1007 PENALTIES AND DISQUALIFICATIONS
Federal law (45 CFR 261.13) requires that TANF eligible clients participate in self-sufficiency planning and work activities and also cooperate with child support collection agencies. If an individual fails to comply, without good cause (WSPM 1006), DPA may reduce the amount of assistance otherwise payable to the family.
Penalties enforce the expectation that families participate in program requirements. Non-compliance may mean that the client is choosing not to participate, or it may mean that good cause exists for the failure to participate. If the penalty is imminent, it is the case manager’s responsibility to work with the family to determine if any good cause exists, or to resolve the non-compliance before the penalty takes effect. A penalty is only imposed when all other efforts to engage the family have failed.
1007-1 PENALTY TYPES AND THEIR IMPACT
A penalty may be requested when a client does not:
Develop and sign a Family Self-Sufficiency Plan (SS penalty);
Cooperate with Child Support Services Division (CS penalty) (ATAP MS 717-4) , or;
Comply with their FSSP by failing to participate in work or self-sufficiency activities (WA penalty).
Once an activity has been agreed to on an FSSP, a WA penalty may be imposed for failure to participate in the activity regardless of the type of activity or the client’s work requirement status. However, if the client and case manager find that the activity was not appropriate or achievable for the client in the current circumstances, an incomplete activity may be replaced with an alternative activity on an updated FSSP (WSPM 1007-3B).
These penalties initially result in a 40% reduction of TA benefits. Any of these penalties are subject to progression according to the Penalty Resolution guidelines (WSPM 1007-9). If non-compliance is unresolved by the 4th consecutive month the penalty may progress to 75%. If non-compliance is unresolved by the 8th consecutive month, the penalty may progress to 100% resulting in ATAP case closure. (ATAP MS 723-4-B).
NOTE: If an ATAP benefit is reduced due to a penalty, an existing SNAP (Food Stamps) benefit will also automatically be reduced by 25%. (SNAP MS 602-3B-1C)
An applicant or recipient may not be penalized for failing to provide timely verification of participation when other means are available to verify that they engaged in the activity.
However, verification of some activities, such as Work Search, may be required from the participant in order to confirm the applicant or recipient engaged in the activity. If required verification is not provided, then it is presumed that the individual did not participate, and a penalty may be appropriate if there is no good cause (WSPM 1003).
When a case manager has determined that a WA or SS penalty is appropriate, follow the communication guidelines in HowWe Addendum 18.
Once a client expresses their intent to comply, these activities must be completed before the penalty is ended or deleted:
1. Develop an FSSP;
2. Cooperate with CSSD; and/or
3. Complete work or self-sufficiency activities.
1007-3A DEMONSTRATING COMPLIANCE
Participants may be required to demonstrate their compliance by participating in the required activity for up to:
• Five days for a first failure to comply;
• Ten days for a second failure to comply; and
• 30 days for a third or subsequent failure to comply.
1007-3B COMPLIANCE WITH AN ALTERNATIVE ACTIVITY
Compliance may be achieved by participation in an alternative activity.
When the activity that was originally agreed upon by the participant and case manager occurs only weekly or monthly (e.g., vocational counseling), is no longer available (e.g., a special training opportunity), or is no longer appropriate, the case manager works with the participant to identify an alternative activity to demonstrate compliance.
The alternate activity may be one that is already included in the FSSP, or a newly identified activity that moves the family toward self-sufficiency. If necessary, the family's FSSP is updated to include the new activity. The individual may be required to participate in the alternative activity for a period of time, as outlined in subsection two above.
1007-4 GOOD CAUSE OR AN EXEMPTION IS ESTABLISHED
A penalty may end or be deleted if:
·A client becomes exempt from work activities, or;
A client is determined to have good cause.
Work Activity Exemption reasons are listed in ATAP MS 730-2.
Good Cause criteria are listed in (ATAP MS 723-1). If a client meets one or more of the good cause criteria, a penalty should not be requested. If the Good Cause criteria is identified after the penalty has been imposed, the penalty must be ended back to the date that good cause began.
Clients can and should be encouraged to participate at their highest capacity even if they meet exemption criteria. Activities must be developed to ensure the client will be successful with the plan. Once an activity has been agreed to on the FSSP, failure to complete the activity may result in a WA penalty, even if exemption criteria exists. A FSSP may be amended at any time to remove or change an activity that is not appropriate or achievable under the current circumstances.
1007-5 ENDING OR DELETING A PENALTY
The language used by the case manager when penalties determines the eligibility technician’s actions.
END – the action is requested by the case manager to the eligibility technician when the client complies with the activities necessary to resolve the penalty after the benefit has been reduced or good cause or exemption begin after the penalty was applied. These penalties will stay in the EIS Work Sanction (WOSA) screen history.
DELETE – the action is requested by the case manager to the eligibility technician to remove the penalty and record of the penalty when a client has established good cause, compliance, or an exemption from the requirement existing prior to the penalty being applied to the case.
When a case manager has determined that a WA or SS penalty has been resolved, follow the communication guidelines in the HowWe Guide Addendum 18.
