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BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001.

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Presentation on theme: "BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001."— Presentation transcript:

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2 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 CCSP Mission Statement " The mission of the California Child Support Program is to promote the well being of children and the self sufficiency of families by delivering first-rate child support services and collection activities that contribute to meeting the financial, medical, and emotional needs of children."

3 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Produced by the Training & Procedures Unit and State Hearing Regulation Training Complaint Resolution State of California Department of Child Support Services

4 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Notice the Back, Menu, and Next buttons at the bottom-right of your screen. These buttons help you navigate back to the previous slide, return to the Menu slide, and forward to the next slide. On the Menu slide there is an additional Exit button, which you click to exit or end the presentation. In addition, your keyboard has function keys which help in navigating, the more commonly used keys are: ENTER, PAGE DOWN, SPACEBAR, or CLICKING THE MOUSE perform the next animation or advance to the next slide. P, PAGE UP, UP ARROW, or BACKSPACE perform the previous animation or return to the previous slide.. The next two slides explain how to navigate through this PowerPoint presentation, as well as learn about the various types of interactions within the presentation. If you are familiar with navigating through PowerPoint presentations, you can click the Menu button now to skip these two slides. How To Navigate Tip Tip You can press F1 during the slide show to see a list of these controls. EXIT

5 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 This is a mandatory training program. Although all lessons are accessible to all child support staff, it may not be necessary for you to review every lesson. Check with your supervisor to determine which lessons are required curriculum for your job scope. How To Navigate Next Please click the Next button to continue to the next slide. Cindy, you only need to take Lessons 1-3 Pete, you only need to take Lessons 2 and 4 Example: Next Example: Please click the Next button to continue to the next slide. This program does have an audio track. Headphones or speakers, although not required to complete this program, are necessary to hear the audio option of this presentation. If the program prompts you to take an action, the action text appears in yellow. Tip Tip The Student Tool Book includes copies of the forms addressed in this presentation. If you have not already located and reviewed the Student Tool Book, please do so at this time, as it may facilitate your learning to review these before proceeding.

6 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Menu State of California Department of Child Support Services Please press your Enter key to begin, or click on a lesson button below to learn more about that topic. Click the Exit button if you wish to exit the presentation. EXIT Complaint Resolution & State Hearing Lesson One General Process Overview Lesson Two Complaint Review & Investigation Lesson Three State Hearings Lesson Four Administration Lesson Five Automated Tracking System Help and Frequently Asked Questions Forms Index

7 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Describe the purpose and intent of the Complaint Resolution and State Hearing processes. Use course materials as references to respond to general questions about the processes and/or refer questions to the appropriate party. General Process Overview Learning Objectives At the conclusion of this lesson, you should be able to: The decisions you make and work you complete every day Lesson One have a direct or indirect impact on our customers. Next Please click the Next button to continue to the next slide. The Complaint Resolution and State Hearing processes help ensure good customer service. This is why you should know how complaints are brought forward and resolved. It is important every child support worker is able to apply this knowledge to their work. This training course discusses activities that must occur once a customer presents a complaint to a child support organization. Tip Tip It is recommended you locate the process map in the Lesson One section of the Student Tool Book and refer to it throughout this lesson.

8 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 General Process Overview In 1999, a Bureau of State Audits report found that the child support enforcement program in California was lacking in many areas, including a sense of overall vision and uniformity of practice. In response to the desire to improve quality of service and the identified need for a uniform statewide mechanism for receiving and resolving complaints from Custodial Parties (CP) and Non-Custodial Parents (NCP), the California Legislature passed and the Governor signed Assembly Bill 472 (AB 472) in The intent of the bill was to improve service to CPs and NCPs, increase accountability, and provide a source of information about the overall effectiveness of the child support program. The bill was part of a package of legislation that created the California Department of Child Support Services (DCSS) and transferred responsibility for local oversight from the District Attorney’s Office to the new State department. DCSS was required to have a complaint resolution and state hearing process in place by July 1, The DCSS has prepared regulations that set forth the operational procedures and requirements for Complaint Resolution and State Hearing program administration. This course has been prepared to support the implementation of those regulations. Refer to CSS letter dated July 25, 2001 for information about issue resolution. Let’s turn our attention now to a global view of the processes themselves. Lesson One Next Please click the Next button to continue to the next slide.

9 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 General Process Overview The processes have at their core a contention from a CP or NCP that a IV-D action/inaction is inappropriate. This lesson takes you on a tour of the complaint resolution and state hearing processes. There are six (6) stops on our tour: Lesson One Complaint Resolution – Six Steps Filing a Complaint Complaint Review Filing & Preparing for a State Hearing Complaint Investigation State Hearings Appeals Next Please click the Next button to continue to the next slide. Step One Step Two Step Three Step Four Step Five Step Six If at any point during the Complaint Resolution or State Hearing processes the complainant is satisfied that their concerns have been addressed, the cycle ends and the complaint can be closed.

10 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 General Process Overview Lesson One Next Please click the Next button to continue to the next slide. A complaint can be filed almost any time a customer is dissatisfied with a child support action or inaction of the LCSA or FTB. A concern/issue becomes a complaint at the point a customer states that he/she wants to file a complaint. Step One – Filing a Complaint At the point where the customer – a CP or NCP – files a complaint, he/she receives the added distinct and temporary title of “complainant.” What constitutes a complaint? A complaint is a verbal or written statement of a dispute the complainant feels is unresolved and, for which the complainant is requesting resolution. In order for such a complaint to fall within the jurisdiction of the complaint resolution process, it must be about an action or inaction of the Local Child Support Agency (LCSA) or the Franchise Tax Board (FTB), concerning a child support case. by a CP or NCP Such a statement must be made within ninety (90) days after the complainant knew or should have known of the action or inaction that is the subject of the complaint.

11 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Once a complainant states that he/she wants to file a complaint, he/she should be encouraged, but is not required, to document their complaint on the “Request for Complaint Resolution,” form LCR001. But a complaint can be submitted verbally or in writing. Written complaints can come in two forms – either on the form LCR001 or any other document. With written complaints, the complaint receipt date is the date the LCSA receives the form or written document. The LCSA must, within five (5) business days of this date, complete and send to the complainant the form LCR002, along with a blank form SH001. If a customer submits a verbal complaint, the complaint receipt date is the date the LCSA receives the verbal complaint information. In such cases, within five (5) business days the LCSA must: 1. Document the complaint information onto the form LCR001, and 2. Complete the “Complaint Acknowledgement,” form LCR002, and 3. Mail copies of both documents, along with a blank “Request for State Hearing,” form SH001, to the complainant. General Process Overview Verbal Complaint Written Complaint Step One – Filing a Complaint How are complaints received? Next Please click the Next button to continue to the next slide. Lesson One

12 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complaints arising from custody and/or child visitation determinations. Complaints challenging the amount of child support or child support arrears set by a court. Child support matters which must, by law, be addressed by the court, unless the same law specifically provides for an administrative review. Complaints arising from the review of a court order for child and/or spousal support, or a court order or equivalent determination of paternity. Complaints that, by law, must be resolved so quickly that going through the complaint resolution process would jeopardize the CP’s or NCP’s rights. General Process Overview Issues Outside of the Complaint Resolution Process While complaints can be filed on any action or inaction of the LCSA and/or FTB, there are issues that cannot be resolved through this process. These include: Step One – Filing a Complaint Lesson One Next Please click the Next button to continue to the next slide. Complaints should be reviewed during Step Two, Complaint Review and Investigation, to ensure the subject of the complaint falls within the jurisdiction of the complaint resolution process.

13 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complainant’s name and address. If available, the complainant’s telephone number, FAX number and/or electronic mail address. The LCSA case number. A description of the action or inaction that is the subject of the complaint. If a customer presents a complaint verbally and does not complete the form LCR001, the LCSA must document the verbal complaint on the form LCR001 with the following minimum information: General Process Overview What Must the LCSA Do? Lesson One Step One – Filing a Complaint A copy of the completed form LCR001 must then be sent to the complainant within five (5) business days of the complaint receipt date. Once the form LCR001 is filed and a copy is sent to the complainant, Step One is complete. Next Please click the Next button to continue to the next slide.

14 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Within five (5) business days of the complaint receipt date, the LCSA must take the following actions: Step Two – Complaint Review General Process Overview Lesson One Next Please click the Next button to continue to the next slide. Once a complaint is received, an individual must be assigned as a complaint investigator. This cannot be: Determining Jurisdiction The individual whose action/inaction is the subject of the complaint. The Ombudsperson. 1.Complete and send to the complainant the form LCR002, which must include the following: Explanation of the complaint resolution process and associated time frames. Explanation of the State Hearing process and associated time frames. A blank form SH001.

15 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © A complaint investigator evaluates the complaint for jurisdictional authority. Local Jurisdiction – Only the LCSA that took or failed to take the action, or requested the FTB action that is the subject of the compliant, has jurisdictional authority to resolve the complaint. Program Jurisdiction – The subject of the complaint must fall within the jurisdiction of the child support program. Note: Lesson Two, Complaint Review and Investigation, provides detailed training on the subject of jurisdiction and what the LCSA must do in cases where a complaint falls outside the LCSA’s jurisdiction. 3.Ensure the complaint has been entered into the Complaint Resolution Tracking System (CRTS). Lesson Five, Automated Tracking System, provides training on this topic. Step Two – Complaint Review General Process Overview Lesson One Next Please click the Next button to continue to the next slide. Determining Jurisdiction (continued) Once the complaint has been acknowledged, reviewed for jurisdiction, and the information has been entered into the CRTS, Step Two is complete.

16 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Following the acknowledgement of the complaint and determination of jurisdictional authority, the investigation begins. The investigation of any complaint must be completed and a written response provided to the complainant within thirty (30) calendar days of the complaint receipt date, unless the Director of the LCSA extends the complaint resolution period. Lesson Two, Complaint Review and Investigation, discusses the topic of extensions. General Process Overview Step Three – Complaint Investigation Lesson One Next Please click the Next button to continue to the next slide.

