LEGAL BASIS
Under Titles IV-B, IV-C, IV-E, and Title XX of the Social Security Act and terms of contracts with the Kentucky Department for Social Services, the agency responsible for the administration of programs is required by Federal regulation (45 CFR 205.10) to provide a hearing to any applicant or recipient who is aggrieved by any agency action resulting in denial, suspension, discrimination, exclusion, or termination of services.
The Kentucky Department for Social Services has assured various Federal agencies that it will comply with the provisions of the Civil Rights Act of 1964, as amended; with Section 504 of the Rehabilitation Act of 1973, as amended; with the Americans with Disabilities Act of 1990, as amended; and with 45 CFR 205.10 for all programs administered under its management and direction. This Agency, as a grantor and/or contractor of the Kentucky Department for Social Services, hereby affirms its compliance with this policy and directs its staff to act accordingly. The Agency will not on the basis of race, color, creed, national origin, sex, age, religion, disability or other classes, characteristics, or preferences protected by law:
1. Deny any qualified individual aid, care, services, or other benefits of the Department, either directly or through contractual or other agreements.
2. Provide any aid, care, services, or other benefits to an individual which is different or is provided in a different manner from that provided to others.
3. Subject an individual to segregation or separate treatment in any matter related to his receipt of any aid, care, services, or other benefits.
4. Restrict an individual in any way in the enjoyment of any advantage or privilege enjoyed by others receiving aid, care, services, or other benefits.
5. Treat an individual differently from others in determining whether he satisfies eligibility or other requirements or conditions which individuals must meet in order to receive aid, care, services, or other benefits.
6. Deny an individual an opportunity to participate in the program through the provision or services or otherwise afford him an opportunity to do so which is different from that afforded others.
7. And specifically as any of the above guarantees may relate to a physically challenged/disabled person as defined by Section 504 of the Rehabilitation Act of 1973, the Agency will not:
a. Deny a qualified physically challenged/disabled person an opportunity to participate in or benefit from the aid, benefit, or service;
b. Afford a qualified physically challenged/disabled person an opportunity to participate in or benefit from the aid, benefit, or service that is not equal to that afforded others;
c. Provide a qualified physically challenged/disabled person with an aid, benefit, or service that is not as effective as that provided to others;
d. Provide different or separate aid, benefits, or services to physically challenged/disabled persons or to any class of physically challenged/disabled persons unless such action is necessary to provide qualified physically challenged/disabled persons with aid, benefits, or services that are as effective as those provided to others;
e. Aid or perpetuate discrimination against a qualified physically challenged/disabled person by providing significant assistance to an agency, organization or person that discriminates on the basis of disability in providing any aid, benefit, or service to beneficiaries of the Agency's programs;
f. Deny a qualified physically challenged/disabled person the opportunity to participate as a member of policy, planning, or advisory boards;
g. Otherwise limit a qualified physically challenged/disabled person in the enjoyment of any right, privilege, advantage, or opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement, in the most integrated setting appropriate to the person's needs;
h. Directly or through contractual or other arrangements, utilize criteria or methods of administration:
a) that have the effect of subjecting qualified physically challenged/disabled persons to discrimination on the basis of disability
b) that have the purpose or effect of defeating or substantially impairing accomplishment of the objectives of the recipient's program (of services) with respect to disabled persons;
c) that perpetuate the discrimination of another recipient if both recipients are subject to common administration control; and,
I. In determining the site or location of a facility, an applicant for assistance or a recipient may not make selections:
a) that have the effect of excluding physically challenged/disabled persons from, denying them the benefits of, or otherwise subjecting them to discrimination under any program or activity that receives benefits from Federal financial assistance; or
b) that have the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the program or activity with respect to physically challenged/disabled persons.
STAFF RESPONSIBILITY TO INFORM CLIENT OF RIGHTS
The line staff of the Agency, has the responsibility of advising clients of their right to a fair hearing:
1. Each new client at the time of intake or at the initial service planning conference shall be given a written notice of their right to hearing. This may be by means of a printed statement or copy of the intake form. The Agency's intake form(s) provide a space for the client's certification of notification of this right.
