Nebraska Employment First
Universal Caseload Process Guide
March 2013
BackgroundThis process guide is developed to illustrate the coordination of services to TANF recipients. This Process Guide is not intended to replace any regulations or policy under which the program is administered. This is a collaborative effort between DHHS and its contractors to ensure participants’ needs are met and the state is meeting the 50% participation rate for Employment First.
For this document DHHS staff will be referred to as Social Service Workers (SSWs) and the Contractor’s case managers (CM) will be referred to as such. This is to help distinguish who will be responsible in what areas.
This process guide is approved for statewide use and changes or additions are not allowed without prior approval from the holders of the contracts
(EA Administrator Team).
Table of ContentsI. Referral
I-A.. New Applicant
I-A. New Applicant-Initial Appt.
I-B. Ongoing ADC Recipients / Pages 1-6
II. Ongoing Participants-Changes / Pages 7-8
III. ADC Grant Waiver / Page 9
IV. Exemptions / Pages 10-14
V. Sanctions
V-A. Lifting Sanction / Page 15-18
VI. Exhausted Lifetime Limit-Applicant / Page 19
VII. Preparation for Hardship Review-Ongoing / Page 20-21
VIII. Appeals / Page 22
IX. Mediation / Page 23
XI. Transfer Process – Between Service Areas / Page 23
XII. Supportive Services / Page 24
March 2013 Updates
Page 15, #5.b. – Supervisor will designate one of their staff to impose the sanction
Page 16, #10 – Supervisor will designate one of their staff to impose the sanction
24
Nebraska Employment First
Universal Caseload Process Guide
March 2013
I. ReferralI-A. New Applicant
App Mgt / 1. Reopen, or if none exist, add EF Program Case for each Work Eligible individual in the ADC/Med unit. If existing EF case is in SC status, do NOT change status.
2. Assign EF Program Case(s) to Gatekeeper Position #9639033
SSW / At interview:
1. Discuss with applicant:
a. Process for referral to contractor
b. Consequences of not cooperating with contractor
c. Need for supportive services, i.e. child care & transportation
d. Any assistance received in another state. If applicant indicates they have received assistance from another state, contact that state to request number of TANF months received.
2. Check EF case assignment to assure it is assigned to Gatekeeper Position #9639033.
3. Create EF/SNAP Referral and Communication (WP-FS-1) to Org: “EF Contractor” or Org ID#84199035 including:
a. EF Status: active, sanctioned, exempt for pregnancy or parent/caregiver
b. Date of application
c. Food Stamp Allotment, if known, otherwise maximum allotment for the family size
d. ADC grant amount for unit size
e. Phone number if known
f. Employment information, if applicable
g. Number of time limited months received.
h. Special accommodations, i.e. language, physical limitations, transportation
i. If client has received more than 60 months of time limited cash assistance – include number of months as indicated on “60 Month Time Limited Window” (see VI. Exhausted 60 Month Lifetime Limit-Applicant
4. Select “Create Only” following creation of Wp-1- DO NOT “Print Now”
5. Narrate actions
Gatekeeper / 6. Check alerts on a daily basis.
7. Check address of client.
8. Assign EF Program Case to appropriate contractor contact.
9. Set alert “EF Referral-(city of residence)”
10. Narrate referral.
I. Referral
I-A. New Applicant, cont.
CM / 11. Within 5 days, contact client by phone, mail, or in person to schedule Initial Appointment.
12. Arrange for necessary supportive services
13. Narrate Referral Received
I-A. New Applicant-Initial Appointment
I-A(1). Action if Client Cooperates with Initial Appointment
CM / 1. Complete with client: Orientation, Assessment, Service Plan/Contract Development/Good Cause Addendum, DV Screening
2. Arrange for necessary supportive services
3. Within 1 working day of Initial Appointment create Work Task “EF Contract Signed” to notify DHHS of initial appointment completion. (See Note below)
4. Enter narratives for Initial Appointment and Service Plan.
5. If participant has participation requirement to lift sanction:
a. Monitor participation for 5 day requirement.
b. If participation requirement met, on day 6 create Work Task “EF Contract Signed” requesting to lift sanction.
c. If at any point during the 5 day period it is apparent the participant will not meet the requirement, create Work Task “Failed to Attend Initial EF Appointment” notifying DHHS that client did not participate for 5 days to lift sanction.
6. Enter Narrative for Sanction
NOTE: If the referral required 5 days participation to lift a sanction, DO NOT create Work Task until such time as the participation requirement has been met.
SSW / 7. Upon receipt of Work Task and requested verifications proceed with eligibility determination.
