The Chapter 33 Rule governing physical restraint and seclusion specifies a complaint process for parents to follow, first at the local SAU level, and then if dissatisfied with the local result, parents may file a complaint with the Maine Department of Education.  This document is to be followed when a parent files complaint with the Maine DOE to assure consistency between filed complaints and a thorough investigation, if necessary.

from Chapter 33   SECTION 11. COMPLAINT PROCESS 
1. Local Complaint Process 
Parent complaints related to restraint and seclusion must be submitted to the covered entity in accordance with local policy and procedure. 
2. Department of Education Complaint Process 
Any parent who is dissatisfied with the result of the local complaint process may file a complaint with the Department of Education, which complaint is not considered an appeal of that local process. The Department shall review the results of the local complaint process and may initiate its own investigation of the complaint, and shall issue to the complaining parent and the covered entity a written report with specific findings within 60 days of receiving the complaint. If a violation is found, the Department shall develop a corrective action plan by which the entity will achieve compliance.
Maine Department of Education Complaint Process Protocol and Procedures
A.	The Student Assistance Coordinator (Maine DOE Restraint and Seclusion consultant) is contacted by a parent(s). 
B.	The consultant determines if the parent has submitted a complaint to the local SAU. 
If no, direct parent to local policy and provide any relevant technical assistance.
If yes, the consultant determines if the local complaint process is complete and that there are final results.
	If local complaint process is complete and there are final results, begin investigation.  60 days begins. 
If local complaint process is not complete, then status of the of Maine DOE Complaint Process is considered
pending until final results of the local complaint process are received from the parent and/or the local SAU. 
C.	Investigation steps:  
1.	The consultant determines objective(s) of the complaint.  
2.	The consultant requests the final results of the local complaint process from the parent and the SAU.  
3.	Once results are collected, the consultant reviews the final results of the local complaint process and supporting evidence thus far, and prepares an overview of the complaint.
4.	The consultant collaborates with other Maine DOE staff to determine if an investigation should be initiated.  
Initiation of investigation is dependent upon, but not limited to:
•	the parent indicates in a phone conversation and/or in writing that he or she is dissatisfied with an outcome/final results of the local complaint process
•	whether the parent disputes facts found by the SAU in the local complaint process
•	the scope and thoroughness of the SAU’s investigation
5.	The parent and SAU are notified that an investigation will begin.
6.	The consultant and other Maine DOE staff review the final results to determine findings as they relate to the dissatisfaction of the parent.
a.	The consultant communicates with the parent and the SAU throughout the DOE complaint process.
b.	Where relevant, the consultant asks clarifying questions of the parent and the SAU, as needed throughout the process.
c.	When necessary, the consultant meets with the parent and interviews staff members of the SAU with knowledge regarding the facts underlying the complaint, either separately or together.
7.	Once findings are compiled, the consultant shares the findings with both parties in writing.
8.	If a violation(s) is found, the consultant will meet with the SAU to develop a corrective action plan.
•	In order for the SAU to achieve compliance, actions will be taken directly related to the findings resulted from the investigation.