<?xml version='1.0' encoding='utf-8'?>
<regulation prefix="Regulation" num=".12" citation="COMAR 12.02.28.12" title_num="12" subtitle_num="02" chapter_num="28" heading="Formal Resolution of an Inmate Complaint — Investigation.">
  <paragraph num="A.">
    <text>If a Request form is not procedurally dismissed under this chapter, a facility ARC:</text>
    <paragraph num="(1)">
      <text>On the date the Request form is indexed, shall:</text>
      <paragraph num="(a)">
        <text>Complete and send the receipt portion of the Request form to the inmate; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Review the request to determine the nature of the Request form in order to assign the investigation to the unit liaison familiar with the area or subject matter that is the basis of the Request form.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>May not assign the request for investigation to an employee if that assignment is to an employee who is the subject of the complaint.</text>
    </paragraph>
  </paragraph>
  <paragraph num="B.">
    <text>If a Request form is received at the inmate’s current facility, but the complaint is based on an incident occurring at the inmate’s previous facility, the managing official, or facility ARC at the inmate’s:</text>
    <paragraph num="(1)">
      <text>Current facility shall:</text>
      <paragraph num="(a)">
        <text>Index the Request form at the current facility;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Forward the Request form to the managing official of the facility where the incident occurred; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Maintain a copy of the Request form at the inmate’s current facility.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Previous facility shall:</text>
      <paragraph num="(a)">
        <text>Respond to the Request form as though the Request form was originally received at that facility;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Complete all requirements of the ARP as established under this chapter;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Forward a copy of the resulting ARP documentation to the current facility for:</text>
        <paragraph num="(i)">
          <text>Notification to the inmate;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Updating the index; and</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Filing in the current facility’s ARP file; and</text>
        </paragraph>
      </paragraph>
      <paragraph num="(d)">
        <text>Maintain the original documentation in the current facility’s ARP files.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>A unit liaison assigned to conduct an investigation of a Request form under this chapter is responsible for ensuring that the investigation is completed and may:</text>
    <paragraph num="(1)">
      <text>Personally conduct the assigned investigation; or</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Reassign the investigation to another employee in the unit.</text>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>An investigation of a Request form shall, absent good cause for not conducting an interview include an interview with:</text>
    <paragraph num="(1)">
      <text>The inmate filing the Request form;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>A relevant witness named by the inmate; and</text>
    </paragraph>
    <paragraph num="(3)">
      <text>A relevant employee, including a health care provider, involved in or able to provide relevant information related to the complaint and who, unless good cause exists, shall submit a written report of the information provided to the assigned investigator.</text>
    </paragraph>
  </paragraph>
  <paragraph num="E.">
    <text>If interviewing an inmate or multiple inmates involved in the complaint would pose a threat to safety or security at the facility, the interviews may not be required and the justification for not conducting the interview shall be included in the Administrative Remedy Procedure Case Summary form.</text>
  </paragraph>
  <paragraph num="F.">
    <text>At the North Branch Correctional Institution, interviews of relevant inmates may be conducted using the facility intercom system to accommodate security requirements; however, personal interviews shall be conducted, absent good cause, if the intercom system is inoperable at the time of the interviews or if privacy concerns prevent use of the system.</text>
  </paragraph>
  <paragraph num="G.">
    <text>An investigation of a Request form shall:</text>
    <paragraph num="(1)">
      <text>In addition to interviews under §D of this regulation, include a:</text>
      <paragraph num="(a)">
        <text>Review of records, reports, policy and procedures, and other documents relevant to the inmate complaint;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Finding of facts that chronologically identifies the events related to the inmate complaint; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Recommendation and written justification determining the inmate complaint is considered:</text>
        <paragraph num="(i)">
          <text>Meritorious;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Meritorious in part; or</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Dismissed;</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Be completed within the period determined by the facility ARC;</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Documented using an Administrative Remedy Procedure Case Summary form that:</text>
      <paragraph num="(a)">
        <text>Includes:</text>
        <paragraph num="(i)">
          <text>Information obtained from interviews and, if applicable, justification for not conducting a required interview;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Information obtained by reviewing documents;</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Findings of fact; and</text>
        </paragraph>
        <paragraph num="(iv)">
