I. Case Transfers and Returns Between Regions       

 

Table of Contents

The Case Transfers and Returns Between Regions section includes the following information:

 

Topic

Case Transfer Overview

Status Codes for Transfer Cases

Transfer of Companion Cases

Required Documents

Transfer Procedures for Imaged Cases

Imaged WTW Case Closes

Non-imaged Case Transfer Procedures for Sending Region

Non-imaged Case Transfer Procedures for Receiving Region

Transferring Sanctioned and/or Compliance Plan Cases

Timing of Transfer of Case

Transfers to Incorrect Regions

Former Refugee Cases

Case Return

 

Case Transfer Overview

When a Welfare-to-Work (WTW) participant moves from one county region to another, the current Employment Case Manager must transfer the case to the new region where the participant now resides for continued services.   

 

Status Codes for Transfer Cases

Cases in active status can be transferred.  Cases with sanctioned and non-compliant individuals in non-active statuses can be transferred when mutual agreement is reached between the sending and receiving regions.  

 

Transfer of Companion Cases

Companion cases (spouse, child, teen of the participant) must be transferred together.

 

Required Documents

The following must be in the WTW case folder and/or the Document Retrieval System (DoReS) for transfer cases:

·  WTW 1 signed by the participant

·  CalWIN participation entries

·  Completed CalWIN Assessment tab and case comments

·  Current and appropriate WTW Plan

 

Transfer Procedures for Imaged Cases

Once a case has been imaged, the physical case folder including the imaged documents is forwarded to the Records Library.   Imaged and non-imaged Employment Services (ES) regions must take the following steps when transferring or receiving an imaged case:

 

Sending Region

Staff in the sending region must take the following action:

 

Step

Action

1

Complete the following forms, for the imaged case:

·  WTW Case Transfer/Closing Checklist (27-313); and

·  Imaging Communication Form, one per active WTW household member.

2

Ensure CalWIN entries are complete and appropriate documentation has been imaged.

·  WTW 1 signed by the participant

·  CalWIN participation entries, including completed documentation of participation

·  Completed CalWIN Assessment tab and case comments

·  Current and appropriate WTW Plan

3

Forward the WTW Case Transfer/Closing Checklist (27-313) and Imaging Communication Form to ECM supervisor or quality control designee for review and sign off.

4

Scan and Email the WTW Case Transfer/Closing Checklist (27-313) and Imaging Communication Form to the receiving regions designated staff.

5

Send a “user to user” alert to the regions generic caseload number (see CalWIN How To #220 for generic caseload numbers), informing them of the transfer.

 

Note:  You must specify the case information and reason for transfer in this alert – user to user alerts do not automatically contain specific case information. 

6

Contact the receiving region if the case is not assigned within 7 days of the email notification.

 

Note:  When contacted by a participant whose case was recently transferred to another region and the case has not yet been assigned to a worker in the new region, the sending ECM will coordinate with the receiving region to assist participant to the fullest extent possible.  Issues irresolvable at the ECM level will be elevated through the chain of command within each region. 

 

Receiving Region

Staff in the receiving region must take the following action:

 

Step

Action

1

Assign the imaged case to a worker within two working days of receiving the case transfer email including the WTW Case Transfer/Closing Checklist (27-313) and Imaging Communication Form.

 

Note: If the forms are not attached, immediately reply to the email and request the forms.

2

Create a pencil folder to hold any documentation/verifications received prior to scanning into DoReS.

3

The assigned worker will review the case in CalWIN and DoReS, using the WTW Case Transfer/Closing Checklist (27-313) and Imaging Communication Form as a tool for the review.

4

The assigned worker will have five working days from the date the case was assigned to him/her to review and if necessary return to the sending region.

5

The receiving region will inform the participant, childcare agency and service providers who the assigned worker is within seven working days, if retaining the imaged case. 

  

Note:  County regions that receive an active WTW case from a contracted region must scan appropriate documents into DoReS within 7 business days.

 

Imaged WTW Case Closes

The following action must be taken when an imaged WTW case closes after being transferred to a non-imaged region:

 

Step

Action

1

Request the physical case folder from the Records Library following the Case Folder Tracking Application (CFTA) procedure.

2

File the non-imaged documents in the physical case folder.

3

Complete the WTW Case Transfer/Closing Checklist (27-313) and file in the case.

4

Follow the CFTA procedure and return the case to the Records Library.

