1 non-compliance and sanctions agency for workforce innovation august 2007
TRANSCRIPT
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Non-Compliance and
Sanctions
Agency for Workforce Innovation
August 2007
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What is a Sanction?
Webster’s defines it as
Loss of reward
~OR~
Intervention connected to a violation of a law as means of enforcing the law
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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.
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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 participant’s Failure to comply with the
signed IRP
OR
Refusal to become fully engaged in work or alternative plan activities without good cause
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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
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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
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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
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Accountability
If the participant does not have good cause for not participating and the penalty process is not initiated, Florida may be penalized
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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
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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?
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Accountability
When will it be determined the participant failed to meet this requirement?
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Accountability
General steps leads to confusion We should avoid general requirements that have
No clear daily requirements Vague direction No clear deadlines
Is this person supposed to get a job or participate in a countable activity?
What is the countable activity?
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Accountability
These steps have clear guidelines and deadlines that details the participant’s requirements
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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.
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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?
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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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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
The Sanction Process-Counseling
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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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What happens if the oral attempt is successful or the participant contacts the career specialist during the ten-day counseling period?
The Sanction Process-Counseling
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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
The Sanction Process-Counseling
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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
The Sanction Process-Counseling
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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
The Sanction Process-Counseling
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Assign an activity, due date and follow-up appointment Examples
Are you ready to go back to class? Please be at class at 9:00 AM tomorrow, Wednesday
September XX I need you to meet with me on Thursday at 9:00 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
The Sanction Process-Counseling
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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
The Sanction Process-Counseling
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Do’s
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
The Sanction Process-Counseling
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Do’s
Set-up an activity
Establish a clear deadline
Discuss outcomes of not participating
Enter clear case notes
Don’t
Use terms like “2290” or “pre-penalty”
Leave a detailed message on a machine, with a friend or family member
The Sanction Process-Counseling
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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
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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
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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 QuestionScenario
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 one—the date the individual agreed to comply, after complying
Level two and three—the 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 Prior Sanctions ForgivenForgiven
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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 Innovation’s
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.