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5300 Desk Review for Designated Perpetrators

APS IH April 2018

When APS validates an allegation of abuse, neglect, or financial exploitation against a designated perpetrator, including minors, APS notifies the designated perpetrator of the findings and offers a desk review.

The desk review is an informal review conducted by the program administrator or designee for APS. The designated perpetrator is not present during the desk review. The outcome of the review is final and cannot be appealed. Findings validated and upheld through the desk review process may not be released outside DFPS.

When the designated perpetrator is a DFPS employee, APS gives him or her the option of an expedited administrative review. See the operations policy HR-3101 Abuse, Neglect, or Exploitation Allegations Against DFPS Employees on the DFPS intranet.

See

5336 Circumstances in Which Findings May be Released (Release Hearing)

Expedited Administrative Reviews Involving DFPS Employees (tip sheet).

5310 Designated Perpetrators Ineligible for a Desk Review

APS IH April 2018

Some designated perpetrators are not eligible for a desk review, but may be eligible for other types of reviews or hearings. This includes persons who are:

  •   subject to inclusion on the Employee Misconduct Registry (EMR) (see 5410 Employee Misconduct Registry);

  •   eligible for due process but not subject to inclusion on the EMR (see 5420 Due Process for Non-EMR Cases); or

  •   school employees (see 5444 Administrative Review in School Personnel Cases).

Designated perpetrators may also be ineligible for a desk review if:

  •   the allegations are valid-no fault or self-neglect;

  •   during the investigation, the APS specialist was unable to locate the designated perpetrator despite reasonable efforts to do so;

  •   during the investigation, it was determined it would place the client at risk of harm to interview the designated perpetrator;

  •   notifying the designated perpetrator of the findings will place the client, the reporter, or any other person who participated in the investigation at risk of serious physical or emotional harm; or

  •   notifying the designated perpetrator will make it impossible to provide services to the client.

Law enforcement or prosecuting attorneys may request the notification be delayed because of a pending criminal investigation or court proceeding.

5320 Notifying the Designated Perpetrator About Findings and Eligibility for a Desk Review

APS IH April 2018

Upon completion of the investigation and supervisor approval in IMPACT, the APS specialist notifies the designated perpetrator that:

  •   the findings of the investigation are valid; and

  •   he or she is eligible to request a desk review.

The APS specialist sends the notification by certified mail, with a return receipt requested, and includes the following forms:

Form 2248 Notice of Findings to Designated Perpetrator

Form 2249 Request for Desk Review

If the designated perpetrator’s current mailing address is unknown, the APS specialist mails the forms to the designated perpetrator’s last known address.

If the designated perpetrator is a minor, the APS specialist sends the forms to the minor’s parent or legal guardian.

The APS specialist documents that he or she sent the notification by entering the letter and the return receipt in IMPACT on the External Documentation page, as outlined in 5212 External Case File.

When No Notification Is Needed

No notification to the designated perpetrator is needed if the APS specialist, in consultation with the APS supervisor, concludes that:

  •   the designated perpetrator cannot be located;

  •   the designated perpetrator should not be notified; or

  •   notification must be delayed because of a request by law enforcement or a prosecuting attorney.

If a designated perpetrator is not notified because of risk of harm to the client, reporter, or collateral, the specialist documents in IMPACT a clear explanation of that risk in the supervisor consultation.

5321 Timely Request for a Desk Review

APS IH April 2018

The designated perpetrator’s request for a desk review must be postmarked within 20 calendar days after DFPS mailed the official notice of findings. If the request is not postmarked within 20 calendar days, the designated perpetrator has forfeited the right to a desk review.

Regional staff must wait at least 23 calendar days and up to 30 calendar days after DFPS mailed the official notice of findings to consider the request for a desk review forfeited. This allows adequate time for DFPS to receive the request and route it to the proper APS staff. The envelope received from the designated perpetrator still requires a postmark that is within 20 calendar days of the date DFPS mailed the official notice.

5330 Procedure for Conducting a Desk Review

APS IH April 2018

The program administrator or designee completes the desk review. The reviewer must not have directly supervised the APS specialist or have been involved in the investigation.

The reviewer examines the entire case record and any external documentation. The reviewer may seek additional information from the APS specialist and supervisor involved in the case. If the reviewer determines the investigation is incomplete, the reviewer:

  •   postpones the desk review; and

  •   directs the APS specialist to request a data correction to reopen the investigation stage so further investigation can be conducted.

The reviewer makes a decision to uphold, alter, or overturn the original APS findings based on the same requirements and criteria that APS specialists and supervisors use to conduct investigations and reach conclusions. The reviewer notifies the designated perpetrator of the outcome of the desk review by sending Form 2263 Notification of Results of the Desk Review.

