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3.6 Sanctions and Non-compliance sanction policy

The Sanctions and Non-Compliance Sanction Policy section is divided in three separate sub-sections:

3.6.1 Sanction Policy

3.6.1.1 What are sanctions?

Under WorkFirst, sanctions are a tool of last resort in an ongoing attempt to promote participation and help families achieve self-sufficiency.

A sanction is a penalty that reduces the family's WorkFirst cash assistance by the person's share, or 40%, whichever is more. We impose a sanction penalty when a person is able, but refuses without good cause to:

If we discover a person is unable to participate in the activities in the IRP, we may:

3.6.1.2 How long do sanctions last?

We count months of sanction because adults who stay in sanction for six months in a row (or three months if the case was previously closed for non-compliance sanction), without good cause may lose their cash assistance. September 2006 begins the start of counting of months in sanction, even if a person has been in sanction before that date.

If a sanctioned person exits WorkFirst cash assistance and reapplies within six months, the person is still in sanction status when the case is reopened. The sanction count continues where it left off before the case was closed. For example, a WorkFirst cash assistance case is closed effective December 1, 2006, while in the third month of sanction. If the person reapplies in:

3.6.1.3 Good Cause Appointment/Sanction Case Staffing Letter

When a person is not participating as required, the WFPS/SW will receive an immediate notification from the service provider. When this occurs, the WFPS/SW determines whether or not the parent had a good reason for not participating.

The first step is to set up a good cause appointment with the person to find out if there is a good reason for not participating. During this time, the eJAS component codes for the activities will remain open until a good cause determination has been made. See How do we treat excused and unexcused absences step-by-step.

All the steps of the good cause process must be followed, even if you are able to reach the person by phone to discuss the situation. . You need to complete and document the thorough review of the case and that the person had the opportunity to explain the non-participation.

WAC 388-310-1600(2)(a) states we must always send a good cause letter and give the parent 10 calendar days to provide information about why there may “good cause” for not complying. This is done by sending a good cause letter to schedule an appointment and giving the family 10 days to contact us.

This ensures:

If you give a parent less than 10 calendar days to establish good cause or make the good cause determination over the phone without sending a letter, the case is not procedurally correct and the sanction is invalid.

Remember that persons closed by the Sanction Review Panel, reopened, and sanctioned again, may lose cash after three months in a row of sanction. See section 3.6.3, Non-compliance sanction reapplications, for more information about how to complete all sanction and non-compliance sanction steps, including good cause and sanction letters, within a three-month timeframe.

3.6.1.4 Good Cause 10-day Period

WAC 388-310-1600(2)(b) states parents have 10 days to contact us when they don't meet WorkFirst requirements so they can talk to us about the situation. Parents can contact us in writing, by phone, by going to the appointment described in their good cause letter or by asking for a different appointment time.

In counting the 10 days, day 1 begins when the “good cause” letter is mailed or given to the parent. This is the same as how we count the 10-day period for adverse action notices. You must allow for an additional business day when the letter is not mailed out the same day that it is generated (either locally or centrally printed in Olympia). If the 10th day falls on a weekend or holiday, the parent has until the following business day to provide the information requested.

Document in eJAS if you handed the parent the good cause letter or printed it locally and placed it in outgoing CSO mail before the afternoon local mail cutoff.

Examples:

All examples assume that today's date is 2/28/2007:

3.6.1.5 Steps for the Sanction Case Staffing

If the person fails to come to the good cause appointment/sanction case staffing:

3.6.1.6 Good Cause Criteria

Our goal is to involve people in WorkFirst activities to increase their family's ability to earn a living and provide support for their children, not to place them in sanction status. It is very important to determine and document whether a person is refusing, or unable to comply. If a person is unable to comply and tells us why, then we can work more effectively with that person and his or her family.

We need to be particularly careful not to place people in sanction status who do not comply because they do not have affordable or appropriate child care, and don't know what help is available. There is a special brochure (WorkFirst Opportunities Brochure DSHS 22-1125 ) that you can use to give basic Child Care information to all persons who face sanction.

Anyone who is not fully participating as required has good cause if they are unable to do the required WorkFirst activities, or if there are significant barriers outside of their control that prevent full participation. Problems that may prevent compliance, and that should be reviewed with every individual before being placed in sanction may include having:

Determination of good cause requires a change in the IRP to reflect the appropriate activities and level of services the person needs to successfully participate in the program.

Non-participation due to unexcused absences will not be considered good cause unless there is a significant circumstance outside of the person's control, such as family violence or hospitalization that made it impossible for the person to call in to get the absence excused.

3.6.1.7 Sanction Case Staffing & Sanction Case Staffing Documentation Standard

The sanction case staffing is conducted after the good cause determination to determine the next appropriate step based on all available information.. The person could be placed in sanction or be re-engaged. In addition to the case staffing guidelines established under 3.5.1 What is a Case Staffing? Go over the following as you go through the case staffing:

Sanction Case Staffing Documentation Standard: In addition to the eJAS Case Staffing documentation, you must include the following information:

Remember: Do not send the adverse notice until the person has had 10 days to contact us.

