Library: Policy

OKDHS:2-3-2. Administrative investigation

Revised 12-1-02

(a) Initiation of investigation.  The advocate general initiates an administrative investigation at the request of the Department of Human Services (DHS) Director or the chief operating officer upon receipt of notice of a death or near death of a child known to Child Welfare (CW).  The Director may request an administrative investigation in other circumstances. 

(b) Investigation process.  The investigation includes a review of the case record and other relevant accessible records, and interviews as warranted with staff and others with information pertinent to DHS's involvement in the case.

• (1) The investigation is a review of DHS's involvement preceding the death or near death, but does not include a review of the death or near death investigation conducted by the local Child Welfare, Field Operations Division (FOD) staff.
• (2) The advocate general cooperates with other official related investigations.  The advocate general may suspend the administrative investigation upon notice that a civil or criminal proceeding has been or will be filed, in order to prevent interference with or contamination of those proceedings.  When the advocate general suspends an administrative investigation, the suspension is reported to the Director and the Administrative Review Committee (ARC).

(c) Rights and responsibilities of employees.  The rights and responsibilities of DHS employees in an administrative investigation are outlined in (1) through (7) of this subsection.

• (1) Employees make themselves available for interviews and accommodate the investigator in scheduling of interviews.
• (2) Employees provide pertinent information and respond fully to questions asked.
• (3)  In addition to being interviewed, employees may submit written statements relating to the events in question.
• (4)  Employees may seek advice concerning their rights and responsibilities from other parties within or outside DHS.
• (5) Employees prepare written statements or reports relevant to the investigation upon request.
• (6) Employees, who reasonably believe answers to official inquiries regarding the events in question may incriminate them in a criminal prosecution, may decline to answer those questions.
• (7) Employees interviewed do not discuss their interviews with anyone outside of the Office of Client Advocacy.

(d) Advocate general's report.  Within 45 working days after the advocate general's receipt of the case record, the advocate general submits a report to the Director, with copies to the chief operating officer, applicable area directors, the FOD director, and the Children and Family Services Division (CFSD) director.  The advocate general's report:

• (1) presents those facts, to the extent known, necessary for the understanding of the case; 
• (2) does not contain conclusions, recommendations, or policy references; and
• (3) includes in the attachments a separate interview summary of relevant information for each employee interviewed during the investigation.

(e) Dissemination of advocate general's report.  Administrative investigations are confidential unless otherwise provided by law.  All communications about the events under investigation and the content of reports are limited to authorized personnel.

• (1) The Director and the chief operating officer may request further investigation by the advocate general when appropriate.
• (2) Each current DHS employee who was interviewed during the administrative investigation is provided a copy of his or her individual interview summary attachment to the advocate general's report, but not the report itself.  The advocate general transmits the interview summaries to employees at the same time the report is submitted to the Director.  • 1
• (3) Within 15 working days of the date on the advocate general's memo transmitting an interview summary, an employee may, but is not required to, submit to the advocate general a written statement which provides additional relevant information or notes any disagreement with information contained in the employee's interview summary.
• (4) Within 15 working days of receipt of an employee's statement, the advocate general or designee reviews it to determine whether to amend the advocate general's report, supplement the report, or add it to the report as an attachment.

(f) Area director review.  Each applicable area director reviews the advocate general's report and submits a written response to the Director with copies to the chief operating officer, FOD director, and the CFSD director, indicating remedial or corrective action or inaction taken and the reasons.  The response of each area director is submitted within 60 calendar days of the date on the memo transmitting the advocate general's report.  • 2

(g) Administrative review.   At the request of the Director, the ARC convenes to review the advocate general's report, the area directors' report(s), or both.  The ARC meets within 15 working days of the advocate general's receipt of the Director's request. 

• (1) Applicable area directors are notified by the FOD director and required to participate in the ARC's meeting.
• (2) The ARC's determinations are recorded in the form of recommendations for action and comments explaining those recommendations.  Only those recommendations and comments upon which the ARC as a whole agrees are included in the report of the ARC's review. 
• (3) The purpose of the ARC's review is to determine:
  • (A) the need, if any, for the development or revision of policy, training, or both;
  • (B) the impact of local practices, such as practices required or expected by the court or district attorney, and the need to address those practices;
  • (C) the performance of staff, including compliance with applicable law, policy, and practice, and the appropriateness of personnel action initiated or not initiated; and
  • (D) any other matter the ARC deems relevant and necessary.
• (4) The ARC completes its report within 15 working days of convening.  The advocate general submits the ARC's report to the Director with copies to applicable area directors.

1.  An interview summary is transmitted to the current Department of Human Services (DHS) address of the employee in a sealed envelope marked "Confidential and Personal:  To Be Opened Only By Addressee."

2. The area director's report includes recommendations for action, and comments explaining those recommendations, with regard to:

(1) the need, if any, for the development or revision of policy, training, or both;

(2) the impact of local practices, such as practices required or expected by the court or district attorney, and the need to address those practices;

(3) the performance of staff, including compliance with applicable law, policy, and practice, and the appropriateness of personnel action initiated or not initiated; and

(4) any other matter the area director deems relevant and necessary.