Transcript Noncompliance and Sanction Policy

Noncompliance and
Sanction Policy
Welfare Transition Statewide Training
Agency for Workforce Innovation
Spring 2005
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Why Do We Sanction?
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Required to participate as a condition of
continued eligibility for cash assistance
Most individuals will realize self-sufficiency
through employment or improved employment
opportunities
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Failure or refusal to become fully engaged in work
activities may result in time limits ending before the
family becomes economically self-sufficient
Removes the family from the participation rate
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Client Fails to Participate
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What is considered a
failure?
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Failure to participate in work
or other assigned activities
Failure to provide requested
documentation
Failure to keep an appointment
Failure to follow a treatment
plan or alternative requirement
plan
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Frequently Asked Question

Can you sanction an individual assigned to
40 hours in an activity if they complete
the minimum 30 hours required?
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Yes, the 30 hour requirement applies only to
participation rate
Can assign up to 40 hrs/wk, based on
employment goal on the IRP, and can be
sanctioned for failure to follow their IRP or
Alternative Requirement Plan
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Mail Failure Notice
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Mail “Notice of Failure to Participate
and Possible Sanction” (Form 2290)
within two working days after the date
of the failure
Enter Pre-Penalty on the Alternative
Plan page in OSST
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Oral Contact
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Attempt oral contact via
phone or other locally
determined method
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Document your attempt
and results in OSST
If oral attempt is
unsuccessful allow 10
calendar days after date
of the notice for the
client to respond
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No Oral Contact and No
Response Within 10 Days
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Request appropriate level sanction
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Level 1
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Level 2
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Level 3
Click on “Request Penalty” hyperlink
Do not mail Notice of Failure to
Demonstrate Satisfactory Compliance
(CF-ES 2292) at this time
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Frequently Asked Question
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When requesting a sanction on a
member of a two-parent family, how
do you determine the level to
request?
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The sanction is attached to the
individual
If their last sanction was a level 2 and
they have not complied for a minimum of
6 months since compliance request a
level 3 sanction
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Oral Contact Successful or Client
Responds to 2290 Within 10
Calendar Days
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Determine good cause and document in Case
Notes. Be specific—Was it good cause or
not?
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Do not request sanction if good cause exists
Provide counseling session
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Discuss barriers to participation
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Refer for services to remove barriers
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Explain consequences of noncompliance and
failure to “Demonstrate Satisfactory
Compliance”
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Good Cause Reasons
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Lack of child care
for children under
age 6
Domestic violence
Past effects of
domestic violence
Medical incapacity
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Outpatient mental
health or substance
abuse treatment
Applicants of SSI or
SSDI
Other circumstances
beyond their control
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Medical emergency
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Court appearance
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Oral Contact Successful or Client Responds
(Good Cause Exists)
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Clearly state in the Case
Notes the reason for
the failure and that it
was accepted as good
cause
End Pre-Penalty with
Good Cause
Allow to continue
participating
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Oral Contact Successful or Client Responds
(Does Not Have Good Cause)
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Client is given an
opportunity to
“demonstrate
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satisfactory
compliance”
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Definition: Having no
more than one failure
without good cause
within a 30 calendar
day period
End Pre-Penalty with
“Compliance” When Client
Begins to Participate
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Use Date Client Agreed to
Participate as the End
Date
If there is no further
noncompliance within 30
days of the date of the
first failure, the
sanction process ends
Assign to an activity
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Client Agrees to Demonstrate
Satisfactory Compliance
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If 2nd Failure Occurs Within 30 Days of the
First Failure
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Allow client 3 working days after the date of
the failure to report good cause
o
Enter Case Note detailing the failure and set Future
To Do for 3 Working Days
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Good cause exists
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No sanction requested
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Good cause not reported/determined
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Click on the “Pre-Penalty” hyperlink and select “Request
Penalty” or the“Request Penalty” hyperlink, whichever is
appropriate
Mail “Notice of Failure to Demonstrate Satisfactory
Compliance” (Form 2292)
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X
Penalties for Noncompliance
FS
Exempt
NOT Food Stamp Exempt
Head of Household
Level
Cash
One
Cash closed for entire
family for a minimum of
10 days or until
compliance, whichever
is longer
No
change
in Food
Stamps
FS closed for entire
household 1 month
or until compliance,
whichever is longer
FS closed for the
noncompliant individual
1 month or until
compliance, whichever
is longer
Two
Cash closed for family
for 1 month or until
compliance, whichever
is longer (Prot. Payee
No
change
in Food
Stamps
FS closed for entire
household 3 months
or until compliance,
whichever is longer
FS closed for the
noncompliant individual
3 months or until
compliance, whichever
is longer
Three Cash closed for family
No
change
in Food
Stamps
FS closed for entire
household 6 months
or until compliance,
whichever is longer.
