Non-Compliance and Sanctions

1
Non-Compliance and Sanctions

• Agency for Workforce Innovation
• August 2007

2
What is a Sanction?

• Websters defines it as
• Loss of reward
• OR
• Intervention connected to a violation of a law as
  means of enforcing the law

3
What is a Sanction?

• What law is being enforced when we initiate the
  counseling and penalty process?
• Federal regulations 45 CFR 261.13-.16
• Florida Statutes section 414.065
• Florida Administrative Code 65A-4.205

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What is a Sanction?

• Federal regulations state that cash must be
  terminated or reduced
• If the individual fails to comply with the signed
  IRP without good cause
• If the individual refuses to comply with work
  requirements without good cause
• http//www.gpoaccess.gov/cfr/index.html
• Use this link for more information. Type 45 CFR
  261 in the search box and click submit.

5
What is a Sanction?

• Florida Statutes section 414.065
• A reduction or termination of benefits as a
  result of a failure to comply or refusal to
  comply with work and alternative requirements
• http//floridajobs.org/pdg/WT_StLegis.html
• Use this link for more information. Click on
  Chapter 414

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What is a Sanction?

• The penalty process must be initiated
• If an individual required to participate in the
  WT program fails to comply with Individual
  Responsibility or Alternative Plan requirements
  without good cause
• If an individual required to participate in the
  WT program refuses to comply with work
  requirements without good cause
• If an individual required to participate in the
  WT program fails to comply with work activity
  requirements without good cause

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What is a Sanction?

• A sanction is the result of a participants
• Failure to comply with the signed IRP
• OR
• Refusal to become fully engaged in work or
  alternative plan activities without good cause

8
Accountability

• Cash assistance recipients referred to the work
  program
• Are required to participate in work activities
  and/or alternative plan activities
• Are engaged in a plan to
• Meet goals
• Overcome barriers using work activities and
  alternative plan requirements

9
Accountability

• When we first begin to engage our participant, we
  establish
• Program requirements
• Program opportunities
• A plan that engages our participants in
  activities that will help them achieve their goals

10
Accountability

• The sanction process actually begins with
  accountability
• When we begin to engage participants in the
  program
• When we develop the IRP
• When we hold participants accountable for
  completing steps towards self-sufficiency
• When we hold participants accountable for not
  participating

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Accountability

• The signed IRP is a contract and/or agreement
• It is designed to help the participant move
  towards
• Their goals
• Employment
• Self-sufficiency
• The agreement between the participant and the
  career specialist must be reviewed for
  accountability

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The Result of not Holding Participants
Accountable?
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Accountability

• Failure to hold participants accountable with the
  signed IRP
• OR
• Refusal to fully engage the participant in work
  activities

• May result in
• Time limits ending before the family becomes
  self-sufficient
• A negative impact on participation rate
• OR
• A federal penalty against Florida

14
Accountability

• If the participant does not have good cause for
  not participating and the penalty process is not
  initiated, Florida may be penalized

15
Accountability

• What are some key accountability provisions?
• Ensure participant knows about his or her
  requirements
• Ensure participant has clear deadlines and
  objectives
• Ensure participant reviews and signs the IRP with
  clear requirements and deadlines

16
Accountability

• How can a participant comply with the above
  requirements?
• What is the person supposed to do Monday?
• What is the countable activity?
• What document is supposed to be turned in?

17
Accountability
When will it be determined the participant failed
to meet this requirement?
18
Accountability
Is this person supposed to get a job or
participate in a countable activity?
What is the countable activity?

• General steps leads to confusion
• We should avoid general requirements that have
• No clear daily requirements
• Vague direction
• No clear deadlines

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Accountability
These steps have clear guidelines and deadlines
that details the participants requirements
20
Accountability
If the participant failed to complete any one of
these steps, staff could provide a clear
description of the failure and hold them
accountable for the exact failure.
21
Frequently Asked Question

• The participant has not signed an IRP yet because
  (s)he missed the first appointment or
  orientation. Can we initiate the counseling
  process?

22
Answer

• Yes
• The sanction process is about
• Engaging the participant
• Notifying the participant of his/her rights and
  responsibilities
• Offering another opportunity to participate
• Discovering if good cause exists
• Offering services that are needed

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Answer

• However, once a participant meets with staff
• A clear plan of action should be established
• Clear assignment of activities should be put in
  writing
• Clear deadlines should be put in writing
• The information should be agreed on and signed by
  both parties

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The Sanction Process-First Failure

• The participant fails to comply for the first
  time in 30 days
• The participant fails to comply with the signed
  IRP or refuses to participate
• Examples of failure include
• Failure to attend orientation
• Failure to attend an appointment
• Failure to attend work activity
• Failure to turn in documentation

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The Sanction Process-First Failure

• Using the steps from earlier
• The participant fails to comply with one of the
  requirements
• The participant started class on April 2nd, but
  the participant does not attend class on April 4,
  2007

