COMMENT DUE DATE:
October 8, 2013
DATE:
September 27, 2013
Steve Mitchell, Office of Client Advocacy (405) 522-2754
Dena Thayer, OIRP Programs Administrator (405) 521-4326
Nancy Kelly, OIRP Policy Specialist (405) 522-6703
RE:
Non-APA WF 13-I
The proposed policy is Non-APA . This proposal is not subject to the Administrative Procedures Act
The proposed effective date is October 10, 2013.
SUBJECT:
Chapter 2. ADMINISTRATIVE COMPONENTS
Subchapter 3. OFFICE OF CLIENT ADVOCACY
Part 5. Grievances
OAC 340:2-3-51 through 340:3-3-52 Instructions to Staff (ITS) Only [AMENDED]
RE:WF 13-I ITS only
SUMMARY:OAC 340:2-3-51 and 340:2-3-52 ITS only are amended to:(1) update the grievance form number from 15GR001E to 15GR001P; (2) change Developmental Disabilities Services Division to Developmental Disabilities Services; and (3) correct grammatical errors.
SUBCHAPTER 3. OFFICE OF CLIENT ADVOCACY
PART 5. GRIEVANCES
340:2-3-51. Grievances of residents of DDSD Facilities: Southern Oklahoma Resource Center (SORC), Northern Oklahoma Resource Center of Enid (NORCE), and the Greer Center Facility (Greer)
Revised 7-1-09
(a) Application.This Section describes processes relating to grievances of residents of Oklahoma Department of Human Services (OKDHS) operated facilities listed in Sections 1406 and 1414.1 of Title 10 of the Oklahoma Statutes.Section 1415.1 of Title 10 of the Oklahoma Statutes confers on OKDHS the responsibility for establishing an ombudsman program which includes a grievance system at each OKDHS operated facility for persons with developmental disabilities.
(b) Definitions.The definitions in OAC 340:2-3-2 and 340:2-3-45(b) apply to this Section unless the context clearly indicates otherwise.
(c) Notice of grievance rights.Form 15GR006E, Notice of Grievance Rights - DDSD Clients (General), is given by the Developmental Disabilities Services Division (DDSD) facility to a resident and his or her guardian within 24 hours of the resident's admission to a facility and yearly thereafter at the annual individual planning meeting.This form is used to identify the local grievance coordinator (LGC) and to explain the resident's right to grieve.After the resident or guardian signs the form, a copy is given to the resident or to the resident's guardian, or responsible family member if the resident does not have a guardian, or both, and the original is maintained in the permanent record for the resident.If the designated local grievance coordinator (LGC) changes, the facility notifies the residents and their guardians or a responsible relative of the name and contact information of the new LGC within 20 business days.
(d) Filing and processing of grievance at the facility.Grievances of residents are processed in accordance with OAC 340:2-3-45(g) unless otherwise provided in this Section.
(1) The Office of Client Advocacy (OCA) maintains an office on campus at SORC and NORCE.OCA assigns advocates to its offices at the facilities who serve as the LGC at those facilities and Greer and provides assistance to residents, their guardians, and persons interested in their welfare who want to file a grievance.[OAC 340:2-3-71(h)(4)]
(2) The OCA advocates at a facility send a copy of a grievance to the guardian or guardian ad litem of the resident and to a responsible relative, unless contraindicated.
(3) If a grievance involves a decision of a resident's team, the first level respondent is the applicable unit coordinator, unless the unit coordinator is involved in the decision being grieved.
(e) Time limits on filing grievances.The time limit in OAC 340:2-3-45(g) does not apply to grievances filed by or on behalf of residents.
(f) Second level problem resolution.The facility director is the second level respondent.
(g) Contested grievances.When a resident elects to contest the facility director's response to a grievance, the contested grievance is processed in accordance with OAC 340:2-3-46.The DDSD director or designee is the state office administrator responsible for responding to contested grievances of residents.¢ 1
(h) Request for review by Grievance and Review Committee (GARC).When a resident requests review by GARC of the DDSD director's response to a grievance, the OCA grievance liaison prepares a request for GARC review using a format prescribed by OCA which includes the information listed in subsection (i) of this Section.
(i) Advocate inquiry.An OCA advocate may file a formal inquiry to request information relating to:the treatment of one or more residents; the substance, application, or interpretation of any policy, rule or regulation, written or unwritten, of OKDHS or an agent or contractor of OKDHS; or any decision, behavior, or action of an OKDHS employee, agent, or contractor, or of another resident.
(1) An advocate formal inquiry is submitted directly to the facility director or any other OKDHS employee believed to have the knowledge to respond to the inquiry.The person to whom the inquiry is submitted has seven business days from receipt of the inquiry to respond in writing.The advocate general may grant an extension for good cause shown.
