1 Noncompliance and Sanction Policy Welfare Transition Statewide Training Agency for Workforce Innovation Spring 2005

2 Why Do We Sanction?  Required to participate as a condition of continued eligibility for cash assistance  Most individuals will realize self-sufficiency through employment or improved employment opportunities Failure or refusal to become fully engaged in work activities may result in time limits ending before the family becomes economically self-sufficient 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

3 Client Fails to Participate  What is considered a failure? 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

4 Frequently Asked Question  Can you sanction an individual assigned to 40 hours in an activity if they complete the minimum 30 hours required? Yes, the 30 hour requirement applies only to participation rate 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 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

5 Mail Failure Notice  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

6 Oral Contact  Attempt oral contact via phone or other locally determined method Document your attempt and results in OSST 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

7 No Oral Contact and No Response Within 10 Days  Request appropriate level sanction Level 1 Level 1 Level 2 Level 2 Level 3 Level 3  Click on “Request Penalty” hyperlink  Do not mail Notice of Failure to Demonstrate Satisfactory Compliance (CF-ES 2292) at this time

8 Frequently Asked Question  When requesting a sanction on a member of a two-parent family, how do you determine the level to request? The sanction is attached to the individual 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 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

9 Oral Contact Successful or Client Responds to 2290 Within 10 Calendar Days  Determine good cause and document in Case Notes. Be specific—Was it good cause or not? Do not request sanction if good cause exists Do not request sanction if good cause exists  Provide counseling session Discuss barriers to participation Discuss barriers to participation Refer for services to remove barriers Refer for services to remove barriers Explain consequences of noncompliance and failure to “Demonstrate Satisfactory Compliance” Explain consequences of noncompliance and failure to “Demonstrate Satisfactory Compliance”

10 Good Cause Reasons  Lack of child care for children under age 6  Domestic violence  Past effects of domestic violence  Medical incapacity  Outpatient mental health or substance abuse treatment  Applicants of SSI or SSDI  Other circumstances beyond their control Medical emergency Court appearance

11 Oral Contact Successful or Client Responds (Good Cause Exists)  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

12 Oral Contact Successful or Client Responds (Does Not Have Good Cause)  Client is given an opportunity to “demonstrate satisfactory compliance” Definition: Having no more than one failure without good cause within a 30 calendar day period Definition: Having no more than one failure without good cause within a 30 calendar day period  Assign to an activity  End Pre-Penalty with “Compliance” When Client Begins to Participate 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

13 Client Agrees to Demonstrate Satisfactory Compliance  If 2 nd Failure Occurs Within 30 Days of the First Failure Allow client 3 working days after the date of the failure to report good cause 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 Good cause exists Good cause exists No sanction requested No sanction requested Good cause not reported/determined Good cause not reported/determined Click on the “Pre-Penalty” hyperlink and select “Request Penalty” or the“Request Penalty” hyperlink, whichever is appropriate 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) Mail “Notice of Failure to Demonstrate Satisfactory Compliance” (Form 2292)

14 Penalties for Noncompliance LevelCashFSExempt NOT Food Stamp Exempt Head of Household Not Head of Household 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 for children under 16 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 for 3 months or until compliance, whichever is longer; Protective Payee allowed 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 X

15 Forgiveness Policy  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 Prior Sanctions Forgiven

16 Compliance and Lifting Sanctions  Level One 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 (no required compliance period)  Level Two 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 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 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 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

17 Frequently Asked Question  If good cause is submitted after a sanction is imposed, what date is used to lift the sanction? 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 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 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

18 Support Services After Serving the Minimum Penalty Period  If complying to have the sanction lifted support services may be provided only after serving the minimum penalty period Child Care Child Care Transportation Transportation

19 Sanctions and the Receipt of Transitional Benefits  Cannot receive transitional services if Cash Assistance is closed due to a sanction Must comply to have the sanction lifted Must comply to have the sanction lifted Reapply for Cash Assistance through DCF Reapply for Cash Assistance through DCF  What if individual complies and reapplies for Cash Assistance, however, cannot be re-approved because of earned income? New Policy: Cannot receive transitional services if the Cash Assistance was closed due to a sanction New Policy: Cannot receive transitional services if the Cash Assistance was closed due to a sanction

20 New OSST Code  New Code—”Sanction Not Imposed” Use when ending a sanction request if DCF failed to impose the sanction Use when ending a sanction request if DCF failed to impose the sanction When requesting a subsequent sanction, request the next level penalty 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 re- approved 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 Level 2 Sanction should be requested.

21 Client Fails to Participate Enter Pre-penalty for 1 st 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 Oral Attempt is Not Successful Allow 10 Calendar Days After Date of Notice for Client to Respond Did Client Respond? Request Sanction; Click Request Penalty hyperlink Provide Counseling Was Good Cause Determined? Update Case Notes Clearly Stating Good Cause was Determined If Client Agrees to Demonstrate Satisfactory Compliance NoYes No Sanction Requested; End Pre-penalty with Good Cause NOTE: If there is another failure send a new 2290 and enter Pre-Penalty No Sanction Requested Enter Case Note and To Do for 3 Working Days Click on Pre-Penalty hyperlink and select Request Penalty or click on Request Penalty hyperlink and Mail “Notice of Failure to Demonstrate Satisfactory Compliance” (2292) WT Sanction Flow Chart End Pre-penalty with Compliance After Client Begins to Participate; Use Date Client Agreed to Participate Updated 4/11/05 Attempt Oral Contact & Document Results in Case Notes Yes No 2 nd Failure Occurs Within 30 Days of the First Failure? No Yes Allow Client 3 Working Days to Report Good Cause Was Good Cause Reported/Determined? Yes No

22 For Additional Information  Contact

23 The End ! ! ! An equal opportunity employer/program. Auxiliary aids and services are available upon request to individuals with disabilities. All voice telephone numbers on this document may be reached by persons using TTY/TDD equipment via the Florida Relay Service at 711.