court review process. It is anticipated that prior to
				  filing a lawsuit, a community corrections client of the Department of
				  Corrections will attempt to resolve his or her complaint by using the grievance
				  process. The grievance procedure is evaluated at least annually to determine
				  its efficiency and effectiveness.
IV.
CONTENTS
Procedure A: Grievance Process, General Procedure B: First
				  Level Review of a Client Grievance
Procedure C: Second Level Review of a Client
				  Grievance
Procedure D: Third Level Review of a Client Grievance
Procedure E: Abuse of the Grievance Process
Procedure F: Grievance Records
V.
ATTACHMENTS
Attachment A: Community Corrections Client Grievance
				  Form
Attachment B: Notification of Dismissal and/or Return
Attachment C: Response to Grievance - Level I
Attachment D: Response to Grievance - Level II
Attachment E: Community Corrections Client's Appeal of
				  Grievance Response - Levels I and II
Attachment F: Notification of Suspension of Access to the
				  Grievance Process
VI.
PROCEDURES
Procedure A: Grievance Process, General
1. The Regional Correctional Administrator of
				each adult or juvenile community corrections region shall designate a Grievance
				Review Officer and another staff person to be acting Grievance Review Officer
				in his/her absence.
2. During the
				orientation process for each community corrections client, the client shall be
				informed that a copy of this policy and procedures and client grievance forms
				are readily available in each community corrections office. The grievance
				process and how to obtain assistance with the process shall also be
				explained.
3. It is the
				responsibility of the Grievance Review Officer to provide assistance to a
				client who needs assistance with the grievance process in a timely manner,
				including, but not limited to, as appropriate, a sign language interpreter,
				foreign language interpreter, reasonable accommodation for a client with a
				physical or mental disability, and assistance to an illiterate client. A client
				may also be assisted in the grievance process by another staff member on a
				voluntary basis or by any other person with whom the client is permitted to
				have contact, provided that in all cases the grievance form and any grievance
				appeal forms are filed by the client.
4. A client may file a grievance with the
				appropriate Grievance Review Officer to request administrative review of any
				policy, procedure, practice, action, decision, or event that directly affects
				the client, that the client believes is in violation of his/her rights or is in
				violation of Departmental policies and procedures, and for which the client
				believes a Departmental employee or contractor is responsible. A client may not
				file a grievance regarding a decision or action by an adult or juvenile
				community corrections officer that is reviewable in criminal or juvenile court
				(e.g., detention decision, motion for probation revocation, etc.) unless the
				matter was withdrawn or dismissed prior to an opportunity for court
				review.
5. The Regional
				Correctional Administrator, or designee, of each adult or juvenile community
				corrections region shall ensure that client grievance forms (Attachment A) are
				readily available to all clients. A client may use only this form to submit a
				grievance. Any attempt by a client to submit a grievance by a letter or in any
				other way shall not be accepted.
6.
				A client shall be allowed to submit a grievance form or a grievance appeal form
				in an envelope sealed by the client and addressed to the appropriate Grievance
				Review Officer. Any attempt by a client to submit a grievance or a grievance
				appeal to anyone other than the appropriate Grievance Review Officer shall not
				be accepted.
7. A client who is
				housed at a Departmental facility who has a grievance about a community
				corrections matter shall obtain a grievance form from the facility and direct
				the grievance form to the Grievance Review Officer for the region where the
				matter occurred.
8. A client housed
				in a jail who has a grievance about a community corrections matter shall
				request a grievance form from the Grievance Review Officer for the region where
				the matter occurred and shall submit the grievance form to that Grievance
				Review Officer.
9. If a client's
				grievance concerns a policy, procedure, or practice, the grievance form must be
				filed within fifteen (15) days of when the policy, procedure, or practice first
				affected the client. 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. If the grievance is
				regarding a decision or action by an adult or juvenile community corrections
				officer that is reviewable in criminal or juvenile court (e.g., detention
				decision, motion for probation revocation, etc.) and the matter was withdrawn
				or dismissed prior to an opportunity for court review, the grievance form must
				be filed within fifteen (15) days of when the matter was withdrawn or
				dismissed.
10. The Regional
				Correctional Administrator, 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 client
				makes a clear showing that it was not possible for the client to file the form
				within the fifteen (15) day period. The fact that a client 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 Grievance Review Officer confirms that it was not
				possible for the client to file the form without assistance and that the
				Grievance Review Officer was unable to provide the assistance in a timely
				manner. The fact that a client is housed in a jail shall not be grounds for an
				exception to the time limit for filing a grievance form or grievance appeal
				form.
11. The client 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 client shall provide sufficient information to show when the fifteen (15)
				day time limit began. The client shall also state the specific remedy
				requested.
12. A client may not
				bring up more than one subject in any one grievance. Except for photocopies of
				relevant documents (e.g., health care report, etc.), the client shall not
				submit any attachments with the grievance form.
13. No client 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
				client may have his/her access to the grievance process suspended under
				Procedure E. for abuse of the grievance process.
14. A client shall be entitled to pursue,
				through the grievance process, any complaint that the client has been subjected
				to retaliation for using the grievance process in good faith.
15. A client may withdraw his/her grievance
				at any time by written notice to the Grievance Review Officer.
Procedure B: First Level Review of a Client
				  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 client.
