Chapter DHS 94

DHS 94.41(5)(a)2.a. a. Investigating the grievance will result in an improvement in care for or prevention of harm to the client in question or other clients in the program; or

DHS 94.41(5)(a)2.b. b. Failing to investigate the grievance would result in a substantial injustice.

DHS 94.41(5)(b) (b) Processing grievances in non-emergency situations. In situations in which there is not an emergency, the following time limits apply:

DHS 94.41(5)(b)1. 1. A staff person receiving a request for formal resolution of a grievance shall present the request to the program manager or his or her designee as soon as possible but not later than the end of the staff person’s shift;

DHS 94.41(5)(b)2. 2. The program manager or his or her designee shall assign a client rights specialist to the grievance within 3 business days after the request for formal process has been made;

DHS 94.41(5)(b)3. 3. The client rights specialist shall complete his or her inquiries and submit the report under sub. (4) within 30 days from the date the grievance was presented to a program staff person; and

DHS 94.41(5)(b)4. 4. A written decision under sub. (4) (e) shall be issued within 10 days of the receipt of the report, unless the client, the grievant, if other than the client, and the parent or guardian of the client, if that person’s consent is necessary for treatment, agree to extend this period of time while further attempts are made to resolve the matters still in dispute.

DHS 94.41(5)(c) (c) Processing grievances in emergency situations.

DHS 94.41(5)(c)1. 1. In emergency situations, the following time limits apply:

DHS 94.41(5)(c)1.a. a. A staff person receiving the request shall immediately present the matter to the program manager or his or her designee;

DHS 94.41(5)(c)1.b. b. The program manager or designee shall assign a client rights specialist as soon as possible but no later than 24 hours after the request is received;

DHS 94.41(5)(c)1.c. c. The client rights specialist shall complete the inquiry and submit the report identified in sub. (4) within 5 days from the date the grievance was presented; and

DHS 94.41(5)(c)1.d. d. A written decision under sub. (4) (e) shall be issued within 5 days of the receipt of the report, unless the client, the grievant, if other than the client, and the guardian or parent of the client, if that person’s consent is necessary for treatment, agree to extend this period of time while further attempts are made to resolve the matters still in dispute.

DHS 94.41(5)(c)2. 2. If after a preliminary investigation it appears that there is no emergency, the client rights specialist may treat the situation as a non-emergency for the remainder of the process.

DHS 94.41(6) (6) Protection of clients. If the client rights specialist determines that a client or a group of clients is at risk of harm, and the program has not yet acted to eliminate this risk, he or she shall immediately inform the program manager, the county department operating or contracting for the operation of the program, if any, and the office of the department with designated responsibility for investigating client grievances under s. DHS 94.42 (1) (b) 2. of the situation. If the situation continues to place the client or the group of clients at risk, the office designated under s. DHS 94.42 (1) (b) 2. shall take immediate action to protect the client or clients, pending further investigation.

DHS 94.41 History History: Cr. Register, June, 1996, No. 486, eff. 7-1-96; corrections in (3) (a) 1. and 2. made under s. 13.93 (2m) (b) 7., Stats., Register, April, 2000, No. 532; corrections in (3) (a) 1. and 2. made under s. 13.92 (4) (b) 7., Stats., Register November 2008 No. 635.

DHS 94.42 DHS 94.42 Administrative review by county or state.

DHS 94.42(1) (1) Responsibility for administrative review.

DHS 94.42(1)(a) (a)

DHS 94.42(1)(a)1. 1. For a program operated by a county department or under contract with a county department, a requested administrative review of the program manager’s decision under s. DHS 94.41 (4) (e) shall be conducted by the director of the county department.

DHS 94.42(1)(a)2. 2. The director of a county department may conduct administrative reviews or may designate a specific person or persons from the county department’s staff to conduct administrative reviews at the county level. If a staff person is designated to carry out a review, he or she shall prepare a final report for the approval of the director.

DHS 94.42(1)(b) (b)

DHS 94.42(1)(b)1. 1. For a program operating independently of a county department, including a program operated by a state agency, a requested administrative review shall be carried out by the office of the department with responsibility for investigating client grievances as provided in subd. 2.