3.6.1.8 Sanction Review Criteria

The sanction review criteria are a required eJAS module to be completed if you determine the person did not have good cause for failure to participate. The purpose is to document that the sanction process was followed and the person was given every opportunity to participate. Specifically, the sanction review criteria documents the following:

3.6.1.9 Adverse Action Notice

The department cannot sanction parents when an adequate time frame of 10 days was not provided. The earliest date you can make the sanction decision and send out the adverse action notice depends on whether the parent contacts you within the 10-day good cause period.

WAC 388-310-1600(4) states once we decide that a parent did not have a good reason for failing to meet WorkFirst requirements, we must tell the parent what he or she failed to do. This must be added to the parent's adverse action notice. We must tell the parent how to cure their sanction.

The parent needs to know what in the Individual Responsibility Plan was not complied with. This is particularly important when there is more than one activity. We must state who did not do the activity as there may be more than one mandatory participant in the family.

To summarize, include the following information in the adverse action letter:

Please note that staff only needs to enter the information corresponding to the first three bullets. The rest of the information is automatically printed on the letter.

If these points are not met in the notice of adverse action, then the requirements have not been met and the family cannot be placed in sanction status.

3.6.1.10 Dependent Teens in Sanction

WAC 388-310-1600 (9) states dependent teens, age 16 or older, which are placed in sanction status are not subject to the non-compliance sanction process and household termination described in this section 3.6.2. Once the decision is made to sanction (via the sanction review criteria and supervisory approval of the decision):

The "EX" exception to rule code in the "Closure Delay Reason" field will allow the case to remain active on WorkFirst while in sanction. The coding will also allow you to create reports to track these cases and continue re-engagement efforts.

3.6.1.11 Sanction CE and IRP Requirements

Every sanctioned person must complete a CE after entering sanction status. Dependent teens age 16 are not normally required to complete a CE but must complete the CE foundation in order to cure sanction. The CE ensures the sanctioned person and their families are in the most appropriate activities to meet their needs and to help them move out of sanction.

CE process:

  1. Schedule (via an appointment letter) the CE foundation for the sanctioned person.
  2. Complete the foundation,
  3. Refer only the adults to the college and ESD to complete the rest of the CE, and
  4. Schedule a follow-up CE appointment.

The person does not require a special "sanction IRP" just because they have entered sanction. Everyone participating in the WorkFirst program is required to have a current IRP based upon his or her activities. If someone enters sanction status, the IRP should reflect the activities not done without good cause. The person must complete a CE and comply with their existing IRP requirements to cure the sanction. The CE requirement is added to the person's IRP.

When the person agrees to cure the sanction, update the IRP with current dates and any new activities needed to meet any new circumstances, including any activities recommended by the CE.

3.6.1.12 Curing a sanction

Once in sanction status, a person must start and continue to do the required WorkFirst activities to cure the sanction. This holds true even if the person was originally sanctioned for failure to provide information or for refusing to accept a job. An individual must do what is in her or his IRP when they entered sanction status unless circumstances change and the IRP is modified (including any changes made as a result of the comprehensive evaluation).

The length of time required to end a sanction is referred to as the "cure period". To cure the sanction, the sanctioned individual must participate for 4 weeks in a row. After four weeks of satisfactory participation, the sanction is removed effective the first of the following month. This same process is used for each subsequent sanction.

3.6.1.13 Cures & changes in circumstances

If circumstances change, a person's grant, IRP and/or cure requirements may change.

Examples: A woman is sanctioned for refusing to do job search. Below are three different circumstances with the appropriate response for each.

3.6.1.14 How to Resolve Procedural Errors & Re-apply Sanction Penalties

This process is used whenever you find a case that was sanctioned in error or when the Sanction Review Panel finds a sanction invalid and returns the case to the CSO.

3.6.1.15 eJAS/ACES codes

When someone is sanctioned, use the following ACES and eJAS codes:

3.6.1.16 Sanctions – Step-by-step guide

The WFPS or WFSW identifies individuals who are not complying with program requirements and:

  1. Sends the person the WorkFirst Non-Participation Appointment letter (085-01) scheduling a good cause appointment within 10 calendar days to find out if there is good cause for noncompliance;
    • Adds the required text explaining what the person failed to do,
    • Adds the following text to the letter regarding the case staffing and who has been invited to attend.

    2. “At this appointment, we will also be reviewing your participation in the WorkFirst program with other involved agency staff. I have invited (List agency staff) to this appointment.”

