Non-Compliance and Non-Compliance and SanctionsSanctions

Agency for Workforce Agency for Workforce InnovationInnovationSpring Training 2006Spring Training 2006

What is a Sanction?What is a Sanction?

A sanction is a A sanction is a required program required program component under component under federal lawfederal law

Termination of Termination of benefits for failure to benefits for failure to comply with the comply with the signed IRP or refusal signed IRP or refusal to become fully to become fully engaged in work engaged in work activities (without activities (without providing good cause)providing good cause)

Why Would a Welfare Why Would a Welfare Transition Participant be Transition Participant be Sanctioned?Sanctioned?Individuals are required to Individuals are required to

participate as a condition of participate as a condition of continued eligibility for cash continued eligibility for cash assistance, unless exemptassistance, unless exempt

Federal law requires that sanctions Federal law requires that sanctions be imposed on those who fail to be imposed on those who fail to participate without good causeparticipate without good cause

Why Would a Welfare Why Would a Welfare Transition Participant be Transition Participant be Sanctioned (Cont)?Sanctioned (Cont)? Most individuals will Most individuals will achieve self-achieve self-

sufficiency through employment or sufficiency through employment or better employmentbetter employment

Failure to comply with the signed IRP or Failure to comply with the signed IRP or refusal to become fully engaged in work refusal to become fully engaged in work activities (without providing good cause) activities (without providing good cause) may result in time limits ending before the may result in time limits ending before the family becomes economically self-sufficientfamily becomes economically self-sufficient

Timely requests of sanctions may Timely requests of sanctions may remove individuals from the remove individuals from the participation rate calculationparticipation rate calculation

Failure to ParticipateFailure to Participate

Failure to:Failure to:Participate in work or Participate in work or other assigned other assigned activitiesactivities

Provide requested Provide requested documentationdocumentation

Keep an appointmentKeep an appointment

Follow a treatment Follow a treatment plan or alternative plan or alternative requirement planrequirement plan

Frequently Asked Frequently Asked QuestionQuestion Assuming good cause does not exist, Assuming good cause does not exist,

can an individual assigned to 40 can an individual assigned to 40 hours in an activity be sanctioned if hours in an activity be sanctioned if they don’t participate 40 hours, they don’t participate 40 hours, however, the minimum hours however, the minimum hours required for participation rate required for participation rate purposes is met?purposes is met?

20 hrs—single parent with child under 620 hrs—single parent with child under 630 hrs—single parent child age 6 or over30 hrs—single parent child age 6 or over50 hrs—two-parent family, no child care50 hrs—two-parent family, no child care55 hrs—two-parent family receiving 55 hrs—two-parent family receiving federally funded childcarefederally funded childcare

AnswerAnswer

Yes, the federal minimum Yes, the federal minimum requirement applies only to requirement applies only to participation rateparticipation rate

Has nothing to do with the number of Has nothing to do with the number of hours assignedhours assigned

Can assign up to 40 hrs/wk based on Can assign up to 40 hrs/wk based on employment goal identified on the employment goal identified on the IRP, and can be sanctioned for failure IRP, and can be sanctioned for failure to follow their IRP or Alternative to follow their IRP or Alternative Requirement PlanRequirement Plan

Pre-Penalty ProcessPre-Penalty Process Initiate the process as soon as the case Initiate the process as soon as the case

manager is aware of a failuremanager is aware of a failure Mail “Notice of Failure to Participate and Mail “Notice of Failure to Participate and

Possible Sanction “ (Form 2290) within two Possible Sanction “ (Form 2290) within two working days after the date of the failure or working days after the date of the failure or your knowledge of the failure your knowledge of the failure

Example: Failure occurred on Thursday, 4/27/06. Example: Failure occurred on Thursday, 4/27/06. When should the 2290 be mailed? (No later than When should the 2290 be mailed? (No later than Monday, 5/1)Monday, 5/1)Example: Failure occurred on Friday, 4/21/06, Example: Failure occurred on Friday, 4/21/06, however, the case manager was not aware of it until however, the case manager was not aware of it until 4/27/06. When should the 2290 be mailed? (No later 4/27/06. When should the 2290 be mailed? (No later than Monday, 5/1)than Monday, 5/1)

Enter Pre-Penalty on the Alternative Plan page Enter Pre-Penalty on the Alternative Plan page in OSSTin OSST

Oral ContactOral Contact Attempt oral contact via Attempt oral contact via

phone or other locally phone or other locally determined method determined method

Document your attempt and Document your attempt and results in OSST on a case noteresults in OSST on a case note