DHS 94.42(1)(b)2. 2. The secretary shall designate a unit or office of the department to be responsible for conducting state level administrative reviews. The supervisor of the unit or office shall assign a specific staff person to act as grievance examiner for a review brought directly to the state from a program under subd. 1. or for a review brought to the state following a county level review under s. DHS 94.43. This office shall also be responsible for investigating complaints under s. DHS 94.51 relating to the existence or adequacy of grievance resolution systems.

DHS 94.42(2) (2) Request for administrative review.

DHS 94.42(2)(a) (a) A request for administrative review of a program manager’s decision shall state the basis for the grievant’s objection and may include a proposed alternative resolution.

DHS 94.42(2)(b) (b)

DHS 94.42(2)(b)1. 1. A request for administrative review may be made in writing, orally or through a person’s alternative means of communication to the program manager by the grievant, the client, if other than the grievant, or the client’s parent or guardian, if that person’s consent is necessary for treatment.

DHS 94.42(2)(b)2. 2. If the request is made orally or through an alternative mode of communication, the program manager shall prepare a written summary of the request.

DHS 94.42(2)(c) (c) When an administrative review is requested, the program manager shall transmit a copy of the original grievance, the report of the client rights specialist, the written decision and the request for review to the director of the county department or the state grievance examiner, as appropriate.

DHS 94.42(3) (3) Switch to informal resolution process. At any time, if all parties agree, the formal resolution process and any applicable time limits may be suspended to allow the parties to attempt an informal resolution of the matter under s. DHS 94.40 (4), facilitated by the individual conducting the review at that level of the process. If time limits are suspended, they shall begin running again upon request of any party that the formal resolution process be resumed.

DHS 94.42(4) (4) Gathering of information and preparation of report.

DHS 94.42(4)(a) (a) Consideration of report and decision. The individual conducting the administrative review shall consider the report of the client rights specialist and the decision of the program manager, but shall independently render an opinion by applying the appropriate provisions of ch. 51, Stats., ch. DHS 92 and this chapter to the facts and circumstances of the grievance.

DHS 94.42(4)(b) (b) Gathering of additional information.

DHS 94.42(4)(b)1. 1. If the state grievance examiner or county director, or his or her designee, determines that additional information is necessary to complete the review, or if the client or person acting on behalf of the client has made a reasonable allegation that the findings of fact by the client rights specialist or the program manager are inaccurate, further inquiry into the circumstances underlying the grievance may be made, including but not limited to personal interviews, telephone calls and inspection of equipment, facilities, records, documents and other physical or written materials which may be relevant.

DHS 94.42(4)(b)2. 2. Individuals gathering information in support of an administrative review shall have access to all relevant areas of the facility or other program named in the grievance during ordinary business hours or any other times specifically referenced in the original grievance, and shall have access to all records pertaining to the grievance.

DHS 94.42(4)(b)3. 3. If requested by the client or other grievant, the individual conducting the administrative review shall contact the client or other grievant.

DHS 94.42(4)(b)4. 4. If the circumstances underlying the grievance require an examination of clinical services, including but not limited to psychotherapeutic treatment, behavioral interventions and the administration of medication, the individual conducting the review may request that consultation on the matters in question be provided by an independent clinician with the experience and training appropriate for the inquiry.

DHS 94.42(4)(c) (c) Report.

DHS 94.42(4)(c)1. 1. The individual conducting the review shall prepare a written report with findings of fact, conclusions based on upon the findings of fact and a determination of whether the grievance was founded or unfounded as defined in s. DHS 94.41 (3) (a).

DHS 94.42(4)(c)2. 2. If the review has been carried out by a staff person designated by the county director, the staff person shall submit a draft report to the county director who shall issue a written decision in the matter.

DHS 94.42(4)(c)3. 3. If the review has been conducted by a grievance examiner appointed under sub. (1) (b) 2., the report by the grievance examiner shall constitute the administrative decision at the state level.

DHS 94.42(4)(c)4. 4. If the grievance is determined to be founded, the decision shall identify the specific actions or adjustments to be carried out to resolve the grievance.

DHS 94.42(4)(c)5. 5. If the grievance is determined to be unfounded, the decision shall dismiss the grievance, pending any further request for review.

DHS 94.42(5) (5) Distribution of county director decision.

