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Appendix 7000-2: Guidelines for Preparing Records for SOAH Hearings and Tracking Hearings

LPPH January 2007

1.  Preparing a Case Record for an Adverse Action Hearing:

Materials Needed

Make a copy of the materials from the case record, which consists of hard copy records, CLASS records, and/or IMPACT records.

Licensing units involved may be monitoring, investigation, background check and/or administrative review.

  ·  Copy all of the information in the case record for the current and previous (if applicable) monitoring period. (These should be the materials used as the basis for the action.)

  ·  Include all information in the case record (LPPH 1300 and 6621), such as chronologies, investigations, inspections, assessments, any notes taken during investigations, and the following:

  ·  Mail and envelopes

  ·  Faxes and fax cover sheets

  ·  Certified mail return receipts

  ·  Envelopes of mail returned undeliverable

  ·  Signed forms and letters

  ·  Original hearing request with the envelope and/or fax cover sheets (keep a copy for the record)

  ·  Specify Case File Print in CLASS for the period covered by the action.

  ·  Specify Case File Print for an IMPACT case and print the intake, licensing summary report, and administrative review. Also, print the Licensing investigation report separately, as it is not a part of Case File Print.

  ·  Make a list of any photos, tapes, or other media, retained internally or externally.

Responsibilities of the Person who Prepares the Record

Place all of the information/records in one folder, tabbed, and labeled like a case record. If needed, see the guidelines in Appendix 1000-2: Organizing Licensing Records. The folder mailed to legal should not be redacted. The completed SOAH Licensing Form, Form 2984 located in DFPS Desktop Automated Forms system, should be placed on the top divider just inside the cover of the folder. 

  ·  Under the comments section of the SOAH Licensing Form include any original internal or external evidence not sent and where the evidence resides (law enforcement, advocacy center, etc.)

  ·  Make a second copy of this folder to keep for the licensing unit.

  ·  Forward one of the copies of the case record/folder to legal after a request for the case is received.

2.  Preparing a Record for a Release Hearing:

Materials Needed

  ·  APS/CPS Record

      Make a copy of the background check form if the hearing involves a match from an APS/CPS finding plus any of the following information, if generated by Licensing:

  ·  Any correspondence sent or received from the perpetrator

  ·  Mail and envelopes

  ·  Faxes and fax cover sheets

  ·  Certified mail return receipts

  ·  Envelopes of mail returned undeliverable

  ·  Signed forms and letters

  ·  Original hearing request with the envelope and/or fax cover sheets (keep copy for record) 

  ·  Licensing Record

      Make a copy of all of the investigation records (for the specific investigation) in CLASS and IMPACT. Specify CLASS Case File Print and IMPACT Case File Print for the period covered by the action. An IMPACT record in Case File Print consists of the intake, Licensing summary report, and administrative review. Print the Licensing investigation report separately in IMPACT as it is not a part of Case File Print. Include all these records and copy the following external documents:

  ·  Any correspondence sent or received from the perpetrator

  ·  Mail and envelopes

  ·  Faxes and fax cover sheets

  ·  Certified mail return receipts

  ·  Envelopes of mail returned undeliverable

  ·  Signed forms and letters

  ·  Original hearing request with the envelope and/or fax cover sheets (keep copy for record)

  ·  Make a list of any photos, tapes, or other media, retained internally or externally.

  ·  Licensing units involved may be monitoring, investigation, background check and/or administrative review.

Responsibilities of the Person who Prepares the Record

  ·  Place all of the information/records in one file folder, tabbed, and labeled with a completed SOAH Licensing Form, Form 2984, located in DFPS Desktop Automated Forms system, on top, placed just inside the cover of the folder. 

  ·  The folder mailed to legal should not be redacted.

  ·  For a hearing concerning an APS/CPS record, make a copy of the folder for the Licensing unit and forward the folder to the Docket Clerk who will request the record from APS or CPS.

  ·  For a Licensing record, under the comment section of the SOAH Licensing Form include any original internal or external evidence not sent and where the evidence resides (law enforcement, advocacy center, etc.), and make a copy of the folder for the Licensing unit.

  ·  Forward one of the copies of the case record/folder to legal after a request for the case is received.

3.  Original Documents and Evidence:

  ·  The original records need to be in the possession of the party representative, who will bring them to the hearing. The party representative is the person from Licensing who works with the attorney to prepare for the hearing and attends the entire hearing.

  ·  Use tracked mail services any time that original records and/or evidence are transported between units of DFPS, including legal. For example, use certified mail, parcel delivery, or anything that uses tracking numbers.

4.  Open Records Requests

When there is an open records request, legal will need a copy of the record that was sent to the Petitioner. This is an addition to the unredacted copy, which legal always needs. Legal needs a copy of anything sent the Petitioner in the same form received by the Petitioner.

5.  Tracking of Hearings

Each child day care district and residential child-care area should maintain a tracking spreadsheet from the point that an offer for a hearing is made through when the decision of a hearing is received.

Docket Clerk

  ·  Maintains a log of hearing requests filed with Licensing that includes:

  ·  Pending assignments to a Licensing attorney

  ·  Pending docketing with SOAH

  ·  Pending issuance of a decision

  ·  Cases closed during the current fiscal year

  ·  Distributes a log on a weekly basis to the child day care and residential child-care contacts

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