          <text>A recommendation and justification for the recommendation as to the disposition of the case; and</text>
        </paragraph>
      </paragraph>
      <paragraph num="(b)">
        <text>Is submitted to the managing official or facility ARC assigning the case for investigation within the time frame established by the managing official or facility ARC.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="H.">
    <text>A managing official or facility ARC receiving a report and related documents under §G of this regulation shall review the report and related documents to ensure that the investigative actions and related documentation meet requirements of this chapter, and:</text>
    <paragraph num="(1)">
      <text>If the managing official’s or facility ARC’s review determines that the Administrative Remedy Procedure Case Summary is deficient or incomplete shall:</text>
      <paragraph num="(a)">
        <text>Return the documents to the investigator responsible for the investigation;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Provide instruction as to correcting the identified deficiencies; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Establish a date for the investigator to return the documents with deficiencies resolved; or</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>If the managing official’s or facility ARC’s review determines the report and related documents are sufficient, shall prepare a response using the Administrative Remedy Request form, for the managing official’s signature or the Commissioner’s signature to the inmate submitting the Request form that is based on:</text>
      <paragraph num="(a)">
        <text>The case summary;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Attached documentation and reports; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>The investigator’s recommendation;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>The response required under §H(2) of this regulation shall:</text>
      <paragraph num="(a)">
        <text>Be provided to the inmate within 30 calendar days of the date the inmate filed a formal complaint using the ARP, unless an extension is authorized under §K of this regulation;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>In the first sentence of the response appropriately state that the complaint is:</text>
        <paragraph num="(i)">
          <text>Meritorious;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Meritorious in part; or</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Dismissed;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(c)">
        <text>Address each element and allegation of the complaint;</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Be easy to understand;</text>
      </paragraph>
      <paragraph num="(e)">
        <text>Clearly state the facts upon which the decision is based;</text>
      </paragraph>
      <paragraph num="(f)">
        <text>Provide an explanation of any remedy resulting from the findings;</text>
      </paragraph>
      <paragraph num="(g)">
        <text>Notify the inmate that the decision may be appealed to the Commissioner; and</text>
      </paragraph>
      <paragraph num="(h)">
        <text>Be forwarded to the managing official for review.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="I.">
    <text>A managing official receiving documents under §H(3)(g) of this regulation shall review the information and if the action related to resolving the inmate complaint is determined:</text>
    <paragraph num="(1)">
      <text>Unsatisfactory, return the documents to the ARC with instructions directing additional action or information and resubmittal for review; or</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Satisfactory, sign and date the appropriate documents and return all documents to the ARC.</text>
    </paragraph>
  </paragraph>
  <paragraph num="J.">
    <text>An ARC receiving:</text>
    <paragraph num="(1)">
      <text>An unsatisfactory finding under §I(1) of this regulation shall ensure steps are taken to address any deficiencies and return the document so that notification to the inmate filing the request is made within the established time frame; or</text>
    </paragraph>
    <paragraph num="(2)">
      <text>A satisfactory finding under §I(2) of this regulation shall, within the established time frame, distribute:</text>
      <paragraph num="(a)">
        <text>The original and one copy of the completed Request form to the inmate filing the Request form; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>A copy of the Request form signed by the inmate and originals of related documents to the ARP file.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="K.">
    <text>Extension of 30 Calendar Day Processing Requirement.</text>
    <paragraph num="(1)">
      <text>If apparent that conditions beyond the correctional facility’s control exist, making 30 calendar days insufficient to complete processing a Request form, the managing official is permitted one extension of 15 days.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>If the managing official, or a designee, extends the time for responding to a Request form, the ARC, before expiration of the original 30 calendar day period, shall:</text>
      <paragraph num="(a)">
        <text>Complete an Administrative Remedy Process Extension form;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Forward the completed Administrative Remedy Process Extension form to the inmate filing the Request form whose approval of the extension is not required.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>The ARC shall include the Administrative Remedy Process Extension form in the documents related to the Request form.</text>
    </paragraph>
  </paragraph>
  <paragraph num="L.">
    <text>An inmate may appeal a decision made under this regulation in accordance with provisions under Regulation .14 of this chapter.</text>
  </paragraph>
</regulation>