DHS 94.42(5)(a) (a) Copies of the decision by the county director shall be given personally or sent by first class mail to the program manager, the client, the grievant if other than the client, the client rights specialist, the parent or guardian of the client, if that person’s consent is required for treatment, all staff who received a copy of the program manager’s decision, and the office of the department designated under sub. (1) (b) 2.

DHS 94.42(5)(b) (b) If the parties agree with the decision, any recommendations shall be put into effect as soon as possible.

DHS 94.42(5)(c) (c) If there is a disagreement over the decision, the parties may confer in a meeting facilitated by the individual conducting the review in an attempt to establish a mutually acceptable plan for resolving the grievance. Any applicable time limits shall be suspended while the parties confer, but shall begin running again if either party indicates a desire to resume the formal resolution process.

DHS 94.42(5)(d) (d) The county director’s decision shall include a notice to the client and the program director which explains how and where a state level review of the decision can be requested under s. DHS 94.43 and the time limits within which a request for further review must be filed.

DHS 94.42(5)(e) (e) Any party shall have 14 days from the date the party receives a county director’s decision under par. (a) to request a state level review under s. DHS 94.43 of the county director’s decision.

DHS 94.42(6) (6) Distribution of state grievance examiner decision.

DHS 94.42(6)(a) (a) Copies of the decision by the state grievance examiner shall be given personally or sent by first class mail to the program manager, the client, the grievant, if other than the client, the client rights specialist, the parent or guardian of a client, if that person’s consent is required for treatment, and all staff who received a copy of the program manager’s decision.

DHS 94.42(6)(b) (b) If the program manager, the client and the person acting on behalf of the client, if any, agree with the decision, any recommendations shall be put into effect as soon as possible.

DHS 94.42(6)(c) (c) If there is disagreement over the decision, the parties may confer in a meeting facilitated by the state grievance examiner in an attempt to establish a mutually acceptable plan for resolving the grievance. Any applicable time limits shall be suspended while the parties confer, but shall begin running again if either party indicates a desire to resume the formal resolution process.

DHS 94.42(6)(d) (d) The decision shall include a notice to the parties which tells how and where to request final state review under s. DHS 94.44 and states the time limits within which any request for final state review must be made.

DHS 94.42(7) (7) Time limits.

DHS 94.42(7)(a) (a) Request for review. A grievant shall have 14 days from the date he or she received the written decision of the program manager under s. DHS 94.41 (4) (e) to request an administrative review.

DHS 94.42(7)(b) (b) Review in non-emergency situations.

DHS 94.42(7)(b)1. 1. In situations in which there is not an emergency, the following time limits apply:

DHS 94.42(7)(b)1.a. a. The program manager or his or her designee shall, upon receipt of a request for review, transmit by first class mail the materials identified in sub. (2) (c) to the county director or the office of the department designated under sub. (1) (b) 2., as appropriate, within 7 days of receiving the request; and

DHS 94.42(7)(b)1.b. b. The written decision on the review shall be issued within 30 days after the request for review was presented to the program manager.

DHS 94.42(7)(b)2. 2. The county director or the state grievance examiner in non-emergency situations may extend the time limit for completing the administrative review for up to 30 additional days with the consent of the program director, the client and the grievant, if other than the client, or upon a showing that additional time is necessary to complete the inquiry or evaluation of the matters presented for review.

DHS 94.42(7)(c) (c) Review in emergency situations.

DHS 94.42(7)(c)1. 1. In emergency situations, the following time limits apply:

DHS 94.42(7)(c)1.a. a. The program manager or his or her designee shall, upon receipt of a request for review, transmit by overnight mail the materials identified in sub. (2) (c) to the county director or the office of the department designated under sub. (1) (b) 2., as appropriate, within 3 business days of receiving the request; and

DHS 94.42(7)(c)1.b. b. The written decision on the review shall be issued within 10 days after the request for review was presented to the program manager.

DHS 94.42(7)(c)2. 2. If after a preliminary investigation it appears that there is no emergency, the state grievance examiner or county director may treat the situation as a non-emergency for the remainder of the process.

DHS 94.42(8) (8) Protection of clients. If the state grievance examiner or county director determines that a client or group of clients is at risk of harm, and the program has not yet acted to eliminate this risk, he or she shall take immediate action to protect the client or clients, pending further investigation.