FS closed for the
noncompliant individual
6 months or until
compliance, whichever
is longer
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for children under 16
for 3 months or until
compliance, whichever
is longer; Protective
Payee allowed
Not Head of Household
Forgiveness Policy
Prior Sanctions
Forgiven
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Prior sanctions are
forgiven if client is
compliant for six
months or more after
a sanction is lifted
due to compliance
Begin with a clean
slate
Applies only to Cash
Sanctions; Does Not
Apply to Food Stamps
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Compliance and
Lifting Sanctions
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Level One
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Level Two
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Lift as soon as the client agrees to comply and begins
participating (no required compliance period)
Lift as soon as the client agrees to comply and begins
participating, AFTER serving the minimum one month penalty
period; reinstate to the date of compliance or the first day
of the month following the penalty period, whichever is later
Level Three
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Lift as soon as the client agrees to comply and begins
participating, AFTER serving the minimum three month penalty
period; reinstate to the date of compliance or the first day
of the month following the penalty period, whichever is later
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Frequently Asked Question
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If good cause is submitted after a sanction
is imposed, what date is used to lift the
sanction?
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First determine if the participant had good cause
for not responding to the 2290 within 10 days or
within 3 working days of the second failure
Lift date should be the same as the request date
o
Sanction should not have been requested and participant
should not lose any amount of cash assistance
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Support Services After Serving
the Minimum Penalty Period
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If complying to have the sanction
lifted support services may be
provided only after serving the
minimum penalty period
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Child Care
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Transportation
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Sanctions and the Receipt of
Transitional Benefits
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Cannot receive transitional services if Cash
Assistance is closed due to a sanction
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Must comply to have the sanction lifted
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Reapply for Cash Assistance through DCF
What if individual complies and reapplies
for Cash Assistance, however, cannot be
re-approved because of earned income?
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New Policy: Cannot receive transitional services
if the Cash Assistance was closed due to a
sanction
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New OSST Code
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New Code—”Sanction Not Imposed”
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Use when ending a sanction request if DCF
failed to impose the sanction
When requesting a subsequent sanction,
request the next level penalty
o
Example: Level 1 Sanction requested 1/27/05;
DCF closed case on 1/28/05 without imposing
sanction; individual reapplies on 2/28/05 and is reapproved for cash assistance; reopen alert is
received on 3/1/05. Case manager should end the
sanction request with “Sanction Not Imposed”;
individual fails to attend Orientation on 3/5/05 and
does not respond to 2290. Level 2 Sanction should
be requested.
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Client Fails to Participate
WT Sanction Flow Chart
1st
Enter Pre-penalty for Failure on the Alternative
Plan page and Mail “Notice of Failure to Participate
and Possible Sanction” (2290) Within Two Working
Days After the Failure
If Client Agrees to Demonstrate
Satisfactory Compliance
End Pre-penalty with Compliance After
Client Begins to Participate; Use Date Client
Agreed to Participate
Attempt Oral Contact &
Document Results in Case Notes
If Oral Attempt is Not Successful Allow 10 Calendar
Days After Date of Notice for Client to Respond Did
Client Respond?
No
2nd Failure Occurs Within 30 Days
of the First Failure?
Yes
Yes
No
No
Request Sanction;
Click Request Penalty
hyperlink
Provide Counseling
Was Good Cause
Determined?
No Sanction
Requested
Yes
Update Case Notes
Clearly Stating Good
Cause was Determined
Updated
4/11/05
No Sanction Requested; End Pre-penalty with
Good Cause NOTE: If there is another failure
send a new 2290 and enter Pre-Penalty
Enter Case Note and
To Do for 3 Working Days
Yes
Allow Client 3 Working
Days to Report Good Cause
Was Good Cause
Reported/Determined?
No
Click on Pre-Penalty hyperlink and select
Request Penalty or click on Request Penalty
hyperlink and Mail “Notice of Failure to
Demonstrate Satisfactory Compliance”21
(2292)
For Additional Information
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Contact
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[email protected]
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[email protected]
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[email protected]
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The End ! ! !
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