Guidance regarding restoring benefits can be found in ATAP MS 723-3 B.
1007-7 AMOUNT OF REDUCTION IN ASSISTANCE
Guidance regarding reduction in assistance can be found in ATAP MS 723-4-B.
1007-8 MINOR PARENT NOT ATTENDING SCHOOL
Guidance regarding reduction in assistance can be found in ATAP MS 723-4 A.
Before increasing a penalty to a higher percentage a Penalty Resolution (PR) visit must be completed. The purpose of a PR visit before imposing a 75% or full reduction in assistance is to ensure that everything possible has been done to re-engage the family in efforts toward self-sufficiency and to determine the effect of the reduction on the children. Penalty Resolution visits are intended to achieve the following objectives:
• To observe the family’s situation;
• To encourage the recipient to comply with the activity for which they were penalized;
• To determine if the recipient is refusing to comply, unable to comply, or needs additional supports or services, and;
• To gather information to assess the impact of further reductions in benefits if the recipient is able, but chooses not to comply.
The following actions must be taken before a family’s assistance can be reduced by 75% or 100%:
1. Complete a PR.
2. Consider any information obtained from a PR, other information about the family, and the availability of services in the community that might fit the family’s needs.
3. Determine if the health, safety and well-being of the children in the family will not be significantly jeopardized by imposition of the 75% or 100% reduction in assistance.
4. Document the health, safety, and well-being determination.
NOTE: As an agent of the State of Alaska, work services providers are mandated reporters and will comply with guidance in ADMIN MS 100-9. Work services providers must describe their reporting protocol in their internal procedure manual.
1007-9A ARRANGING THE PENALTY RESOLUTION VISIT
The PR visit is made any time after the initial penalty is imposed and before a further reduction is made. The PR visit may be made by the case manager, other designated staff, partner agencies or an approved vendor. The visit may be made with staff from other agencies if appropriate releases of information have been obtained.
A decision may be made, in consultation with a supervisor, that a PR visit cannot be attempted due to lack of staff or travel resources, or because the home’s location is inaccessible or remote. This decision must be documented in a CLNO in CMS. In these cases, the family’s assistance may not be reduced further.
Procedures for conducting a PR visit must be described in the work services provider internal procedures manual. The essential steps for arranging a PR visit are:
Contact the recipient to arrange a PR visit at a time and place agreeable to the family. Not all families have a traditional primary residence. The PR visit should take place at the client’s home or primary place of residence. The primary place of residence for some families could be in a multi-family home, a shelter or another temporary housing situation.
More than one means of contacting the family may be needed and each may need to be tried more than once. Methods include telephone calls, messages left at contact numbers, or in-person meetings. A notice may also be sent to the family asking them to contact the worker to schedule the visit.
If the recipient cannot be reached, schedule a time and send a notice to the family informing them when and where the PR visit will be made and asking them to respond if they want to schedule a different time or location.
Explain that the purpose of the PR visit is to explore the family’s situation, discuss ways to end the reduction to their assistance, and describe what will happen next if they continue noncompliance.
Document each attempt to arrange the PR in a client note (CLNO) in CMS.
1007-9B CONDUCTING THE PENALTY RESOLUTION VISIT
Use form (TA40) to conduct and provide initial documentation about the findings of the PR visit. The notes on the form are then transferred into a CLNO in CMS.
The following elements help to determine penalty resolution or progression to 75%:
The family’s understanding of the reasons for the penalty;
Whether they will take action to comply with the activity for which the penalty was imposed and if not, any reasons they gave;
Problems or challenges that need to be addressed so that the recipient can comply if they are willing, or if the recipient is now exempt from completing the required activity;
Revisions to the family self-sufficiency plan and what additional supports and services are to be provided;
A description of the family’s basic living expenses for housing, utilities, food, clothing or transportation, and any child support obligations that must be met for a child not in the home;
A description of the extent to which the family’s available income, resources and supports will cover these expenses;
A description of community services that are available to meet the family’s basic needs; and an assessment of whether further reduction in the assistance amount will result in conditions that threaten the children’s health or safety by depriving them of essential needs.
1007-10 IF THE FAMILY WILL NOT ALLOW A HOME VISIT
In some cases, the family may not agree to, or allow the PR visit to be made. They may not respond to contacts to arrange a PR visit, not be at home at the pre-arranged time, or refuse entry to the home. In these situations, ensure that all attempts to arrange and to complete the PR visit are documented in CMS. Determine, based on information available in CMS, whether to request an additional reduction in benefits and document the decision on the PR form (WS XX).
1007-11 DETERMINATION TO FURTHER REDUCE ASSISTANCE
Before reducing a family’s assistance by 75% or imposing a full family penalty (100% reduction) and closing the case, Case Managers must determine if the reduction will result in conditions that threaten the health or safety of the children in the family. If the Case Manager needs additional assistance in making the determination, Case Managers may consult with WSTA, their agency leadership or other staff or agencies that have worked with the family. The decision will consider all available information about the family obtained from the PR visit, other contacts with the family, the case management and eligibility records, and contacts with other staff or agencies. The decision to progress the penalty or not must be documented in CLNO and CANO.
