Payees on Benefit Issuances - Protective Payees

 Clarifying Information - WAC 388-460-0020

Who is a protective payee?

Under WAC 388-460-0001(1)(d) the department can establish a protective payee for cash benefits in many situations including but not limited to the following:

1. The head of the assistance unit is an unmarried pregnant or parenting minor. See Teen Parents.
2. The adult head of the assistance unit has demonstrated an inability to use the cash benefits in a responsible manner;
3. A person who has been assessed as having a chemical dependency and is not participating in or failed to complete chemical dependency treatment.

Worker Responsibilities - WAC 388-460-0020

The use of the Protective Payee Tracking System (PPTS) in barcode is mandatory. Staff completes the assessment, payment plan, transfer, reassign, and closing in PPTS.

1. Assessment:

   Staff assesses the need for a protective payee, using the Protective Payee Assessment Form (DSHS 14-349) in PPTS. This form identifies the reasons protective payee payments are needed and documents the evidence used to make the determination. A copy is e-mailed through the secure e-mail process in PPTS to the protective payee.

2. Automatic assignment of protective payee:

   Some circumstances automatically require participants be assigned to protective payee status. These include:

   • Teen parents (Head of household non-married, non-emancipated pregnant or parenting teens under age 18). See WAC 388-460-0040
   • Persons using their EBT card or money from EBT to buy or pay for lottery tickets or gamble. See WAC 388-460-0035.
   Note:

   If you receive a complaint about a participant using their EBT card or money from their EBT card for this purpose, you need to refer the caller to (360) 725-4552. All of these complaints will be investigated.

3. Protective Payee Plan:

   Protective Payee Payment Plan, Case Assignment, and Closure Notice (DSHS 14-426) instructs the payee what payments are made. This includes housing, utilities, any other payments or holding an account for homeless clients to pay the deposit on an apartment. PPTS sends a copy using secure e-mail to the protective payee. See WAC 388-460-0060

   Note:

   A new plan is required anytime there is an ongoing change such as the rent amount. If it is a one-time payment then a new plan is not needed. Document the one-time request in the narrative in ACES.

4. Selecting and assigning a protective payee:
   • Staff must offer the client the opportunity to participate in the process. Clients can suggest a protective payee but staff makes the final decision.
   • Clients are assigned to a protective payee using the Protective Payee Payment Plan, Case Assignment, and Closure Notice (DSHS 14-426) in PPTS. Use this form when assigning the client for services and when you are closing the service. PPTS automatically sends a copy to the protective payee through secure e-mail and mails a copy to the client. Translations are available in Forms.
   • Clients, who do not speak or read English, are referred to bilingual protective payees. If none are available, the Community Services Office (CSO) is responsible to assist with interpreter services so the payee is able to communicate with the client.
5. Notifying the client and the protective payee of the assignment:
   • Timing of assignment is very important. If a case is assigned after ACES cut-off, the grant will not be sent to the protective payee the next month.
   • Assignment to a protective payee is a negative action. Advance and adequate notice (minimum of 10 days) to on-going clients must be given before assignment becomes effective. Ten-day notice to applicants is not required if the applicant is notified when the case is approved with a protective payee assigned.
   • The protective payee is notified through secure e-mail using PPTS.
   • The department must notify the Protective Payee if the client has an Equal Access (EA) plan and provide a copy of the plan. DSHS staff must contact the Protective Payee directly to provide the particular accommodations that are appropriate for the client. Services needed for EA clients to work with the Protective Payee may be provided through the CSO. An example would be if the client needed sign language: The CSO would provide the interpreter to the Protective Payee to meet the EA plan for that client.
6. Extremely difficult cases:

   Some cases prove to be extremely difficult. Some clients may be difficult to serve because of mental health problems, involvement with drugs, or aggressive behavior. There may a history with the client making it difficult to place with a Protective Payee. There may not be a Protective Payee available as they can refuse to provide services. These clients should be reviewed to see if there are EA issues not being addressed. If it is not possible to find protective payee to accept these clients then there are three alternative ways to provide services:

   • Direct vendor payments

     Direct vendor payments must be changed in ACES before cut-off to be effective the first of the month. Vendor payments are not well suited to situations where the utilities costs change each month. See ACES Manual - Vendor Payments

   • Use a staff person as protective payee

     The department prefers not to add the duties of protective payee to a staff position. It is not funded or allocated. Only select staff can serve in this capacity. No one with responsibility over the assigned client can fill this role.

   • Establish a limited guardianship

     See WAC 388-460-0050

 Clarifying Information - WAC 388-460-0025

1. Criminal Background check:

   All protective payees, their employees, and their designees who have unsupervised access to participants must pass a yearly criminal background check. This background check is administered by the DSHS Background Check Central Unit (BCCU). Some offenses are automatically disqualifying a protective payee See WAC 388-06-0170 and WAC 388-06-0180.

   If the crime is not an immediate disqualification, then DSHS headquarters staff review the background check on a case-by-case basis to decide whether or not the protective payee or employee should be disqualified from working with our clients. See WAC 388-06-0190.

