Administrative Disqualification of individuals is achieved through an Administrative Disqualification Hearing (ADH). An ADH is a formal, impartial review by a Human Services Judge for the purposes of rendering a decision as to whether or not an individual committed an intentional program violation (IPV).

An IPV is any action by an individual which is a willful or intentional false statement, a concealment of a fact, or misrepresentation, whether or not it did or could have resulted in receipt of additional benefits. For more information about the methods for establishing an IPV, see Chapter 13.6 (Disqualification for Wrongfully Obtaining Assistance – Families).

Misrepresentation or a failure to report on a timely basis does not necessarily constitute an IPV. The criteria for establishing the IPV requires an intentional act of deception, or one taken with an appreciation or understanding or its consequences or wrongfulness and, for families on CCAP, must be proven by a clear and convincing legal standard of proof. To establish an IPV in an ADH for a CCAP family, there must be a finding of intentional concealment or misrepresentation of a material fact by the legal standard of “clear and convincing evidence.” Clear and convincing proof requires more than a “preponderance of the evidence” but less than “proof beyond a reasonable doubt.” Legally, clear and convincing proof is where it is highly probably that the matter asserted is true.

An ADH must be initiated for individuals accused of committing an IPV when criminal charges are not being pursued. ADH procedures and requirements, EXCEPT for the notice of hearing as explained below, are the same as for administrative appeal hearings. See Chapter 15 (Appeals).

Note: The standard of proof for an ADH for a CCAP family differs from the standard of proof for an ADH for a CCAP provider. See Chapter 13.9.3 (Administrative Disqualification-Provider).

Referral of Intentional Program Violation

Resolve cases of suspected IPVs through either the criminal or ADH process, not both. Do not make concurrent referrals for prosecution and ADH. The practice of resolving an IPV first through the ADH process and then referring the same IPV for prosecution is prohibited.

If a case is dismissed in court, an ADH may be pursued because the burden of proof in establishing an IPV in an ADH action is the lower “clear and convincing” test as opposed to the “any reasonable doubt” standard required in a criminal prosecution.

Administrative Disqualification Hearing waivers and requests

Upon identifying an IPV and determining that the ADH process will be pursued, the accused individual must be offered the opportunity to waive the appearance before a Human Services Judge and simply agree to the prescribed disqualification penalties.

Initiate the ADH process by completing the Notice of Intentional Program Violation – Waiver of Administrative Disqualification Hearing DHS-3131 (PDF) for families. Prepare a narrative summary of the allegations, investigative findings, and the evidence to support the findings. Someone other than the assigned case worker must also review and sign the form and find that the case facts, if proven, would justify a finding of fraud. A CCAP agency contact person must also be listed for the accused person to contact for reviewing the agency’s proof. The back page of the ADH waiver form has instructions to the accused person as to how to waive the hearing or request an ADH hearing. The waiver allows the accused person to admit to the facts or not, with the understanding that the disqualification penalty will be imposed in either case. Present or mail the ADH Waiver to the accused person. In either case, allow the person up to 10 days to return the form.

Waivers cannot be offered when there is only a suspicion of guilt, but the evidence is not convincing. If a CCAP agency determines that it has sufficient evidence to hold a hearing and has offered the individual an opportunity to waive the hearing, the CCAP agency must then schedule a hearing if the individual requests a hearing or does not sign the waiver. The hearing must be requested within 30 days of the due date provided on the ADH waiver. Do not offer an ADH waiver if the case is being referred for prosecution nor should prosecution be suggested as a threat if the waiver is not signed. When an ADH waiver is offered it should be because the CCAP agency has already determined that an ADH is appropriate and is merely offering the individual the opportunity to opt out of the actual hearing

If the accused person waives their right to a hearing, disqualify the person. See Chapter 13.6 (Disqualification for Wrongfully Obtaining Assistance – Families).

People have the right to revoke a signed waiver and to request that an ADH be held. This revocation must be in writing and be received by the CCAP agency prior to the effective date of the proposed disqualification or within 30 days of the date the waiver was signed, whichever is earlier.

If the accused person refuses to sign the waiver, requests to have a hearing, or fails to return the waiver, refer the case for an ADH. Complete the Request for Administrative Disqualification Hearing DHS-3132 (PDF) for families and send to:

Minnesota Department of Human Services
Appeals Office
P.O. Box 64941
St. Paul, MN 55164-0941

Upon receipt of the Request for Administrative Disqualification Hearing DHS-3132 (PDF), the State Appeals Office will either accept or deny the request. If denied, the CCAP agency will receive a notice indicating the reason for the denial. Denied requests may be resubmitted to the State Appeals Office for reevaluation. ADH requests may be withdrawn any time before the scheduled hearing date with written notice to both the accused person and the State Appeals Office.

If the State Appeals Office accepts a request, it will schedule a hearing date and send the accused person and CCAP agency a notice of hearing. The notice will include a copy of the summary prepared by the CCAP agency. Federal regulations require the State Appeals Office to give notice of an ADH hearing at least 30 days in advance (unless the accused person waives the hearing), rather than the 5-day notice for a regular fair hearing.

A Human Services Judge may combine a fair hearing and ADH into a single hearing if the factual issues arise out of the same or related circumstances. The accused person must receive 30 days advance notice (unless waived) that the hearings will be combined.

Within 90 days of family notification of an ADH or a combined hearing, the State Appeals Office must conduct the hearing, reach a decision, and notify the accused person and CCAP agency of the decision.

Family members found guilty of fraud by an ADH determination are subject to the disqualification procedures in Chapter 13.6 (Disqualification for Wrongfully Obtaining Assistance - Families).

Administrative Disqualification Hearing investigative subpoena

Subpoena authority is available to CCAP agencies to gather information relevant to the investigation of a potential IPV that will be pursued through the ADH process. Consider using an investigative subpoena when a third party refuses to provide information. Complete the Request for Investigative Subpoena DHS-3436 (PDF) and send to the DHS Appeals and Regulations Division. Include a description of the information being requested and the relevance of the information to establishing the IPV.

These subpoenas are not self-enforcing meaning that a first refusal to obey will not result in a contempt citation. However, these subpoenas are enforceable by appealing to district court for their enforcement by issue of a district court subpoena.

Disqualification consent agreement

County and Tribal attorneys can also use the Disqualification Consent Agreement (DCA) DHS-3429 (PDF) for families as an option for establishing an IPV and allowing an accused person to voluntarily agree to a disqualification and repayment of program benefits. Use of the DCA form is limited to the discretion of and execution by the county or Tribal attorney’s office. The DCA’s intended use is for those IPV cases that the county or Tribal attorney chooses to adjudicate without formal charging and prosecution outcomes.

Legal authority

Minnesota Statutes 142A.20
Minnesota Statutes 142A.25
Minnesota Statutes 142A.27
Minnesota Statutes 142E.18
Minnesota Statutes 256.0451
Minnesota Statutes 256.98
Minnesota Rules 3400.0183
Minnesota Rules 3400.0230
7 C.F.R § 273.16(e)(6)