Chapter DOC 380

DOC 380.05(1) (1) A superintendent shall designate complaint mediators. The complaint mediators may be staff with other responsibilities, but they shall receive, investigate, mediate and process complaints in accordance with the procedures and time limits established in this chapter. A superintendent shall provide the complaint mediator with full access to youth, staff, facilities and records of the institution.

DOC 380.05(2) (2) The department shall provide complaint mediators with training in complaint procedures and mediation skills.

DOC 380.05(3) (3) A complaint mediator, in cooperation with the superintendent, shall provide youth and staff with written information about the complaint procedure and any modifications of the procedure.

DOC 380.05(4) (4) An institution shall assign a complaint file number and screen all complaints within 24 hours of receipt, excluding weekends and holidays. Priority shall be given to complaints concerning health and safety. The institution shall record the date and time each complaint is received.

DOC 380.05(5) (5) A complaint mediator shall mediate and investigate complaints and keep a written record of information obtained in an investigation.

DOC 380.05(6) (6) A supervisor responsible for a living unit or program may be designated as mediator for complaints that arise within the area of supervisory responsibility, except that no complaint mediator may investigate or decide a case involving a complaint that relates to decisions or actions that involved the complaint mediator.

DOC 380.05(7) (7) A complaint mediator who has a conflict of interest under sub. (6) shall inform the superintendent, who shall appoint an alternate complaint mediator. If a youth believes a complaint mediator has a conflict of interest, the youth may file a complaint under this chapter with the superintendent.

DOC 380.05(8) (8) A complaint mediator shall promptly transmit all necessary documents to each person involved in the complaint process. A complaint mediator shall keep the complainant informed orally or in writing of all decisions or non-action by any person involved in the complaint process under this chapter.

DOC 380.05 History History: Cr. Register, June, 2000, No. 534, eff. 7-1-00.

DOC 380.06 DOC 380.06 Complaint resolution procedure.

DOC 380.06(1) (1) Informal resolution. The complaint mediator shall conduct all of the following procedures:

DOC 380.06(1)(a) (a) Upon receipt of a complaint, the complaint mediator shall attempt to informally resolve the issues raised by the complainant.

DOC 380.06(1)(b) (b) If a complaint is resolved informally, the complaint mediator shall reduce the outcome to writing, using the appropriate informal complaint resolution form, and shall provide a concise statement of the complaint and the resolution. The youth shall sign the informal complaint resolution form to acknowledge his or her agreement with the resolution of the complaint.

DOC 380.06(1)(c) (c) The superintendent shall review the informal complaint resolution form signed by the youth under par. (b) and approve the informal resolution or require a formal resolution under sub. (2).

DOC 380.06(1)(d) (d) Informal mediation shall be completed in 5 days from the receipt of the complaint, unless waived in writing by the complainant.

DOC 380.06(2) (2) Formal resolution. If an informal resolution cannot be obtained under sub. (1), or the superintendent requires a formal resolution, the mediator shall do all of the following:

DOC 380.06(2)(a) (a) The complaint mediator shall investigate the complaint and as part of the investigation shall provide the complainant an opportunity to state his or her position and to present any information relevant to the decision.

DOC 380.06(2)(b) (b) The complaint mediator shall file a written report, using the complaint mediator’s report form, with the superintendent stating a proposed resolution within 14 days of receipt of the complaint. The complainant may waive the time limit in writing to permit the complaint mediator to complete a proper investigation.

DOC 380.06(2)(c) (c) The complaint mediator’s report shall state the youth’s complaint, the facts upon which the proposed resolution is based, the proposed resolution and the reasons for the proposed resolution.

DOC 380.06(2)(d) (d) The complaint mediator may propose that a complaint be dismissed if it is frivolous, if it is beyond the scope of the complaint process as provided in s. DOC 380.02 or if the complaint mediator believes, after investigation, that the complaint is without merit.

DOC 380.06 History History: Cr. Register, June, 2000, No. 534, eff. 7-1-00.

DOC 380.07 DOC 380.07 Decision and appeal procedure.