2. a. The right to a fair hearing and the method by which the client may obtain such hearing shall be stated in writing to the client at the time of any action affecting his/her services. If a request for a hearing is made within ten (10) days of the notice of an action affecting services, such services shall be continued until a decision is rendered after a hearing unless staff determines that continuation of the services or delay of the action would endanger the client's health or well-being or likely result in an audit disallowance to the Agency.
b. Clients may also request a fair hearing on the basis of unequal access, due to their physically challenging/disabling conditions, to any program or benefit offered or provided by the Agency.
c. In cases of intended action to discontinue, terminate, or suspend services, staff shall give the client timely and adequate notice thereof and an opportunity to object. (DSS Form 154). Timely" means in the case of services for which the client must qualify at each occasion of assistance that the notice is given before the services are rendered. With respect to the termination of continuing monetary or personal support assistance, adequate" written notice should be received at least ten (10) days in advance of termination unless the staff determines that delaying the action would endanger the health or well-being of affected persons if such prior notice is given.
d. Agency case files shall be review and, as dictated by a lack of activity or service rendered, purged. Clients not served with the previous six (6) months may be purged without notification to the client. The regular and continuing clientele, that is those served actively (or more or less continuously) during the last six months, shall not be purged from the Agency's client files without prior notification or their rights to a hearing on such action.
e. The date of notice given by hand or by mail is the official date of notice.
f. Special emphasis shall be placed on the fact that the client will not suffer retaliation or sanction by the agency or its employees as a result for a fair hearing.
3. A notice of the client's right to a hearing shall be displayed prominently in each local Agency office in a location easily accessible to and readily seen by clients.
4. The right to a hearing states:
If you are dissatisfied with the action taken by the Agency, you may request a fair hearing of your complaint. Your request must be filed in writing and submitted to the Agency within thirty (30) days from the date of the action you wish to appeal. You may appeal by filing a written request (letter) or Form DSS-154 with the Agency's executive director or equal opportunity officer. The Agency has two equal opportunity officers to assist clients with their complaints: Ms. Judy Thompson, 900 Walnut Street, Owensboro, Kentucky 42301 - telephone (502) 686-1662 and Ms. Martha Ladd, 204 East Main Street, Cadiz, Kentucky 42211 - (502) 522-2233. You may be represented at any hearing by an attorney or other spokesman.
A client is entitled to a hearing on any of the following actions:
1. A denial, material modification, suspension, discontinuance, exclusion from or termination of a service.
2. Dissatisfaction with a service received, inappropriate or inadequate treatment, placement or visitation.
3. Failure of the Agency to act upon a request for service with reasonable promptness.
4. Failure of the Agency to take in account a client's choice of service or a determination that the individual must participate in a service program against his wishes (except where required by law).
5. Discrimination against a client by Agency staff on account of race, color, creed, national origin, sex, age, religion, disability or other classes, characteristics, or preferences protected by law.
The following issues will not be considered through the hearing procedure described herein:
1. Complaints related to legal issues such as actions involved in court cases or the interpretation of any statute or regulation;
2. A complaint that has not been filed in writing with the Agency;
3. A Complaint that has been abandoned by failure of the complainant to furnish information requested by the Agency's designated hearing office or to appear at the hearing scheduled for him;
4. Discrimination practices in relation to Agency personnel policies and procedures. These grievances will be handled per instructions in the Personnel Manual; and
5. A report of Child Abuse/Neglect and Adult Abuse/Neglect. The Agency is required by law to report known or suspected cases of child abuse, and will do the same for any other human abuse or neglect it encounters. Such cases, when referred, are handled exclusively by the agency charged under state law for handling such matters.