A case does not have to remain open for the purpose of a desk review; however, the case can remain open if the investigation has been progressed to Maintenance or Intensive Case Services.

5331 Time Frame for Conducting the Desk Review

APS IH April 2018

The reviewer completes the desk review and notifies the designated perpetrator of the outcome within 45 calendar days of receiving the request by the designated perpetrator, unless:

  •   court proceedings related to the abuse, neglect, or financial exploitation are pending at the time;

  •   court proceedings are started after the review is requested; or

  •   the reviewer determines the investigation is incomplete and further investigation is necessary.

If court proceedings are involved, APS postpones the review until the court proceedings are completed. DFPS makes a good faith effort to complete the review within the 45-day time frame. However, failure to do so within the given time frame does not waive the review or reverse the finding.

See also 5335 Notification of Results of the Desk Review for Designated Perpetrators.

5332 Notification of Delay of the Desk Review

APS IH April 2018

If the review is delayed, the reviewer must notify the perpetrator in writing within 45 calendar days after the request was received. The notification must:

  •   indicate the reason for the delay and the anticipated length of time of the delay; or

  •   state that the designated perpetrator may notify APS when the court case has been completed or the criminal investigation has been closed, as appropriate.

If court proceedings are involved, the notification must also indicate that the reviewer will review the designated perpetrator’s eligibility for a review after the delay. The designated perpetrator becomes ineligible for a review after a delay only when a court makes a finding against the designated perpetrator that is consistent with abuse and neglect regarding the specific allegation for which the review is being requested. Otherwise, the review must be provided.

Example:

John Smith is a designated perpetrator of physical abuse and is being criminally prosecuted for aggravated assault. The desk review is put on hold until the criminal case is complete and the judge makes a ruling. If Mr. Smith is convicted of assault, he would not receive a desk review on the physical abuse allegations because the court already rendered a verdict on his guilt.

5333 Documenting the Desk Review

APS IH April 2018

Within 45 days of receiving the perpetrator’s request for a desk review and any additional information that the designated perpetrator provides, the reviewer:

  •   creates an Administrative Review of Investigation (ARI) stage in the IMPACT case management system by selecting the Investigation (INV) stage in the closed case and then selecting the name of the designated perpetrator being reviewed;

  •   documents the review and the decision on the Administrative Appeal and Review page found under the Record Admin Review/Appeal tab in the ARI stage; and

  •   updates the reason for closing the investigation (the closure reason), if appropriate.

5334 Closing a Case in Service Delivery Following a Desk Review

APS-IH / November 2016

The procedure for closing a case after a desk review will vary depending on the outcome of the review and whether the allegations were validated.

If …

then …

the findings were overturned during the desk review and there were no validated self-neglect allegations,

  •  a data correction must be requested to add an allegation of self-neglect; and

  •  the APS specialist completes all required tasks before closing the Maintenance or Intensive Case Services stage.

the findings were upheld during the desk review,

the APS specialist completes all required tasks before closing the Maintenance or Intensive Case Services stage.

See:

FYI Administrative Review and Appeal Page

FYI Create an Administrative Review Stage

FYI Record Administrative Review and Appeal (APS In-Home and Facility Investigations)

5335 Notification of Results of the Desk Review for Designated Perpetrators

Creating and Completing an ARI Stage in an In-Home Investigation (screen shots)

5335 Notification of Results of the Desk Review for Designated Perpetrators

APS IH April 2018

Within 45 calendar days after receiving the request for a desk review, the reviewer sends the designated perpetrator Form 2263 Notification of Results of Desk Review to inform him or her of the outcome of the desk review. The outcome is final and cannot be appealed. The findings of the case and outcome of the desk review are not released outside DFPS.

If the desk review involved an alleged victim who has a guardian or a pending guardianship and the reviewer overturned the findings, the specialist sends the Notification to Probate Court of Desk Review Findings to notify the probate court about the overturned findings.

See 5132 Notifying a Probate Court About an Investigation Involving Guardianship.

5336 Circumstances in Which Findings May Be Released (Release Hearing)

APS IH April 2018

In some situations, findings validated and upheld through the desk review process may be released outside of DFPS.

If APS determines the findings need to be released outside DFPS, the designated perpetrator must first be offered due process for non-EMR cases as outlined in 5420 Due Process for Non-EMR Cases, including an administrative review and release hearing.

See:

5141 Release of Information on Adult Foster Care Provider Applicants (DADS Form 2357 DFPS Records Check)

5423 Sending Notice of Intent to Release in Non-EMR Cases

5425.2 Conducting a Release Hearing and Subsequent Activities in Non-EMR Cases

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