Noncompliance Process

CalWORKs 2.0

At any point during the Noncompliance/Removal from Aid Process, the “My Road Map, Potholes & Detours” tool (SCD 2503) is to be reviewed. Refer to CWES Handbook, Orientation and Appraisal "CalWORKs 2.0" for additional information.

Participation Problem

When the EC discovers that a client is not participating in his or her WTW activity(ies) or is not meeting CWES program requirements, the county must begin the noncompliance process to determine if the client had good cause for not participating. The EC will give the individual an opportunity to demonstrate that he or she had good cause for failure or refusal to comply with the program and avoid being removed from cash aid.

Failure to resolve the participation problem will result in the following:

If the individual is...	Then...
A volunteer,	The individual is Closed from CWES activity(ies).
Mandatory,	A financial penalty (sanction) will be imposed.

20-Day Period (20-Day Rule)

A client who is not participating with WTW program requirements has a right to a compliance period that will not exceed 20-calendar days. This 20 calendar day period to establish good cause is referred to as the 20-day period.

To avoid a sanction, a nonparticipating individual must attend an appointment scheduled by the county, or contact the county by telephone, within 20 days of the date on the "Sanction of Mandatory Participant" (NA 840) or "Sanction and Removal of the Other Parent's Needs" (NA 845), AND:

Provide information to the county that leads to a finding of good cause for refusing or failing to comply with program requirements, or
Agree to a compliance plan to correct the failure or refusal to comply.

Day one (1) of the 20-day period is the day AFTER the NA 840 or NA 845 notice is issued. [Refer to "Noncompliance Process Guidance/Initiating Noncompliance" for additional information.]

Note: CalSAWS automatically calculates the 20th day, regardless of whether the 20th day falls on a weekend or holiday. Before initiating noncompliance, EC’s must manually count the 20th day to ensure the Cause Determination appointment date and 20th day do not fall on a weekend or holiday.

Example Example An NA 840/NA 845 is sent on 4/2. The 20-day period would be from 4/3 to 4/22.

Scheduling the Initial Cause Determination Appointment

A cause determination is the process of establishing whether or not a client had a good reason for failing to comply with CWES program requirements. The initial cause determination/compliance appointment should be scheduled to occur within the first 10 working days of the 20-day period, following the date of discovery, but no sooner than six (6) working days, from the day that the NA 840 or NA 845 is sent to the nonparticipating individual. [Refer to "Noncompliance Process Guidance/Adding the Initial Cause Determination Appointment" for additional information.]

“Sanction of Mandatory Participant Notice” (NA 840)

The NA 840 notice initiates the noncompliance process for a mandatory single parent or for one of two parents in a two parent household. It is used to schedule a cause determination appointment for nonparticipating individuals. The NA 840 informs the client that he or she has 20-calendar days, beginning with the day AFTER the NA 840 is issued, to provide good cause information or agree to sign a compliance plan. Otherwise, a sanction will be imposed no earlier than 30 days from the notice date.

The EC will send the NA 840 or NA 845 along with the “CalWORKs Time Limit and Welfare to Work Participation Exemption Request Form” (CW 2186A) and "Did You Know" flyer (SCD 188) within two (2) working days from the date of discovery of the refusal or failure to participate.

If the individual does not follow through with the initial steps of good cause determination by calling or meeting with the county as specified on the NA 840 or NA 845, this notice also serves as a sanction notice. [Refer to "Noncompliance Process Guidance/Initiating Noncompliance" for additional information.]

Note: The EW is not required to send a separate 10-day discontinuance notice to the client.

“Request for Good Cause Determination” (WTW 27)

The WTW 27 informs the client of reasons that may be considered good cause for not participating in WTW activities and must be sent the same day as the NA 840 or NA 845. It does not replace a face-to-face interview or phone interview. A client is not required to return the notice. However, a client may choose to bring the form to the appointment, mail the form to the EC prior to the meeting, or discuss the form with the EC over the telephone.

When a client contacts the EC and returns a completed WTW 27, the EC may request additional information from the client to verify good cause information, if needed.

In cases when an individual returns a WTW 27 but fails to attend the appointment or discuss the problem by telephone, and the worker cannot contact the client by telephone, the EC must make a cause determination based on available information, including information on the WTW 27. If the form does not provide sufficient information for the EC to determine good cause, the EC does not need to make any further attempts to contact the individual for additional information.

“Suspension of Volunteer/Good Cause/Compliance Notice” (NA 841)

The NA 841 is issued at the time noncompliance is initiated for an exempt volunteer client. An exempt volunteer who does not comply will be removed from WTW activity(ies), returned to exempt status and is not financially sanctioned.

CalSAWS NONC Process for Volunteers

Exempt volunteers are subject to the noncompliance process. The outcome of the noncompliance process for volunteers differs from mandatory clients in that there is no financial penalty to the volunteer client. Workers must use the WTW Status Detail page in CalSAWS when exempt volunteer clients are not participating in their assigned activities. The noncompliance process will be applied in the same manner, whether the activity is inside or outside of the WTW plan.

The WTW Status Detail page allows the user to update the status to Non-Comp. When initiating noncompliance, ECs will complete the “Notice of Action – Suspension of Volunteer/Good Cause/Compliance Notice” (NA 841) in the DEBS Forms Library and send a copy to Imaging.

When good cause is given to the client, and the EC updates the Good Reason field of the WTW Status Detail page for Non-Comp status, CalSAWS will automatically add a WTW Program Status of Active.

If no good cause is given and the client fails the compliance plan, the worker closes the activity. The EC must generate the “Notice of Action –Taking You Out of WTW” (NA 818) in CalSAWS. The case is then transferred to the Exemption Unit to process and ensure Time on Aid (TOA) is updated as appropriate.

Rescheduling Cause Determination Appointment

The client may reschedule the cause determination appointment at least one time up to the 20th day of the noncompliance process period. Additionally, scheduling must be permitted if the client cannot or did not attend with good cause.

“Notice to Second Parent” (WTW 4)

When the EC sends the NA 840 and the WTW 27 to the first non-participating parent, the WTW 4 must be sent to the second parent. The WTW 4 must be sent in a separate envelope. The notice must be sent to the second parent even if the second parent is participating in CWES. The EC must document the action in the Journal Detail page in CalSAWS. If the notice is not issued through CalSAWS, forward a copy to Imaging.

The WTW 4 notifies the second parent that the county will contact them if he or she is required to begin participating in the program or increase their hours of participation, if already participating. The WTW 4 also informs the second parent that if the first parent is sanctioned, and the second parent does not meet WTW requirements, he or she will also be sanctioned.

Note: If the spouse or second parent is under his or her own sanction, that individual cannot participate until the sanction has been cured. If the second parent is in sanction status, don’t send the WTW 4.

Supportive Services

Supportive services cannot be withheld in order to obtain verification of the required hours in approved activities or verification of satisfactory progress, including receipt of any attendance verification. If it is determined that a client has failed or refused to comply with any program requirements without good cause, the EC must begin compliance procedures. As part of this process, a NOA must also be sent prior to stopping or reducing supportive services, clearly stating which supportive services are being reduced or discontinued and the reason for the reduction or discontinuance.