1. (a) Purpose. The purpose of this rule is to establish the process by which complaints may be filed with and handled by the Office of the Independent Ombudsman (OIO).

2. (b) General Information.

   1. (1) The name, mailing address, and phone number used for the purpose of directing inquiries and complaints to the OIO, and a link to the OIO website shall be available on the Texas Youth Commission (TYC) website, as well as on informational material distributed by the OIO.

      1. (A) OIO staff shall process complaints and inquiries from the public.

      2. (B) OIO staff shall conduct investigations of complaints if the OIO determines that the complaint is not alleging criminal behavior and:

         1. (i) a youth committed to TYC or the youth's family may be in need of assistance; or
         2. (ii) a systemic issue in the TYC provision of services is raised by the complaint.
   2. (2) Any OIO employee or agent may receive an inquiry or complaint and is required to ensure it is given to the correct person for resolution.
   3. (3) The OIO shall request that complaints and inquiries be provided in writing, although verbal complaints and inquiries shall be accepted.

   4. (4) The OIO shall request that complaints and inquiries contain specific relevant details, including:

      1. (A) the name of any involved party(ies);
      2. (B) the TYC number of any youth involved in the complaint or inquiry; and
      3. (C) any locations, dates, and times.
   5. (5) All OIO staff responding to a complaint or inquiry from the public shall act in a courteous manner and in accordance with established OIO policies.

3. (c) Investigation and Resolution of Complaints and Inquiries.

   1. (1) OIO staff shall use every means appropriate to obtain as much information as possible regarding an inquiry or complaint in order to provide a complete and thorough response. Investigative paths may include, but are not limited to:

      1. (A) research of policies and procedures for general operations questions;
      2. (B) research of available records regarding a youth on TYC database systems;
      3. (C) requesting information/investigation from the appropriate proponent. All investigations are evaluated to ensure they are complete and thorough;
      4. (D) consulting with other individuals or entities, outside of TYC, who are knowledgeable of an issue addressed in the complaint or inquiry; or
      5. (E) referring inquiries or complaints regarding youth protection issues or alleged criminal conduct to the TYC Office of Inspector General (OIG).
   2. (2) Following an OIO investigation or a referral to the OIG or other entity, the assistant ombudsman will draft a response and provide a copy to the ombudsman.
   3. (3) The ombudsman or the ombudsman's designee shall periodically review all closed complaints and inquiries to ensure that the inquiry or complaint has been addressed.

4. (d) Response Timeframes.

   1. (1) Complaints and inquiries from the public shall generally be responded to within ten workdays. If OIO staff is unable to respond within ten workdays, an extension must be requested from the ombudsman.
   2. (2) Complaints and inquiries from federal and state officials or their staff members shall generally be responded to within five workdays. If OIO staff is unable to respond within five workdays, an extension must be requested from the ombudsman.
   3. (3) Allegations of life threatening situations involving youth-on-youth or staff-on-youth behavior and allegations of sexual assault shall be reported immediately (same day received) to the OIG and the ombudsman by the appropriate assistant ombudsman. The initial response shall be an acknowledgement of receipt of the allegation and assurance that action is being taken or notification that the issue has been referred to the OIG for investigation.
   4. (4) At least every 30 days until the final disposition of the complaint, OIO staff shall notify the complainant of the status of the complaint unless notice would jeopardize an on-going criminal investigation.

5. (e) Documentation of Complaints and Inquiries.

   1. (1) An information file shall be maintained for each complaint or inquiry filed. At a minimum, the following information shall be included in the file:

      1. (A) the name of the person who filed the complaint or inquiry;
      2. (B) the date the complaint or inquiry was received;
      3. (C) the subject matter of the complaint or inquiry;
      4. (D) the name of each person contacted in relation to the complaint or inquiry;
      5. (E) a summary of the results of the review or investigation of the complaint or inquiry; and
      6. (F) an explanation of the reason the file was closed, if the file was closed without taking action.
   2. (2) Files shall be retained in accordance with the OIO records retention schedule.

Source Note:The provisions of this §601.8 adopted to be effective April 3, 2011, 36 TexReg 2006.