The division shall receive and record complaints by
individuals using the services, employees, any interested people, and the
public relating to or alleging violations of applicable requirements of the
Iowa Code or administrative rules.
(1)
Submittal of complaint. The complaint may be submitted in
person; or by mail to the
Division of Mental Health and Disability Services,
Community,
Department of Human Services, Hoover State Office Building, Fifth
Floor, 1305 East Walnut, Des Moines, Iowa 50319-0114; electronically through
the
department's website; by email to
division staff; or by telephone.
a. The division shall assist individuals in
making a complaint as needed or requested.
b. The information received should
specifically state the basis of the complaint. The division shall keep the name
of the complainant confidential to the extent allowed by law.
(2)
Review of
complaint. Upon receipt of a complaint, the division shall make a
preliminary desk review of the complaint to determine an appropriate response.
That response may include notifying the person who submitted the complaint that
there is no basis for a review, referring the complaint to another
investigative body, or making a determination to do a full investigation. The
complainant may submit a written request for a report of the findings and
actions taken by the division as a result of the complaint.
(3)
Investigation of
complaint. If the
division concludes that the complaint is reasonable,
has merit, and is based on a violation of rules in this chapter, it may make an
investigation of the organization. The
division may investigate complaints by
an office desk audit or by an on-site investigation. The
division shall give
priority for on-site investigations to instances when individuals using the
service are in immediate jeopardy.
a. If a
decision is made to conduct an on-site investigation, the on-site review does
not require advance notice to the organization. The division shall notify the
chief executive officer and board chairperson of the organization involved
before or at the commencement of the on-site investigation that the division
has received a complaint.
b. The
division shall give the organization an opportunity to informally present a
position regarding allegations in the complaint. The organization may submit
the position in writing within five working days following the on-site visit or
present it in a personal conference with division staff.
c. The division shall submit a written report
by certified mail to the chief executive officer of the organization and the
chairperson of the board of directors within 20 working days after completion
of the investigation.
d. The report
shall indicate whether the complaint was or was not substantiated, the basis
for the substantiation or nonsubstantiation decision and the specific rules
violated, and a recommendation for corrective action with time lines specified
in the report.
e. If the complaint
is substantiated, the division may take actions deemed appropriate, which may
include requiring a corrective action plan, shortening the term of
accreditation or suspending or revoking an organization's accreditation,
depending on the severity of the substantiated complaint.
f. When the division suspends, shortens or
revokes an organization's accreditation as the result of a substantiated
compliant, the organization will be notified by certified mail of the findings
and actions taken by the division.
g. The date of delivery shown by the
certified mail stub shall constitute the date of official notice.
(4)
Corrective action
plan. When the
division acts to suspend or revoke
accreditation, there
will be no corrective
action plan. In other instances, if the complaint is
substantiated, the organization shall submit a corrective
action plan to the
division within 20 calendar days after receiving the
division's decision. This
plan must respond to violations cited and the
division's requirements and
include time lines, internal monitoring systems, and performance improvement
planning.
Failure of the organization to respond within 20 calendar
days with an acceptable corrective action plan that addresses the
organization's plan of correction following a substantiated investigation or
complaint may of itself constitute the basis for revocation or suspension of
accreditation. The division shall determine the appropriate action based on the
information submitted. The division shall notify the organization in writing of
any action taken.
