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Support Services for Adults with Developmental ... - DHS home

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(v) The disposition of the complaint.<br />

(B) Brokerage personnel issues and allegations of abuse may<br />

be maintained separately from a central complaint log. If a<br />

complaint results in disciplinary action against a staff member,<br />

the documentation on the complaint must include a statement<br />

that disciplinary action was taken.<br />

(b) In<strong>for</strong>mal complaint resolution. An individual or someone acting on<br />

behalf of the individual must have an opportunity to in<strong>for</strong>mally discuss<br />

and resolve any allegation that a brokerage, provider organization, or<br />

independent provider has taken action that is contrary to law, rule,<br />

policy, or that is otherwise contrary to the interest of the individual<br />

and that does not meet the criteria <strong>for</strong> an abuse investigation.<br />

Choosing an in<strong>for</strong>mal resolution does not preclude an individual or<br />

someone acting on behalf of the individual from pursuit of resolution<br />

through <strong>for</strong>mal complaint processes.<br />

(c) Investigation of the facts supporting or disproving the complaint.<br />

(d) Taking appropriate actions. The brokerage must take steps to<br />

resolve the complaint <strong>with</strong>in five working days following receipt of the<br />

complaint. If the complaint cannot be resolved in<strong>for</strong>mally, or if the<br />

individual making the complaint so chooses at any time, the individual<br />

may request a <strong>for</strong>mal resolution of the complaint and, if needed, must<br />

be assisted by the brokerage <strong>with</strong> initiating the <strong>for</strong>mal complaint<br />

process.<br />

(e) Review by the brokerage director. If a complaint involves<br />

brokerage staff or services and if the complaint is not resolved<br />

according to section (1)(b) through (1)(d) of this rule, or if the person<br />

making the complaint requests one, a <strong>for</strong>mal review must be<br />

completed by the brokerage director and a written response must be<br />

provided to the complainant <strong>with</strong>in 30 days following receipt of the<br />

complaint.<br />

(f) Agreement to resolve the complaint. Any agreement to resolve a<br />

complaint that has been <strong>for</strong>mally reviewed by the brokerage director<br />

must be in writing and must be specifically approved by the<br />

Page 30 of 106

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