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 client, the Grievance Review Officer shall dismiss
				the complaint and return the original grievance form to the client, along with
				a form noting the reason for the dismissal of the complaint (Attachment B).
				When a grievance is dismissed, 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 client 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 client, 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 client must resubmit the grievance form with the
				missing information within the original fifteen (15) day time limit for filing
				a grievance 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 Regional
				Correctional Administrator, 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 region, and
				the order of receipt of the grievance (e.g., the thirteenth grievance received
				by the Adult Community Corrections Region 1 Grievance Review Officer in the
				year 2011 would be logged as 11-ACC 1-13). 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 client.
8. Once logged, the Grievance Review Officer
				shall investigate the grievance. This may include, but is not limited to,
				conducting interviews with the client, 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.
9. The
				Grievance Review Officer shall respond to the grievance, in writing, no later
				than thirty (30) days following receipt of the grievance form, indicating any
				action taken to resolve the client's grievance or the reasons for the denial of
				the grievance (Attachment C). The Grievance Review Officer shall include a
				grievance appeal form (Attachment E) with the response.
10. If the only remedy for the grievance
				requires action by the Regional Correctional Administrator, the Grievance
				Review Officer shall forward the grievance, together with any investigative
				reports and other documentation, to the Regional Correctional Administrator for
				review and shall so advise the client.
11. 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 client.
12. If a response cannot be made within the
				thirty (30) days, the Grievance Review Officer shall so advise the client and
				shall indicate when the response will be made, which must not be later than an
				additional ten (10) days.
13. If the
				matter being grieved might also be the subject of or otherwise involve a
				criminal investigation, 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
				client that the subject has been referred to the Attorney General's Office and
				shall not provide any other information to the client prior to receiving this
				instruction.
Procedure C: Second Level Review of a Client's
				  Grievance
1. If, after receipt
				of the response from the Grievance Review Officer, the client 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 client). The
				client shall include on the appeal form the log number assigned to the
				grievance by the Grievance Review Officer. If the client does not appeal within
				the fifteen (15) day time period, the Grievance Review Officer shall close the
				case. A client may use only this form to submit an appeal. Any attempt by a
				client to submit an appeal via letter or in any other way shall not be
				accepted.
2. The client shall state,
				using one grievance appeal form only, the reasons for the appeal. The client
				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., counselor report, etc.), the client 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 client, 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 Regional Correctional Administrator.
5. The Regional Correctional Administrator,
				or designee, shall review all prior correspondence and documentation and may
				require additional investigation before making a written response to the
				client.
6. The Regional Correctional
				Administrator, or designee, shall respond to the grievance, in writing, no
				later than twenty-five (25) days of filing of the appeal, indicating any action
				taken to resolve the client's grievance or the reasons for the denial of the
				appeal (Attachment D). The Regional Correctional Administrator, 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 Regional Correctional Administrator, 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 client.
Procedure D: Third Level Review of a Client's
				  Grievance
1. If, after receipt
				of the response from the Regional Correctional Administrator, the client 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 Regional Correctional Administrator signs the response and sends
				it to the client). The client shall include on the appeal form the log number
				assigned by the Grievance Review Officer to the grievance. If the client does
				not appeal within the fifteen (15) day time period, the Grievance Review
				Officer shall close the case. A client may use only this form to submit an
				appeal. Any attempt by a client to submit an appeal via letter or in any other
				way shall not be accepted.
2. The
				client shall state, using one grievance appeal form only, the reasons for the
				appeal. The client 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., counselor report, etc.), the client
				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 client, 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 client 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 Regional Correctional
				Administrator.
5. The Commissioner,
				or designee, shall review all prior correspondence and documentation and may
				require additional investigation before making a written response to the
				client, 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
				Regional Correctional Administrator.
6. This level is the final administrative
				level of appeal.
Procedure E: Abuse of the Grievance
				  Process
1. If the Commissioner,
				or designee, or the Regional Correctional Administrator determines that a
				client 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), 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 Regional Correctional Administrator, may suspend the client's
				access to the grievance process for up to a ninety (90) day period. If the
				Commissioner, or designee, or the Regional Correctional Administrator suspends
				a client's access to the grievance process, the Commissioner, or designee, or
				the Regional Correctional Administrator shall notify the client in writing
				(Attachment F). If the Regional Correctional Administrator suspends a client's
				access to the grievance process, the Regional Correctional Administrator shall
				ensure that the Commissioner, or designee, is notified of this decision at
				least one (1) week prior to notifying the client. If the Commissioner, or
				designee, does not agree with the Regional Correctional Administrator's
				decision, he or she shall notify the Regional Correctional Administrator prior
				to the expiration of the one (1) week time period.
2. If a client who has had his or her access
				to the grievance process suspended three (3) or more times continues to abuse
				the grievance process, the Commissioner may impose an indefinite
				suspension.
3. A client 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.
4. A client who has received
				an indefinite suspension may apply to the Commissioner for reinstatement of
				access to the grievance process no earlier than one (1) year after the
				suspension was imposed and no more frequently than annually thereafter. The
				decision whether to reinstate access to the grievance process is at the sole
				discretion of the Commissioner.
Procedure F: Grievance Records
1. Records regarding the filing and
				disposition of individual grievances shall be collected and maintained
				systematically within each adult or juvenile community corrections region and
				shall be handled in the same manner as other client records.
2. Each adult or juvenile community
				corrections region 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.