17 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Amend the complaint, if necessary, and take immediate steps to resolve the complaint. Complaint amendments must be documented on the “Complaint Amendment,” form LCR003. If completed, a copy of the form must be sent to the complainant within five (5) business days after the complaint investigator’s discussion with the complainant. Discuss the complaint with the complainant to clarify the issues and attempt an immediate resolution. If an immediate resolution is not found, further investigate the matter as necessary by obtaining pertinent case information and documents from the appropriate caseworker, FTB, and/or any other appropriate source. In completing an investigation, the complaint investigator has the following responsibilities: General Process Overview Step Three – Complaint Investigation Lesson One Next Please click the Next button to continue to the next slide. Complaint Investigator Responsibilities Determine what LCSA and/or FTB action is required to resolve the complaint and take action to achieve such resolution.

18 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 General Process Overview Step Three – Complaint Investigation Lesson One Next Please click the Next button to continue to the next slide. Complaint Investigator Responsibilities (continued) Keep complainant appropriately informed of actions being taken and expected time frames for completion. Monitor any resolution actions being taken to ensure completion within the thirty (30) calendar day investigation time constraint. Once this investigation and resolution process is completed, the LCSA must prepare and mail the “Notice of Complaint Resolution,” form LCR006, along with a blank form SH001. It may also be appropriate to simultaneously make a personal contact with the complainant regarding the resolution.

19 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Once the form LCR006 is mailed, Step Three is complete. There is no further action required by the LCSA unless the complainant requests a State Hearing. The complaint can be closed if the complainant communicates satisfaction with the resolution or if, after ninety (90) calendar days following the sending of the form LCR006, the complainant has not filed a request for State Hearing. Lesson Four, Administration, provides training and information about important record retention requirements. Complainants who indicate dissatisfaction with the resolution should be referred to the Ombudsperson Program and/or the State Hearing process at this point. General Process Overview Step Three – Complaint Investigation Lesson One Next Please click the Next button to continue to the next slide. Complaint Investigator Responsibilities (continued)

20 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complaints arising from the review of a court order for child and/or spousal support or a court order or equivalent determination of paternity. Complaints challenging the amount of child support or child support arrears set by a court. Complaints arising from custody and/or child visitation determinations. Child support matters which must, by law, be addressed by the court, unless the same law specifically provides for an administrative review. General Process Overview Step Four– Filing and Preparing for State Hearings Lesson One Next Please click the Next button to continue to the next slide. Filing Requirements A complainant who has completed and is dissatisfied with the results of the local complaint resolution process has the right to a State Hearing, provided the subject of the complaint/hearing request falls within the jurisdiction of the State Hearing process, which does not include: Additionally, State Hearings cannot resolve complaints of alleged discourteous treatment by an LCSA employee unless such conduct resulted in one of the actions or inactions that is the primary subject of the complaint/hearing request. In any other instances, discourteous treatment issues should be referred to the lead Ombudsperson.

21 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 A complainant receives the “Notice of Complaint,” form LCR004; A complainant receives the “Notice of Complaint Resolution,” form LCR006; General Process Overview Step Four– Filing and Preparing for State Hearings Lesson One Next Please click the Next button to continue to the next slide. Filing Deadlines Requests for State Hearing must be made in writing (preferably via form SH001) within ninety (90) calendar days after: The maximum time allowed for an LCSA’s response to a complaint has expired and the complainant has not received forms LCR006 or LCR004.

22 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 General Process Overview Lesson One State Hearing Office Responsibilities Next Please click the Next button to continue to the next slide. Upon receiving notification that a complainant is requesting a State Hearing, the State Hearing Office (SHO) checks the Complaint Resolution Tracking System (CRTS) to ensure the complainant has attempted to resolve the issue locally. Step Four– Filing and Preparing for State Hearings If a complainant has followed the process and the subject of the complaint falls within the jurisdiction of the State Hearing process, the SHO schedules a hearing to be held within thirty (30) calendar days of the date of the request. The SHO must notify all interested parties of the date, time, and location of the hearing at least ten (10) calendar days prior to the scheduled hearing date. If a complainant wishes to pursue the matter through a State Hearing, the LCSA, the SHO and the LCSA’s State Hearing Representative (SHR) have specific responsibilities.

23 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Mail the position statement and any pertinent documents to the complainant at least five (5) business days prior to a scheduled hearing. Advise SHO if an interpreter is needed or reasonable accommodation is required for a hearing due to a complainant’s disability. Provide assistance to complainants in requesting a State Hearing. Report to the SHO any known changes in a complainant’s address or other circumstances that might affect the conduct of a hearing. Provide complainants with relevant information pertaining to the subject of their complaint to help the complainants prepare for the State Hearing. Prepare a position statement for each hearing. Assign an LCSA representative who shall present the case at the State Hearing. General Process Overview Step Four– Filing and Preparing for State Hearings LCSA Responsibilities The LCSA must: Lesson One Next Please click the Next button to continue to the next slide. Once these actions are taken, Step Four is complete.

24 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings are conducted by an Administrative Law Judge (ALJ) from the SHO who hears the case and manages the hearing process. During the hearing, parties present their case and/or examine/cross-examine witnesses. At the completion of the hearing, the ALJ may “hold the record open” for a limited time for the submission of additional documents/evidence not available at the hearing. The “close of the record” occurs at the time the limited period expires. The ALJ must then provide the Director of DCSS with a proposed decision within ten (10) business days of the “close of the record.” General Process Overview Step Five – State Hearings Lesson One Next Please click the Next button to continue to the next slide.

25 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Orally summarize the written position statement that supports the LCSA’s and/or FTB’s action(s) or inaction(s). Make binding agreements and stipulations on behalf of the LCSA during the hearing. Cross-examine the complainant or the complainant’s authorized representative, and the complainant’s witness(es). Respond to any questions from the complainant or authorized representative, or ALJ concerning the case. Examine LCSA and/or FTB witness(es). Make available at the hearing, the LCSA case record documents that are not confidential and are relevant to the complaint. General Process Overview Step Five – State Hearings LCSA SHR Responsibilities The LCSA SHR performs the following case presentation activities at the State Hearing as necessary: Lesson One Next Please click the Next button to continue to the next slide. Lesson Three, State Hearings, provides more detailed information about the conduct of State Hearings.

26 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © Orders further hearing on the issue. 2.Amends or modifies the proposed decision; General Process Overview Step Five – State Hearings Lesson One Next Please click the Next button to continue to the next slide. Once the notice of decision has been properly distributed, Step Five is complete. Lesson Three, State Hearings, provides more detailed information about the State Hearing process. Within twenty (20) business days of the close of the record, the DCSS Director reviews the proposed decision and takes one of three possible actions: 1.Adopts the decision as proposed; The SHO is responsible for providing written notification of hearing results to the complainant and LCSA within ten (10) business days of the date of the Director’s decision. It is important to note that if the DCSS Director does not take one of these actions within twenty (20) business days following the date of the hearing, the ALJ’s proposed decision is adopted by operation of law. Hearing Decisions

27 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Satisfaction – Complaint Closed Provided both the complainant and LCSA are satisfied with the results of the State Hearing and any required actions are completed, there is no further action necessary. The LCSA should close the complaint. Lesson Four, Administration, provides training on this topic and important information on record retention requirements. General Process Overview Step Five – State Hearings Lesson One Next Please click the Next button to continue to the next slide. Hearing Decisions

28 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 General Process Overview Step Six – Appeals Lesson One Next Please click the Next button to continue to the next slide. Complainant Dissatisfied – Final Remedies Both the complainant and the LCSA have the right to appeal the State Hearing decision. Two paths are available: 1.The administrative path: the complainant or LCSA appeals the Director’s decision and petitions for a rehearing; 2. The legal path: the complainant files an action with the Superior Court. If a complainant/LCSA chooses the administrative path and the request for rehearing is denied or the complainant/LCSA is not satisfied with the results of the rehearing, the legal path is still available to the complainant. This action completes Step Six and completes the Complaint Resolution and State Hearing processes.

29 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Describe the purpose and intent of the Complaint Resolution and State Hearing processes. Use the course materials in your Complaint Resolution and State Hearing Training Student Tool Book to respond to general questions about the processes and/or refer questions to the appropriate party. General Process Overview Lesson One Review This concludes Lesson One. You should now be able to: Lesson One Next Please click the Next button to continue to the next lesson. This lesson includes a mandatory open-book examination that can be found in the Lesson One section of your Student Tool Book. If one is not there, please contact your Training Coordinator or supervisor to obtain the form. Follow local procedures for completing and submitting this exam. You must complete the examination to receive credit for completing this mandatory training. We would appreciate you taking the time to complete the course evaluation form. Your responses on this form help us ensure we are designing and maintaining training materials that best meet your needs. Thank you.

30 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complaint Review & Investigation Whether you are a complaint investigator or a caseworker who may be asked to provide case information to support a complaint investigation, you will need the information contained in this lesson to successfully accomplish your task. Lesson Two Next Please click the Next button to continue to the next slide. Learning Objectives At the conclusion of this lesson, you should be able to: Use course references to review a complaint and complete a “Request for Complaint Resolution Acknowledgement”, form LCR002. Use course references to determine jurisdictional authority and process a complaint transfer. Apply course references to complete a plan for investigating a complaint.

31 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Prepare and send to the complainant form LCR002, that must, at a minimum, explain the Complaint Resolution and State Hearing processes and associated time frames. The form LCR002 must be accompanied by a blank “Request for State Hearing,” form SH001. Complaint Review & Investigation Lesson Two In Lesson One, you learned that a customer can present a complaint verbally or in writing. Within five (5) business days of the complaint receipt date, the Local Child Support Agency (LCSA) must: Complaint Review Process Next Please click the Next button to continue to the next slide. Ensure the complaint information is documented on the “Request for Complaint Resolution,” form LCR001, and if the form was completed by the LCSA from a verbal complaint, a copy is sent to the complainant. Assign an investigator to the complaint. This individual must be someone whose action or inaction is not the subject of the complaint. Review and evaluate the complaint to ensure the LCSA holding the complaint has jurisdictional authority to resolve the complaint. Ensure the complaint has been entered into the Complaint Resolution Tracking System (CRTS). Lesson Five provides training on this topic.

