Human Rights Complaint Quick Reference Guide

Opening a New Complaint Record:

The following fields are the (minimum) required fields that will need to be filled out to open a new Human Rights Complaint:

  1. Complaint Date – this is the date the alleged violation occurred. If you don’t know this date, please put the date of discovery.
  2. Location – this is the location (within the provider) where the alleged violation occurred. Use the dropdown menu to select the location, and then use the “Get Address” button to select the street address of the location.
  3. FIPS – this is the Federal Information Processing Standards code DBHDS must use for reporting purposes. Use the dropdown menu to select your location’s code, by county or city name.
  4. Specific Site– this is the place where the alleged violation occurred, for example: “Kitchen” or “Private Home” or “McDonald’s”.
  5. Waiver – Is the individual receiving services on a waiver? Select Yes or No.

IF Waiver = YES, these fields are required:

  1. Waiver Type – the type of waiver the individual is on. Use the dropdown menu to select the waiver type.
  2. Case Management Provider – the CSB which provides Case Management services for the individual. Use the dropdown menu to select.
  3. Medicaid Number – individuals on a waiver must have a Medicaid Number.
  1. Category – this is where the type of alleged violation is selected. These categories align with the COV Human Rights Regulations.
  2. Subcategory – select the more detailed sub-category of the alleged violation. These subcategories are populated in a dropdown menu based on the Category selected in #7 above. These also align with the COV Human Rights Regulations.
  3. Description of Complaint/Relief Requested – provide a description of the alleged violation. Include all pertinent details the investigator and the DBHDS advocate can use to fully investigate the allegation.
  4. Who Made the Allegation – this is the name of the person reporting the alleged violation.
  5. Date Complaint Made – the date the alleged violation was first reported by the person named in #9 above.
  6. To Whom Did They Report It – this is the name of the person to whom the alleged violation was reported by the individual named in #9 above.
  7. Who Reported to the Director – this is the name of the person who reported the alleged violation to the Director.
  8. Date/Time Reported – this is the date & time the alleged violation was reported to the Director
  9. Process – select Informal or Formal

At this time, the SAVE button should be clicked. The Complaint Record is saved into the CHRIS system and you will receive a Counter Number. This Counter Number = Human Rights Complaint Case Number. Also, your DBHDS Advocate and the DBHDS Office of Human Rights will be sent an email notification that a new Human Rights Complaint Record has been created. The email will contain the date/time, provider name, and the complaint case number.

Closing a Human Rights Complaint Record:

The following fields are the (minimum) required fields that will need to be filled out to complaint record:

By the Provider:

  1. On the NOTIFICATION tab:

IF the individual has a Substitute Decision Maker:

  1. Substitute Decision Maker Notification Date
  2. Substitute Decision Maker Notification Time
  1. On the ACCUSATION tab:

IF the Complaint is NOT FOUNDED:

  1. UNKNOWN will be entered in the Accused Last Name field.

IF the Complaint is FOUNDED:

  1. Correct Name will be entered in the Accused First & Last Name field.
  2. Position/Relation – must be selected from the dropdown menu
  3. Action Taken – there must be at least 1 Action Taken selected
  1. On theFINDINGS tab:
  2. Findings
  3. IF Process (from COMPLAINT tab) = INFORMAL:
  4. Description of Informal Resolution
  5. Date informal Resolution Offered
  6. Informal Resolution Status
  7. Date Informal Resolution Accepted/Declined
  8. IF Process (from COMPLAINT tab) = FORMAL
  9. Date Formal Process Began
  10. Point of Resolution
  11. Resolution

IF Resolution = OTHER

  1. Description of Resolution (If, other box)
  1. Date of Resolution
  2. Resolution/CAP
  1. Date Individual Notified
  2. IF there is a Substitution Decision Maker
  3. Date Substitute Decision Maker Notified – date the substitute decision maker was notified of the investigation findings (not the date the substitute decision maker was notified of the alleged violation - # 1 above)
  4. Responsible DBHDS Advocate Name

By the DBHDS Advocate:

  1. On the DBHDS ADVOCATE REPORT tab:
  2. At least 1 ADVOCATE ACTION REPORT must be completed
  3. Action Date - the date the action was taken
  4. Action – select from the dropdown menu
  1. On the INVESTIGATION tab:
  2. Case Status – should be set to CLOSED
  3. Date Case Closed
  4. Closed By Name

If the Violation Allegation goes to the LHRC, the following must also be completed by the Provider in order to close:

  1. On the LHRC tab:
  2. LHRC Review Requested By – use the dropdown menu to select
  3. IF Review Request Withdrawn = NO (not selected):
  4. Hearing Date
  5. At least 1 Decision
  6. Decision Date
  7. Appeal to SHRC

If the Violation Allegation goes to the SHRC, the following must also be completed by the Provider in order to close:

  1. On the SHRC tab:
  2. At least 1 SHRC Review Requested By
  3. IF Review Request Withdrawn = NO (not selected) AND Director’s Review Request Denied = NO (not selected):
  4. Hearing Date
  5. At least 1 Decision
  6. Decision Date
  7. Commissioner Date Notified