Non-Compliance and Sanctions Agency for Workforce Innovation Spring Training 2006

What is a Sanction?  A sanction is a required program component under federal law  Termination of benefits for failure to comply with the signed IRP or refusal to become fully engaged in work activities (without providing good cause)

Why Would a Welfare Transition Participant be Sanctioned?  Individuals are required to participate as a condition of continued eligibility for cash assistance, unless exempt Federal law requires that sanctions be imposed on those who fail to participate without good cause

Why Would a Welfare Transition Participant be Sanctioned (Cont)?  Most individuals will achieve self-sufficiency through employment or better employment Failure to comply with the signed IRP or refusal to become fully engaged in work activities (without providing good cause) may result in time limits ending before the family becomes economically self-sufficient  Timely requests of sanctions may remove individuals from the participation rate calculation

Failure to Participate  Failure to: Participate in work or other assigned activities Provide requested documentation Keep an appointment Follow a treatment plan or alternative requirement plan

Frequently Asked Question  Assuming good cause does not exist, can an individual assigned to 40 hours in an activity be sanctioned if they don’t participate 40 hours, however, the minimum hours required for participation rate purposes is met? 20 hrs—single parent with child under 6 30 hrs—single parent child age 6 or over 50 hrs—two-parent family, no child care 55 hrs—two-parent family receiving federally funded childcare

Answer  Yes, the federal minimum requirement applies only to participation rate  Has nothing to do with the number of hours assigned  Can assign up to 40 hrs/wk based on employment goal identified on the IRP, and can be sanctioned for failure to follow their IRP or Alternative Requirement Plan

Pre-Penalty Process  Initiate the process as soon as the case manager is aware of a failure  Mail “Notice of Failure to Participate and Possible Sanction “ (Form 2290) within two working days after the date of the failure or your knowledge of the failure Example: Failure occurred on Thursday, 4/27/06. When should the 2290 be mailed? (No later than Monday, 5/1) Example: Failure occurred on Friday, 4/21/06, however, the case manager was not aware of it until 4/27/06. When should the 2290 be mailed? (No later than Monday, 5/1)  Enter Pre-Penalty on the Alternative Plan page in OSST

Oral Contact  Attempt oral contact via phone or other locally determined method Document your attempt and results in OSST on a case note  If oral attempt is unsuccessful allow 10 calendar days after date of the notice for the client to respond The 10-day period is calculated by OSST based on the day the notice is generated in the system

No Oral Contact and No Response Within 10 Days—Request Penalty  Request sanction Level 1 Level 2, or Level 3  Click on “Request Penalty” hyperlink in OSST on the Alternative Plan Page This generates an alert to DCF to take action to impose the sanction  Do not mail the Notice of Failure to Demonstrate Satisfactory Compliance (Form 2292) at this time

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

Answer  The sanction is attached to the individual, even though the sanction will affect the entire family  If the last sanction requested was a level 2 and the individual has not complied for a minimum of 6 months since compliance (forgiveness policy), request a level 3 sanction

What if You Contact The Client Orally or Client Responds to the 2290 Within 10 Calendar Days?  First Step—Determine if there was good cause for the failure Document in Case Notes in OSST BE SPECIFIC—Was it good cause or not?Don’t make others guess whether it was or not

Continued  Second Step—Provide counseling session Discuss barriers to participation What can you as a case manager do to resolve these barriers? Refer for servicesRefer for services Explain consequences of noncompliance and failure to “Demonstrate Satisfactory Compliance”

Continued  Third Step—do not request a sanction if good cause is determined End Pre-penalty in OSST with an outcome of “good cause” and enter clear case notes If participant fails to comply at a future date, begin the pre-penalty process again by mailing the 2290 and entering Pre- penalty in OSST

Good Cause Reasons  Lack of child care for a single parent caring for a child 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

What Should You Do if the Participant Does Not Have Good Cause for the Failure?  After the counseling session, allow the participant to “demonstrate satisfactory compliance” Definition—having no more than one failure without good cause within a 30-day period Inform the participant what he/she must do to comply and provide a due date Ensure the participant understands the requirement to provide good cause within three working days if there is a subsequent failure within 30 days of the first failure

Participant Does Not Have Good Cause for the Failure (Continued)  Update case notes in OSST Compliance requirements End of the 30-day period  End Pre-penalty with “complied” only after the participant has begun to comply End Date should always be the date the participant agreed to comply  If there are no further failures within the 30-day period the process ends

What if the Participant Fails to Comply After He/She Agrees to Demonstrate Satisfactory Compliance?  Set Future To Do; enter failure in Case Notes  Allow three working days after the date of failure to report good cause Good Cause Reported/Determined No Sanction requestedNo Sanction requested Good Cause Not Reported/Determined Request SanctionRequest Sanction –Click “Pre-Penalty” hyperlink and select “Request Penalty” or “Request Penalty” hyperlink –Use the current date as the request date –Mail “Notice of Failure to Demonstrate Satisfactory Compliance” (2292)

Frequently Asked Question  A first failure occurs  During the “Pre-Penalty Process”, the individual complies The pre-penalty is ended with “complied”  A second failure occurs  The individual provides good cause for second failure  Is the “Request Penalty” link ended with “good cause”?

Answer  No The good cause applies to the second failure not the original failure The 30 day period continues If a subsequent failure occurs (before the 30 days expires), the individual must provide good cause within three working days

Sanction Scenario #1  Bob fails to comply on Friday, 4/7. Counseling session is held when he responds to the 2290 on Thursday, 4/13. Good cause does not exist, however, he is given the opportunity to demonstrate satisfactory compliance and is assigned to attend Job Club on Monday, 4//17. Bob fails to show up for Job Club. What action should be taken by the case manager?

Answer to Sanction Scenario #1  Allow three working days after the date of the failure to report good cause 4/18, 4/19 and 4/20  If good cause is not reported or determined by then, a sanction should be requested on Friday, 4/21 This would be the second failure without good 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 #2  What if Bob reported good cause for failing to report to Job Club? Inform him of his new assignment and due date If he fails to attend, allow three working days to report good cause If good cause is not provided, request a sanction if the failure is within 30 days of the first failure that occurred on 4/7

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 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

Issues with Sanctions  Request date should always be the date you request the sanction  Lift date for good cause should be the same as the request date

Issues with Sanctions  Don’t lift a sanction because you thought the individual was going to comply  Request sanctions timely—don’t keep giving more chances to comply

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

Compliance and Lifting Sanctions  Level One 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  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

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 Lift date should be the same as the request date Sanction should not have been requested and participant should not lose any amount of cash assistanceSanction should not have been requested and participant should not lose any amount of cash assistance

Support Services After Serving the Minimum Penalty Period  If complying to have the sanction lifted support services such as child care and/or transportation may be provided Child CareChild Care TransportationTransportation

Sanctions and the Receipt of Transitional Benefits  Not eligible for transitional benefits if Cash Assistance is closed due to a work sanction After compliance, the individual must reapply for TCA through DCF if their cash assistance has been closed for more than 30 days If not re-approved and subsequently closed due to earnings, the individual cannot receive transitional benefits