APS Case Review Process

Each DAS program must have quality review processes to ensure consistency and quality in program administration and service delivery. The APS program policy is the foundation for administering the program. State Office assigned APS staff, APS District Managers, Supervisors, Case Managers, Family Service Workers and APS Program Associates are responsible for implementing policy in the delivery of services to disabled and elder persons. The purpose of the DAS APS Review process is to:

  • Determine if APS policy and procedures have been followed in the delivery of APS services

  • Identify areas of non-compliance and root causes for non-compliance

  • Provide feedback to staff, including training and coaching, to ensure that policies are understood and followed and

  • Identify opportunities for improvement in the APS program.

Several levels of reviews will be done as part of this process:

  • Monthly Supervisory Review by CI / APS Regional Supervisors

  • Monthly District Manager Review by APS District Managers

  • Monthly State Office Review by APS Fields Operations Manager

  • Special Review (High Profile/Serious Injury or Unexpected Death)

  • DAS Program Integrity Review

Monthly Supervisory Review by CI / APS Regional

Supervisors Responsibilities:

  1. Required Monthly Review

    • Each supervisor is required to review, at minimum, 2 cases per worker up to 16 records a month. The cases will be randomly selected, ensuring that one each of Investigation and On-going is reviewed. If a supervisor has more than 8 workers, the supervisor will randomly select and review at least one record per worker with additional reviews distributed among staff to ensure that no more that 16 reviews are completed by the Supervisor.

    • Process flow

      • Supervisors will randomly select a sample as designated above.

      • Supervisors will use the appropriate review guide (Investigation or On-going).

      • Supervisors will check appropriate responses on the review guides and add notations in the comments field as needed or applicable.

        • If no corrections are needed, the guide will be routed to the worker for review and signature. The completed, signed guide will be copied and routed: copy to the worker, copy to the productivity file and the original filed in the case file in the section tabbed “service documentation”.

        • If corrections are needed, the supervisor will note the corrections needed and route the completed guide to the worker. The worker will make necessary corrections with in 5 business days, sign and return the guide to the supervisor in order to verify that all corrections are made by the established due date. The supervisor will verify that corrections have been made to the case. The completed guide will be copied and routed: copy to the worker, copy to the productivity file and the original filed in the case file in the section tabbed “service documentation”.

      • As part of the routine monthly conferences, supervisors should discuss completed guides with staff with regard to accuracy, policy and/or practice to better ensure that workers understand APS policy and application.

      • The supervisor will maintain copies of all completed case reviews for the entire performance period in each employee’s productivity file.

      • A report by worker to include case name, client id and error elements will be submitted to the assigned District Manager by the 10th working day of the month after the review month (e.g., September’s review list would be due to the DM by the 10th working day of October)

  2. Additional Reviews

    • As requested / directed by the District Manager, additional reviews may be assigned for complaints received, Serious Injury and Death Reports, etc.

Monthly Reviews by APS District Managers

Responsibilities:

  1. Required Monthly Second Level Reviews

    • Upon receipt of the completed supervisory review list submitted by assigned supervisors, each district manager will randomly select, from the list, two (2) cases per supervisor and complete a second level case review using the appropriate review guide to assess concurrence with the review findings and error elements data.

      Copies of completed supervisor review lists will be filed in the Supervisor’s productivity file for the performance period.

    • Process flow

      • District Managers will randomly select a sample as designated above.

      • District Managers will use the appropriate review guide (Investigation or On-going).

      • District Managers will check appropriate responses on the review guides and add notations in the comments field as needed or applicable to the case.

      • As part of the routine monthly conferences, District Managers should discuss completed guides with reference to accuracy, policy and/or practice to better ensure that supervisor understands APS policy and application.

      • The District Manager will maintain copies of all completed case reviews for the entire performance period in each Supervisor’s productivity file. A copy of the completed review guide will be forwarded to the supervisor.

      • A District report to include Supervisor, case worker, case name, client id and error element data will be submitted to the APS Field Operations Manager by the 20th working day of the month after the review month (e.g., September’s District review report would be due by the 20th working day of October)

  2. Additional Reviews

    • As requested or directed by DAS state level staff, additional reviews may be assigned for complaints received, High profile/Serious Injury and Death Reports, etc. (see SIRT policy / procedures on ODIS)

    • District Managers may be assigned to serve on quality assurance peer review teams for a District that he/she does not manage.

Monthly Reviews by State Office

Responsibilities:

  1. Required Monthly State Level Reviews

    • Upon receipt of the completed District review report submitted by assigned District Manager, the APS Fields Operations Manager will randomly select, from the report, two (2) completed 2nd level reviews per District Manager and complete a State level case review using the appropriate review guide to assess concurrence with the review findings and error elements data.

    • Process flow

      • APS Fields Operations Manager will randomly select a sample as designated above.

      • APS Fields Operations Manager will use the appropriate review guide (Investigation or On-going).

      • APS Fields Operations Manager will check appropriate responses on the review guides and add notations in the comments field as needed or applicable to the case.

      • Report to include comments/recommendation will be shared with the assigned District Manager for follow up if indicated.

      • Statewide report to include error element data will be submitted to the DAS Director and Deputy Director on a quarterly basis.