32 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The LCSA sends a written notification to the complainant via the “Notice of Complaint Resolution,” form LCR006, and Complaint Review & Investigation Lesson Two Verbal or Written Complaint Received The complaint review must be completed within five (5) business days of the complaint receipt date. The purpose of the complaint review is to determine the LCSA’s jurisdictional authority to resolve the complaint. The LCSA that took the action, failed to take action or requested the Franchise Tax Board (FTB) take the action that is the subject of the complaint, has jurisdictional authority. Next Please click the Next button to continue to the next slide. A complaint that, upon review, is determined to be outside the jurisdiction of the child support program, must be processed as follows: To the extent possible, refers the complainant to the appropriate agency for resolution. A complaint that, upon review, is determined to be within the jurisdiction of the LCSA in another county, must be transferred by the LCSA performing the review to the appropriate county.

33 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Completes the “Complaint Transfer,” form LCR004. s or faxes the form with all other relevant complaint documents, forms and other information received from the complainant to the appropriate LCSA. Notifies the complainant of the transfer within five (5) business days after transferring the complaint by mailing a copy of the form LCR004. To initiate a transfer, the LCSA in County One: Complaint Review & Investigation Lesson Two Complaint Transfer Next Please click the Next button to continue to the next slide. Tip Tip There is a one-page map of the complaint transfer process in the Complaint Resolution Section of your Student Tool Book. Before we discuss transfers in greater detail, you may wish to find that map and refer to it during the next few minutes of this presentation.

34 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 If County Two agrees it has jurisdiction, the complaint resolution process must be completed within thirty (30) calendar days of receiving the transferred complaint. If County Two does not agree it has jurisdiction, discussion should occur between the two counties involved relative to which one has jurisdiction.  If agreement can not be achieved within five (5) business days of County Two’s receipt of form LCR004, County Two must contact, by telephone with a follow-up fax, the DCSS Customer and Community Services Branch (CCSB) for jurisdictional determination. DCSS must make a determination within five (5) business days of this contact.  If the CCSB determines that County One does in fact have jurisdiction, the original complaint receipt date is reinstated. If the CCSB determines that County Two has jurisdiction, County Two has thirty (30) calendar days from the date of form LCR004 receipt to investigate and complete the complaint resolution process. Complaint Review & Investigation Lesson Two Next Please click the Next button to continue to the next slide. When County Two receives form LCR004, the complaint receipt date is revised to the date the LCR004 was received by County Two. County Two must review the complaint for jurisdiction within five (5) business days of receiving the transferred complaint. Complaint Transfer (continued) Once jurisdiction has been determined, the LCSA with jurisdiction to resolve the complaint must ensure complaint information has been correctly entered/updated in the CRTS. Once this has been accomplished, the review is complete and the complaint investigation process can begin.

35 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complaint Review & Investigation Lesson Two Next Please click the Next button to continue to the next slide. To begin the investigation, the complaint investigator must contact the complainant to: Complaint Investigation Discuss and clarify the issues involved in, and the basis of the complaint, and Try to resolve the complaint to the satisfaction of the complainant. If this contact results in substantive modifications to the original complaint, the complaint investigator must: Document the new complaint information on the “Complaint Amendment,” form LCR003. It is important to note that an amendment to the original complaint does not re-start the 30-day complaint resolution period. Mail a copy of the completed form LCR003 to the complainant within five (5) business days of the contact.

36 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Notify the complainant in writing of the information needed from the complainant to effect complaint resolution.  If sufficient additional information is not received within ten (10) calendar days, the LCSA must send a completed form LCR006 to the complainant no later than thirty (30) calendar days after the complaint receipt date. Advise the complainant that the complaint will be closed in ten (10) calendar days if the information is not received. Complete and mail to the complainant a form LCR006, with a blank form SH001. Complaint Review & Investigation Lesson Two Complaint Investigation (continued) If, during the contact, the complaint is resolved to the satisfaction of the complainant, the LCSA must: Next Please click the Next button to continue to the next slide. Initiate closure of the complaint. Lesson Four, Administration, provides training on this topic. If during the contact the complaint investigator is unable to obtain enough information from the complainant to initiate or complete a complaint investigation, the LCSA must try to contact the complainant to secure the necessary information. If these efforts are unsuccessful, no earlier than fifteen (15), but no later than twenty (20) calendar days after the complaint receipt date, the LCSA must:

37 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Notify the appropriate LCSA staff of their responsibility for completing the necessary action(s) and ensure the actions are completed within statutory time frames. In the absence of statutory time frames, the actions must be completed within thirty (30) calendar days of the complaint receipt date. Obtain additional pertinent case information and/or documents from the caseworker(s) responsible for the action/inaction that is the subject of the complaint, the FTB and any other agency/source necessary for prompt resolution of the complaint. Identify and define any action the LCSA, FTB and/or any third party agency should take to resolve the complaint. Notify in writing any third party or agency of an action they must take to resolve the complaint and facilitate the resolution of the complaint with the third party until the requested action is completed. Complaint Review & Investigation Lesson Two Complaint Investigation and Resolution If, during the contact, sufficient information is obtained and the complaint is not resolved, the complaint investigation continues with further investigation into the facts surrounding the complaint and should: Next Please click the Next button to continue to the next slide.

38 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Include the time frames for filing a request for State Hearing based on the complaint resolution extension. Explain the reason for the extension. You will recall from Lesson One that the complaint resolution process must be completed within thirty (30) calendar days from the complaint receipt date unless the Director of the LCSA has granted a one-time extension of the complaint resolution period. Such an extension can be granted for up to a maximum of thirty (30) additional calendar days. If an extension is granted, the LCSA must complete and mail to the complainant and the State Hearing Office (SHO) a “Notice of Complaint Resolution Extension,” form LCR005, no later than thirty (30) calendar days after the complaint receipt date. The notice must be signed by the LCSA Director and: Complaint Review & Investigation Lesson Two Next Please click the Next button to continue to the next slide. Complaint Resolution Extension Once the form LCR005 has been completed and sent, the LCSA has up to sixty (60) calendar days from the complaint receipt date to prepare and send to the complainant the form LCR006.

39 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Any actions taken or to be taken by the LCSA to resolve the complaint. The subject of the complaint and the complaint receipt date. Complaint Review & Investigation Lesson Two Next Please click the Next button to continue to the next slide. Complaint Resolution Within thirty (30) calendar days of receiving a complaint, the LCSA must prepare and send form LCR006 and mail it with a blank form SH001 to the complainant. The form LCR006 must document: The LCSA’s decision relative to the complaint, including citations to applicable laws, regulations and/or DCSS policy letters. The complainant’s right to file a request for State Hearing, the process and time frames to file the request, and the issues that are within the jurisdiction of the State Hearing process.

40 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complaint Review & Investigation Lesson Two Next Please click the Next button to continue to the next slide. Complaint Closure The LCSA should close the complaint resolution process after completion of the following actions: Acknowledged the complaint via form LCR002. Investigated the complaint. Issued form LCR006. Completed any and all actions required to resolve the complaint. Lesson Four, Administration, provides training on this topic.

41 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Use course references to review a complaint and complete form LCR002. Use course references to determine jurisdictional authority and process a complaint transfer. Apply course references to complete a plan for investigating a complaint. Complaint Review & Investigation Lesson Two Review This concludes Lesson Two. You should now be able to: Lesson Two Next Please click the Next button to continue to the next lesson. We would appreciate you taking the time to complete the course evaluation form. Your responses on this form help us ensure we are designing and maintaining training materials that best meet your needs. Thank you. This lesson includes a mandatory examination that can be found in the Lesson Two section of your Student Tool Book. If one is not there, please contact your Training Coordinator or supervisor to obtain the form. Follow local procedures for completing and submitting this exam. You must complete the examination to receive credit for completing this mandatory training.

42 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Use course materials to facilitate customer access to and preparation for the State Hearing process. Delineate the scope of responsibilities within the State Hearing process between the complainant, the Local Child Support Agency (LCSA), the LCSA State Hearing Representative (SHR) and the State Hearing Office (SHO). Apply process and time frame information to ensure LCSA and SHR compliance with State Hearing requirements. State Hearings Lesson Three Next Please click the Next button to continue to the next slide. All county staff working with the complaint resolution process need to understand the State Hearing process in order to achieve the highest level of job performance and provide the best customer service. Learning Objectives At the conclusion of this lesson, you should be able to:

43 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Background Lesson Three Next Please click the Next button to continue to the next slide. The Department of Child Support Services (DCSS) is responsible for the administration and ultimate outcomes of the State Hearing process related to child support services. DCSS has contracted with the California Department of Social Services’ (DSS) SHO to conduct the hearings. As you learned in Lessons One and Two, the LCSA is required to advise a complainant about the state hearing process at particular times during the complaint review and investigation period: When the “Request for Complaint Resolution Acknowledgement”, form LCR002 is sent. When the “Notice of Complaint Resolution”, form LCR006 is sent. LCSAs must not: Discourage a complainant who states interest in a State Hearing from requesting one. Refuse to assist a complainant with a request for State Hearing.

44 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Requests for State Hearing Lesson Three Next Please click the Next button to continue to the next slide. Prior to submitting a request for State Hearing, complainants must have exhausted the local complaint resolution process. Requests for State Hearing must be filed within ninety (90) calendar days of the: Complaint Receipt Date if:  The LCSA fails to send form LCR006 within the thirty (30) calendar day complaint review and investigation time constraint.  The LCSA fails to send form LCR006 within sixty (60) calendar days of the complaint filing date if an extension was granted by the LCSA Director. Complainant’s receipt of form LCR006. Complainant’s receipt of the “Complaint Transfer”, form LCR004 if the county with jurisdiction failed to resolve the complaint within the thirty (30) day complaint review and investigation time constraint.

