Logging and Disposition of Complaint

(1) Logging. When a complaint is received from DPPC, the senior investigator shall immediately log the complaint and assign it a log number. (2) Determination of Disposition. (a) No later than three days after receipt of the complaint, the senior investigator shall determine and set forth in a written disposition letter, whether the complaint shall be: 1. dismissed; 2. resolved without investigation; 3. referred to the regional director or designee for administrative review; 4. referred directly to the CRT for review; 5. designated as requiring investigation but deferred pending investigation by outside authorities; 6. assigned to an investigator for active investigation; or 7. referred to another state agency for review. (b) A matter complained of may be resolved through a combination of dispositions. (c) The senior investigator shall send a copy of the disposition letter to the regional director and the area director or facility director, as applicable, and shall note the manner of disposition in the public log. (d) Within three days, the regional director or designee shall send the disposition letter to: 1. the alleged victim and the guardian (unless the guardian is the alleged abuser) or legally authorized representative; 2. the chair of the human rights committee of the provider agency serving the alleged victim. A copy of the complaint with the redacted names of the complainant and alleged abuser(s) or person(s) complained of, shall also be sent to the chair of the human rights committee; 3. the executive director or head of the provider agency named in the complaint. (e) Receipt of a disposition letter is presumed to have occurred within three days of the mailing. (3) Dismissal. A complaint shall be dismissed where: (a) it is frivolous; (b) the allegations were previously investigated, previously reviewed through an administrative review, or previously reviewed through a direct referral to the CRT, and no new facts or evidence have been identified; or (c) the allegations are not within the scope of 115 CMR 9.05. The disposition letter of a complaint that has been dismissed shall set forth the reasons for the dismissal. (4) Resolved Without Investigation. A complaint may be resolved without investigation where: (a) the allegations involve no dispute as to the facts; or, (b) the allegations may be resolved fairly and efficiently within ten days. (5) Referral for Administrative Review. The senior investigator shall refer complaints that meet the criteria set forth in 115 CMR 9.05(2) to the regional director or designee for administrative review and resolution under 115 CMR 9.11. (6) Referral to the Complaint Resolution Team (CRT). The senior investigator shall refer complaints that meet the criteria set forth in 115 CMR 9.05(3) directly to the CRT responsible for the area office or facility for review and resolution under 115 CMR 9.12. (7) Assignment of Investigator for Investigation. The senior investigator shall assign an investigator to complaints that meet the criteria set forth in 115 CMR 9.05(1) and shall identify the investigator in the disposition letter. (a) Change in Disposition. If, after commencing an investigation, the investigator determines that the complaint requires a disposition other than investigation, he or she shall submit a request for a change in disposition to the senior investigator within seven days of the date of the assignment, together with a memorandum supporting the recommended change in disposition. The senior investigator must determine within three days of receiving the request whether a change in disposition is warranted. (b) Change in Disposition - Other Matters. If, after commencing an administrative review or a direct review of a complaint by the CRT, information is discovered that suggests the allegations meet the criteria for investigation in 115 CMR 9.05(1), the complaint shall be immediately returned to the senior investigator who shall review the information within 24 hours, and if necessary, assign the matter for investigation. (8) Deferral of Investigation. If a complaint is being investigated by law enforcement, the senior investigator may defer the civil investigation under CMR 9.05(1) pending completion of the investigation by law enforcement. (a) The senior investigator is responsible for overseeing collaboration and communication with other investigating authorities to expedite the investigation process and may disclose relevant documents to investigating authorities consistent with applicable law. (b) Where an investigation has been deferred pending completion of the investigation by law enforcement, the senior investigator may initiate investigation under 115 CMR 9.05(1), if he or she determines that investigation by the Department will not compromise or duplicate the law enforcement investigation and is authorized by the director of investigations after notice to law enforcement. (c) The provider shall take appropriate action to address the safety of the alleged victim and not engage in any activity that might compromise the investigation by the Department or law enforcement. (9) Referral to Another Agency. The Department may refer a complaint and any relevant documents or information, consistent with applicable law to another agency where the facts or allegations in the complaint make review by another agency necessary or appropriate. (10) 19C Investigations. The Department shall not investigate a complaint that DPPC determines it will investigate pursuant to M.G.L. c. 19C.