Sec. 12.02.28.12. Formal Resolution of an Inmate Complaint — Investigation

A. If a Request form is not procedurally dismissed under this chapter, a facility ARC:

(1) On the date the Request form is indexed, shall:

(a) Complete and send the receipt portion of the Request form to the inmate; and

(b) Review the request to determine the nature of the Request form in order to assign the investigation to the unit liaison familiar with the area or subject matter that is the basis of the Request form.

(2) May not assign the request for investigation to an employee if that assignment is to an employee who is the subject of the complaint.

B. If a Request form is received at the inmate’s current facility, but the complaint is based on an incident occurring at the inmate’s previous facility, the managing official, or facility ARC at the inmate’s:

(1) Current facility shall:

(a) Index the Request form at the current facility;

(b) Forward the Request form to the managing official of the facility where the incident occurred; and

(c) Maintain a copy of the Request form at the inmate’s current facility.

(2) Previous facility shall:

(a) Respond to the Request form as though the Request form was originally received at that facility;

(b) Complete all requirements of the ARP as established under this chapter;

(c) Forward a copy of the resulting ARP documentation to the current facility for:

(i) Notification to the inmate;

(ii) Updating the index; and

(iii) Filing in the current facility’s ARP file; and

(d) Maintain the original documentation in the current facility’s ARP files.

C. A unit liaison assigned to conduct an investigation of a Request form under this chapter is responsible for ensuring that the investigation is completed and may:

(1) Personally conduct the assigned investigation; or

(2) Reassign the investigation to another employee in the unit.

D. An investigation of a Request form shall, absent good cause for not conducting an interview include an interview with:

(1) The inmate filing the Request form;

(2) A relevant witness named by the inmate; and

(3) A relevant employee, including a health care provider, involved in or able to provide relevant information related to the complaint and who, unless good cause exists, shall submit a written report of the information provided to the assigned investigator.

E. If interviewing an inmate or multiple inmates involved in the complaint would pose a threat to safety or security at the facility, the interviews may not be required and the justification for not conducting the interview shall be included in the Administrative Remedy Procedure Case Summary form.

F. At the North Branch Correctional Institution, interviews of relevant inmates may be conducted using the facility intercom system to accommodate security requirements; however, personal interviews shall be conducted, absent good cause, if the intercom system is inoperable at the time of the interviews or if privacy concerns prevent use of the system.

G. An investigation of a Request form shall:

(1) In addition to interviews under §D of this regulation, include a:

(a) Review of records, reports, policy and procedures, and other documents relevant to the inmate complaint;

(b) Finding of facts that chronologically identifies the events related to the inmate complaint; and

(c) Recommendation and written justification determining the inmate complaint is considered:

(i) Meritorious;

(ii) Meritorious in part; or

(iii) Dismissed;

(2) Be completed within the period determined by the facility ARC;

(3) Documented using an Administrative Remedy Procedure Case Summary form that:

(a) Includes:

(i) Information obtained from interviews and, if applicable, justification for not conducting a required interview;

(ii) Information obtained by reviewing documents;

(iii) Findings of fact; and

(iv) A recommendation and justification for the recommendation as to the disposition of the case; and

(b) Is submitted to the managing official or facility ARC assigning the case for investigation within the time frame established by the managing official or facility ARC.

H. A managing official or facility ARC receiving a report and related documents under §G of this regulation shall review the report and related documents to ensure that the investigative actions and related documentation meet requirements of this chapter, and:

(1) If the managing official’s or facility ARC’s review determines that the Administrative Remedy Procedure Case Summary is deficient or incomplete shall:

(a) Return the documents to the investigator responsible for the investigation;

(b) Provide instruction as to correcting the identified deficiencies; and

(c) Establish a date for the investigator to return the documents with deficiencies resolved; or

(2) If the managing official’s or facility ARC’s review determines the report and related documents are sufficient, shall prepare a response using the Administrative Remedy Request form, for the managing official’s signature or the Commissioner’s signature to the inmate submitting the Request form that is based on:

(a) The case summary;

(b) Attached documentation and reports; and

(c) The investigator’s recommendation;

(3) The response required under §H(2) of this regulation shall:

(a) Be provided to the inmate within 30 calendar days of the date the inmate filed a formal complaint using the ARP, unless an extension is authorized under §K of this regulation;

(b) In the first sentence of the response appropriately state that the complaint is:

(i) Meritorious;

(ii) Meritorious in part; or

(iii) Dismissed;

(c) Address each element and allegation of the complaint;

(d) Be easy to understand;

(e) Clearly state the facts upon which the decision is based;

(f) Provide an explanation of any remedy resulting from the findings;

(g) Notify the inmate that the decision may be appealed to the Commissioner; and

(h) Be forwarded to the managing official for review.

I. A managing official receiving documents under §H(3)(g) of this regulation shall review the information and if the action related to resolving the inmate complaint is determined:

(1) Unsatisfactory, return the documents to the ARC with instructions directing additional action or information and resubmittal for review; or

(2) Satisfactory, sign and date the appropriate documents and return all documents to the ARC.

J. An ARC receiving:

(1) An unsatisfactory finding under §I(1) of this regulation shall ensure steps are taken to address any deficiencies and return the document so that notification to the inmate filing the request is made within the established time frame; or

(2) A satisfactory finding under §I(2) of this regulation shall, within the established time frame, distribute:

(a) The original and one copy of the completed Request form to the inmate filing the Request form; and

(b) A copy of the Request form signed by the inmate and originals of related documents to the ARP file.

K. Extension of 30 Calendar Day Processing Requirement.

(1) If apparent that conditions beyond the correctional facility’s control exist, making 30 calendar days insufficient to complete processing a Request form, the managing official is permitted one extension of 15 days.

(2) If the managing official, or a designee, extends the time for responding to a Request form, the ARC, before expiration of the original 30 calendar day period, shall:

(a) Complete an Administrative Remedy Process Extension form;

(b) Forward the completed Administrative Remedy Process Extension form to the inmate filing the Request form whose approval of the extension is not required.

(3) The ARC shall include the Administrative Remedy Process Extension form in the documents related to the Request form.

L. An inmate may appeal a decision made under this regulation in accordance with provisions under Regulation .14 of this chapter.