Section R9-21-405. Preliminary Disposition

A.       The agency director or any other official before whom a griev- ance or request for investigation has been initiated shall imme- diately take whatever action may be reasonable to protect the health, safety and security of any client, witness, individual fil- ing the grievance or request for investigation, or individual on whose behalf the grievance or request for investigation is filed.

B.       Summary disposition.

1.        The agency director or deputy director of the Division may summarily dispose of any grievance or a request for an investigation where the alleged rights violation or con- dition occurred more than one year immediately prior to the date on which the grievance or request is made.

2.        An agency director or deputy director of the Division who receives a grievance or request which is primarily directed to the level or type of mental health treatment provided to a client, which can be fairly and efficiently addressed within the procedures set forth in Article 3 and in R9-21-401, and which do not directly or indirectly involve any rights set forth in A.R.S. Title 36 or Article 2, may refer the grievance for resolution through the Indi- vidual Service Plan process or the appeal process in R9- 21-401.

C.       Disposition without investigation.

1.        Within seven days of receipt of a grievance or request for an investigation, an agency director or deputy director of the Division may promptly resolve a grievance or request without conducting a full investigation, where the matter:

a.        Involves no dispute as to the facts;

b.        Is patently frivolous; or

c.        Is resolved fairly and efficiently within seven days without a formal investigation.

2.        Within seven days of receipt of the grievance or request described in subsection (C)(1), the agency director or deputy director of the Division shall prepare a written, dated decision.

a.        The decision shall explain the essential facts, why the agency director or deputy director believes that the matter is appropriately resolved without the appointment of an investigator, and the resolution of the matter.

b.        The agency director or deputy director of the Divi- sion shall send copies of the decision to the parties, together with a notice of appeal rights according to

A.R.S. § 41-1092.03, and to anyone else having a direct interest in the matter.

3.        After the expiration of the appeal period without appeal by any party, or after the exhaustion of all appeals and subject to the final decision on the appeal, the agency director or deputy director shall promptly take appropri- ate action and prepare and add to the case record a writ- ten, dated report of the action taken to resolve the grievance or request.

D.       Matters requiring investigation.

1.        If the matter complained of cannot be resolved without a formal investigation according to the criteria set forth in subsection (C)(1), within seven days of receipt of the grievance or request the agency director or deputy direc- tor shall prepare a written, dated appointment of an impartial investigator who, in the judgment of the agency director or deputy director, is capable of proceeding with the investigation in an objective manner but who shall not be:

a.        Any of the persons directly involved in the rights violation or condition requiring investigation; or

b.        A staff person who works in the same administrative unit as, except a person with direct line authority over, any person alleged to have been involved in the rights violation or condition requiring investiga- tion.

2.        Immediately upon the appointment of an investigator, the agency director or deputy director shall notify the person filing the grievance or request for investigation in writing of the appointment. The notice shall contain the name of the investigator, the procedure by which the investigation will be conducted and the method by which the person may obtain assistance or representation.

E.       If a client is a client who needs special assistance, the agency director or deputy director shall immediately send a copy of the grievance or request to the Office of Human Rights and the human rights committee with jurisdiction over the agency and shall send a copy of all decisions required by this Chapter made by the agency director or the deputy director regarding the grievance or request to the Office of Human Rights and the human rights committee with jurisdiction over the agency.

Historical Note

Adopted under an exemption from A.R.S. Title 41, Chap- ter 6 pursuant to Laws 1992, Ch. 301, § 61, effective October 7, 1992; received in the Office of the Secretary of State October 14, 1992 (Supp. 92-4). Amended under an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 301, § 61, effective September 30, 1993 (Supp. 93-3). Former Section R9-21-405 renumbered to R9-21-406; new Section R9-21-405 renumbered from R9-21-404 and amended by exempt rulemaking at 9

A.A.R. 3296, effective June 30, 2003 (Supp. 03-2).