Worker Responsibilities - WAC 388-460-0025

1. The regional designee:
   1. Notifies protective payees to:
      1. Complete a Background Inquiry Application form, DSHS 09-653 for themselves and all employees or designees dealing or having access to our clients. This is done yearly and when hiring a new employee or signing a new contract.
      2. Instruct the person completing the background check to answer all the boxes in section 2 leaving no blanks. If there is no answer then enter "NONE".
      3. Return the completed forms to Region.
   2. In section 1 Box 3, check the ESA box "Protective Payee";
   3. Completes Section 1 box 4 with just the BCCU Account Number according to your region:
      1. Region One 11001440
      2. Region Two 11001441
      3. Region Three 11001442
      4. Region Four 11001443
      5. Region Five 11001445
      6. Region Six 11001439
   4. Complete Box 5A with Contractor Contract number.
   5. Copy the completed forms.
   6. Keeps the originals on file.
   7. Sends the copy to BCCU at MS 45035 or by fax to (360) 902-7954. BCU will image the copy, and process the request. BCCU will mail the result letter back to the region.
   8. Reviews the results of the background check and files a copy with the original background check. A protective payee, a payee’s employee, or designee cannot provide protective payee services to our clients if they fail the background check.

Clarifying Information - WAC 388-460-0030

In most cases, the client can request an authorized representative to receive the benefits for the family.

Clarifying Information - WAC 388-460-0035

1. Selecting and assigning a protective payee:
   • Staff must offer the client the opportunity to participate in the process. Clients can suggest a protective payee but staff makes the final decision.
   • Clients are assigned to a protective payee using the Protective Payee Payment Plan, Case Assignment, and Closure Notice (DSHS 14-426) in PPTS. Use this form when assigning the client for services and when you are closing the service. PPTS automatically sends a copy to the protective payee through secure e-mail and mails a copy to the client. Translations are available in Forms.
   • Clients, who do not speak or read English, are bilingual protective payees. If none are available, the Community Services Office (CSO) is responsible to assist with interpreter services so the payee is able to communicate with the client.
2. Notifying the client and the protective payee of the assignment:
   • Timing of assignment is very important. If a case is assigned after ACES cut-off, the grant will not be sent to the protective payee the next month.
   • Assignment to a protective payee is a negative action. Advance and adequate notice (minimum of 10 days) to on-going clients must be given before assignment becomes effective. Ten-day notice to applicants is not required if the applicant is notified when the case is approved with a protective payee assigned.
   • The protective payee is notified through secure e-mail using PPTS.
   • The department must notify the Protective Payee if the client has an Equal Access (EA) plan and provide a copy of the plan. DSHS staff must contact the Protective Payee directly to provide the particular accommodations that are appropriate for the client. Services needed for EA clients to work with the Protective Payee may be provided through the CSO. An example would be if the client needed sign language: The CSO would provide the interpreter to the Protective Payee to meet the EA plan for that client.
3. Extremely difficult cases:

   Some cases prove to be extremely difficult. Some clients may be difficult to serve because of mental health problems, involvement with drugs, or aggressive behavior. There may a history with the client making it difficult to place with a Protective Payee. There may not be a Protective Payee available as they can refuse to provide services. These clients should be reviewed to see if there are EA issues not being addressed. If it is not possible to find protective payee to accept these clients then there are three alternative ways to provide services:

   • Direct vendor payments

     Direct vendor payments must be changed in ACES before cut-off to be effective the first of the month. Vendor payments are not well suited to situations where the utilities costs change each month. See ACES Manual - Vendor Payments

   • Use a staff person as protective payee

     The department prefers not to add the duties of protective payee to a staff position. It is not funded or allocated. Only select staff can serve in this capacity. No one with responsibility over the assigned client can fill this role.

   • Establish a limited guardianship

     See WAC 388-460-0050

Clarifying Information - WAC 388-460-0040

Limited guardianship can only be used on TANF / SFA cases. If a case fits the following criteria, consider referring to the Assistant Attorney General to establish a limited guardianship:

1. The case has been in protective payee status or is expected to be, for over two years,
2. It is not anticipated that the responsible adult will be able to manage the funds for the assistance unit,
3. There are no protective payee vendors which will provide services for the case, and
4. Other alternatives for services have been explored and have proven unfeasible.

Clarifying Information - WAC 388-460-0055 

Protective payees provide financial management services to DSHS clients. They work with individual clients to pay their bills, maintain records, complete reports, and work with DSHS staff.

1. Protective payees have three main areas of responsibility:
2. Managing clients’ funds;
3. Providing money management training; and
4. Maintaining account and case records and providing reports to DSHS.