(2) If the response does not resolve the concern which prompted the formal inquiry, or if a response is not timely received, the matter may be treated as a formal grievance and processed as a contested grievance pursuant to OAC 340:2-3-46.
(3) The advocate general issues a report that sets forth the subject matter of the inquiry, the pertinent facts, and recommendations.An advocate general report is submitted to the facility director, when applicable, and the state office administrator.A copy is submitted to the OKDHS Director.
(j) Advocate grievance.An OCA advocate may file a grievance on behalf of a resident even when a grievance has not been filed by or on behalf of a resident.
(1) At the discretion of the advocate general or designee, an advocate grievance is filed directly with the facility director.The facility director has seven business days to respond in writing.The advocate general or designee may grant an extension for good cause shown.
(2) If the facility director's response is not acceptable or is not timely submitted, it is processed as a contested grievance pursuant to OAC 340:2-3-46.
(k) Fast track grievances.When the subject of an OKDHS grievance is such that time is of the essence, with the approval of the advocate general or designee a grievance can be submitted directly to the facility director or to the OCA grievance liaison for processing as a contested grievance in accordance with OAC 340:2-3-46.When a grievance involves a time sensitive problem, the OCA grievance liaison can shorten the time for responding as warranted by the circumstances.
INSTRUCTIONS TO STAFF 340:2-3-51
Revised 7-1-0710-1-13
1.The Office of Client Advocacy (OCA) advocate prepares a contested grievance cover memo using a format prescribed by OCA which that includes:
(1) the grievance number and the name of the client, grievant, guardian(s) or the parent(s), Developmental Disabilities Services Division (DDSD) case manager, and OCA advocate;
(2) the problem the grievance seeks to resolve;
(3) the procedural history of the grievance, including what efforts were made to resolve the problem by means of informal problem resolution;
(4) the grievant's proposed resolution;
(5) relevant statutes, policies, and other authorities;
(6) relevant documents;
(7) the advocacy position of OCA; and
(8) copies attached of the applicable Form 15GR001EP, Grievance Form, and Form 15GR002E, Local Grievance Coordinator (LGC) Worksheet.
340:2-3-52. Grievances of Hissom class members
(a) Application.This Section describes processes relating to grievances of Hissom class members.The Oklahoma Department of Human Services (OKDHS) legal basis and authority for grievance policies and procedures for Hissom class members includes orders of the United States District Court for the Northern District of Oklahoma in Homeward Bound, et al., vs. The Hissom Memorial Center, Case No. 85-C-437-E.
(b) Definitions.The definitions in OAC 340:2-3-2 and 340:2-3-46(b) apply to this Section unless the context clearly indicates otherwise.
(c) Notice of grievance rights.The Office of Client Advocacy (OCA) advocate assigned to a Hissom class member gives Form 15GR007E, Notice of Grievance Rights - Hissom Class Members, at least yearly to each class member or his or her guardian(s), close family members, and volunteer advocates.This form is used to identify the OCA advocate assigned to the class member and to explain the class member's right to grieve.After the class member, guardian(s), or both, sign the form, the advocate documents this in a contact sheet and provides copies to the client or the client's guardian, the assigned Developmental Disabilities Services Division (DDSD) case manager, and the program coordinator of the applicable provider for placement in the client's home record.The original is maintained in OCA's record for the class member.
(d) Filing and processing of grievances. Grievances of class members are processed in accordance with OAC 340:2-3-45 unless otherwise provided in this Section.
(1) OCA assigns an advocate to represent each class member.The assigned advocate serves as the grievance advisor for the class member and provides assistance to class members and persons interested in their welfare who want to file a provider or OKDHS grievance.[OAC 340:2-3-71(h)(4)]When an advocate files a provider or OKDHS grievance on behalf of a class member, the advocate contemporaneously provides a copy of the grievance to the DDSD case manager assigned to the class member and to the DDSD programs administrator for community services.¢ 1
(2) Class members, their guardians, volunteer advocates and other advocates, case managers, personal support team members, and persons interested in their welfare also can file an OKDHS grievance by submitting Form 15GR001E, Grievance Form, to the local grievance coordinator (LGC) in the appropriate DDSD area office.When the LGC receives a grievance that has not been submitted by the OCA advocate representing the class member, the LGC promptly informs the advocate of the grievance by e-mail, fax, or telephone.
(3) If a grievance involves a decision of a class member's team, the first level respondent is the supervisor of the client's DDSD case manager, unless the case manager is involved in the decision being grieved.
(e) Provider grievances.
(1) Each residential and vocational provider that contracts with DDSD to provide services to Hissom class members has a grievance system for resolution of grievances.The provider's written grievance policies, forms, and procedures are in compliance with OAC 340:2-3-45.