  2. Schedules and arranges for a sanction case staffing. This case staffing can be scheduled at the same time as the good cause appointment.
  3. Enters PR component code in eJAS with a scheduled end date that coincides with the good cause appointment date, not to exceed 14 calendar days.
  4. Determines whether good cause exists or if support services will make participation possible:
    1. At the appointment with the person (using case staffing selection), or
    2. If the individual does not attend, the decisions are based on all available information, such as case notes or medical records.
  5. If the person has good cause,
    1. Close the PR component code,
    2. Enter the appropriate codes for the required activities,
    3. Adjust the IRP,
    4. Make referrals, and
    5. Authorize support services as needed.
  6. If the person does not have good cause:
    1. Conduct the sanction case staffing if the staffing was scheduled in conjunction with the good cause appointment. (If the case staffing was not previously scheduled, then a separate appointment is needed and the participant invited to the staffing.)
    2. Invite at least two other relevant professionals, such as a social worker or persons from other agencies that have worked with the person. A minimum of two professionals are required to conduct the case staffing. Remember that the assigned worker (WFPS or WFSW) count as one professional. Other professionals may include Social Workers, ESD WorkFirst employment services counselor, or other agency representatives, such as Children's Administration if they are working with the family.
    3. Invite the non-participating person to the case staffing.
    4. Tell them to bring anyone they want to the case staffing.
  7. Determine through the sanction case staffing process whether a sanction is the next appropriate step by reviewing available information and determining if activities were appropriate. Consider imposing a sanction once the person has had 10 days to contact the department if the review supports it.
  8. Document issues discussed and the results of the case staffing. Explain why the department decided to sanction. In addition to the eJAS Case Staffing documentation, you must include the following information:
    • Document that all available information was reviewed and discussed with one or more professionals, and
    • An explanation of the decision whether or not to pursue sanction.

If you are considering imposing a sanction:

Complete the sanction review criteria in eJAS and get supervisory approval. The sanction process ends here for dependent teens, except for continued efforts to re-engage them and get them back in school.

  1. Complete or schedule the CE foundation (dependent teens are only required to do the CE foundation piece),
  2. Add CE to the person's IRP (without taking off any existing required work activities),
  3. Refer adults to colleges/ESD to complete their CE if the foundation has been completed.
  4. Schedule the follow-up CE interview; and,
  5. Modify the IRP, as required, based on the CE. Please note: The person can start to cure sanction immediately by doing current IRP activities, and then finish her or his cure based on the modified IRP.
  6. Actively attempt follow-up and re-engagement contacts with sanctioned persons to discuss the benefits of participation and explain how to cure sanction.

Sanction steps ACES

  1. Code an RE or SN on the sanctioned individual's WORK screen with the effective date of the grant reduction.
  2. If the person has been on WorkFirst for over 60 months, code category 3 on the TWEP Screen.
  3. Send ACES adverse action letter (08-001) allowing for 10 day advanced notice and adding required text:
    • Who is being placed in sanction (specific person)
    • What they failed to do (specific activity in IRP)
    • That the specific person is in sanction status
    • The penalties that will be applied to the grant
    • When the penalties will be applied
    • Fair hearing rights
    • How to end the penalties and get out of sanction status

    Please note that staff only needs to enter the information corresponding to the first three bullets. The rest of the information is automatically printed on the letter.

  4. Enter EX in the closure delay reason field on the ACES WORK screen for dependent teens in sanction to track the case, continue re-engagement and allow the case to remain in sanction for longer than 6 months

Sanction Steps in eJAS

  1. Document issues discussed and the results of the case staffing under the case staffing event type. Explain why the department decided to sanction. In addition to the eJAS Case Staffing documentation, you must include the following information:
    • Document that all available information was reviewed and discussed with one or more professionals, and
    • An explanation of the decision whether or not to pursue sanction.

    Remember to send the case staffing result letter.

  2. Complete the sanction review criteria.
  3. Close the non-participation components as appropriate using IC code.
  4. Enter SA or SN component for sanction depending on how long the person has been on WorkFirst cash assistance.

Other Actions

Terminate until the person agrees to participate and start curing sanction:
  1. Working Connections Child Care assistance (except for employment purposes), and
  2. Support services.

Curing the Sanction

  1. When a sanctioned person agrees to participate to cure the sanction, open the appropriate component(s) in eJAS (but keep the SA or SN code in place).
  2. Authorize any needed support services or child care and update the IRP.
  3. After 4 weeks of satisfactory participation is verified:
    1. Remove the sanction coding RE or SN on the WORK screen in ACES and enter a MP. Enter the sanction cure date in the ‘CA Re-qualifying Date' field.
    2. For parents who have been on WorkFirst for 60 months or more, change the ACES TWEP Screen from category 3 to category 1 or 2.
    3. Remove the SA or SN code from eJAS.
    4. Issue any supplemental benefits within five days of verification.

Note: An individual, who left WorkFirst cash assistance in sanction status and has been off cash assistance for 6 months or more, does not return to sanction status when WorkFirst cash assistance is re-opened. Be sure and remove all eJAS and ACES coding related to the previous sanction. If the person comes back onto WF cash assistance within six months, the sanction count resumes (off in month three of sanction, back on in month four of sanction).

Resources

Related WorkFirst Handbook Chapters
Forms & Other Resources

For more information about the WorkFirst HandBook, contact Kim Shidell, WorkFirst Program Manager.