DOC 380.07(1) (1) Superintendent’s decision. Within 7 days of receipt of the complaint mediator’s report or receipt of a direct complaint, the superintendent shall issue a written decision and provide a copy to each complainant. The decision shall state the issue, the facts upon which the decision is based, the decision, the reasons for the decision and the notice required by sub. (4). If no decision is issued within 7 days, the recommendation of the complaint mediator is affirmed. If the youth filed complaint directly with the superintendent, a written [decision] must be issued.

DOC 380.07(2) (2) Superintendent’s options. If the superintendent affirms a complaint under s. DOC 380.02 (2) challenging the procedure used by a hearing officer under ss. DOC 373.72, 373.73 and 373.76 to 373.78, the superintendent may do one of the following:

DOC 380.07(2)(a) (a) Affirm the hearing officer’s decision if the error in procedure did not deny the youth a fair hearing.

DOC 380.07(2)(b) (b) Affirm the hearing officer’s decision, but reduce the discipline.

DOC 380.07(2)(c) (c) Reverse the hearing officer’s decision and remove all records of the decision from the youth’s files. A record of the decision may be kept for statistical purposes only.

DOC 380.07(2)(d) (d) Remand the case to the hearing officer for further consideration.

DOC 380.07(3) (3) Appeal to the administrator.

DOC 380.07(3)(a) (a) A youth may appeal to the administrator in writing, using the appeal of complaint form, either a decision or a failure to issue a decision under sub. (1) to the administrator within 5 days of receipt of the decision or the failure to issue a decision.

DOC 380.07(3)(b) (b) The administrator shall issue a written decision within 7 days of receipt of the appeal, which is the final decision of the department and states the reasons and facts upon which the decision is based. If no decision is issued, the decision of the superintendent is affirmed.

DOC 380.07(4) (4) Failure to implement decision promptly. The complaint decision under sub. (1) shall inform the youth who filed the complaint of the right to write the administrator directly if the relief requested or a resolution agreed upon has not been implemented within 14 days of the decision or agreement. The administrator shall investigate and take all necessary steps to enforce prompt implementation.

DOC 380.07 History History: Cr. Register, June, 2000, No. 534, eff. 7-1-00; correction in (3) (a) made under s. 13.93 (2m) (b) 7., Stats., Register, June, 2000, No. 534.

DOC 380.08 DOC 380.08 Confidentiality.

DOC 380.08(1) (1) 

DOC 380.08(1)(a) (a) Staff shall keep the identity of the complainant and the subject matter of the complaint confidential, except to the extent that discussion with others is necessary for investigation. Any staff with whom a complaint is discussed shall maintain confidentiality.

DOC 380.08(1)(b) (b) A complainant may publicize any aspect of a complaint at any time.

DOC 380.08(2) (2) Staff shall not make entries in a youth’s case file about use of the complaint procedure.

DOC 380.08 History History: Cr. Register, June, 2000, No. 534, eff. 7-1-00.

DOC 380.09 DOC 380.09 Retaliation prohibited.

DOC 380.09(1) (1) Neither staff nor a youth may retaliate against a youth for filing a complaint.

DOC 380.09(2) (2) A youth may send a complaint, using a complaint form, alleging retaliation directly to the superintendent, who shall issue a written decision within 7 days. A copy of the decision, stating information required in s. DOC 380.07 (1) shall be given to the complainant.

DOC 380.09(3) (3) A complainant may appeal the decision of the superintendent under sub. (2), or a failure of the superintendent to issue a timely decision, in writing using the appeal of complaint decision form, to the administrator within 7 days of receipt of the appeal. If the administrator does not issue a written decision within 7 days of receipt of the appeal, the decision of the superintendent is affirmed.

DOC 380.09(4) (4) Disciplinary action may be taken against a youth under s. DOC 373.32 for knowingly filing a false complaint.

DOC 380.09 History History: Cr. Register, June, 2000, No. 534, eff. 7-1-00.

DOC 380.10 DOC 380.10 Report required. An institution shall submit an annual report to the administrator concerning the quantity, type and disposition of complaints. To be in compliance with Title VI of the Civil Rights Act (42 C.R.R. 2000d), the report must include the number of complaints filed per month by minority youth; and the number of complaints alleging discrimination on the basis of race, sex, religion or age initiated against individual staff persons and the dispositions.

DOC 380.10 History History: Cr. Register, June, 2000, No. 534, eff. 7-1-00.