45 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complainant’s telephone and FAX numbers, and electronic mail address, if available. A description of the action or inaction that is the subject of the complaint. The LCSA’s child support case number. Requests for State Hearing can be made verbally or in writing to the SHO. While not necessary, once a complainant states he/she wants to file for State Hearing, he/she should be encouraged to make the request in writing by completing and submitting the “Request for State Hearing”, form SH001 to the SHO. The minimum requirements for submitting a request for State Hearing, verbally or in writing, are the same as those required for submitting a request for Complaint Resolution that you learned in Lesson One: State Hearings Filing of State Hearing Complainant’s name and address. Lesson Three Next Please click the Next button to continue to the next slide.

46 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 When a complainant expresses interest in filing a request for State Hearing, the LCSA has specific responsibilities: To assist the complainant in preparing and filing a request for State Hearing. To provide the complainant with relevant information pertaining to the subject of the complaint, including policy and regulation materials necessary for the complainant to:  Determine whether he/she should request a State Hearing.  Prepare for a State Hearing. If a complainant does file a request for State Hearing, the LCSA must: Notify the SHO if the complainant needs an interpreter and/or reasonable disability accommodation at the hearing, if known. Report any known changes in the complainant’s address or changes in circumstances that might affect the conduct of the hearing. State Hearings LCSA Responsibilities to the Complainant Lesson Three Next Please click the Next button to continue to the next slide.

47 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 In deciding whether or not to file for State Hearing and/or to prepare for State Hearing, a complainant may request access to case records. Complainants have the right during regular business hours to examine non-confidential portions of the case record and non-confidential information the LCSA used to make its decision at the conclusion of the complaint review and investigation. If relevant portions of the case record are confidential, the complainant can only inspect them in accordance with the Disclosure of Information permissions. Note: Training on this topic is provided in Lesson Four, Administration. The ALJ may issue a subpoena for witnesses and/or relevant documents after the hearing if he/she thinks it necessary. State Hearings Complainant Examination of Records Lesson Three Next Please click the Next button to continue to the next slide.

48 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Jurisdiction Lesson Three Next Please click the Next button to continue to the next slide. The State Hearing process has a specified range of issues that it has the power to address. Once received, requests for State Hearings are reviewed by the SHO to ensure that the complaint has at issue one or more of the following: An application for child support services that has been denied or has not been acted upon within the required time frame. A child support case that has been acted upon in violation of a law, regulation or DCSS policy letter or has not yet been acted upon within the required time frame. Note: This includes services for establishment, modification and enforcement of child support orders and accountings of child support collections/arrears. Child support collections that have not been distributed or have been distributed or disbursed incorrectly. An inaccurate amount of child support arrears as calculated by the LCSA. The LCSA’s decision to close a child support case.

49 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Child support matters which must, by law, be addressed by the court, unless the same law specifically provides for an administrative review. Complaints challenging the amount of child support or child support arrears set by a court. Complaints arising from custody and/or child visitation determinations. Complaints arising from the review of a court order for child and/or spousal support or a court order for equivalent determination of paternity. Complaints that, by law, must be resolved so quickly that going through the complaint resolution process would jeopardize the Custodial Party’s (CP) or Non-Custodial Parent’s (NCP) rights. State Hearings Jurisdiction (continued) The issues the State Hearing process cannot address include: Lesson Three Next Please click the Next button to continue to the next slide. Additionally, the State Hearing process cannot be used to resolve complaints arising from discourteous treatment by an LCSA employee unless such treatment resulted in an action or inaction that IS within the jurisdiction of the State Hearing process and IS the subject of the complaint.

50 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Scheduling State Hearings When the SHO receives a request for a State Hearing, the request is reviewed for jurisdiction and to ensure the local complaint resolution process was attempted and exhausted. Requests that meet these requirements are scheduled by the SHO for hearing. The date of the hearing must occur within thirty (30) calendar days after the request is received by the SHO. Lesson Three Next Please click the Next button to continue to the next slide.

51 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 A complainant has the right to appoint an authorized representative during all aspects of the hearing process by signing and dating a written statement to that effect, or by stating on the record at the hearing that the person is so authorized. If the complainant is not present at the hearing, a written statement authorizing a representative to act on behalf of the complainant for hearing purposes must be signed and dated by the complainant on or after the date of the action or inaction with which the complainant is dissatisfied. The authorization may be limited in scope or duration by the complainant. The authorization may be revoked by the complainant at any time. If the complainant is not present at the hearing and the written authorization does not meet the requirements, the Administrative Law Judge (ALJ) may proceed with the hearing if the circumstances indicate that the complainant wishes to proceed with the hearing process. In such cases, an amended authorization shall be submitted within five (5) days from the hearing. State Hearings Authorized Representatives Lesson Three Next Please click the Next button to continue to the next slide.

52 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 If the complainant has not authorized the representative in writing and is not present at the hearing, the person may be recognized as the authorized representative if: The person is the complainant’s attorney, guardian or conservator. The person has a Power of Attorney. At the hearing, the person swears or affirms under penalty of perjury on the record that the complainant has so authorized him/her to act as the complainant’s authorized representative, and the ALJ further determines the person is so authorized. State Hearings Authorized Representatives (continued) Lesson Three Next Please click the Next button to continue to the next slide.

53 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Notice of Hearing/Subpoena of Witnesses The SHO is responsible for notifying all interested parties at least ten (10) calendar days prior to the scheduled hearing of the date, time and location of the hearing. Note: This time frame can be shortened with the consent of all parties, and all parties are permitted to waive their right to notice. The hearing notice is to be mailed to the last known address of the complainant. At any time before the hearing, the SHO is permitted to, if requested verbally or in writing by the complainant or LCSA, issue a subpoena for witnesses and/or records. Lesson Three Next Please click the Next button to continue to the next slide.

54 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Postponements Lesson Three Next Please click the Next button to continue to the next slide. Once a hearing has been scheduled, the SHO or ALJ has the authority to postpone a hearing for good cause. Good cause includes: Death in the family. Personal illness of or injury to the complainant or authorized representative. Sudden and unexpected emergencies including, but not limited to, traffic accidents on the day of the hearing and illness of or injury to a household or family member who requires immediate care. A conflicting court appearance that cannot be postponed. Failure of the responsible LCSA to make a position statement available to the complainant at least two (2) business days prior to the date of the scheduled hearing. Substantive revisions to the position statement being made by the LCSA after the original statement was provided to the complainant. The complainant did not receive notice of the time and place of the hearing. Note: If the complainant fails to notify the LSCA or the SHO of a change of address while their complaint is pending, the situation does not constitute a reason for postponement. Any other reason the SHO or ALJ deems appropriate.

55 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Scheduling Hearings Outside the County Sometimes hearings will be scheduled at a location outside the county responsible for the case. In these instances, the responsible LCSA must take one of three actions: Lesson Three Next Please click the Next button to continue to the next slide. Note: Counties receiving such requests may decline the request if they are unable to provide a representative. If the county that receives the request declines, the responsible LCSA must participate in the hearing through one of the other two alternative actions noted above. 1.Send a local representative. 2.Submit a written position statement to the SHO and have the local representative participate in the hearing by phone. 3.No less than five (5) business days prior to the date of the hearing, send the original or a certified copy of relevant case record information and the position statement to the LCSA in the county where the hearing has been scheduled and request that county to represent them at the hearing. In this case, the responsible LCSA must: Declare under penalty of perjury that the information submitted is from the case record of the complainant. If certified copies are sent in lieu of original documents, attest that the copies are true copies of the original records.

56 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 In-person hearings are held in the county of the complainant’s residence unless the complainant requests the hearing be held elsewhere in California or by telephone. Telephonic hearings are permitted if: The complainant resides outside of California and does not voluntarily offer to come to California for the hearing. OR The complainant is an inmate or resident of an institution. State Hearings In-Person and Telephonic Hearings Hearings will generally be conducted in person but, in some circumstances, may be conducted by telephone. Lesson Three Next Please click the Next button to continue to the next slide. Note: In both cases, an in-person hearing in California can be scheduled in lieu of a telephonic hearing if the complainant authorizes a representative to attend in their place.

57 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 All relevant non-confidential information in the LCSA’s possession regarding the subject of the complaint. Statutory and regulatory citations or Department policy applicable to the LCSA’s action/inaction. A short statement of the facts in the case. Copies of documentary evidence itemized as exhibits and a list of witnesses the LCSA intends to use during the hearing. A complete fiscal accounting of the case, if the complaint involves undistributed or incorrectly distributed child support collections, or to the amount of arrears calculated by the LCSA. State Hearings LCSA Preparation of the Position Statement At least five (5) business days prior to the scheduled hearing, the LCSA must prepare and mail with pertinent documents a typewritten position statement to the complainant that includes: Lesson Three Next Please click the Next button to continue to the next slide. Note: The LCSA must forward to the SHO a copy of this document.

58 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Examination of the LCSA and/or FTB witnesses. Response to any question(s) from the complainant, authorized representative or ALJ regarding the case. Provision of a verbal summary of the written position statement that supports the LCSA and/or FTB action or inaction. Cross-examination of the complainant or complainant’s authorized representative and witnesses. Making available at the hearing the non-confidential LCSA case record documents that are relevant to the complaint. Making binding agreements and stipulations on behalf of the LCSA during the hearing. State Hearings LCSA Local State Hearing Representative The LCSA is also responsible for assigning and providing to the SHO the name of a local representative for each case that has had a State Hearing scheduled. This is the State Hearing Representative (SHR) who must be someone other than the individual whose action/inaction is the subject of the complaint and cannot be the Ombudsperson. SHRs have full responsibility for presenting the case at the hearing, which includes: Lesson Three Next Please click the Next button to continue to the next slide.

59 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Others may attend only if their attendance is permitted by the complainant, and the ALJ determines that their presence will not be adverse to the hearing. Local SHR.  Interpreters are present at a hearing if requested by the LCSA, complainant or authorized representative prior to the hearing or, if at the time of the hearing, the ALJ determines one is necessary.  Interpreters take an oath to interpret proceedings accurately and maintain confidence.  Interpreters cannot be related to or be friends with the complainant. Furthermore, neither the authorized representative, LCSA staff responsible for the action/inaction that is the subject of the complaint, nor the SHR can be interpreters.  Interpreters cannot be any individual who the ALJ determines is detrimental to the hearing process or has an interest in the results of the hearing. Certified interpreter: Complainant or authorized representative, one of whom is required unless it is a rehearing or further hearing. Administrative Law Judge (ALJ). FTB representative. Witnesses. State Hearings State Hearing Procedures Attendance at State Hearings is limited to the: Lesson Three Next Please click the Next button to continue to the next slide.