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The Sanction Process-Failure

• The failure should be recognized immediately
• We strive to recognize the failure within two
  working days after the date of the failure
• If the failure is not noticed as soon as
  possible, it could have an impact on
• The participation rate
• Accountability

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The Sanction Process-Failure

• How can we recognize a failure to participate
  quickly
• Create local processes
• Enter information on calendar or through To-Dos
  to verify participation
• The To-Dos should align with due dates and
  deadlines outlined in the steps on the IRP

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The Sanction Process-First Failure

• Contact worksite supervisors and teachers to
  confirm attendance
• Contact the participant regularly to encourage
  the participant to attend
• Contact the participant regularly to resolve any
  problems or issues regarding work activity or
  alternative activity participation

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The Sanction Process-First Failure

• Upon discovering the failure
• We must initiate the counseling process
• Initiate the counseling process by entering the
  failure on the Alternative Plan Screen
• Enter the exact failure
• Enter the exact failure date
• Mail the Notice of Failure to Participate and
  Possible Sanction (Form 2290)

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The Sanction Process-First Failure

• The counseling process
• Counseling includes making an oral attempt to
  contact and counsel the participant regarding the
  failure
• Enter the exact failure and exact failure date on
  the Alternative Plan screen

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The Sanction Process-Counseling

• A ten-day counseling period starts once the
  failure letter is mailed
• The counseling period is over when counseling
  occurs

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The Sanction Process-Counseling

• So what is the ten-day counseling period about?
• Opening lines of communication
• Discussing why the participant failed
• Determining if good cause exists
• Determining what services may be needed to bring
  them into compliance and prevent future failures

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The Sanction Process-Counseling

• The ten-day period is also about
• Discussing program requirements
• Updating the IRP
• Ensuring the participant is going to comply

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The Sanction Process-Counseling

• What happens if the oral attempt is successful or
  the participant contacts the career specialist
  during the ten-day counseling period?

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The Sanction Process-Counseling

• Find out if good cause exists for the failure
• If good cause exists, end the pre-penalty in the
  OSST system with good cause
• If good cause does not exist, do not end the
  pre-penalty in the OSST system, complete the
  counseling process

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The Sanction Process-Counseling

• Discuss barriers to compliance
• If the individual needs support services, offer
  assistance
• Discuss professional behaviors
• Examples
• If you are going to miss an appointment, class or
  other activity, please call me in advance
• Not showing to work or failing to call an
  employer before missing work may lead to being
  dismissed or fired

37
The Sanction Process-Counseling

• Discuss program requirements
• Examples
• If you do not attend your activities, you cannot
  achieve your goals
• If you are going to be absent, you will need to
  provide good cause
• Discuss what the RWB considers good cause and if
  documentation is required

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The Sanction Process-Counseling

• Assign an activity, due date and follow-up
  appointment
• Examples
• Are you ready to go back to class?
• Please be at class at 900 AM tomorrow, Wednesday
  September XX
• I need you to meet with me on Thursday at 900 AM
  to turn in your time sheet
• Make sure your teacher signs your time sheet for
  Wednesday attendance
• Bring the time sheet to your appointment on
  Thursday

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The Sanction Process-Counseling

• Discuss what happens if (s)he does not comply
  again
• Examples
• If you do not attend class tomorrow or attend
  your appointment, your cash and food stamps may
  be closed. You will also lose your childcare
• We do not want that to happen, so it is important
  to work with us and inform us in advance if you
  have to miss a class or appointment
• If you have to miss class or an appointment, make
  sure you have a good reason and discuss that
  reason with me in advance or as soon as possible

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The Sanction Process-Counseling

• Dos
• Use customer friendly language
• Ask directly what kept the participant from
  participating
• Tell the participant what is good cause and what
  is not good cause
• Tell the participant about documentation
  requirements for good cause

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The Sanction Process-Counseling

• Dos
• Set-up an activity
• Establish a clear deadline
• Discuss outcomes of not participating
• Enter clear case notes
• Dont
• Use terms like 2290 or pre-penalty
• Leave a detailed message on a machine, with a
  friend or family member

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The Sanction Process-Oral Contact

• The oral attempt could be a phone call or other
  locally determined method
• Document your attempt and the results in OSST by
  entering a case note

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The Sanction Process-First Failure

• If the participant does not contact the career
  center during the counseling period and the oral
  contact is unsuccessful
• Request the appropriate level sanction
• Click on Pre-Penalty Counseling 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, AWI WTP 2292

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The Sanction Process-First Failure

• The participant contacts the career center during
  the counseling period or the oral contact is
  successful
• Determine if the participant had good cause for
  the failure
• If good cause exists, end the pre-penalty with
  good cause
• Enter a case note
• The counseling period of ten days is over

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The Sanction Process First Failure