(2) Provider grievances are initiated by the class member, the assigned OCA advocate, or a person interested in the welfare of the class member by using Form 15GR001E or the provider's grievance form.The completed grievance form is submitted to the provider's grievance coordinator.Upon receipt of a provider grievance by or on behalf of a Hissom class member by anyone other than the OCA advocate or the DDSD case manager for the class member, the LGC promptly informs the DDSD case manager and the advocate assigned to the class member by e-mail, fax, or phone.If an OKDHS employee initiates a grievance on behalf of a class member, at the time the grievance is filed the employee sends a copy to the DDSD case manager and the OCA advocate assigned to the class member.
(3) If the subject matter of a grievance can be submitted for resolution as a provider grievance or an OKDHS grievance, the class member has the option to file it as a provider grievance, an OKDHS grievance, or both.
(f) Time limits on filing grievances.The time limit in OAC 340:2-3-45(g) does not apply to grievances filed by or on behalf of Hissom class members.
(g) Fast track grievances.When the subject of an OKDHS grievance is such that time is of the essence, with the approval of the advocate general or designee a grievance can be submitted directly to the OCA grievance liaison for processing as a contested grievance in accordance with OAC 340:2-3-46.When a grievance involves a time sensitive problem, the OCA grievance liaison can shorten the time for responding as warranted by the circumstances.
(h) Second level problem resolution.The area manager of the appropriate DDSD area office is the individual responsible for responding to an OKDHS grievance at the second level of problem resolution.
(i) Contested grievances.When the response to an OKDHS or provider grievance is contested by a class member or a grievant on behalf of a class member, the contested grievance is processed in accordance with OAC 340:2-3-46 unless otherwise provided in this Section.The director of DDSD is the state office administrator responsible for responding to contested grievances of class members.¢ 2
(j) Request for review by the Grievance and Abuse Review Committee (GARC).When a Hissom class member requests review by GARC of the DDSD director's response to a grievance, the OCA grievance liaison prepares a request for GARC review using the format prescribed by OCA that includes the information listed in subsection (i) of this Section.
(k) Formal inquiry.The advocate general or any OCA advocate staff may file a formal inquiry to request information relating to:the treatment of a client; the substance or application of any policy, rule, or regulation, written or unwritten, of OKDHS or an agent or contractor of OKDHS; or any decision, behavior or action of an OKDHS employee, agent or contractor, or of another client.
(1) A formal inquiry is submitted directly to the administrator of a community services provider or the appropriate DDSD area manager.An advocate general formal inquiry is submitted to the director of DDSD.The person to whom it is submitted has seven business days to respond in writing.The advocate general can grant an extension.
(2) If the response to the formal inquiry does not resolve the concern that prompted the formal inquiry, the matter may be treated as a formal grievance and processed as a contested grievance.
(3) The advocate general issues a report that sets forth the subject matter of the inquiry, the pertinent facts, and recommendations.An advocate general report is submitted to the administrator, when applicable, and the state office administrator.A copy is submitted to the OKDHS Director.
(l) Advocate grievances.An OCA advocate may file a grievance on behalf of a class member even though a grievance has not been filed by or on behalf of the class member.
(1) At the discretion of the advocate general or designee, an advocate grievance is submitted directly to the administrator of a provider agency or the appropriate DDSD area manager using Form 15GR003E, Grievance – Hissom Class Member.
(2) An advocate general grievance is submitted directly to the director of DDSD or the administrator of the provider agency, whichever is applicable.
(3) The person to whom it is submitted has seven business days to respond in writing.The advocate general can grant an extension.
(4) If the response to a grievance is not acceptable, or is not timely submitted, it is processed as a contested grievance pursuant to OAC 340:2-3-46.
(m) Monitoring of grievance programs.Providers submit their policies for review and approval by the advocate general.OCA provides training and technical assistance to providers, at their request, in the development of grievance forms and procedures.OCA, in cooperation with other monitoring entities to avoid unnecessary duplication, monitors provider grievance programs in accordance with OAC 340:2-3-45(d) through (h).
INSTRUCTIONS TO STAFF 340:2-3-52
1.The Office of Client Advocacy (OCA) advocates also copy the e-mail email to all parties designated in OCA directives regarding document distribution.
2.The OCA advocate prepares advocates prepare a contested grievance cover memo using a format prescribed by OCA which that includes:
(1) the grievance number and the name of the client, the grievant, the guardian(s) or the parent(s), the Developmental Disabilities Services Division (DDSD) case manager, and the OCA advocate;
(2) the problem the grievance seeks to resolve;
(3) the procedural history of the grievance, including what efforts were made to resolve the problem by means of informal problem resolution;
(4) the grievant's proposed resolution;
(5) relevant statutes, policies, and other authorities;
(6) relevant documents;
(7) the advocate's summary of the client's position; and
(8) copies attached of the applicable Form 15GR001EP, Grievance Form, and Form 15GR002E, Local GrievanceCoordinator (LGC) Worksheet.