DHS 94.42(9) (9) Protection of client confidentiality. The county director or state grievance examiner shall purge the names or other client identifying information of any client involved in the grievance, including the client directly involved, when providing copies of the decision to persons other than the client or a person acting on the client’s behalf, the parent or guardian of the client, the staff directly involved, or the program manager or other staff who have a need to know the information.

DHS 94.42 History History: Cr. Register, June, 1996, No. 486, eff. 7-1-96; correction in (4) (a) made under s. 13.93 (2m) (b) 7., Stats., Register, April, 2000, No. 532; correction in (4) (a) made under s. 13.92 (4) (b) 7., Stats., Register November 2008 No. 635.

DHS 94.43 DHS 94.43 State level review of county administrative decision.

DHS 94.43(1) (1) Request for review.

DHS 94.43(1)(a) (a) For a program operated by or under contract with a county department, if the program manager, the client or the grievant, if other than the client, disagrees with the decision of the county director under s. DHS 94.42 (5), that person may seek a review of the decision by the office or unit designated by the secretary under s. DHS 94.42 (1) (b) 2.

DHS 94.43(1)(b) (b) If a grievant wishes to seek a state review of the county director’s decision, he or she shall make the request to the program manager. The program manager shall forward the request and supporting materials to the office or unit designated under s. DHS 94.42 (1) (b) 2. in the same manner as provided in s. DHS 94.42 (2) (c), with a copy sent by first class mail to the county director. All other parties shall make their request to the office or unit designated under s. DHS 94.42 (1) (b) 2., with copies of the request given personally or sent by first class mail to the other parties.

DHS 94.43(2) (2) Procedures and time limits. State review of a decision of a county director shall be conducted in the same manner and under the same time limits as an administrative review of a program operating independently of a county department under s. DHS 94.42.

DHS 94.43(3) (3) Distribution of decision. Copies of the decision by the state grievance examiner shall be given personally or sent by first class mail to the program manager, the client, the grievant, if other than the client, the county director, the client rights specialist and the client’s parent or guardian if that person’s consent is required for treatment.

DHS 94.43(4) (4) Notice of right to final state review. The decision shall include a notice which explains how and where and under what time limits a party who disagrees with the decision of the state grievance examiner may seek final state review of the grievance under s. DHS 94.44.

DHS 94.43(5) (5) Protection of client confidentiality. The state grievance examiner shall purge the names or other client identifying information of any client involved in the grievance, including the client directly involved, when providing copies of the decision to persons other than the client, or a person acting on behalf of the client, the parent or guardian of the client, the staff directly involved, or the program manager or other staff who have a need to know the information.

DHS 94.43 History History: Cr. Register, June, 1996, No. 486, eff. 7-1-96.

DHS 94.44 DHS 94.44 Final state review.

DHS 94.44(1) (1) Designation of administrator. The secretary of the department shall designate a specific division administrator or administrators to conduct final reviews of client grievances.

DHS 94.44(2) (2) Request for review.

DHS 94.44(2)(a) (a) A grievant seeking final state review shall present his or her request to the program manager who shall transmit the request to an administrator designated under sub. (1) along with copies of the original grievance and all prior decisions and reports.

DHS 94.44(2)(b) (b) A request by a program manager or county director for final state review shall be presented to the designated administrator or administrators on forms provided by the department and include with the request copies of the original grievance and all subsequent decisions and reports. A copy of the request for review shall be sent by first class mail to all other parties, including the client and the grievant, if other than the client.

DHS 94.44(2)(c) (c) A request shall describe the portion or portions of the prior decision with which the party disagrees, the basis for the disagreement and any arguments or additional information the party wishes the department to consider.

DHS 94.44(2)(d) (d) If the grievant is unable to prepare a written request for final state review, the program manager or his or her designee shall assist in completing the necessary forms.

DHS 94.44(3) (3) Information for review. The administrator conducting the final state review may request that additional information be submitted by any party or may conduct the final review based solely on the information already received.

DHS 94.44(4) (4) Final administrative determination.

DHS 94.44(4)(a) (a) The administrator shall prepare a final administrative determination for resolution of the grievance.