REQUEST FOR HEARING
Whenever possible, the client is urged to first seek an informal hearing of their complaint with the line management staff of the Agency, that is project/county supervisor, program director or the executive director. The Agency's equal opportunity officer normally handles complaints of discrimination and not all service complaints will include such bases, but alternatively the client may request an informal hearing with the Agency's equal opportunity officer. Since he is charged with handling all formal complaints, other line management channels may be more appropriate in most cases for the informal review of client complaints whereby many can perhaps be resolved to the satisfaction of the client prior to the necessity of filing for a formal review of his complaint.
All formal requests for hearing must be in writing or filed on the Agency's Form (DSS-154), Request for Hearing Form and contain:
a. Specific allegation or complaints;
b. Name of the person or persons, if known, responsible for the acts or decisions upon which the complaint is based;
c. Circumstances under which the alleged act occurred; and
d. Date and place of alleged act.
The complainant or legal guardian must sign the request and submit it to the Agency's executive director or equal opportunity officer. Upon request, Agency staff are to assist individuals in preparation and submission of a request for hearing. Staff are not to assume responsibility for mailing such requests.
PROCESSING THE COMPLAINT
Requests must be filed with the Agency: Audubon Area Community Services, Inc., Post Office Box 20004, Owensboro, Kentucky 42304-0004; Attention: Equal Opportunity Officer, within thirty (30) days after the alleged act or notice of a decision affecting services. (You may contact an equal opportunity officer directly, according to the addresses and telephone numbers provided above and at each Agency location, if you prefer.) If the notice is mailed, the date of the notice shall be the date mailed; otherwise it shall be the date of delivery. In cases where the request is filed after the thirty (30) day period, a decision as to acceptance or denial of the complaint for action will be made by the Agency's executive director.
When a formal complaint is received, the Agency's equal opportunity officer is charged with the responsibility of processing and handling the complaint:
Within five (5) working days of the receipt of the complaint, the Agency will notify the Complainant of the receipt of his/her request and the Agency policy of attempts at local resolution before a hearing is scheduled. The appropriate program manager will also be notified of the receipt of the request and asked to set a meeting with the Complainant to attempt to resolve the issues that led to the complaint. The program manager may designate a staff member who was not involved in the case to act for him.
The program manager or his designee shall forward to the executive director, in writing, the results of their efforts to achieve local resolution of the complaint no more than thirty (30) days after the filing of the request for hearing. The report shall contain:
a. Nature of the Complaint.
b. Date of Resolution Conference.
c. Persons present at the Conference.
d. The result of the Conference.
If the complaint is resolved, the Complainant shall sign an acknowledgment to be attached to the report.
FORMAL HEARING
In the event the complaint is not resolved within thirty (30) days after filing, it shall be referred to a three-member Hearing Panel of the Agency to conduct a hearing. The hearing must be held within thirty (30) days after referral. In the even the Complainant agrees to an extension of time, the time for the final administrative action shall be correspondingly extended.
The Hearing Panel
The hearing panel shall be composed of:
1) a representative selected by the Complainant;
2) a representative selected by the Agency; and
3) a chairperson, who shall be known as the hearing officer," selected by the chairperson of the Agency's Board of Directors. The the hearing officer" shall be an unaffiliated community person or qualified member of the agency board. The desired qualifications for this appointment is a person with legal training or background or a person of position and integrity with such experience and personal skills as to effectively handle this level of medication.
Location
The hearing shall be conducted at a reasonable location selected by the Hearing Panel chairperson.
Notice
The Complainant and his/her representatives, if any, the Agency staff named in the complaint and their representatives, if any, and the Agency management staff or designated legal counsel shall be given at least seven (7) working days written notice prior to the hearing.
The following information shall be contained in the notice to the Complainant and his representative:
(1) The specific allegations to be heard at the hearing. The Complainant will be asked to notify the Hearing Panel Chairperson, hereinafter referred to as the hearing officer," in writing within five (5) working days of receipt of the notice if the allegations have not been correctly stated. The hearing officer shall then make a determination as to whether the allegations should be modified.
(2) Individuals who will be present at the hearing.