8. Notify CM of eligibility decision via WP-3.
9. Narrate actions.
I. Referral
I-A. New Applicant-Initial Appointment
I-A(2). Action if Client does not Cooperate with Initial Appointment
CM / 1. Within 2 working days from missed appointment, create Work Task “Failed to Attend Initial Appointment” OR notifying DHHS that client did not cooperate.
2. Enter narrative for Non-Cooperation.
SSW / Upon acceptance of Work Task:
3. Deny ADC application for non-cooperation with EF
4. Close EF Program Case
5. Create WP-3 to EF Case Manager ADC was denied
6. Narrate actions.
I. Referral
I-B. Ongoing ADC Recipients
SSW / Defined as:
a) Children who become Mandatory
b) Adults who enter the household and are work eligible
c) Adults who become work eligible
1. Upon report, reopen, or if none exist, add EF Program Case for the Work Eligible individual. If existing EF case is in SC status, do NOT change status.
2. Assign EF Program Case(s) to Gatekeeper Position # 9639033
3. Create EF/SNAP Referral and Communication (WP-FS-1) to Org: “EF Contractor” or Org ID# 84199035 including:
a. EF Status: active, sanctioned, exempt for pregnancy or parent/caregiver
b. Date of application
c. Food Stamp Allotment, if known, otherwise maximum allotment for the family size
d. ADC grant amount for unit size
e. Phone number if known
f. Employment information, if applicable
g. Number of time limited months received.
h. Special accommodations, i.e. language, physical limitations, transportation
i. If client has received more than 60 months of time limited cash assistance – include number of months as indicated on “60 Month Time Limited Window” (see VI. Exhausted 60 Month Lifetime Limit-Applicant
4. Select “Create Only” following creation of WP-1- DO NOT “Print Now”
5. Narrate actions
Gatekeeper / 6. Check alerts on a daily basis.
7. Check address of client.
8. Assign EF Program Case to appropriate contractor contact.
9. Set alert “EF Referral-(city of residence)”
10. Narrate referral.
CM / 11. Within 5 working days of receipt of Referral, contact client by phone or mail to schedule Initial Appointment.
12. Arrange for necessary supportive services
13. Narrate Referral Received
I. Referral
I-B. Ongoing ADC Recipients
I-B(1). Action if Client Cooperates with Initial Appointment
CM / 1. Complete with client: Orientation, and Assessment, if applicable, Service Plan/Contract Development/Good Cause Addendum, DV Screening
2. Arrange for necessary supportive services
3. Within 1 working day of Initial Appointment create Work Task “EF Contract Signed” to notify DHHS of Initial Appointment completion.
4. Enter narrative for Initial Appointment and Service Plan
5. If participant has participation requirement to lift sanction:
Monitor participation for 5 day requirement.
a. If participation requirement met, on day 6 create Work Task “EF Contract Signed” requesting to lift sanction.
b. If at any point during the 5 day period it is apparent the participant will not meet the requirement, create Work Task “Failed to Attend Initial EF Appointment” notifying DHHS that client did not participate for 5 days to lift sanction.
6. Enter Narrative for Sanction
NOTE: If the referral required 5 days participation to lift a sanction, DO NOT create Work Task until such time as the participation requirement has been met.
SSW / 7. Upon receipt of Work Task proceed with any changes to eligibility and benefit level.
8. If change in benefits, notify CM using WP-3.
9. Narrate actions
I. Referral
I-B. Ongoing ADC Recipients
I-B(2). Action if Client does not Cooperate with Initial Appointment
CM / 1. Within 2 working days from missed appointment, create Work Task “Failed to Attend Initial EF Appointment” OR “Sanction Recommended” notifying DHHS that client did not cooperate. Contractor supervisory sanction review is not required.
2. Enter narrative for Sanction/Non-Cooperation.
HHS / 3. Upon acceptance of Work Task, supervisor will review sanction request for determination of sequence and approval or denial.
First or Second Sanctions-Supervisor
4. If denied:
a. Narrate reason for sanction denial
b. Create WP-3 to EF Case Manager notifying them of decision
5. If approved:
a. Narrate sanction approval, including sanction number and length of sanction.
b. Create Work Task “Sanction Approved” to implement sanction
Third Sanction-Supervisor
6. Email summary of sanction request to
a. CSC Supervisor to Administrator/EF Contract Manager in the Service Area where the CSC is located.
b. Processing Supervisor to Administrator/EF Contract Manager in their Service Area.
