Noncompliance and Sanction Policy

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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
• 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

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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?
• 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

• 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

• Attempt oral contact via phone or other locally
  determined method
• 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

• Request appropriate level sanction
• Level 1
• Level 2
• 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

• 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
• 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

• Determine good cause and document in Case Notes.
  Be specificWas it good cause or not?
• Do not request sanction if good cause exists
• Provide counseling session
• Discuss barriers to participation
• Refer for services to remove barriers
• Explain consequences of noncompliance and failure
  to Demonstrate Satisfactory Compliance

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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

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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

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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
• 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 2nd Failure Occurs Within 30 Days of the First
  Failure
• Allow client 3 working days after the date of the
  failure to report good cause
• Enter Case Note detailing the failure and set
  Future To Do for 3 Working Days
• Good cause exists
• No sanction requested
• Good cause not reported/determined
• Click on the Pre-Penalty hyperlink and select
  Request Penalty or theRequest Penalty
  hyperlink, whichever is appropriate
• Mail Notice of Failure to Demonstrate
  Satisfactory Compliance (Form 2292)

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Penalties for Noncompliance
X
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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
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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

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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
  assistance

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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
• Transportation

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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
• 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

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New OSST Code

• New CodeSanction Not Imposed
• Use when ending a sanction request if DCF failed
  to impose the sanction
• When requesting a subsequent sanction, request
  the next level penalty
• 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 2290. Level 2 Sanction
  should be requested.

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Client Fails to Participate
WT Sanction Flow Chart
Enter Pre-penalty for 1st 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?
2nd Failure Occurs Within 30 Days of
the First Failure?
Yes
No
Yes
No
Enter Case Note and To Do for 3
Working Days
No
Request Sanction Click Request Penalty hyperlink
Provide Counseling Was Good Cause Determined?
No Sanction Requested
Allow Client 3 Working Days to Report Good Cause
Was Good Cause Reported/Determined?
Yes
Yes
Update Case Notes Clearly Stating Good Cause was
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 (2292)
No Sanction Requested End Pre-penalty with Good
Cause NOTE If there is another failure send a
new 2290 and enter Pre-Penalty
Updated 4/11/05
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For Additional Information

• Contact
• Diane.Parker_at_awi.state.fl.us
• Norm.Cushon_at_awi.state.fl.us
• Erica.Mott_at_awi.state.fl.us

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The End ! ! !
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