Records, Forms and Notices

(1) Case Record. (a) Contents of Case Record. The investigations division shall keep a case record for each complaint received by the Department. The case record shall include: 1. the complaint and the public log number assigned; 2. the disposition letter; 3. the names of all persons interviewed and the dates of the interviews; 4. any recorded or written statements; 5. a summary of documents reviewed; 6. a copy of the official investigation report or administrative review report; and any such report shall be admissible in any employee disciplinary hearing related to the investigation; 7. Copies of notes or memoranda generated by the investigator to the extent such are maintained; 8. any photographs and any other physical evidence; 9. the decision letter; 10. the action plan or resolution letter; 11. documentation of corrective action or protective services implemented; and 12. documents relating to any appeal or reconsideration. (b) Confidentiality. Any person whose name is contained in the case record shall have access to, and may have a copy of that portion of the record in which his or her name is mentioned, consistent with the Fair Information Practices Act, M.G.L. c. 66A, § 2(i). Access to personal identifying information or protected health information contained in the case record shall comply with the requirements of M.G.L. c. 123B, § 17; 115 CMR 4.05: Confidentiality of Records and 4.06: Access to Records and Record Privacy; and the Health Insurance Portability and Accountability Act of 1996. 1. Union representatives or legal representatives (in their representative capacity) may obtain a redacted copy of the official investigation report for a scheduled disciplinary, grievance, or an appeal upon presentation of written authorization from the employee for release. 2. The commissioner or designee may determine that publicity accorded an investigation is so extensive that mere removal of identifying data would be insufficient to protect existing privacy interests, or that disclosure would probably so prejudice the possibility of an effective investigation by law enforcement that such disclosure would not be in the public interest. In such event, the commissioner or designee shall file in the case record a statement of this determination, with a specification of the document(s) to be withheld as an exemption to the definition of public records set forth in M.G.L. c. 4, § 7, cl. 26, the conditions of withholding and a brief statement of reasons. Such withholding shall be governed by the Fair Information Practices Act, M.G.L. c. 66A, § 2(i) and other applicable law. 3. The identity of a complainant shall not be disclosed by any provider with knowledge of such identity, or by the Department, except to representatives of investigating state agencies (including the Department), the district attorney's office, or other law enforcement agencies as necessary for investigation, review, and monitoring of the actions taken in response to the complaint. (c) Custody. The senior investigator shall be the custodian of the case record, provided that the investigator shall have access to the case record while the complaint is under investigation, and the commissioner or designee shall have access to the case record while there is an appeal of the decision letter or action plan pending. (2) Public Log. Each senior investigator shall, for his or her region, maintain an electronic copy of the public log, of medico-legal deaths, and all complaints filed pursuant to M.G.L. c. 19C and 115 CMR 9.00, in such form as the commissioner may from time to time prescribe. (a) The log shall not include personal identifiers, and shall be a public record, available upon request for inspection and copying as provided in M.G.L. c. 66, § 10. (b) The log shall identify the manner of disposition of each complaint. (c) The log shall include a statement as to whether the complaint was substantiated, and where applicable, whether an appeal or request for reconsideration was filed, and the outcome of the appeal or request for reconsideration.