• Protective payees are required to complete and keep the Protective Payee Report (DSHS 01-110 and 01-110C) or its equivalent - This form records how the client's money was used and how the client is progressing. These forms are reviewed every six months during contract monitoring.
• On mismanagement of funds cases, the Protective Payees must complete, send in, and keep a copy of the Protective Payee Periodic Social Services Report (DSHS 01-110A) - The report is sent to the CSO three months after the initial contact and every six months thereafter. This report summarizes the Protective Payees experiences with the client. The CSO staff uses this information to determine if a Protective Payee is still needed on the case. See WAC 388-460-0060
• Fraud:

  Whenever any State employee has a suspicion or there is an allegation of criminal activity or potential fraud with the payee, the following policy must be followed:

  1. Do not investigate the allegation nor take any action against the protective payee.
  2. Follow DSHS Administrative Policy 10.06, which states: Any employee who suspects criminal activity on the part of a contracted vendor must report it to Central Contracts Services (CCS). This report should come out under the signature of the Regional Administrator or designee.
     1. CCS refers to the Division of Fraud Investigations (DFI)
     2. DFI investigates the allegation and reports to Region with the findings.
     3. DFI refers any overpayments to the Division of Financial Recovery (DFR).
     4. Regions take appropriate action with the protective payee.

Worker Responsibilities - WAC 388-460-0060

Completing a protective payee plan

1. Staff completes the initial Protective Payee Payment Plan, Case Assignment, and Closure Notice (DSHS 14-426) in PPTS. Include any specific instructions you want the protective payee to follow, such as holding funds back for future rent or to disperse funds evenly at weekly intervals. Make sure you include information about the provider for child care cases.
2. Send a notice to the client setting an appointment time for completing the plan. Assignment to a protective payee is considered a negative action that requires a 10-day notice because it limits client access to monetary benefits.
3. Include the client in the process, if possible.
   1. If the client appears, discuss the reasons for establishing a protective payee and how to remove the protective payee. The client does not have to agree to the protective payee plan. Have the client sign the form. Give the client a copy whether or not signed.
   2. If a client does not show up for the appointment, complete the Protective Payee Plan based on available case information. Note on the plan that the client did not appear. Send a copy to the client.
4. PPTS sends a copy to the assigned protective payee and the assignment form through secure e-mail. A copy is sent to the Electronic Case Record (ECR).

Changing the Protective Payee Plans

Protective Payee Plans can be modified. All changes must be documented in the case file and a copy of the revised Protective Payee Plan provided to the vendor and the participant within one business day. If the client or payee contacts you for a one-time change and you approve it, you do not have to change the plan but narrate the change and approval in ACES narrative.

Case Reviews

Cases assigned to protective payee status must be reviewed on a regular basis to see if a protective payee is still needed. Most cases assigned due to mismanagement can be removed from protective payee status if it appears they have gained the skills needed to manage their funds. Teen parents are the exception who remain in protective payee status until they turn 18, become emancipated or they marry.

All reviews for mismanagement of funds cases require the worker to:

• Re-assess the need for a protective payee,
• Review of the protective payee plan and assignment of the appropriate protective payee.
• Create a new protective payee plan for any case that continues in protective payee status. Even though the elements may be the same, the dates will differ.

Workers should have a summary social services report from the payee for each three-month service period for the mismanagement of funds clients. Workers should use these materials and the case record notes for review. Client contact and further staffing of cases is also recommended, as time allows.

The reviews are completed in PPTS.

1. Initial

   All cases assigned to protective payee status must be reviewed after the first three months. Since these reviews need to include the Protective Payee Periodic Social Services Report (DSHS 01-110A) for the mismanagement of funds cases, actual completion dates will be between the third and fourth months

2. Regular

   After the first review at three months, each case must be reviewed every six months. Completion of these reviews should be completed within the last month of the 6-month period.

 Clarifying Information - WAC 388-460-0065

1. Clients can be transferred from one Protective Payee to another one if available in your area. This action should be used if a Protective Payee requests transfer of a client or if a client is unhappy with a protective payee and in your professional opinion you feel another protective payee would work better with the client or when needed. In these cases, the DSHS 14-426 form is sent to the new payee and the parent.
2. If a protective payee requests a client be removed from his/her caseload, that action must be taken as soon as possible based on ACES deadlines.
3. Cases that transfer between CSO’s may retain the same protective payee. In those cases, the Protective Payee Plan (DSHS 14-426) needs to be updated with the new information on address, landlord, utilities, and rent amount. If the client moves out of a service area of a protective payee, a new protective payee must be assigned. In these cases, the DSHS 14-426 form is sent to the protective payee to end the case assignment. Staff needs to work closely with the new CSO or previous Protective Payee to assure that the check is not sent to the former protective payee.

   Reminder: You must remember to make the necessary changes to the AREP screen in ACES and PPTS.

4. If the client's case is closed, the protective payee returns, to the State, any money retained on the client’s account using DSHS 01-210. A copy of the DSHS 01-210 is sent to the CSO for their records. No money is returned to the CSO. If the protective payee informs you that the client cashed a check after the payee returned the client’s money to the state, see the note below for instructions.

ACES PROCEDURES

See Authorized Representative / Protective Payee