 

Non-imaged Case Transfer Procedures for Sending Region

Staff initiating the transfer in the sending region must take the following steps to transfer a non-imaged WTW case:

 

Step

Action

1

Complete the WTW Case Transfer/Closing Checklist (27-313) and place it on the top of the right side of case file.

2

Have the case forwarded to ECM supervisor or quality control designee for review and sign off.

3

Send a “user to user” alert to the regions generic caseload number (see CalWIN How To #220 for generic caseload numbers), informing them of the transfer.

 

Note:  You must specify the case information and reason for transfer in this alert – user to user alerts do not automatically contain specific case information. 

4

Follow the Case Folder Tracking Application (CFTA) procedure for scanning the case folder’s bar code before transferring (see CFTA Handbook for specific instructions). 

5

If the receiving region has not assigned case within 7 days of date it was sent, the sending region will contact the receiving region to ensure the case has been received. 

 

Note:  When contacted by a participant whose case was recently transferred to another region and the case has not yet been assigned to a worker in the new region, the sending ECM will coordinate with the receiving region to assist participant to the fullest extent possible.  Issues irresolvable at the ECM level will be elevated through the chain of command within each region. 

 

Non-imaged Case Transfer Procedures for Receiving Region

Staff in the receiving region must take the following steps to transfer a non-imaged WTW case:

 

Step

Action

1

Upon receipt of the case, assign it to a worker within two working days.

2

The assigned worker will review the case upon receipt, using the WTW Case Transfer/Closing Checklist as a tool for the review. 

3

The assigned worker in the receiving region has five working days from the date the case was assigned to him/her to review and return the case to the sending region, if appropriate. 

4

The receiving region will inform the participant, childcare agency and service providers who the assigned worker is within seven working days. 

 

 

Transferring Sanctioned and/or Compliance Plan Cases

Cases may not be transferred when there is a pending sanction or pending completion of a compliance plan, except on a case-by-case basis when mutual agreement is reached between the sending and receiving region.  Regions should assign the authority to accept cases in non-active status to a specific staff level or person.

 

When a WTW sanctioned individual moves and it is in their best interest to have his or her WTW case transferred to the new region of residence to facilitate a conciliation or sanction “cure”, the sending region should follow the procedure below:

 

Step

Action

1

Contact the new region and request acceptance of sanction case transfer.

·  If the region agrees to accept the case, then continue to Step 2. 

2

Complete the WTW Case Transfer/Closing Checklist (27-313) ensuring all appropriate areas are checked.

·  Write in “Comments” section that the participant is in sanctioned or non-compliance status.

·  Note the name of the person in the receiving region who agreed to accept the case. 

3

Ensure that case is sent to receiving region within 24 hours of the time the mutual agreement was reached for transfer.

 

Timing of Transfer of Case

Cases may not be transferred after the 20th of the month unless supportive service payments for the next month have been approved and issued.  This is to ensure that all necessary supportive payments are issued timely.

 

Transfers to Incorrect Regions

Cases transferred to an inappropriate region will be returned to the sending region. 

 

Former Refugee Cases

Unless a Federal Office of Refugee Resettlement (ORR) waiver is in effect, refugee cases, for people who have been in the United States for five or more years, are to be transferred from the Refugee WTW Employment Services provider regions to the mainstream WTW Regions.     

 

Case Return

Regions must keep the number of returned cases to the lowest level possible to avoid unnecessary disruption of services, inconvenience and confusion to participants.  A case shall only be returned if at least one of the following occurs:

 

1.      One of the following required forms is missing, as appropriate:

·  Signed WTW 1

·  Completed assessment with case comments

·  Current and appropriate WTW Plan

o         Activities open in CalWIN must match assigned activities on the WTW Plan

 

Note:  In a situation where the applicant has not reached the stage for obtaining a particular form, the case cannot be returned for missing such a form.

 

2.      There are no appropriate CalWIN participation entries for the last month.

 

3.      A required service is not provided.

 

Example:  The case record indicates the participant requested ancillary payments for tools to attend an approved vocational training and there is no record of issuance of such payment, nor is there explanation for non-issuance.  Since supportive services were not approved, it is possible that the participant may not be able to participate in required activities.

 

4.      A required referral is not made.

 

Example:  The Simple Screening Instrument for Substance Abuse indicates a high degree of abuse but a referral was not made to the County Alcohol and Drug Services.