Third Sanction-Administrator
10. Upon receipt of email requesting sanction:
a. Review sanction request and narratives on N-Focus
b. If there are questions on sanction request, communicate with the Supervisor who approved the sanction request to gather information needed.
c. Approve or deny sanction request and narrate decision
d. Reply to Supervisor via original email of decision
Third Sanction-Supervisor
After receipt of Administrator decision:
11. If denied create WP-3 to EF Case Manager notifying them of decision
12. If approved create Work Task “Sanction Approved” to implement sanction
I. Referral
I-B. Ongoing ADC Recipients
I-B(2). Action if Client does not Cooperate with Initial Appointment, Cont.
SSW / Upon acceptance of Work Task:
13. Impose EF sanction.
14. Update EF Program Case status to Sanctioned.
15. Create WP-3 to EF Case Manager that EF sanction was imposed.
16. Narrate actions.
II. Ongoing Participants-Changes
SSW / Upon change, create WP-3 to CM:
1. ADC Program Case Change
a. Closure – Create WP-3 to CM to close EF case (Do not change worker assignment on EF Program Case)
b. Reopen (same month as request for closure)
c. Reopen of benefits due to appeal and request for continuation of benefits
2. Change in ADC and food stamp benefit amount
3. Report status change:
a. Active-Mandatory now Transitional
b. Transitional now Active-Mandatory
4. Change in household which affects level of participation.
5. New, or change in, employment information; include all that is known, whether verified or client declared:
a. Employer name
b. Employer address
c. Employer phone number
d. Job title
e. Hours/week
f. Hourly wage
g. Benefits
h. Date started/date ended
i. Pay period
j. Date and amount of first/last check
k. Self-Employment info, including calculated hours of participation if budget not completed
(Only HHS can verify employment and self-employment.)
6. Address or telephone change
7. When the ADC is closed and the client files an appeal.
8. Narrate actions
II. Ongoing Participants-Changes
CM / Within 2 working days of change, create WP-3 to HHS:
1. Request status change:
a. Exempt now Active-Mandatory (remind SSW to Run Budgets)
b. Active-Mandatory now exempt (remind SSW to Run Budgets)
c. Voluntary now exempt
d. Transitional to closed
e. Active-Mandatory to Active-Post Secondary(remind SSW to Run Budgets)
f. Active-Post Secondary to Active-Mandatory (remind SSW to Run Budgets)
g. Correction to status of case
2. Change in household which affects level of participation.
3. Once employment begins, or changes, include all that is known, whether verified or client declaration:
a. Employer name
b. Employer address
c. Employer phone number
d. Job title
e. Hours/week
f. Hourly wage
g. Benefits
h. Date started/date ended
i. Pay period
j. Date and amount of first/last check
k. Tip info
l. Self-Employment info
(Only HHS can verify employment and self-employment.)
4. Address or telephone change
5. Narrate actions
Process for Followup Communication
1. If a case manager needs resolution of an issue following creation of WP-3 to HHS, the case manager will discuss the situation with their supervisor &/or Project manager. The Project Manager will then contact the EA Administrator Contract Manager in their Service Area.
2. If it is an employment participation question because budgets have not been completed, the contractor will send the situation to Policy Questions for clarification from the TANF Policy Unit.
III ADC Grant Waiver
III-A. Applicants
SSW / If request for withdrawal received by SSW:
1. Deny ADC.
2. Upon receipt of request, create WP-3 to contractor notifying them of withdrawal.
3. Narrate actions.
CM / If request for withdrawal received by CM:
4. Within 2 working days of request, create Work Task “Failed to Attend EF Appointment” to notify HHS of withdrawal and closure of EF case.
5. Narrate Grant Waiver: name, date of request to withdraw.
III-B. Participants
SSW / If request for waiver made to DHHS.
1. Refer participant to EF contractor.
CM / If request for waiver is made to CM:
2. Discuss with participants the consequence of signing the waiver form.
3. Complete waiver form with participant.
4. Within 2 working days of waiver, create WP-3 to notify HHS of effective month of waiver, and reason for waiver.
5. Send Waiver document to be scanned.
6. Create Grant Waiver narrative.
SSW / Upon receipt of WP-3:
7. Close ADC and EF case.
8. Create WP-3 to CM notifying them of closure.
9. Narrate actions.
IV. Exemptions
IV-A. Short Term Incapacity Exemption
CM / Participant indicates need to be exempt:
1. Discuss exemption process
2. Request needed documentation
3. When documentation received, and exemption is approved:
a. Create WP-3 to HHS telling them to change status of EF Program Case to Exempt-Incapacity and RUN BUDGETS.
b. Send generic notice of exemption approval.
4. Set alert to review need for exemption in Month #2.
5. If exemption will be longer than 3 months, begin SRT process for long-term exemption.
6. Schedule appointment with participant to develop a service plan related to the exemption.*