(3) The Complainant's option of presenting his case himself or with the aid of an authorized representative, such as legal counsel, relative, friend, or other spokesman.
(4) That the Agency will not be responsible for any legal fees incurred by the Complainant related to the hearing.
(5) The Nature and Conduct of the hearing, e.g., an orderly by informal manner, opportunity to present witnesses and to cross examine opposing witnesses, etc.
(6) The Complainant's right to examine the contents of his case file and all documents and records to be used by the agency at the hearing at a reasonable time before the date of the hearing and instructions on how to access such material under the Open Records Law.
The following information shall be contained in the hearing officer's notice to staff name in the complaint:
(1) The specific allegation(s) to be heard at the hearing.
(2) Individuals who will be present at the hearing.
(3) The Nature and Conduct of the hearing, e.g., an orderly by informal manner, opportunity to present witnesses and to cross examine opposing witnesses, etc.
(4) Staff's option of presenting the case themselves or with representative, or with the aid of such designated counsel as may be retained by the Agency. Staff who desire otherwise to seek qualified legal representation are solely responsible for making arrangements for personal representation at the hearing.
Attendance at the Hearing
Attendance at the hearing will be limited to the Complainant and his/her counsel or spokesperson; the Complainant's selected representative on the panel; staff named in the complaint and their counsel or spokesperson(s), if any; the Agency's selected representative on the panel; the hearing officer; a person to operate such recording equipment as may be used; and any witness called by either the Complainant or Agency staff.
CONDUCT OF THE HEARING
The hearing shall be conducted in an orderly but informal manner, following the rules of procedure applicable to administrative hearings generally. All facts relevant to the issues shall be received.
1. The hearing officer shall open the hearing by: (1) describing the purpose of the hearing; (2) explaining the role of the hearing officer; and (3) introducing parties to the hearing. The hearing officer may in his/her discretion direct or grant a continuance for good cause shown.
The hearing officer shall carefully clarify the allegations to be heard with the parties to the hearing. The allegations should be the same as those in the written notification of the hearing.
2. Before receipt of testimony, the hearing officer shall assemble all witnesses in the hearing room, and administer an oath that the witnesses shall bear true witness to the facts of this case.
3. The hearing officer shall arrange for the separation of witnesses. Only the client and his/her representative, if any; staff names in the complaint and their representatives, if any; the Agency's attorney; a representative of the Agency; the hearing officer; and a person to operate the recording equipment are entitled to be in the hearing room throughout the entire hearing. The hearing officer can permit others to remain throughout the entire hearing if circumstances dictate.
4. Each witness shall complete his/her direct testimony and then shall answer question on cross examination by the adverse party or parties.
5. The Complainant has the burden of proof and shall testify first and may present pertinent evidence, including testimony of witnesses and documents.
6. Upon completion of the case for the Complainant, the Respondents (named staff and the Agency) may testify and present other evidence including testimony of witnesses and documents.
7. Upon completion of the case for the Respondents. the Complainant may present additional evidence in strict rebuttal of the evidence presented by Respondents. Additional evidence may be presented by either Complainant or Respondents at the discretion of the hearing officer.
8. The hearing officer may, if necessary to secure full information on the issue, postpone the hearing, and/or examine each party who appears and his witness. The hearing officer may take additional evidence which he deems necessary including excerpts from the case records.
9. After both parties to the hearing have been given ample opportunity to present all their testimony and evidence, the hearing officer will give each party an opportunity to summarize the salient points of their cases.
10. The hearing officer shall advise the parties that a decision shall be rendered within twenty (20) days from the close of the hearing.
HEARING OFFICER'S REPORT
Within ten (10) days after the close of the hearing, the hearing officer shall file a written report with the Agency's executive director. The report shall contain:
1. Statement of the complaint.
2. Persons present at the hearing, including witness.
3. Findings of Fact based solely on the evidence introduced at the hearing.
4. Conclusions as to whether or not the Findings support the complaint, citing appropriate policy and procedures.
5. Recommendations as to action to be taken, if any, on the complaint.
DECISION LETTER
1. Within ten (10) days after receipt of the hearing officer's Report by the Agency's executive director, he shall render a written decision on the complaint.
