This Arizona regulation establishes notice and recordkeeping requirements for the grievance and investigation process within mental health facilities and service providers. Facility operators must inform all clients and employees of their right to file grievances, post required memoranda and forms prominently in inpatient units, and provide copies to all new and current residents. Operators must also maintain case records for each grievance or investigation, promptly notify the Administration of client deaths, abuse allegations, and criminal charges, and cooperate with oversight by the Office of Human Rights and Independent Oversight Committees.
View official sourceAriz. Admin. Code § R9-21-409 - Notice and Records State Regulations Compare A. Notice to clients. All clients shall be informed of their right to file a grievance or request for investigation under these rules. 1. Notice of this grievance and investigation process shall be included in the information posted or otherwise provided to every current and new client and employee. Special efforts shall be made to inform current and new residents of mental health facilities of this process and of the right to file a grievance or request for investigation; 2. A copy of a brief memorandum explaining these rules shall be given to every current and new resident of a inpatient facility; 3. Such memorandum and blank copies of the forms for filing a grievance, request for investigation, and appeal shall be posted in a prominent place in plain sight on every unit of an inpatient facility or in a program operated by a service provider; and 4. Such memoranda, forms and copies of these rules shall be available at each inpatient facility, health plan and service provider upon request by any person at any time. B. Notice and oversight by the Office of Human Rights and Independent Oversight Committees. 1. Upon receipt of any grievance or request for investigation involving a client, including a client who is in need of special assistance, the agency director shall immediately forward a copy of such grievance or request to the Office of Human Rights and the appropriate regional Independent Oversight Committee. 2. Upon receipt of such a grievance from the agency director, at the request of a client, or on its own initiative, the Office of Human Rights and/or the appropriate Independent Oversight Committee shall assist a client in filing a grievance or request, if necessary. The Office and/or committee shall use its best efforts to see that such client is represented by an attorney, human rights advocate, committee member, or other person to protect the individual's interests and present information on the client's behalf. The Office and/or committee shall maintain a list of attorneys and other representatives, including the state protection and advocacy system, available to assist clients. 3. Whenever the Independent Oversight Committee has reason to believe that a rights violation involving abuse or a dangerous condition requiring investigation, including a client death, has occurred or currently exists, or that any rights violation or condition requiring investigation occurred or exists which involves a client who is in need of special assistance, it may, upon written notice and a release signed by the member, or designated representative, giving permission for the IOC to join, sent to the official before whom the matter is pending, become a party to the grievance or request. As a party it shall receive copies of all reports, plans, appeals, notices and other significant documents relevant to the resolution of the grievance or request and be able to appeal any finding or decision. 4. The Office of Human Rights shall assist clients in resolving grievances according to R9-21-104 . C. Notification of other persons. 1. Whenever any rule, regulation, statute, or other law requires notification of a law enforcement officer, public official, medical examiner, or other person that an incident involving the death, abuse, neglect, or threat to a client has occurred, or that there exists a dangerous condition or event, such notice shall be given as required by law. 2. A mental health agency shall immediately notify the Administration when: a. A client brings criminal charges against an employee; b. An employee brings criminal charges against a client; c. An employee or client is indicted or convicted because of any action required to be investigated by this Article; d. A client of an inpatient facility, a mental health agency, or a service provider dies. The agency director shall report such death according to the Administration's policy on the reporting and investigation of deaths. e. A client of an inpatient facility, a mental health agency, or a service provider allegedly is physically or sexually abused. 3. The investigation by the Administration provided for by this Article is independent of any investigation conducted by police, the county attorney, or other authority. D. Case records. 1. A file, known as the case record, shall be kept for each grievance or request for investigation which is received by the Administration, ASH, health plan or service provider under contract or subcontract with the Administration. The record shall include the grievance or request, the docket number or matter number assigned, the names of all persons interviewed and the dates of those interviews, either a taped or written summary of those interviews, a summary of documents reviewed, copies of memoranda generated by the investigation, the investigator's report, the agency director's decision, and all documents relating to any appeal. 2. The investigator shall maintain possession of the case record until the investigation report is submitted. Thereafter, the agency director shall maintain control over the case record, except when the matter is on appeal. During any appeal, the record will be in the custody of the official who hears or decides the appeal. E. Public logs. 1. The Administration and health plan shall maintain logs of deaths and non-frivolous grievances or requests for investigation for inpatient facilities, agencies, service providers, and mental health agencies which it operates, funds, or supervises. 2. The log maintained by the Administration shall not include personally identifiable information and shall be a public record, available for inspection and copying by any person. 3. With respect to each grievance or request for investigation, the Administration's log shall contain: a. A unique docket number or matter number; b. A substantive but concise description of the grievance or request for investigation; c. The date of the filing of grievance; d. The date of the initial decision or appointment of investigator; e. The date of the filing of the investigator's final report; f. A substantive but concise description of the investigator's final report; g. The date of all subsequent decisions, appeals, or other relevant events; and h. A substantive but concise description of the final decision and the action taken by the mental health agency or the Administration. Notes Ariz. Admin. Code § R9-21-409 Adopted under an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 301, § 61, effective October 7, 1992; received in the Office of the Secretary of State October 14, 1992 (Supp. 92-4). Amended under an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 301, §61, effective September 30, 1993 (Supp. 93-3). Amended by exempt rulemaking at 9 A.A.R. 3296, effective June 30, 2003 (Supp. 03-2). Amended by final rulemaking at 22 A.A.R. 2019 , effective 7/12/2016 . Amended by final rulemaking at 29 A.A.R. 898 , effective 5/30/2023 . State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare. No prior version found. State Regulations Toolbox