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Noncompliance and Noncompliance and Sanction PolicySanction Policy

Welfare Transition Statewide TrainingWelfare Transition Statewide TrainingAgency for Workforce Innovation Agency for Workforce Innovation

Spring 2005Spring 2005

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Why Do We Sanction?Why Do We Sanction?

Required to participate as a condition of Required to participate as a condition of continued eligibility for cash assistancecontinued eligibility for cash assistance

Most individuals will realize self-Most individuals will realize self-sufficiency through employment or sufficiency through employment or improved employment opportunitiesimproved employment opportunities Failure or refusal to become fully engaged in Failure or refusal to become fully engaged in

work activities may result in time limits work activities may result in time limits ending before the family becomes ending before the family becomes economically self-sufficienteconomically self-sufficient

Removes the family from the Removes the family from the participation rateparticipation rate

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Client Fails to Client Fails to ParticipateParticipate What is considered a What is considered a

failure?failure? Failure to participate in work Failure to participate in work

or other assigned activitiesor other assigned activities

Failure to provide requested Failure to provide requested documentationdocumentation

Failure to keep an Failure to keep an appointmentappointment

Failure to follow a treatment Failure to follow a treatment plan or alternative plan or alternative requirement planrequirement plan

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Frequently Asked Frequently Asked QuestionQuestion Can you sanction an individual Can you sanction an individual

assigned to 40 hours in an activity assigned to 40 hours in an activity if they complete the minimum 30 if they complete the minimum 30 hours required?hours required?

Yes, the 30 hour requirement applies Yes, the 30 hour requirement applies only to participation rateonly to participation rate

Can assign up to 40 hrs/wk, based on Can assign up to 40 hrs/wk, based on employment goal on the IRP, and can employment goal on the IRP, and can be sanctioned for failure to follow their be sanctioned for failure to follow their IRP or Alternative Requirement PlanIRP or Alternative Requirement Plan

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Mail Failure NoticeMail Failure Notice Mail “Notice of Failure to Mail “Notice of Failure to

Participate and Possible Sanction” Participate and Possible Sanction” (Form 2290) within two working (Form 2290) within two working days days afterafter the date of the failure the date of the failure

Enter Pre-Penalty on the Enter Pre-Penalty on the Alternative Plan page in OSSTAlternative Plan page in OSST

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Oral ContactOral Contact Attempt oral contact via Attempt oral contact via

phone or other locally phone or other locally determined methoddetermined method

Document your Document your attempt and results in attempt and results in OSSTOSST

If oral attempt is If oral attempt is unsuccessful allow 10 unsuccessful allow 10 calendar days calendar days afterafter date of the notice for date of the notice for the client to respondthe client to respond

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No Oral Contact No Oral Contact andand No No Response Within 10 Response Within 10

DaysDays Request appropriate level sanctionRequest appropriate level sanction

Level 1Level 1

Level 2Level 2

Level 3Level 3

Click on Click on “Request Penalty”“Request Penalty” hyperlink hyperlink

Do not mail Notice of Failure to Do not mail Notice of Failure to Demonstrate Satisfactory Compliance Demonstrate Satisfactory Compliance (CF-ES 2292) at this time (CF-ES 2292) at this time

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Frequently Asked Frequently Asked QuestionQuestion

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

individualindividual If their last sanction was a level 2 If their last sanction was a level 2

and they have not complied for a and they have not complied for a minimum of 6 months since minimum of 6 months since compliance request a level 3 compliance request a level 3 sanction sanction

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Oral Contact Successful Oral Contact Successful oror Client Responds to 2290 Client Responds to 2290 Within 10 Calendar DaysWithin 10 Calendar Days

Determine good cause and Determine good cause and document in document in Case NotesCase Notes. Be specific—Was it good . Be specific—Was it good cause or not?cause or not? Do not request sanction if good cause existsDo not request sanction if good cause exists

Provide counseling sessionProvide counseling session Discuss barriers to participation Discuss barriers to participation

Refer for services to remove barriersRefer for services to remove barriers

Explain consequences of noncompliance and Explain consequences of noncompliance and failure to “Demonstrate Satisfactory failure to “Demonstrate Satisfactory Compliance”Compliance”

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Good Cause ReasonsGood Cause Reasons

Lack of child care Lack of child care for children under for children under age 6age 6

Domestic violence Domestic violence

Past effects of Past effects of domestic violencedomestic violence

Medical incapacityMedical incapacity

Outpatient mental Outpatient mental health or substance health or substance abuse treatmentabuse treatment