60 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Conducting State Hearings State Hearings are conducted by the ALJ in an impartial manner and consistent with the following rules: Lesson Three Next Please click the Next button to continue to the next slide. All testimony is submitted under oath, affirmation or penalty of perjury. Issues addressed in the hearing are limited to those identified in form SH001, or otherwise identified when the State Hearing is requested (i.e. verbal request). The merits of a pending hearing may not be discussed between the ALJ and any other interested party outside of the presence of the other parties. Proceedings are tape recorded or otherwise documented by means capable of reproduction or transcription. Written documents submitted by either the complainant or LCSA concerning the hearing must be made available to both parties. The complainant must be given copies of all documents submitted by the LCSA free of charge.

61 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Inform the parties that an additional hearing will be held on the substantive issues and provide the parties a minimum of ten (10) calendar days in which to prepare. State Hearings Jurisdictional Issues at State Hearings If a jurisdictional issue is raised at a State Hearing, parties can submit evidence regarding the substantive issue unless, prior to or at the hearing, the ALJ determines or the parties agree, that only the jurisdictional issue will be discussed. In this case, evidence regarding the complaint issue(s) is neither offered nor accepted and only evidence on the jurisdictional issue will be submitted. The ALJ must then, either verbally at the hearing or in writing within ten (10) calendar days after the hearing: Lesson Three Next Please click the Next button to continue to the next slide. Inform the parties that a decision will be prepared on the jurisdictional issue only and the complaint issues will not be addressed. No jurisdictional determinations are made at the hearing.

62 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Complainant and LCSA Rights at State Hearings During State Hearings, complainants and LCSAs have the right to: Lesson Three Next Please click the Next button to continue to the next slide. Bring witnesses. Examine both parties and witnesses. Conduct cross-examinations for a full disclosure of the facts. Introduce exhibits. Examine all documents introduced as evidence prior to or during the hearing. Question opposing witnesses and parties on any matter relevant to the issues, even if the matter was not covered in the direct examination. Make verbal and/or written arguments. Rebut evidence.

63 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Witnesses may attend State Hearings. A subpoenaed witness who appears at the hearing at the request of the complainant and/or the LCSA can be reimbursed for witness fees and mileage. Note: Detailed information on this topic is provided in Lesson Four, Administration. During the hearing, the ALJ can exclude a witness during the testimony of other witnesses and/or if the individual is disruptive to the conduct of the hearing. State Hearings Witnesses Lesson Three Next Please click the Next button to continue to the next slide.

64 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The taking of evidence is conducted in the manner the ALJ thinks is best suited to ascertain the facts and control the conduct of the hearing. The ALJ may exclude evidence he/she believes is irrelevant, cumulative or unduly repetitious. The standard of proof ALJs use in reaching their decision is by a preponderance (or predominance) of the evidence. State Hearings Evidence at State Hearings During the hearing, the ALJ will identify the issues involved in the complaint and state the order in which evidence will be received. The rules of evidence that apply at State Hearings are: Lesson Three Next Please click the Next button to continue to the next slide.

65 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Continuances An ALJ has the authority to grant the continuance of a hearing for additional evidence or close a hearing and hold the record open for a stated period not to exceed thirty (30) calendar days, in order to permit the submission of additional documentary evidence. When a hearing is postponed or continued, at the complainant’s request, the SHO must mail or give written notice to the complainant that explains the hearing date may be put off for a period not to exceed thirty (30) calendar days. Lesson Three Next Please click the Next button to continue to the next slide.

66 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Grounds for Dismissal Lesson Three Next Please click the Next button to continue to the next slide. The SHO may dismiss a hearing request prior to the hearing when: The hearing request has been withdrawn. The hearing request has been abandoned. The issue is not within the jurisdiction of a state hearing. The complainant fails to submit the request for state hearing within acceptable time limits. The request for hearing raises a compliance issue, such as an allegation that the LCSA and/or FTB failed to comply with a previously adopted state hearing decision. The issue is moot. The ALJ may also dismiss by proposed decision a hearing request when: He/She determines the complainant or authorized representative is unwilling to present the complainant’s case at the state hearing. He/She determines the issue(s) has/have been the subject of a previous state hearing involving the complainant. He/She determines the person requesting a state hearing doesn’t have standing to make the request.

67 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 An unconditional written withdrawal of the hearing request results in the immediate dismissal of the hearing request. The complainant maintains the right to file a new hearing request raising the identical issue provided the request is filed within the appropriate time frames. A conditional withdrawal of the hearing request must include a signed agreement between the complainant and the LCSA. Any such agreement must provide that the actions of both parties will be completed within thirty (30) calendar days from the date the conditional withdrawal is signed. The complainant is responsible for requesting a reinstatement of the hearing request if, upon receipt of the LCSA’s notice of re-determination, he/she is not satisfied with the decision. State Hearings Withdrawals There are two types of withdrawals: Lesson Three Next Please click the Next button to continue to the next slide.

68 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 If the complainant has unconditionally verbally withdrawn a hearing request prior to the hearing, the SHO will mail the complainant and the LCSA a letter confirming the withdrawal, which shall serve as the written withdrawal. The hearing request shall be considered withdrawn unless the complainant changes his/her mind regarding the withdrawal or did not intend to withdraw the request. In such instances, the complainant must notify the SHO verbally or in writing that the hearing request has not been withdrawn within fifteen (15) calendar days after the mailing of this letter. State Hearings Withdrawals (continued) A complainant can make a verbal or written request to the SHO to withdraw a hearing request any time before the DCSS Director/designee signs the decision. Lesson Three Next Please click the Next button to continue to the next slide.

69 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Notification of Dismissal Lesson Three Next Please click the Next button to continue to the next slide. Prior to dismissing a hearing for any of these reasons, the SHO must notify the complainant by mail of the reason(s) for the dismissal and that a dismissal is to occur fifteen (15) calendar days after the notice is sent unless the complainant submits further facts and/or arguments, verbally or in writing, that would indicate the matter should not be dismissed. If the complainant fails to respond to this notification, the hearing request will be dismissed. If the complainant presents information that may indicate the hearing request should not be dismissed, a hearing will be scheduled. If the complainant presents information that fails to establish the hearing request should not be dismissed, the SHO will dismiss the hearing request and provide written notice to the complainant within ten (10) calendar days of dismissing the hearing request.

70 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Abandonment If a complainant or authorized representative fails to appear at the scheduled hearing without good cause, the hearing request will be considered abandoned. If within ten (10) calendar days after the date of the scheduled hearing, the complainant requests the hearing request be reinstated and establishes good cause for failing to appear at the hearing, the hearing will be rescheduled. The SHO has authority to request a written declaration or other verification from the complainant to support the reason(s) for the nonappearance. If the hearing is not rescheduled, or the complainant does not request reinstatement within ten (10) calendar days from the scheduled hearing date, a written hearing decision which dismisses the matter and notifies the complainant of the right to request a rehearing will be distributed by the SHO to all appropriate parties. Lesson Three Next Please click the Next button to continue to the next slide.

71 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings ALJ Disqualification An ALJ must voluntarily withdraw from any proceeding in which he/she cannot give a fair and impartial hearing or in which he/she has an interest. A party may request at any time prior to the close of the record, that the ALJ be disqualified upon the grounds that a fair and impartial hearing cannot be held, or a fair and impartial decision cannot be rendered. Such requests shall be ruled upon by the ALJ prior to the close of the record. If, at the beginning or during the hearing, the ALJ upholds a party’s motion for disqualification, the matter is postponed and a different ALJ is assigned. Such a postponement is considered a postponement for good cause. If, after the hearing but before the close of the record, the ALJ determines that disqualification is appropriate, a further hearing will be granted. Lesson Three Next Please click the Next button to continue to the next slide.

72 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings State Hearing Communications No party or witness may communicate with DCSS or the ALJ about the merits of a case after the record is closed. Any such communications from a party or witness will be excluded from the record and disregarded prior to the adoption and release of the decision of the DCSS Director or the Director’s designee. Lesson Three Next Please click the Next button to continue to the next slide.

73 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Is incapacitated. Has ceased employment as an ALJ. Is disqualified. Is unable to write a proposed decision due to circumstances beyond his/her control. State Hearings ALJ’s Proposed Decision The ALJ must submit a proposed decision to the DCSS Director/designee within ten (10) business days of the close of the record. If the ALJ who heard the case is unavailable to prepare the proposed decision, the SHO shall assign another ALJ to prepare a proposed decision based on the record and notify the complainant of the right to request a new hearing, provided the complainant agrees to waive the time frame to render a decision. The ALJ will be considered unavailable if he/she: Lesson Three Next Please click the Next button to continue to the next slide. The proposed decision will be based exclusively on the evidence and other material admitted at the State Hearing, or after hearing, but while the record is open and must specify the reasons for the decision and identify the supporting evidence and applicable statutes or regulations.

74 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © Adopt the proposed decision in its entirety. 2.Issue an alternate decision based on the case record, including the transcript, with or without taking additional evidence. 3.Order a further hearing to be conducted. State Hearings DCSS Directorate Action The DCSS Director/designee will review the proposed decision and take one of the following actions: Lesson Three Next Please click the Next button to continue to the next slide. If the DCSS Director/designee renders an alternate decision, it must be in writing and include a statement of the facts, reference to the applicable statutes and regulations, and the reasoning to support the decision. The decision must be based on only those circumstances and issues existing at the time of the LCSA and/or FTB action or inaction in dispute that were the subject of the dispute and the request for State Hearing. A final decision must be rendered by the DCSS Director/designee for all State Hearings within twenty (20) business days from the date of the close of the record. If the DCSS Director/designee fails to act within this time frame, the proposed decision shall be deemed adopted by operation of law.

