1704 Conducting Complaint and Incident Investigations

Georgia State Seal

Department of Human Services
Policy and Manual Management System

Index:

POL 1704

Revised:

04/01/2024

Next Review:

04/01/2026

Policy

It is the policy of Residential Child Care Licensing (RCCL) to receive and evaluate complaints and incidents concerning the care and services provided by entities subject to child welfare agency licensure. RCCL conducts two types of investigations:

  1. Complaint investigations: Investigations of alleged non-compliance of licensing rules and regulations reported by citizens, RCCL Surveyors, and other state and community agencies.

  2. Incident investigations: Investigations of possible non-compliance of licensing rules and regulations resulting from self-reported serious or unusual incidents.

RCCL will investigate those complaints and incidents that, if substantiated, would indicate that a facility or agency is not in compliance with the Rules and Regulations of the Department of Human Services.

Authority

O.C.G.A. §§ 49-5-8
O.C.G.A. §§ 49-5-12

References

RCC TRAILS
POL-1710 Prioritizing and Assigning Complaint/Self-Reported Incident Investigations
RCCL Complaint/Incident Process Flowchart
RCCL Enforcement Actions

Applicability

This policy applies to all RCCL staff.

Definitions

Allegation

An assertion of improper care against a licensed provider that could result in a deficiency.

Complaint

An oral or written report made to RCCL by anyone other than the administrator or authorized official for a provider that alleges noncompliance with State laws and regulations.

Investigation

Steps taken by RCCL staff to determine the validity of a report of possible noncompliance with applicable Rules and Regulations of the Department of Human Services.

Self-Reported Incident

A statement, either oral or written, received from an authorized representative of a licensed or certified facility that the facility is required to report by law or regulation to RCCL.

Substantiated Allegation

An allegation is substantiated if a preponderance of evidence supporting an assertion of noncompliance with applicable Rules and Regulations of the Department of Human Services, is obtained during an investigation.

Inconclusive Allegation

An allegation is inconclusive if an insufficient amount of evidence supporting an assertion of noncompliance with applicable Rules and Regulations of the Department of Human Services, is obtained during an investigation.

Unsubstantiated Allegation

An allegation is unsubstantiated if little or no evidence supporting an assertion of noncompliance with applicable Rules and Regulations of the Department of Human Services, is obtained during an investigation.

Responsibilities

  1. The RCCL Director is responsible for monitoring requirements for updating this policy.

  2. The RCCL Publisher and the Training and Development Supervisor will update this policy according to state requirements.

History

Replaces Conducting Complaint and Incident Investigations POL1704, last reviewed on 4/01/2024.

Evaluation

The RCCL Director, Program Director, Surveyor Manager, Intake/Triage Supervisor and RCCL Surveyor Supervisors will evaluate this policy when:

  1. Conducting monthly data analysis of RCCL reports.

  2. Conducting random weekly quality assurance audits of reports received by Triage.

  3. Conducting random weekly reviews of intakes assigned for investigations.