2. The written decision shall be sent to the complainant by certified mail, return receipt requested, and to the staff involved, and shall contain the following information:
a. Statement of the complaint
b. Findings of Fact and Conclusion in regard to complaint.
c. Decision and action to be taken based on Findings of Fact.
CORRECTIVE ACTION
After reviewing the Findings of Face and recommendations of the hearing officer, if the executive director or his designee feels that corrective action is warranted a memorandum is forwarded to the appropriate program director requesting that corrective action be initiated. Any corrective action deemed necessary shall be initiated within ten (10) days.
RECORD
1. The minutes or recording of testimony and exhibits, or an official report containing the substance of the testimony introduced at the hearing, together with all exhibits, papers and requests filed in the proceeding, and the report of the hearing officer shall constitute the exclusive record and shall be available at the Agency's Central Office for review at any reasonable time in accordance with open records statutes.
2. The record of the evidence hearing must be maintained in a locked file separate from the case record of the complaint.
CONTRACT AGENCIES
Contract agencies of the Department for Social Services are to follow procedure outlined in this policy statement when a client has a complaint related to civil rights, discrimination or service delivery. Should the Complainant be dissatisfied with the written decision rendered by the contract agency, the Agency is to assist the Complainant in filing and Appeal of the Agency's decision. The Complainant's appeal to the Kentucky Department for Social Services shall be submitted on the Department's form DSS-154, Request For Hearing," and be fully completed and executed with appropriate signature(s). An Appeal is to mailed to the Office of the Commissioner, Department for Social Services, Cabinet for Human Resources, Sixth Floor-West, New CHR Building, 275 East Main Street, Frankfort, Kentucky 40621.
The Commissioner shall forward the Appeal of the decision to the DSS Quality Assurance Branch to be reviewed by a specialist. After reviewing the decision made by the contract agency, the specialist shall file a written report with the Commissioner which contain: (2) conclusions as to whether or not the contract agency's finding support the complaint, citing appropriate policy and procedure, and (2) recommendations as to action to be taken, if any, on the complaint.
After receipt of the Quality Assurance Specialist's report, the Commissioner or the Commissioner's designee shall render a written decision on the complaint. The written decision should be sent to the Complainant by certified mail, return receipt requested, and shall contain the following: (1) statement of the complaint, and (2) decision and action to be taken.
Glossary of Terms
Action - Any act, or failure to act, by the Agency or its staff affecting a client, including, without limitation, the denial, modification, termination, reduction, limitation, exclusion from, discrimination in, or failure to provide and adequate type, quality or quantity of service, treatment, benefits or placement.
Affecting - as used, in these procedures means to result in a denial, suspension, reduction, material modification, exclusion or termination of, or discrimination in, services.
Client - An individual who has completed an application to receive services from the Agency or and individual who is receiving services from an agency with whom the Department for Social Services contracts.
Complainant - Any applicant for or recipient of services affected by an action who complains of such action.
Contractor - means any entity that is awarded a contract by the State Department for Social Services for the provision of a service or services as outlined under its approved State Plan, approved programs plans, or as otherwise identified in the contract.
Day - For the purposes of determining the required action and response times, all references to day(s) in this policy shall be construed to mean calendar days, not "working" days unless this terminology is specifically stated with respect to a particular action or response.
Discrimination - Any direct or indirect act or practice of exclusion, distinction, restriction, segregation, limitation, refusal, denial, or other act or practice or differentiation or preference in the treatment of a person or persons because of disability, race, color, religion, (or) national origin, sex or age or the aiding, abetting, inciting, coercing or compelling thereof, including but not limited to:
(1) Inappropriate or inadequate treatment or placement; or
(2) Reduction or modification of services, treatment or placement.