If oral attempt is unsuccessful If oral attempt is unsuccessful allow 10 calendar days after allow 10 calendar days after date of the notice for the date of the notice for the client to respondclient to respond

The 10-day period is calculated The 10-day period is calculated by OSST based on the day the by OSST based on the day the notice is generated in the systemnotice is generated in the system

No Oral Contact No Oral Contact andand No No Response Within 10 Days—Response Within 10 Days—Request PenaltyRequest Penalty Request sanction Request sanction

Level 1Level 1Level 2, orLevel 2, orLevel 3Level 3

Click on “Request Penalty” hyperlink in Click on “Request Penalty” hyperlink in OSST on the Alternative Plan PageOSST on the Alternative Plan Page

This generates an alert to DCF to take action to This generates an alert to DCF to take action to impose the sanctionimpose the sanction

Do not mail the Notice of Failure to Do not mail the Notice of Failure to Demonstrate Satisfactory Compliance Demonstrate Satisfactory Compliance (Form 2292) at this time(Form 2292) at this time

Frequently Asked Frequently Asked QuestionQuestion

When requesting a When requesting a sanction on a sanction on a member of a two-member of a two-parent family, how parent family, how do you determine do you determine what level you what level you should request?should request?

AnswerAnswer

The sanction is attached The sanction is attached to the individual, even to the individual, even though the sanction will though the sanction will affect the entire familyaffect the entire family

If the last sanction If the last sanction requested was a level 2 requested was a level 2 and the individual has and the individual has not complied for a not complied for a minimum of 6 months minimum of 6 months since compliance since compliance (forgiveness policy), (forgiveness policy), request a level 3 request a level 3 sanctionsanction

What if You Contact The What if You Contact The Client Orally Client Orally oror Client Client Responds to the 2290 Within Responds to the 2290 Within 10 Calendar Days? 10 Calendar Days? First Step—Determine if there First Step—Determine if there

was good cause for the failurewas good cause for the failureDocument in Case Notes in OSSTDocument in Case Notes in OSST

BE SPECIFIC—Was it good cause BE SPECIFIC—Was it good cause or not?or not? Don’t make others guess Don’t make others guess whether it was or notwhether it was or not

Continued Continued Second Step—Provide counseling Second Step—Provide counseling

sessionsessionDiscuss barriers to participationDiscuss barriers to participationWhat can you as a case manager do to What can you as a case manager do to resolve these barriers?resolve these barriers?•Refer for servicesRefer for services

Explain consequences of Explain consequences of noncompliance and failure to noncompliance and failure to “Demonstrate Satisfactory “Demonstrate Satisfactory Compliance”Compliance”

Continued Continued

Third Step—do not request a sanction Third Step—do not request a sanction if good cause is determinedif good cause is determined

End Pre-penalty in OSST with an End Pre-penalty in OSST with an outcome of “good cause” outcome of “good cause” and enter clear and enter clear case notescase notes

If participant fails to comply at a future If participant fails to comply at a future date, begin the pre-penalty processdate, begin the pre-penalty process again by mailing the 2290 and entering again by mailing the 2290 and entering Pre-penalty in OSSTPre-penalty in OSST

Good Cause ReasonsGood Cause Reasons

Lack of child care Lack of child care for a single parent for a single parent caring for a child caring for a child under age 6under age 6

Domestic violence Domestic violence Past effects of Past effects of

domestic violencedomestic violence Medical incapacityMedical incapacity

Outpatient mental Outpatient mental health or substance health or substance abuse treatmentabuse treatment

Applicants of SSI or Applicants of SSI or SSDISSDI

Other circumstances Other circumstances beyond their controlbeyond their control

Medical emergencyMedical emergencyCourt appearanceCourt appearance

What Should You Do if the What Should You Do if the Participant Does Not Have Participant Does Not Have Good Cause for the Good Cause for the Failure?Failure?

After the counseling session, allow the After the counseling session, allow the participant to “demonstrate satisfactory participant to “demonstrate satisfactory compliance”compliance”

Definition—having no more than one failure Definition—having no more than one failure without good cause within a 30-day periodwithout good cause within a 30-day periodInform the participant what he/she must do Inform the participant what he/she must do to comply and provide a due dateto comply and provide a due dateEnsure the participant understands the Ensure the participant understands the requirement to provide good cause within requirement to provide good cause within three working days if there is a subsequent three working days if there is a subsequent failure within 30 days of the first failurefailure within 30 days of the first failure

Participant Does Not Have Participant Does Not Have Good Cause for the Failure Good Cause for the Failure (Continued)(Continued) Update case notes in OSSTUpdate case notes in OSST

Compliance requirementsCompliance requirementsEnd of the 30-day periodEnd of the 30-day period

End Pre-penalty with “complied” only End Pre-penalty with “complied” only after the participant has begun to complyafter the participant has begun to comply

End Date should always be the date the End Date should always be the date the participant agreed to complyparticipant agreed to comply

If there are no further failures within the If there are no further failures within the 30-day period the process ends 30-day period the process ends

What if the Participant Fails to What if the Participant Fails to Comply After He/She Agrees to Comply After He/She Agrees to Demonstrate Satisfactory Demonstrate Satisfactory Compliance?Compliance?