• If good cause does not exist or is not accepted
• Counsel the participant regarding his or her
  failure
• Discuss barriers to participation
• Refer for services
• Explain consequences of noncompliance and failure
  to Demonstrate Satisfactory Compliance
• Enter clear case notes

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The Sanction Process First Failure
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After First Failure and Counseling

• Participant complies
• End the pre-penalty with complied
• Use the date the participant agreed to comply
• Make sure the IRP is updated
• Enter clear case notes

• Participant does not comply
• This is the second failure
• Wait three days for good cause
• Enter a sanction if good cause is not provided
• Enter clear case notes

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The Sanction Process Second Failure
VS.
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The Sanction Process-Second Failure

• Two failures within 30 days
• What if the participant fails to complete an
  activity after the pre-penalty is lifted with
  complied?
• Ensure the second failure is within 30 days of
  the first failure
• Allow three working days for good cause
• If good cause exists, do not request sanction
• If good cause is not provided or not accepted,
  request sanction and mail the AWI WTP 2292
• Enter clear case notes

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Sanction Levels

• Sanction level should be entered based on
  sanction history
• Review Alternative Plan screen for previous
  sanctions
• Look at latest sanction level
• Review for six months of compliance since latest
  sanction
• If six months of compliance exists, start at
  level one
• If six months of compliance does not exist,
  request the next level sanction

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Frequently Asked Question

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

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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
  six months since the last compliance, a level 3
  sanction must be requested

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Good Cause

• Good cause for a failure to participate must be
  documented clearly in the case notes
• Good cause must be documented according to local
  operating procedures

54
Good Cause

• There are a lot of good excuses
• Only some will qualify as good cause for
  missing activities
• The RWB determines good cause
• If your RWB has not given you a clear good cause
  policy, please ask for one

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Good Cause

• The RWB should require documentation for certain
  good causes
• Ongoing medical incapacity or limits
• Missing an activity due to a court appointment
• Missing an activity due to school conference
• Etc.

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Good Cause

• There are short term good cause reasons for
  missing activities
• Court appointment
• School conference
• Flu
• Minor surgery
• Storms
• Etc.

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Good Cause

• There are also long-term reasons for missing
  activities
• Permanent or long-term medical issue
• In-patient treatment
• Inability to find adequate childcare that is
  within a reasonable distance and at a reasonable
  cost
• Domestic violence

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Pop Quiz

• What are three populations that a sanction should
  not be requested on

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Answer

1. Applicants
2. Transitional Participants
3. Single parents with a child under the age of six
   that have demonstrated an inability to secure
   adequate and reasonable childcare

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Frequently Asked Question

• Scenario
• 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 the second
  failure
• Should the Request Penalty link be ended with
  good cause?

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Frequently Asked Question

• 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 expire), the individual must provide good
  cause within three working days

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Penalty Levels

• Request date should always be the date you
  request the sanction
• Lift date for good cause should be the same as
  the request date
• Lift date for compliance
• Level onethe date the individual agreed to
  comply, after complying
• Level two and threethe date the individual
  agreed to comply after complying

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Sanctions- Do's and Don'ts

• Do not lift a sanction because you thought the
  individual was going to comply
• Do not lift a pre-penalty because the participant
  wants to comply or agrees to comply
• Do request sanctions timely

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Forgiveness Policy

• Prior sanctions are forgiven if participant is
  compliant for six months (or longer) after a
  sanction is lifted due to compliance
• Begins with a clean slate
• Applies only to Cash Sanctions Does Not Apply to
  Food Stamps

Prior Sanctions Forgiven
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Would You Accept Good Cause?

• Good cause is submitted after a sanction is
  imposed
• First determine if the participant had good cause
  for not responding to the 2290 within ten days or
  within three working days of the second failure
• If the good cause is accepted, lift date should
  be the same as the request date
• Ending the sanction with good cause means the
  sanction should not have been requested and
  participant should not lose any amount of cash
  assistance

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Would You Accept This as Good Cause?
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Sanctions-Support Services

• If complying to have the sanction lifted,
  applicant support services may be provided
• Childcare
• Transportation
• Not eligible for transitional services
• The participant may receive temporary support
  services to comply and have the sanction removed
  but would not be eligible for transitional
  support services upon removal of the sanction

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Requesting a Sanction-Closed Cash

• If an individual is non-compliant during a month
  that TCA is received, and a sanction is
  appropriate, the sanction should be requested
  even if DCF has already closed their case
• Unless the case was closed due to becoming exempt
• Unless the case was closed due to earnings
• DCF will be posting sanctions to closed cases

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Remember

• Accountability is the critical element of both
  engagement and the sanction process
• Establish clear requirements
• Hold participant accountable for failures
• Reward them for successes
• Use customer-friendly language
• No case manager jargon
• Avoid terms like 2290 and pre-sanction

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• If you have any questions, comments or concerns,
  please contact
• The Welfare Transition Team through the
• Agency for Workforce Innovations
• Call Center
• 1-866-352-2345
• 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.