75 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Include a statement concerning the complainant’s right to request a rehearing or judicial review. Advise the complainant that if a judicial review results in a decision in the complainant’s favor, the complainant is entitled to reasonable attorney’s fees and the cost of the suit. State Hearings Issuance of the Decisions The SHO must mail a copy of the DCSS Director/designee’s decision to the complainant and the LCSA within ten (10) business days after the decision is adopted. The notice of decision must: Lesson Three Next Please click the Next button to continue to the next slide. Note: If the DCSS Director’s/designee’s action involves a rendering of an alternate decision or order for a further hearing, a copy of the ALJ’s proposed decision must be included with the alternate decision and mailed to the complainant and the LCSA within ten (10) business days of receipt of the final decision. Note: The DCSS Director/designee retains authority to rectify clerical errors contained in the decision after the decision has been issued.

76 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The exclusive record for the decision, will be available to the complainant and the LCSA during normal business hours at DCSS for three (3) years after the date of the adopted decision. This record must contain: A tape recording of the hearing or an official report of the substance of what transpired. All papers used in the proceeding including the exhibits entered into the record. The request for hearing filed in the proceeding. The ALJ’s proposed decision. The alternate decision, if any. State Hearings Access to Records Lesson Three Next Please click the Next button to continue to the next slide.

77 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The complainant and LCSA have the right to file a written request for rehearing with the SHO no later than thirty (30) calendar days after receipt of the adopted decision. This request must contain a statement regarding the date the adopted decision was received. In the absence of such statement, the date of receipt will be either: Three (3) business days after the date of the postmark on the envelope containing the decision, OR Three (3) business days after the date the decision was released by DCSS or SHO, whichever is later. The filing date of the rehearing request will be the postmark on the envelope containing the request. If the postmark is unreadable, the filing date will be the date the request for rehearing is signed. If the postmark is unreadable, and the request for rehearing is undated, the filing date will be three (3) business days prior to the date the rehearing request is stamped “received” by the SHO. State Hearings Rehearing Lesson Three Next Please click the Next button to continue to the next slide.

78 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 If the purpose of the rehearing request is to permit presentation of additional evidence, the request must: Describe the additional evidence. State why it was not previously introduced. Explain its materiality. Explain how the additional evidence will change the outcome of the hearing decision. State Hearings Rehearing for Further Evidence Lesson Three Next Please click the Next button to continue to the next slide.

79 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 State Hearings Rehearing Procedures Lesson Three Next Please click the Next button to continue to the next slide. Once a rehearing request is filed and received by the SHO within appropriate time frames, a copy is mailed by the SHO to the other party to the hearing. The other party is then permitted to file a written statement supporting or opposing the rehearing request. This response must be filed with the SHO no later than ten (10) business days after the copy of the request is mailed. The DCSS Director/designee will grant or deny the rehearing request no earlier than ten (10) and no later than twenty (20), business days after the request is received by the SHO. If action is not taken within this time frame, the rehearing request is deemed denied.

80 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 If a rehearing request is granted, the DCSS Director/designee must take one of two possible actions: 1.Order reconsideration of one, several, or all issues decided in the adopted decision on the basis of the evidence in the record, and any additional evidence submitted by the complainant or the LCSA. Any such additional evidence must be submitted to the opposing party for rebuttal. 1.Order a new hearing on one or more of the issues presented at the original State Hearing. To be granted, a rehearing request must meet one or more of the following criteria: Newly discovered evidence is now available but was not available to the requesting party at the time of the hearing, and the new evidence, if it had been introduced, could have changed the result of the decision. The adopted decision is inconsistent with the law. The adopted decision is not supported by the evidence of record. State Hearings Criteria for Granting Rehearing Lesson Three Next Please click the Next button to continue to the next slide.

81 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 If a rehearing request is denied, the SHO must mail a written notice of denial to the complainant no later than fifteen (15) business days after receiving the rehearing request. This notice must: Contain a statement concerning the complainant’s right to judicial review. Advise the complainant that, if the court decides the case in the complainant’s favor, the complainant shall be entitled to reasonable attorney’s fees and the cost of the suit. A rehearing request may be withdrawn by the requesting party any time before DCSS has acted upon the request. After a rehearing request has been granted, a withdrawal of the request by the requesting party is subject to the approval of the SHO. A rehearing decision cannot be subject to another rehearing. Any further appeal must be made to the Superior Court. State Hearings Criteria for Granting Rehearing (continued) Lesson Three Next Please click the Next button to continue to the next slide.

82 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Immediately upon receipt of the adopted decision, the LCSA must: Initiate action to comply with such decision. Comply with the adopted decision even if a rehearing is requested and/or granted, unless a request to stay compliance pending rehearing has been granted. Comply with a rehearing decision subsequently rendered, to the extent the decision differs from the original adopted decision. The Compliance Report. If the adopted decision is wholly or partially in favor of the complainant, the LCSA must, within thirty (30) calendar days of receipt of the adopted decision, submit a compliance report to DCSS that sets forth the specific manner in which the LCSA has complied and/or is complying with the order in the adopted decision. DCSS will review the compliance report and notify the complainant and the LCSA that the plan for compliance has been approved, or advise the parties of the action that must be taken to ensure proper compliance with the adopted decision. State Hearings Compliance Lesson Three Next Please click the Next button to continue to the next slide.

83 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complainant Dissatisfied. The complainant has the right to contact DCSS, verbally or in writing, to express dissatisfaction with the LCSAs compliance efforts. However, the complainant does not have a right to another State Hearing concerning noncompliance with the adopted decision. If such complaint occurs, DCSS shall determine the LCSAs compliance with the adopted decision and provide notice to the complainant. If DCSS determines the LCSA is not complying with the adopted decision, DCSS will take any action necessary to ensure compliance, and provide notice to the complainant of the action it has taken. State Hearings Compliance (continued) Lesson Three Next Please click the Next button to continue to the next slide.

84 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 This lesson includes a mandatory examination that can be found in the Lesson Three section of your Student Tool Book. If one is not there, please contact your Training Coordinator or supervisor to obtain the form. Follow local procedures for completing and submitting this exam. You must complete the examination to receive credit for completing this mandatory training. Use course materials to facilitate customer access to and preparation for the State Hearing process. Delineate the scope of responsibilities within the State Hearing process between the complainant, the Local Child Support Agency (LCSA), the LCSA State Hearing Representative (SHR) and the State Hearing Office (SHO). Apply process and time frame information to ensure LCSA and SHR compliance with State Hearing requirements. State Hearings Lesson Three Lesson Three Review Next Please click the Next button to continue to the next lesson. This concludes Lesson Three. You should now be able to: We would appreciate you taking the time to complete the course evaluation form. Your responses on this form help us ensure we are designing and maintaining training materials that best meet your needs. Thank you. Specialized training for Administrative Law Judges is being sponsored by the State Hearing Office.

85 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Administration Learning Objectives At the conclusion of this lesson, you should be able to: Lesson Four Next Please click the Next button to continue to the next slide. The material in Lesson Four provides valuable tools and information you will need to meet the record keeping and reporting requirements of the complaint resolution and state hearing regulations. Describe from memory DCSS’ expectations regarding local administration of the Complaint Resolution and State Hearing processes. Use legal requirement and regulatory references to compile and maintain appropriate confidential and non-confidential records regarding complaints filed and investigated at your agency. Use course references to provide effective and timely reports relative to complaint activity. Use legal requirement and regulatory references to ensure agency compliance with required resolution and State Hearing actions.

86 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Not discourage a complainant from filing a complaint or requesting a State Hearing. Not refuse to assist a complainant in requesting a State Hearing. Comply with the outcomes of the complaint resolution and state hearing processes. Maintain appropriate case records in a manner consistent with case management policies. Submit required reports regarding local complaint resolution activities to DCSS. Adopt and maintain the complaint resolution process specified in the regulations. Administration Lesson Four Next Please click the Next button to continue to the next slide. DCSS Expectations – Local Program Administration Each Local Child Support Agency (LCSA) under the DCSS is expected to:

87 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Any other information and documents pertaining to a child support case. The amounts and sources of support collections and the distribution of these collections. Any fees charged or paid for support enforcement services, or any other administrative costs. Applications for child support services. Any statistical, fiscal, and other records necessary for reporting and accountability pursuant to 45, Code of Federal Regulations, Section (a)(7). Actions to locate Non-Custodial Parents (NCPs), to establish paternity and to obtain, modify, and enforce support orders, including medical support, and the costs incurred in such actions. This includes any relevant facts, dates, and actions taken by the LCSA and the results of such action. All records pertaining to complaint resolution specified in Title 22, Division 13, Chapter 10 of the California Code of Regulations. This is the new requirement added as a result of the complaint resolution regulations, so we’ll look at this in a little more detail… Administration Lesson Four Next Please click the Next button to continue to the next slide. Records Management Each LCSA is required to maintain records necessary for the administration of the Title IV-D program. Records management provisions for complaint resolution records have been added to these existing requirements which now cover all of the following:

88 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The date the complaint was received, the nature of the complaint, and the date of the resolution. The dates the “Request for Complaint Resolution Acknowledgement,” form LCR002 and the “Notice of Complaint Resolution,” form LCR006 were mailed to complainant. The action required to resolve the complaint, including both of the following:  The unit(s), LCSA employee(s),other agency(ies) and/or third party(ies) responsible for completing the resolution action(s).  The date the resolution action(s) were completed. The LCSA case number. The name, address and telephone number of the complainant and the authorized representative, if one was identified. The identification of the complainant as Custodial Party (CP) or NCP. Administration Lesson Four Next Please click the Next button to continue to the next slide. Complaint Resolution Records The following complaint information must be maintained: Note: Much of this information must also be entered into and maintained on the Complaint Resolution Tracking System (CRTS). Lesson Five, Automated Tracking System, provides more detailed information about this system.

89 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Administration Lesson Four Next Please click the Next button to continue to the next slide. Confidential Records Child and spousal support information used in the administration of the Title IV-D Program is confidential and should not be disclosed unless authorized under disclosure provisions – this includes complaint information. “Information” includes all: All records and information obtained from other sources such as the Federal Parent Locator Service, Department of Motor Vehicles, Department of Justice and private financial institutions must also be safeguarded in accordance with the requirements set forth by the source agency. Applications Files and records Papers and documents Microfilm/Microfiche Child and spousal support enforcement records related to:  Determination of paternity.  Establishment, modification, and/or enforcement of child support, spousal support, and medical support orders. Information related to abducted children or the location of the concealing, detaining, or abducting person. Information related to crimes against a child.