Set Future To Do; enter failure in Case Set Future To Do; enter failure in Case NotesNotes

Allow three working days after the date of Allow three working days after the date of failure to report good causefailure to report good cause

Good Cause Reported/DeterminedGood Cause Reported/Determined• No Sanction requestedNo Sanction requested

Good Cause Not Reported/DeterminedGood Cause Not Reported/Determined• Request SanctionRequest Sanction

– Click “Pre-Penalty” hyperlink and select “Click “Pre-Penalty” hyperlink and select “Request PenaltyRequest Penalty” ” or “Request Penalty” hyperlinkor “Request Penalty” hyperlink

– Use the current date as the request dateUse the current date as the request date– Mail “Notice of Failure to Demonstrate Satisfactory Mail “Notice of Failure to Demonstrate Satisfactory

Compliance” (2292)Compliance” (2292)

Frequently Asked Frequently Asked QuestionQuestion A first failure occursA first failure occurs During the “Pre-Penalty Process”, During the “Pre-Penalty Process”,

the individual compliesthe individual compliesThe pre-penalty is ended with The pre-penalty is ended with “complied”“complied”

A second failure occursA second failure occurs The individual provides good cause The individual provides good cause

for second failurefor second failure Is the “Request Penalty” link ended Is the “Request Penalty” link ended

with “good cause”?with “good cause”?

AnswerAnswer

NoNoThe good cause applies to the The good cause applies to the second failure not the original second failure not the original failurefailure

The 30 day period continuesThe 30 day period continues

If a subsequent failure occurs If a subsequent failure occurs (before the 30 days expires), the (before the 30 days expires), the individual must provide good individual must provide good cause within three working dayscause within three working days

Sanction Scenario #1Sanction Scenario #1 Bob fails to comply on Friday, 4/7. Bob fails to comply on Friday, 4/7.

Counseling session is held when he Counseling session is held when he responds to the 2290 on Thursday, responds to the 2290 on Thursday, 4/13. Good cause does not exist, 4/13. Good cause does not exist, however, he is given the opportunity to however, he is given the opportunity to demonstrate satisfactory compliance demonstrate satisfactory compliance and is assigned to attend Job Club on and is assigned to attend Job Club on Monday, 4//17. Bob fails to show up for Monday, 4//17. Bob fails to show up for Job Club. What action should be taken Job Club. What action should be taken by the case manager?by the case manager?

Answer to Sanction Answer to Sanction Scenario #1Scenario #1

Allow three working days after the Allow three working days after the date of the failure to report good causedate of the failure to report good cause

4/18, 4/19 and 4/204/18, 4/19 and 4/20If good cause is not reported or If good cause is not reported or

determined by then, a sanction should determined by then, a sanction should be requested on Friday, 4/21be requested on Friday, 4/21

This would be the second failure without This would be the second failure without good cause within a thirty day periodgood cause within a thirty day period• First failure without good cause was on 4/7First failure without good cause was on 4/7

Sanction Scenario #2Sanction Scenario #2What if Bob reported good cause What if Bob reported good cause

for failing to report to Job Club?for failing to report to Job Club?Inform him of his new assignment Inform him of his new assignment and due dateand due dateIf he fails to attend, allow three If he fails to attend, allow three working days to report good causeworking days to report good causeIf good cause is not provided, If good cause is not provided, request a sanction if the failure is request a sanction if the failure is within 30 days of the first failure within 30 days of the first failure that occurred on 4/7that occurred on 4/7

Penalties for Penalties for NoncomplianceNoncompliance

LeveLevell

CashCashFSFS

ExempExemptt

NOT Food Stamp ExemptNOT Food Stamp ExemptHead of Head of

HouseholdHouseholdNot Head of Not Head of HouseholdHousehold

OneOne Cash closed for Cash closed for entire family for a entire family for a minimum of 10 days minimum of 10 days or until compliance or until compliance

No No changchange in e in Food Food StampStampss

FS closed for FS closed for entire household entire household 1 month or until 1 month or until compliance, compliance, whichever is whichever is longerlonger

