13-005 Code Vt. R. 13-130-005-X
The Department of Corrections is committed to the use of alternative dispute resolution practices that promote problem resolution at the earliest possible level and that draw upon restorative practices for dispute resolution. Ideally, most grievances can be resolved at the lowest and earliest possible level, as a result of good communication between the offender and local departmental employees. However, because informal solutions to grievances are not always possible, the Department of Corrections has a responsibility to maintain formal procedures designed to resolve offender complaints in a timely and consistent manner.
Department - The Department of Corrections, its Commissioner or designee
Chain of Command - Line of reporting authority
Grievance - A grievance is a formal written complaint filed by an offender concerning a departmental action, incident, policy or condition which affects that offender.
Emergency Grievance -- A grievance processed by expedited methods to resolve an issue which presents:
Informal Complaint - An informal complaint is one that is made orally or in writing to a Department of Corrections staff person whereby an attempt at problem resolution is made prior to the initiation of formal grievance.
Alternative Dispute Resolution - Techniques other than formal appeals or judicial processes that include advanced verbal communication techniques, negotiation, mediation or other practices to resolve a dispute.
Business days - Monday through Friday, excluding weekends and recognized State holidays
. Training on departmental offender grievance policy, procedures and associated administrative directives will be part of the departmental training curriculum.
. Individual work site managers will ensure that all staff knows how the policy, procedures and administrative directives are implemented at their assigned work site.
. Employees will be notified that they will be disciplined if they retaliate against offenders for using the grievance system.
. Employees will be trained in problem resolution techniques.
. All offenders will receive notice of the offender grievance system as part of their orientation or at intake, whether facility or field, sentenced or detained. Notice will include a statement that they cannot be retaliated against for filing a grievance and information on what to do if they experience retaliation.
. Offenders will document the receipt of the notice, and the acknowledgment by the offender that they have received notice will be maintained by all work sites.
. Offenders will receive written instruction as well as oral presentation where necessary.
o Any offender who requests help in filing a grievance will receive assistance as needed.
. Individual Facility Superintendents and Field Managers will ensure that offenders are informed about the grievance system.
The Superintendent or Field Manager will regularly review the content of emergency grievances with the relevant Field and Facilities Executives to identify trends in type, staff, location and offender utilization.
A grievance alleging serious employee misconduct, where if proven the behavior would likely result in disciplinary action being taken against the employee, will be forwarded to the Superintendent or Field Manager and the Department of Corrections Hearing Administrator, who will forward it to the Agency of Human Services Personnel Administrator for investigation and response.
With the exception of grievances that are emergency in nature (see section 2a above) or that allege serious employee misconduct (see section 3 above), the staff and offender must make an attempt at informal problem resolution prior to the filing of formal grievance. An identifiable solution or plan to resolve the complaint shall be agreed on by the staff and offender within 48 hours of the complaint being identified. If no plan can be agreed on, the complaint will move to a formal grievance if desired by the offender. In these situations the Department will ensure that informal resolutions are agreed on in writing by the offender.
With the exception of grievances that allege staff misconduct or criminal activity (see section 3 above) all grievances investigated by the Department of Corrections will adhere to the following timelines.
. Appeal to the Commissioner will be responded to within 20 business days.
o Appeals to the Commissioner involving Emergency Grievances will be screened for expedited response as needed.
. With the exception of an Emergency grievance, extensions by the Department of Corrections may be made once at any given step.
. The grievant must be notified in writing of the continuance, the length of the continuance and the reason for the continuance.
. The length of the continuance will not exceed 20 business days.
When a grievance is returned to the offender, they will be notified in writing of the reason why the grievance was not accepted and given the opportunity to rewrite and resubmit the grievance if they choose.
. uses profanity; derogatory or obscene statements; or those that were meant simply to harass without mention of any grievable action or event;
. is repetitive or identical to a grievance already in process;
. involves actions and events that have another existing appeals process or are already under formal investigation or appeal;
. involves decisions made by the court that the department has no jurisdiction to overturn;
. involves decisions made by the Parole Board that the department has no jurisdiction to overturn;
. is incomplete in that it does not mention any grievable event or provide information that can be investigated.
. investigation and assignment of grievances for investigation as needed
. ensuring that all timelines are met
. ensuring data system and related record maintenance
. ensuring coordination between facility and field offices as needed for grievances that involve circumstances or issues from both field and facility
. ensuring coordination between facilities as needed when an inmate is moved from one facility to another prior to the resolution of a grievance.
A Department-wide Grievance Data System will be maintained. The system will be capable of accurate recording and tracking of all written grievances and their status.
The Department of Corrections will generate, at a minimum, annual reports for review with the Executive Management Team and the Commissioner or his/her designee. Reports will include a review of the trends and frequency of grievances filed.
A review of departmental directives associated with this rule will be completed with any necessary updates of relevant documents and procedures within one year of this rule taking effect. 3 V.S.A. § 831(a) and 28 V.S.A. § 854
13-005 Code Vt. R. 13-130-005-X
AMENDED: March 15, 2006 (Secretary of State Rule Log # 06-006)