90 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complainants have the right during regular business hours to examine non-confidential portions of the case record and non-confidential information the LCSA used to make its decision at the conclusion of the complaint review and investigation process. If relevant portions of the case record are confidential, the complainant can only inspect them in accordance with the Disclosure of information permissions which authorize disclosure: Administration Lesson Four Next Please click the Next button to continue to the next slide. Disclosure of Information Provisions Please view the next slide for a continuation of this list… To public agencies for administrative, civil, or criminal investigations, actions, proceedings, or prosecutions directly related to the administration of the Title IV-D Program. To the local agency responsible for:  The administration of the Title IV-D program in another state.  The programs funded under Titles IV-A, IV-B and IV-E of the Federal Social Security Act. To the person or his/her designee who wrote, prepared, or furnished the document being requested. If the designee has written authorization. To the courts for Title IV-D related activities.

91 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 To law enforcement including a district attorney, law enforcement agency, state or county child protective agency, or for use in any judicial proceeding, to the extent permitted by federal law and regulation, to:  Aid or assist in the investigation or prosecution of cases involving child abduction.  Prosecute an individual for a crime against a child. To protect a child. With regard to a payment history of an obligor, to the obligor, court, or person on whose behalf enforcement actions are being taken or to his/her designee, if that designee has written authorization. With regard to income and expense information of either parent, to the other parent for the purpose of establishing or modifying a child support order. With regard to medical insurance information for a child, to the other parent for the purpose of establishing, modifying, or enforcing a medical support order. If required to be disclosed by a court order to the person designated in the court order. For public records subject to disclosure under the Public Records Act. To individuals who are authorized to have access to information from the Federal Parent Locator Service. Administration Lesson Four Next Please click the Next button to continue to the next slide. Disclosure of Information Provisions (continued) Disclosure of information provisions authorize disclosure:

92 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The LCSA has reason to believe that release of the information may result in physical or emotional harm to the party or the child; or The disclosure of information on the whereabouts of one party or the child to the other party is prohibited if: Administration Lesson Four Next Please click the Next button to continue to the next slide. Disclosure of Location A good cause claim, pursuant to Section , Welfare and Institutions Code, has been approved or is pending; or A protective order has been issued by a court or administrative agency.

93 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Once a complaint has been successfully resolved or the LCSA has taken all steps possible to secure successful resolution, the complaint process can be closed. This can occur after the LCSA: Administration Lesson Four Next Please click the Next button to continue to the next slide. Requirements for Complaint Resolution Process Closure Has acknowledged the complaint by completing and sending to the complainant the “Complaint Resolution Acknowledgement,” form LCR002. Has either reached resolution during the initial interview or has investigated the complaint. Note: Lesson Two, Complaint Review and Investigation, provides more detailed information about this process. Has issued the complainant a “Notice of Complaint Resolution,” form LCR006. Has completed and/or monitored the completion of all actions required to resolve the complaint. Has updated the CRTS with all relevant complaint and resolution information. Note: Lesson Five, Automated Tracking System, provides more detailed information about this system.

94 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 An open federal or State audit, and/or Pending civil litigation, or a court order requiring such records be maintained for an extended period. Administration Lesson Four Next Please click the Next button to continue to the next slide. Record Retention Generally speaking, all closed Title IV-D case records should be retained for four (4) years and four (4) months from the date of case closure. There are exceptions to this retention schedule, however, when there is: In these cases, records should be retained until the audit and/or pending litigation or court order has been closed or completed.

95 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Administration Lesson Four Next Please click the Next button to continue to the next slide. Record Disposal Electronic, microfilm, and microfiche records must be permanently deleted, erased, and/or purged. If confidential records are destroyed by a third party, the LCSA must include a confidentiality clause in the contract with the third party to ensure record confidentiality through destruction. This concludes the record compilation, retention, security and destruction requirements for child support and complaint resolution records. Now we’ll look at reporting requirements. Once record retention periods have expired and no other reason exists to maintain a particular set of child support case records, the records should be destroyed. To be considered destroyed, records must be obliterated in a manner that ensures the information contained in the records is indecipherable. LCSAs must ensure that printed confidential records are destroyed in one of the following ways: Shredded Recycled which results in destruction of the records Burned Erased Obliterated Buried (provided information contained in the records is made indecipherable prior to burial).

96 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The number and percentage of complaints not closed within thirty (30) calendar days of the complaint receipt date or within sixty (60) calendar days of the complaint receipt date if the complaint resolution period was extended. The number of complaints transferred to other LCSAs. The number and percentage of complaints closed within sixty (60) calendar days of the complaint receipt date, if the complaint resolution period was extended. The number and nature of the complaints received. The number and percentage of complaints closed within thirty (30) calendar days of the complaint receipt date. The number of referrals to other agencies. Administration Lesson Four Next Please click the Next button to continue to the next slide. Reporting Requirements Within ten (10) business days following the end of each calendar quarter, the LCSA must provide the DCSS with a written report containing the following information: Your Student Tool Book contains a checklist and calendar that will help ensure your agency’s timely submission of this required report.

97 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Comply with a rehearing decision subsequently rendered, to the extent the decision differs from the original adopted decision. Comply with the adopted decision even if a rehearing is requested and/or granted by the DCSS Director/designee, unless a request to stay compliance pending rehearing has been granted. Initiate action to comply with the decision. Administration Lesson Four Next Please click the Next button to continue to the next slide. Compliance Reports At the conclusion of the state hearing process, the DCSS Director/designee can adopt the proposed decision of the Administrative Law Judge who hears the complaint. Immediately upon receipt of an adopted decision, the LCSA must: The Compliance Report. If an adopted decision is wholly or partially in favor of the complainant, the LCSA must, within thirty (30) calendar days of receipt of the adopted decision, submit a compliance report to DCSS that sets forth the specific manner in which the LCSA has complied and/or is complying with the order in the adopted decision. DCSS will review the compliance report and notify the complainant and the LCSA that the plan for compliance has been approved, or advise the parties of the action that must be taken to ensure proper compliance with the adopted decision. Note: Lesson Three, State Hearings, provides detailed information about the state hearing process.

98 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Complainant Dissatisfaction. A complainant has the right to contact DCSS, verbally or in writing, to express dissatisfaction with the LCSAs compliance efforts. However, the complainant does not have a right to another state hearing concerning noncompliance with the adopted decision. If such complaint occurs, DCSS shall determine the LCSAs compliance with the adopted decision and provide notice to the complainant. If DCSS determines the LCSA is not complying with the adopted decision, DCSS will take any action necessary to ensure compliance, and provide notice to the complainant of the action it has taken. Administration Lesson Four Next Please click the Next button to continue to the next slide. Compliance Reports (continued)

99 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 At any time before a scheduled hearing, the State Hearing Office is permitted to, if requested verbally or in writing by the complainant or LCSA, issue a subpoena for witnesses and/or records. Witnesses may attend State Hearings. A subpoenaed witness who appears at a scheduled hearing at the request of the complainant and/or the LCSA can be reimbursed for witness fees and mileage pursuant to Government Code Section This section states: “Except as otherwise provided by law, witness' fees for each day's actual attendance, when legally required to attend a civil action or proceeding, …are thirty-five dollars ($35.00) a day and mileage actually traveled, both ways, twenty cents ($0.20) a mile.” Administration Lesson Four Next Please click the Next button to continue to the next slide. Travel Reimbursement

100 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Administration Lesson Four Lesson Four Review Next Please click the Next button to continue to the next lesson. This concludes Lesson Four. You should now be able to: We would appreciate you taking the time to complete the course evaluation form. Your responses on this form help us ensure we are designing and maintaining training materials that best meet your needs. Thank you. This lesson includes a mandatory examination that can be found in the Lesson Four section of your Student Tool Book. If one is not there, please contact your Training Coordinator or supervisor to obtain the form. Follow local procedures for completing and submitting this exam. You must complete the examination to receive credit for completing this mandatory training. Describe from memory DCSS’ expectations regarding local administration of the Complaint Resolution and State Hearing processes. Use legal requirement and regulatory references to compile and maintain appropriate confidential and non-confidential records regarding complaints filed and investigated at your agency. Use course references to provide effective and timely reports relative to complaint activity. Use legal requirement and regulatory references to ensure agency compliance with required resolution and State Hearing actions.

101 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The new automated Complaint Resolution Tracking System Next Please click the Next button to continue to the next slide. Describe the purpose and intent of the Complaint Resolution Tracking System (CRTS). Use course materials as references to aid in logging complaints into the CRTS. Learning Objectives At the conclusion of this lesson, you should be able to: CRTS CRTS

102 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS has developed a web-based Complaint Resolution Tracking System (CRTS) to collect, track and report complaint information from the LCSA. The Department of Social Services, State Hearing Office (SHO) uses the CRTS to view the resolution status of a complaint when a Custodial Party (CP) or Non-Custodial Parent (NCP) requests a State Hearing. This new web-based system does not require any programming to the consortia. Next Please click the Next button to continue to the next slide. Purpose and Intent CRTS

103 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The Complaint Resolution Tracking System (CRTS) is a web-based application. You access the application via the Internet by typing https://counties.dcss.ca.gov/ in the Address site field. For the purpose of this training, the Address site has already been entered for you. Click the Next button to continue. https://counties.dcss.ca.gov/ DCSS employees would enter the following web site address: https://counties

104 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Upon accessing the CRTS website, you are asked to enter your Username and Password. Click the Login button once you have entered this information. Contact your supervisor if you need to establish a Username and Password. Click the Login button to continue. Username Here Password Here

105 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS County website Welcome or Home page is displayed and allows you to select from a list, the various web pages you can access. For the purpose of this training, the DCSS Data Retrieval web page is the only selection available. Click the DCSS Data Retrieval hypertext link to continue.