NOTE:
Sensitive information cannot
be included in a CANO (Administrative Manual Section 109-3
and 109-10
when requesting an eligibility action of any kind. Sensitive information
includes but is not limited to domestic violence, sexual abuse, substance
abuse, mental illness and medical needs. If sensitive information
exists that affects eligibility, Work Service Case Manager's should state
in CANO that "good cause exists" without being specific.
If information is obtained at the home visit that impacts eligibility or indicates possible fraud, it should be given to the Eligibility Case Worker and a fraud referral made if appropriate.
If, as a result of the PR visit or other contacts with the family, the Case Manager has concerns about abuse, neglect or the safety of the children, they will contact OCS with their concerns.
Case managers must follow the guidance in Addendum 18 of the HowWe guide to request a penalty on the case.
Once a family receives a reduction in assistance of 75%, the Case Manager will maintain contact with the family to try to re-engage them in working towards their self-sufficiency.
The case manager will continue efforts to re-engage families whose assistance was not reduced further to 75% or 100% and will document each attempt in CLNO. For these families, the Case Manager may do further PR visits and make the decision to increase the reduction in assistance later if the family’s situation changes and the well-being of the children is no longer significantly jeopardized.
Once a family’s assistance is reduced by 75% or 100%, it cannot be changed back to a 40% reduction. The family has the option to comply with the required activity and end the penalty. The penalty may also be ended if good cause is determined or an exemption is identified (WSPM 1006 and WSPM 1007).
1007-13 OTHER PENALTY INFORMATION
Before a penalty takes effect, applicants must receive adequate notice from DPA, and recipients must receive a timely notice of adverse action. Both applicants and recipients must be given the opportunity to demonstrate good cause for not meeting the program requirement.
In some circumstances, such as when a parent or caretaker fails, without good cause, to cooperate with CSSD or to sign over child support received on behalf of a dependent child, the family's cash assistance must be paid to a protective payee.
Penalties imposed by other states do not transfer to the Temporary Assistance program.
Penalties are assessed against individuals. When an individual joins or leaves an assistance unit, their penalty follows them.
See ATAP MS 723-6 for more detailed information on these requirements.
Disqualifications differ from penalties; disqualifications result in someone or everyone in the household becoming ineligible to receive ATAP benefits.
A. Types:
Intentional Program Violations (IPV) are the result of a fraud investigation. See ATAP MS 793-4 for additional information. The case remains open and other family members continue to receive assistance.
Job Refusal or Job Quit (ATAP MS 710-3) results in the entire household becoming ineligible to receive ATAP benefits; as a result, the case closes.
B. Participation expectations:
IPV – Clients serving an IPV must continue working with their case manager and must continue to adhere to work services participation requirements. Failure to develop a FSSP, follow-through on activities, or cooperate with CSSD will result in a penalty. If the penalty is set before the IPV, the IPV is postponed until the penalty is resolved. If the IPV is set before the penalty, the IPV is suspended while the other penalty is in effect (ATAP MS 793-4D and ATAP MS 793-4E). Case managers must demonstrate due diligence in reaching out, engaging and monitoring clients who are serving an IPV.
There are no participation expectations under a job refusal or job quit disqualification. The ATAP benefits are terminated during the disqualification period. The case cannot reopen until the disqualification period is complete. The case will be referred to work services if the family reapplies for assistance.
C. Time frame:
1. IPV –An Individual is disqualified from Temporary Assistance for intentional program violations for:
Six months for the first violation;
Twelve months for the second violation; and
Permanently for the third violation.
IPVs from other states or other programs are considered in determining the length of each IPV. (ATAP MS 793-5A)
2. Job Quit - An individual is disqualified for refusing or separating from suitable employment for:
One month for the first refusal or separation;
Six months for the second refusal or separation; and
Twelve months for the third and subsequent refusal or separation.
For the purpose of imposing the disqualification for refusing or separating from suitable employment, a month is 30 calendar days. (ATAP MS 722-5)
D. Good cause:
1. IPV – There is no good cause for an Intentional Program Violation.
2. Job Quit –If good cause exists, per ATAP MS 723-1C the Case Manager will note the good cause and criteria in CANO.
Clients will be encouraged by their Case Manager to call if they experience any difficulty while on the job. A Case Manager and/or Job Developer must be available to be in touch with the employer throughout a client’s employment. Whenever possible, a job quit should be avoided by working with the employer to assist with additional training, accommodation or assignment to alternate tasks.
E. Resolving:
IPV – a change in the household composition may resolve the IPV. (ATAP MS 793-5B)
Job Quit – Job Quit disqualifications continue after the case closes. When the appropriate amount of time has passed, the client can reapply for benefits. The case manager will discuss the circumstances under which the job ended and plan with the client for alternative choices in the future.
F. Ending a Disqualification:
IPVs can only be appealed through a court of law. (ATAP MS 793-3)
Job Quit disqualifications end if the person who incurred the Job Quit leaves the household, (ATAP MS 722-8B) or the time period of the disqualification has been completed. (ATAP MS 722-5)
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