Applicants of SSI or Applicants of SSI or SSDISSDI

Other circumstances Other circumstances beyond their controlbeyond their control Medical emergencyMedical emergency

Court appearanceCourt appearance

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Oral Contact Successful Oral Contact Successful oror Client Client Responds Responds

(Good Cause Exists)(Good Cause Exists)

Clearly state in the Clearly state in the Case Notes the reason Case Notes the reason for the failure for the failure andand that it was accepted that it was accepted as good cause as good cause

End Pre-Penalty with End Pre-Penalty with Good CauseGood Cause

Allow to continue Allow to continue participatingparticipating

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Oral Contact Successful Oral Contact Successful oror Client Client Responds Responds

(Does Not Have Good Cause)(Does Not Have Good Cause)

Client is given an Client is given an opportunity to opportunity to ““demonstrate demonstrate satisfactory satisfactory compliance”compliance” Definition: Having Definition: Having

no more than one no more than one failure without good failure without good cause within a 30 cause within a 30 calendar day periodcalendar day period

Assign to an Assign to an activityactivity

End Pre-Penalty with End Pre-Penalty with “Compliance” When “Compliance” When Client Client BeginsBegins to to ParticipateParticipate Use Date Client Agreed Use Date Client Agreed

to Participate as the to Participate as the End DateEnd Date

If there is no further If there is no further noncompliance within noncompliance within 30 days of the date 30 days of the date of the first failure, of the first failure, the sanction process the sanction process endsends

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Client Agrees to Client Agrees to Demonstrate Satisfactory Demonstrate Satisfactory

ComplianceCompliance If 2If 2ndnd Failure Occurs Within 30 Days of Failure Occurs Within 30 Days of

the First Failurethe First Failure Allow client 3 working days after the date Allow client 3 working days after the date

of the failure to report good causeof the failure to report good causeo Enter Case Note detailing the failure and set Enter Case Note detailing the failure and set

Future To Do for 3 Working DaysFuture To Do for 3 Working Days Good cause existsGood cause exists No sanction requestedNo sanction requested Good cause not reported/determinedGood cause not reported/determined Click on the Click on the “Pre-Penalty”“Pre-Penalty” hyperlink and select hyperlink and select

“Request Penalty” or the“Request Penalty” or the“Request Penalty” “Request Penalty” hyperlink, whichever is appropriatehyperlink, whichever is appropriate

Mail “Notice of Failure to Demonstrate Mail “Notice of Failure to Demonstrate Satisfactory Compliance” (Form 2292)Satisfactory Compliance” (Form 2292)

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Penalties for Penalties for NoncomplianceNoncompliance

LeveLevell

CashCashFSFS

ExempExemptt

NOT Food Stamp ExemptNOT Food Stamp Exempt

Head of Head of HouseholdHousehold

Not Head of Not Head of HouseholdHousehold

OneOne Cash closed for Cash closed for entire family for a entire family for a minimum of 10 days minimum of 10 days or until compliance, or until compliance, whichever is longerwhichever is longer

No No changchange in e in Food Food StampStampss

FS closed for FS closed for entire household entire household 1 month or until 1 month or until compliance, compliance, whichever is whichever is longerlonger

FS closed for the FS closed for the noncompliant noncompliant individual 1 month individual 1 month or until compliance, or until compliance, whichever is longer whichever is longer

TwoTwo Cash closed for Cash closed for family for 1 month family for 1 month or until compliance, or until compliance, whichever is longerwhichever is longer (Prot. Payee for (Prot. Payee for children under 16children under 16

No No changchange in e in Food Food StampStampss

FS closed for FS closed for entire household entire household 3 months or until 3 months or until compliance, compliance, whichever is whichever is longerlonger

FS closed for the FS closed for the noncompliant noncompliant individual 3 months individual 3 months or until compliance, or until compliance, whichever is longerwhichever is longer

ThreThreee

Cash closed for Cash closed for family for 3 months family for 3 months or until compliance, or until compliance, whichever is longer;whichever is longer; Protective Payee Protective Payee allowed allowed

No No changchange in e in Food Food StampStampss

FS closed for FS closed for entire household entire household 6 months or until 6 months or until compliance, compliance, whichever is whichever is longer.longer.