Hearing by the Agency - A hearing to resolve the grievance raised by a complaint conducted in accordance with 45 CFR 205.10.
Hearing Officer - An impartial person selected by the Agency to conduct a fair hearing on a complaint. The hearing officer shall not have been directly involved in the initial determination of the action in question.
Hearing Panel - An impartial body of three (3) persons composed from the Agency's board and staff, or perhaps including distinguished persons from the community at large charged with the responsibility of providing a fair hearing on a complaint. None of these persons shall have been directly involved in the initial determination of the action in question.
Representative - Any person authorized in writing by the client or his/her parent or guardian to be present to represent the client.
Request for Hearing - A written document which describes an alleged act of inadequacy of service or civil rights discrimination.
Revised April, 1995
Approved by the Board: _________________________________________
Audubon Area Community Services, Inc.
NOTICE OF CLIENT APPEAL RIGHTS
Under various titles of federal law, Kentucky Revised Statutes and pursuant to terms of contracts and agreements with and through the Kentucky Cabinet for Human Resources, this agency is required to provide a hearing to any applicant or recipient of services who is aggrieved by any agency action resulting in denial, suspension, discrimination, exclusion or termination of services administered under federal or state statute or funding pertaining to its administered programs.
This agency, as a grantor and/or contractor in the public interest, hereby affirm its compliance with this policy and directs its staff to act accordingly.
Please consider your receipt of this statement as your personal and formal notice of your right to a fair hearing should you be aggrieved by any covered action by this agency or its staff.
If you are dissatisfied with the action taken by the Agency, you may request a fair hearing of your complaint. Your request must be filed in writing within thirty (30) days* from the date of the action you wish to appeal. You may appeal by letter or by completing an appeal form which may be obtained from the agency's local county coordinator. Your complaint must contain:
Your full name, complete address, and telephone number(s);
A detailed statement of the nature of your complaint, including the date and place of the agency action and the agency program or service involved;
Name(s) and address(es) [at least their office or service location] of staff you believe treated you inappropriately;
Your signature and/or that of your authorized representative, if any; and
A clear indication whether your complaint pertains to service or involves alleged discrimination.
Please forward your complaint to:
Equal Opportunity Officer Equal Opportunity Officer
Audubon Area Community Services, Inc. -OR- Audubon Area Community Services, Inc./Head Start
900 Walnut Street 204 East Main Street
Owensboro, Kentucky 42301 Cadiz, Kentucky 42211
Executive Director Associate Director/Section 504 Coordinator
Audubon Area Community Services, Inc. -OR- Audubon Area Community Services, Inc.
1800 West Fourth Street 1800 West Fourth Street
Post Office Box 20004 Post Office Box 20004
Owensboro, Kentucky 42304-0004 Owensboro, Kentucky 42304-0004
Please address all disability access complaints to the Associate Director.
*USPS postmark or agency date-of-receipt stamp serves to verify timeliness.
A full and complete statement of the agency's fair hearing policy is available upon request, with reasonable processing considerations, through the agency's office of the executive director.
DSS-154 Commonwealth of Kentucky For Agency Use Only
R. 7/86 Cabinet For Human Resources Indicate Type of Complaint
Department of Social Services Service __________
Discrimination ______
REQUEST FOR HEARING
NAME _________________________________ ________________________ _____________________
Please Give Full Name County of Residence Telephone Number
Address ____________________________________________________________________________________
Street or Box Number
_____________________________________________________________________________________ City State ZIP Code
Please state the nature of your complaint in detail. If additional space is needed, please use a separate sheet of paper.
______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
Give the name(s) and address(es) below of staff you believe discriminated against you or treated you inappropriately. If more than one, list all.
Name Name Name
Title Title Name
Address Address Address
City County City County City County
The actual date or the most recent date the alleged act occurred:
Time of Day _____________ Month __________________ Day _____________ Year _____________
________________________________________ _________________________________________
Signature of Complainant Signature of Authorized Representative, if Appropriate