OKDHS - OAC 340:75-1-12.2. Appeal process

340:75-1-12.2. Appeal process

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Revised 3-26-10

(a) Purpose. The 1996 Child Abuse Prevention and Treatment Act (CAPTA), Section 5101 et seq. of Title 42 of the United States Code, requires the Oklahoma Department of Human Services (OKDHS) Child Welfare (CW) to provide an appeal process for persons who disagree with a substantiated finding of child abuse or neglect. The appeal process:

(1) provides for the review of any substantiated finding by program staff not directly involved in the investigation; and
(2) serves as a quality assurance mechanism to assess compliance of staff findings with Child Protective Services (CPS) standards, per OAC 340:75-3.

(b) Eligibility criteria. A person may request a review through the appeal process when:

(1) the person is a person responsible for the child (PRFC), per OAC 340:75-3-2, in an investigation involving abuse or neglect allegations; and
(2) the investigation results in a finding of substantiated services recommended or substantiated court intervention requested regarding the PRFC; and
(3) no deprived petition is filed or amended to reflect allegations directly related to the substantiated findings; or
(4) a deprived petition is filed with allegations directly related to the substantiated findings and the court case is dismissed prior to adjudication.

(c) Investigations not eligible for appeal. The appeal process applies only to investigations conducted by OKDHS CW. Investigations that are not eligible for the appeal process include investigations of child abuse or neglect conducted by:

(1) a tribal representative on tribal land; or
(2) the OKDHS Office of Client Advocacy.

(d) Procedures for appeal process. The procedures for the appeal process are outlined in (1) through (4).

(1) Notification of PRFC. Upon substantiation of abuse, neglect, or both, the CW worker notifies the PRFC of the finding by mailing Forms 04KI019E, Notification Concerning Finding(s) of Child Abuse/Neglect, and 04KI020E, Request for Appeal, provided the criteria in OAC 340:75-1-12.2(b)(1) through (4) are met. Forms 04KI019E and 04KI020E are:
- (A) mailed within ten calendar days of substantiation of abuse or neglect;
- (B) mailed to the PRFC's last known address.
  - (i) Form 04KI019E informs the PRFC of:
    - (I) any substantiated child abuse or neglect finding in an investigation; and
    - (II) the date of the abuse or neglect referral, allegation, and finding without identifying the reporting party.
  - (ii) Form 04KI020E specifies:
    - (I) the PRFC may file an appeal by mailing a request to Children and Family Services Division (CFSD) Appeals Section within 15 calendar days from the postmark of Form 04KI020E; and
    - (II) failure to submit an appeal request within 15 calendar days from the postmark of Form 04KI020E results in the finding becoming final and the PRFC waives any right to appeal this finding in the future, unless good cause is established per OAC 340:75-1-12.2(d)(2); and • 1
- (C) not mailed to the PRFC when case records reflect that notification may place family members at risk. • 2
(2) Conditions of good cause. A PRFC must be granted a review despite failure to make a timely response, provided good cause is established, including, but not limited to, severe illness or other disabling condition.
(3) Response to appeal request from PRFC. If the PRFC requests a review within the required time, the CFSD Appeals Section responds to the PRFC through written notice within ten calendar days following receipt of the PRFC's request for review. The CFSD Appeals Section notifies the PRFC:
- (A) of the right to provide additional information through written statements, that must be submitted within 30 calendar days from the postmark of the notification that the appeal was accepted for review;
- (B) that failure to submit additional information within 30 calendar days results in a waiver of this right, unless good cause is established per OAC 340:75‑1‑12.2(d)(2); and
- (C) that verification of legal representation must be established if the PRFC desires notification to an attorney of the determination results. Verification is established by a:
  - (i) release of information signed by the PRFC; or
  - (ii) statement of representation on official letterhead from the attorney. • 3
(4) Procedure for conducting the review. Within 90 days following acceptance of the PRFC's timely request for a review, or a late request in which good cause is established per OAC 340:75-1-12.2(d)(2), the CFSD Appeals Committee determines whether the substantiated finding meets the criteria for substantiated, per OAC 340:75-3.
- (A) The decision to uphold or reverse the original finding is final and reached by reviewing:
  - (i) Form 04KI003E, Report to District Attorney, and attachments, and relevant CW information as documented in the Report to DA; and
  - (ii) all written statements submitted by the PRFC.
- (B) If determination establishes that a finding failed to meet the criteria for substantiation, the CFSD Appeals Committee reverses the finding. If the finding is reversed, a new finding is entered in KIDS by the CFSD Appeals Section.
- (C) Notification of the final determination of the finding is the responsibility of the CFSD Appeals Section. Notification must be made within 90 days following acceptance of the appellant's request for a review. Written notification is sent to the:
  - (i) appellant;
  - (ii) county director, CW field liaison, CW supervisor, and CW worker;
  - (iii) office of the district attorney in the county in which the finding originated; and
  - (iv) tribe, if applicable.

INSTRUCTIONS TO STAFF 340:75-1-12.2

Revised 3-26-10

1. Notification to PRFC.

(1) When to send. The CW supervisor ensures Forms 04KI019E and 04KI020E are sent to each person responsible for the child (PRFC) identified during the investigation, within ten calendar days after an investigation with a substantiated finding is approved by the CW supervisor.

(2) How to send. KIDS generates Forms 04KI019E and 04KI020E. The address of the PRFC populates to Form 04KI019E designed to display the PRFC's address in a window envelope. Forms 04KI019E and 04KI020E are mailed:

(A) in a number 10 window envelope with the county office return address printed in the left hand corner;

(B) so that the PRFC's full address shows in the window; and

(C) by first class delivery.

2. Justification for not sending Forms 04KI019E and 04KI020E must be thoroughly documented in KIDS Contacts screens.

3. Response to appeal request from an Oklahoma Department of Human Services (OKDHS) employee.

(1) In lieu of a review by the Children and Family Services Division (CFSD) Appeals Committee, an OKDHS employee may request a review by programs staff comprised of:

(A) CFSD Prevention, Protection and Post-Adoption Services Unit programs administrator;

(B) programs manager; and

(C) programs field representative.

(2) Requests for review by programs staff must be submitted in writing at the time of the appeal request.

4. Final determination.

(1) CFSD Appeals Section notifies the appellant, county director, CW field liaison, CW supervisor, CW worker, office of the DA, and appropriate programs staff, such as CFSD and Oklahoma Child Care Services, of the final determination regarding whether the substantiated finding is upheld or reversed.

(2) CW staff prints the final determination e-mail and files in the child's CW case record and, if applicable, resource record.

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