FS closed for the FS closed for the noncompliant noncompliant individual 1 month individual 1 month or until compliance, or until compliance, whichever is longer whichever is longer

TwoTwo Cash closed for Cash closed for family for 1 month family for 1 month or until compliance, or until compliance, whichever is longerwhichever is longer (Prot. Payee for (Prot. Payee for children under 16children under 16

No No changchange in e in Food Food StampStampss

FS closed for FS closed for entire household entire household 3 months or until 3 months or until compliance, compliance, whichever is whichever is longerlonger

FS closed for the FS closed for the noncompliant noncompliant individual 3 months individual 3 months or until compliance, or until compliance, whichever is longerwhichever is longer

ThreThreee

Cash closed for Cash closed for family for 3 months family for 3 months or until compliance, or until compliance, whichever is longer;whichever is longer; Protective Payee Protective Payee allowed allowed

No No changchange in e in Food Food StampStampss

FS closed for FS closed for entire household entire household 6 months or until 6 months or until compliance, compliance, whichever is whichever is longer.longer.

FS closed for the FS closed for the noncompliant noncompliant individual 6 months individual 6 months or until compliance, or until compliance, whichever is longerwhichever is longer

Issues with SanctionsIssues with Sanctions

Request date should always be the Request date should always be the date you request the sanctiondate you request the sanction

Lift date for Lift date for good causegood cause should be should be the same as the request datethe same as the request date

Issues with SanctionsIssues with Sanctions

Don’t lift a sanction because Don’t lift a sanction because you thought the individual was you thought the individual was going to complygoing to comply

Request sanctions timely—Request sanctions timely—don’t keep giving more don’t keep giving more chances to comply chances to comply

Forgiveness PolicyForgiveness Policy

Prior sanctions are Prior sanctions are forgiven if client is forgiven if client is compliant for six compliant for six months or more months or more afterafter a sanction is lifted a sanction is lifted due to compliancedue to compliance

Begin with a clean Begin with a clean slateslate

Applies only to Cash Applies only to Cash Sanctions; Does Not Sanctions; Does Not Apply to Food Apply to Food StampsStamps

Prior Sanctions Prior Sanctions ForgivenForgiven

Compliance and Compliance and Lifting SanctionsLifting Sanctions

Level OneLevel OneLift as soon as the client agrees to comply and begins participating Lift as soon as the client agrees to comply and begins participating (no required compliance period)(no required compliance period)

Level TwoLevel TwoLift as soon as the client agrees to comply and begins participating, Lift as soon as the client agrees to comply and begins participating, AFTER serving the minimum one month penalty period;AFTER serving the minimum one month penalty period; reinstate to reinstate to the date of compliance or the first day of the month following the the date of compliance or the first day of the month following the penalty period, whichever is laterpenalty period, whichever is later

Level ThreeLevel ThreeLift as soon as the client agrees to comply and begins participating, Lift as soon as the client agrees to comply and begins participating, AFTER serving the minimum three month penalty period; AFTER serving the minimum three month penalty period; reinstate to reinstate to the date of compliance or the first day of the month following the the date of compliance or the first day of the month following the penalty period, whichever is laterpenalty period, whichever is later

Frequently Asked Frequently Asked QuestionQuestion

If good cause is submitted after a sanction If good cause is submitted after a sanction is imposed, what date is used to lift the is imposed, what date is used to lift the sanction?sanction?

First determine if the participant had good cause First determine if the participant had good cause for not responding to the 2290 within 10 days or for not responding to the 2290 within 10 days or within 3 working days of the second failure within 3 working days of the second failure

Lift date should be the same as the request dateLift date should be the same as the request date• Sanction should not have been requested and Sanction should not have been requested and

participant should not lose any amount of cash participant should not lose any amount of cash assistanceassistance

Support Services After Serving Support Services After Serving the Minimum Penalty Periodthe Minimum Penalty Period

If complying to have the If complying to have the sanction liftedsanction lifted support services support services such as child care and/or such as child care and/or transportation may be transportation may be provided provided

•Child CareChild Care• TransportationTransportation

Sanctions and the Receipt Sanctions and the Receipt of Transitional Benefitsof Transitional Benefits Not eligible for transitional benefits Not eligible for transitional benefits

if Cash Assistance is closed due to a if Cash Assistance is closed due to a workwork sanctionsanction

After compliance, the individual must After compliance, the individual must reapply for reapply for TCA through DCF if their TCA through DCF if their cash assistance has been closed for cash assistance has been closed for more than 30 daysmore than 30 days

If not re-approved and subsequently If not re-approved and subsequently closed due to earnings, the individual closed due to earnings, the individual cannot receive transitional benefitscannot receive transitional benefits