FS closed for the FS closed for the noncompliant noncompliant individual 6 months individual 6 months or until compliance, or until compliance, whichever is longerwhichever is longer

X

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Forgiveness PolicyForgiveness Policy

Prior sanctions are Prior sanctions are forgiven if client is forgiven if client is compliant for six compliant for six months or more months or more afterafter a sanction is lifted a sanction is lifted due to compliancedue to compliance

Begin with a clean Begin with a clean slateslate

Applies only to Cash Applies only to Cash Sanctions; Does Not Sanctions; Does Not Apply to Food Apply to Food StampsStamps

Prior Sanctions Prior Sanctions ForgivenForgiven

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Compliance and Compliance and Lifting SanctionsLifting Sanctions

Level OneLevel One Lift as soon as the client agrees to comply and begins Lift as soon as the client agrees to comply and begins

participating (no required compliance period)participating (no required compliance period)

Level TwoLevel Two Lift as soon as the client agrees to comply and begins Lift as soon as the client agrees to comply and begins

participating, AFTER serving the minimum one month participating, AFTER serving the minimum one month penalty period;penalty period; reinstate to the date of compliance or the reinstate to the date of compliance or the first day of the month following the penalty period, first day of the month following the penalty period, whichever is laterwhichever is later

Level ThreeLevel Three Lift as soon as the client agrees to comply and begins Lift as soon as the client agrees to comply and begins

participating, AFTER serving the minimum three month participating, AFTER serving the minimum three month penalty period; penalty period; reinstate to the date of compliance or the reinstate to the date of compliance or the first day of the month following the penalty period, first day of the month following the penalty period, whichever is laterwhichever is later

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Frequently Asked Frequently Asked QuestionQuestion

If good cause is submitted after a sanction If good cause is submitted after a sanction is imposed, what date is used to lift the is imposed, what date is used to lift the sanction?sanction?

First determine if the participant had good First determine if the participant had good cause for not responding to the 2290 within 10 cause for not responding to the 2290 within 10 days or within 3 working days of the second days or within 3 working days of the second failurefailure

Lift date should be the same as the request Lift date should be the same as the request datedate

o Sanction should not have been requested and Sanction should not have been requested and participant should not lose any amount of cash participant should not lose any amount of cash assistanceassistance

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Support Services After Support Services After Serving the Minimum Serving the Minimum

Penalty PeriodPenalty Period

If complying to have the If complying to have the sanction liftedsanction lifted support support services may be provided services may be provided onlyonly after serving the minimum after serving the minimum penalty periodpenalty period Child CareChild Care

TransportationTransportation

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Sanctions and the Receipt Sanctions and the Receipt of Transitional Benefitsof Transitional Benefits

Cannot receive transitional services if Cannot receive transitional services if Cash Assistance is closed due to a Cash Assistance is closed due to a sanctionsanction Must comply to have the sanction liftedMust comply to have the sanction lifted Reapply for Cash Assistance through DCFReapply for Cash Assistance through DCF

What if individual complies and What if individual complies and reapplies for Cash Assistance, reapplies for Cash Assistance, however, cannot be re-approved however, cannot be re-approved because of earned income?because of earned income? New PolicyNew Policy: Cannot receive transitional : Cannot receive transitional

services if the Cash Assistance was closed services if the Cash Assistance was closed due to a sanctiondue to a sanction

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New OSST CodeNew OSST Code New Code—”New Code—”Sanction Not ImposedSanction Not Imposed””

Use when ending a sanction request if Use when ending a sanction request if DCF failed to impose the sanctionDCF failed to impose the sanction

When requesting a subsequent sanction, When requesting a subsequent sanction, request the next level penaltyrequest the next level penalty

o Example: Level 1 Sanction requested 1/27/05; Example: Level 1 Sanction requested 1/27/05; DCF closed case on 1/28/05 without imposing DCF closed case on 1/28/05 without imposing sanction; individual reapplies on 2/28/05 and is sanction; individual reapplies on 2/28/05 and is re-approved for cash assistance; reopen alert is re-approved for cash assistance; reopen alert is received on 3/1/05. Case manager should end received on 3/1/05. Case manager should end the sanction request with “Sanction Not the sanction request with “Sanction Not Imposed”; individual fails to attend Orientation Imposed”; individual fails to attend Orientation on 3/5/05 and does not respond to 2290. Level on 3/5/05 and does not respond to 2290. Level 2 Sanction should be requested.2 Sanction should be requested.

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Client Fails to Participate

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 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

No Yes

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 ChartWT 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

2nd Failure Occurs Within 30 Days of the First Failure?

NoYes

Allow Client 3 Working Days to Report Good Cause

Was Good Cause Reported/Determined?Yes

No

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For Additional For Additional InformationInformation

ContactContact

Diane.Parker@awi.state.fl.usDiane.Parker@awi.state.fl.us

Norm.Cushon@awi.state.fl.usNorm.Cushon@awi.state.fl.us

Erica.Mott@awi.state.fl.usErica.Mott@awi.state.fl.us

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The End ! ! !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.