Section R9-21-409. Notice and Records

A.       Notice to clients. All clients shall be informed of their right to file a grievance or request for investigation under these rules.

1.        Notice of this grievance and investigation process shall be included in the information posted or otherwise pro- vided to every current and new client and employee. Spe- cial efforts shall be made to inform  current and new residents of mental health facilities of this process and of the right to file a grievance or request for investigation;

2.        A copy of a brief memorandum explaining these rules shall be given to every current and new resident of a inpa- tient facility;

3.        Such memorandum and blank copies of the forms for fil- ing a grievance, request for investigation, and appeal shall be posted in a prominent place in plain sight on every unit of an inpatient facility or in a program operated by a service provider; and

4.        Such memoranda, forms and copies of these rules shall be available at each inpatient facility, regional authority and service provider upon request by any person at any time.

B.       Notice and oversight by the Office of Human Rights and human rights committees.

1.        Upon receipt of any grievance or request for investigation involving a client, including a client who is in need of special assistance, the agency director or deputy director of the Division shall immediately forward a copy of such grievance or request to the Office of Human Rights and the appropriate regional human rights committee.

2.        Upon receipt of such a grievance from the agency direc- tor or the deputy director of the Division, at the request of a client, or on its own initiative, the Office of Human Rights and/or the appropriate human rights committee shall assist a client in filing a grievance or request, if nec- essary. The Office and/or committee shall use its best efforts to see that such client is represented by an attor- ney, human rights advocate, committee member, or other person to protect the individual’s interests and present information on the client’s behalf. The Office and/or committee shall maintain a list of attorneys and other rep- resentatives, including the state protection and advocacy system, available to assist clients.

3.        Whenever the human rights committee has reason to believe that a rights violation involving abuse or a dan-

gerous condition requiring investigation, including a cli- ent death, has occurred or currently exists, or that any rights violation or condition requiring investigation occurred or exists which involves a client who is in need of special assistance, it may, upon written notice to the official before whom the matter is pending, become a party to the grievance or request. As a party it shall receive copies of all reports, plans, appeals, notices and other significant documents relevant to the resolution of the grievance or request and be able to appeal any finding or decision.

4.        The Office of Human Rights shall assist clients in resolv- ing grievances according to R9-21-104.

C.       Notification of other persons.

1.        Whenever any rule, regulation, statute, or other law requires notification of a law enforcement officer, public official, medical examiner, or other person that an inci- dent involving the death, abuse, neglect, or threat to a cli- ent has occurred, or that there exists a dangerous condition or event, such notice shall be given as required by law.

2.        An agency director shall immediately notify the deputy director of the Division when:

a.        A client brings criminal charges against an employee;

b.        An employee brings criminal charges against a cli- ent;

c.        An employee or client is indicted or convicted because of any action required to be investigated by this Article; or

d.        A client of an inpatient facility, mental health agency, or service provider dies. The agency director shall report such  death according  to the  Depart- ment’s policy on the reporting and investigation of deaths.

e.        A client of an inpatient facility, agency, or service provider allegedly is physically or sexually abused.

3.        The investigation by the Department provided for by this Article is independent of any investigation conducted by police, the county attorney, or other authority.

D.       Case records.

1.        A file, known as the case record, shall be kept for each grievance or request for investigation which is received by the Division including ASH, regional authority or ser- vice provider under contract or subcontract with the Department. The record shall include the grievance or request, the docket number assigned by the Department, the names of all persons interviewed and the dates of those interviews, either a taped or written summary of those interviews,  a summary of documents reviewed, copies of memoranda generated by the investigation, the investigator’s report, the agency director’s decision, and all documents relating to any appeal.

2.        The investigator shall maintain possession of the case record until the investigation report is submitted. There- after, the agency director shall maintain control over the case record, except when the matter is on appeal. During any appeal, the record will be in the custody of the offi- cial hearing or deciding the appeal.

E.       Public logs.

1.        The Department shall maintain a public log of all deaths and non-frivolous grievances or requests for investigation for all inpatient facilities, agencies, and service providers which it operates, funds, or supervises. The agency direc- tor of each facility or mental health agency shall forward

to the Department all information necessary for the accu- rate and timely maintenance of the public log.

2.        The public log shall not include personal identities but shall be a public record, available for inspection and copying by any person.

3.        With respect to each grievance or request for investiga- tion, the Department’s public log shall contain:

a.        A docket number, consisting of a symbol for the agency, the last two digits of the year and a serial number assigned by the Department;

b.        A substantive but concise description of the griev- ance or request for investigation;

c.        The date of the filing of grievance;

d.        The date of the initial decision or appointment of investigator;

e.        The date of the filing of the investigator’s final report;

f.         A substantive but concise description of the investi- gator’s final report;

g.        The dates of all subsequent decisions, appeals, or other relevant events; and

h.        A substantive but concise description of the final decision and the action taken by the agency director or deputy director of the Division.

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). Amended by exempt rulemaking at 9

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