106 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Data Retrieval web page is displayed and allows you to select from a list, the form of submission you want to complete. For the purpose of this training, the form of submission is Complaint Resolution. Notice your Name and County automatically populates in the beginning Welcome text. Click the Complaint Resolution hypertext link to continue.

107 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution main page is displayed and allows you to choose the type of action you want to complete: Enter Complaint Information, Inquire Complaint Information, or Edit Complaint Information. Depending on your user capability and authorization level, you may not be able to access all of the listed actions. Click the Enter Complaint Information hypertext link to continue.

108 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution data input web page is displayed and allows you to enter Header, Complainant, Complaint, Complainant Representative, Notice, and Resolution Information. The Submitter, County, and Submit Date are automatically populated based on your user information and current date. The data fields designated with blue text are required entries. Click the Next button to continue.

109 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five 07/06/ Header Information The LCSA Date of Receipt field is used to enter the date the complaint was received whether it was lodged verbally or in writing. The receipt date cannot be prior to 07/01/2001 or later than the current date. The Family Violence Indicator dropdown list allows you to select Yes or No to indicate the existence of a record of a family violence issue. The LCSA Case Number field is used to enter the LCSA Case Number assigned to the case. The Consortia dropdown list allows you to select the consortia type (i.e. ARS, KIDZ, STAR, etc.). Click the Next button to continue.

110 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Complainant Information Enter the complainant’s entity and demographic information within the Complainant Information area. Be sure all of the information is spelled correctly and the appropriate City and County are selected. Notice the State is populated by default. If Out of State, please enter city, county, and state in the Notes field. The Complainant Type radio buttons allow you to choose Custodial, Non-Custodial, or Other (i.e. attorney or authorized representative). Click the Next button to continue.

111 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Complaint Information Enter the Complaint Description, Type, Referred Date, Complaint Filed, and Notes within the Complaint Information area. Up to five (5) Complaint Types can be selected from the dropdown lists. If the complaint is transferred to another county, you enter the date the form LCR004 is electronically mailed/faxed in the Referred Date field. The Complaint Filed radio buttons allow you to choose Verbal or Written. The Notes field allows you to enter additional pertinent freeform text. Click the Next button to continue. If the Complaint Type is not one of the five (5) choices available in the dropdown lists, leave the field(s) blank and enter Complaint Type information in the Notes field.

112 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Complainant Representative Information Enter the complainant’s representative (i.e. attorney or authorized representative) entity and demographic information within the Complainant Representative Information area. Be sure all of the information is spelled correctly and the appropriate City is selected. Notice the State is populated by default. If Out of State, please enter city, county, and state in the Notes field. Click the Next button to continue.

113 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Notice Information Enter the date the “Complaint Acknowledgement,” form LCR002, was sent to the complainant and/or the complainant’s representative in the Acknowledgement Date field. Enter the date the “Notice of Complaint Resolution,” form LCR006, was sent to the complainant and/or the complainant’s representative in the Resolution Notice Date field. Click the Next button to continue.

114 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Resolution Information Enter the complaint resolution information within the Resolution Information area. Select the action from the Action Required dropdown list, enter a responsible party in the Responsible Party field, enter the end date in the Resolution End Date field, and select the resolution status from the Resolution Status dropdown list. If applicable, select a county from the Transfer to County dropdown list and enter the date the transfer took place in the Transfer Date field. Click the Next button to continue.

115 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Submit Prior to clicking the Submit Info button at the bottom of the web page, double-check and edit the data you entered by scrolling up and down the page. When you are ready to submit the information, click the Submit Info button. Click the Submit Info button to continue.

116 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Submission Confirmation Here is your final chance to review and make any additions or changes to the data you have previously input. Clicking Back to the previous web pages allows you to perform any necessary edits. Click the Scroll Down Arrow or Next button to continue.

117 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Submission Confirmation (continued) When the information is ready to submit to the Complaint Resolution Tracking System database, simply click the Confirm button. IMPORTANT: Remember once you click the Confirm button, you will not be able to perform any edits in the Enter Complaint Information mode. Click the Confirm button to continue.

118 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The Complaint Resolution data is uploaded to the CRTS and the DCSS Complaint Resolution submission confirmation web page is displayed. The first line of text thanks you and confirms your submission. A Complaint ID is automatically assigned to the complaint. You click the Complaint Resolution navigation hypertext link to enter another complaint. Click the Complaint Resolution navigation hypertext link to continue.

119 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution main page is displayed and allows you to choose the type of action you want to complete: Enter Complaint Information, Inquire Complaint Information, or Edit Complaint Information. Depending on your user capability and authorization level, you may not be able to access all of the listed actions. Click the Inquire Complaint Information hypertext link to continue.

120 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution data input web page is displayed and allows you to search by Complaint ID or Complainant Name. After the Complaint ID or Name is entered, click the Search button. For the purpose of this training, let’s retrieve our previous entry by Complainant Name. The name has been entered for you. Click the Search button to continue.

121 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution search web page is displayed and allows you to select the appropriate case matched by Complaint ID. This is where you can locate the Complaint ID for future reference. Click the Complaint ID hypertext to continue.

122 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution view page is displayed and allows you to scroll up and down the page to locate case data information that was previously entered. If edits are needed, the next level of authorization needs to be contacted to complete those edits. To return to the previous web page, click the Back button on the browser. Click the Complaint Resolution navigation hypertext link to continue.

123 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution main page is displayed and allows you to choose the type of action you want to complete: Enter Complaint Information, Inquire Complaint Information, or Edit Complaint Information. Depending on your user capability and authorization level, you may not be able to access all of the listed actions. Click the Edit Complaint Information hypertext link to continue.

124 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution data input web page is displayed and allows you to search by Complaint ID or Complainant Name. After the Complaint ID or Name is entered, click the Search button. For the purpose of this training, let’s retrieve our previous entry by Complaint ID this time. The Complaint ID has been entered for you. Click the Search button to continue.

125 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution view page is displayed and allows you to scroll up and down the page to locate case data information that was previously entered. In addition to being able to add or edit the data, two new fields have been added within the Complaint Information area. They are the 30-Day Extension checkbox and Notes fields. Click the Scroll Down Arrow or Next button to continue.

126 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The 30 Day Extension checkbox field allows authorized individuals to allow an additional 30 days to complete the Complaint Resolution process. The Notes field allows you to input additional notes. To return to the previous web page, you click the Back button on the browser. Click the Next button to continue.

127 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five When you are ready to submit the edited information, click the Submit Info button. Click the Submit Info button to continue.

128 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution view page is displayed and allows you to scroll up and down the page to locate case data information that was previously entered. Click the Scroll Down Arrow or Next button to continue.

129 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five When the information is ready to submit to the Complaint Resolution Tracking System database, click the Confirm button. Click the Confirm button to continue.

130 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The Complaint Resolution data is uploaded to the CRTS and the DCSS Complaint Resolution submission confirmation web page is displayed. The first line of text thanks you and confirms your submission. Click the Complaint Resolution navigation hypertext link to continue.

131 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five The DCSS Complaint Resolution main page is displayed and allows you to choose the type of action you want to complete. This concludes the Automated Tracking System training. Click the Next button to continue.

132 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Automated Tracking System Lesson Five Review This concludes Lesson Five. You should now be able to: Lesson Five Next Please click the Next button to continue to the next lesson. Describe the purpose and intent of the Complaint Resolution Tracking System (CRTS). Use course materials as references to aid in logging complaints into the CRTS. We would appreciate you taking the time to complete the course evaluation form. Your responses on this form help us ensure we are designing and maintaining training materials that best meet your needs. Thank you.

133 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Telephone number (916) Help & Frequently Asked Questions FAQs Next Please click the Next button to continue to the next slide. The Help Desk was established to answer the more complex questions or system issue problems. Please check your Student Toolbook or with your local Training Coordinator prior to contacting the Help Desk. You can reach the Help Desk by: Help Desk

134 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Checkout the FAQ web site at https://counties.dcss.ca.govhttps://counties.dcss.ca.gov Help & Frequently Asked Questions FAQs Next Please click the Next button to continue to the next slide. This section is designed to provide you with the most commonly or frequently asked questions, as well as provide you with the necessary resources and procedures for submitting questions. Frequently Asked Questions (FAQs) FAQ text document Complaint Resolution Definitions text document Forms Index Page

135 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Forms Index Page Below you will find a list of the forms available at the time of this training presentation. Click on the form hypertext link below to see a sample of that form. Menu Please click the Menu button to return to the Menu slide. Form LCR001, Request for Complaint Resolution Form LCR002, Complaint Acknowledgement Form LCR003, Complaint Amendment Form Form LCR004, Complaint Transfer Form LCR005, Complaint Resolution Extension Form LCR006, Complaint Resolution Form SH001, Request for State Hearing Forms & Brochures F O R M S

136 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 Credits Curriculum Development: Gloria Clemons-White Doreen Conley Kim Krazynski This presentation was produced by the Training & Procedures Unit within the California Department of Child Support Services (CDCSS). Menu Please click the Menu button to return to the Menu slide. Presentation Development: Tim Hughes Narration/Audio: Tim Hughes

137 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 The End

138 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Request for Complaint Resolution,” Form LCR001 Forms Index

139 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Request for Complaint Resolution Acknowledgement,” Form LCR002 Forms Index

140 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Complaint Amendment Form,” Form LCR003 Forms Index

141 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Complaint Transfer,” Form LCR004 Forms Index

142 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Notice of Complaint Resolution Extension,” Form LCR005 Forms Index

143 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Notice of Complaint Resolution,” Form LCR006 Forms Index

144 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Request for State Hearing,” Form SH001 Forms Index

145 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Request for State Hearing Acknowledgment,” Form SH002 Forms Index

146 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Notice of State Hearing,” Form SH003 Forms Index

147 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Notice of Postponement of State Hearing,” Form SH004 Forms Index

148 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Notice of Intent to Dismiss State Hearing Request,” Form SH005 Forms Index

149 BackMenuNext Complaint Resolution & State Hearing Training State of California Department of Child Support Services Training & Procedures Unit © 2001 “Notice of Rehearing Request Review,” Form SH006 Forms Index


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