1014-4 PENALTY TYPES AND THEIR IMPACT
The following penalty types result in a 40% reduction of benefits initially. Any of these penalties are subject to progression. If the identified issued is not resolved by the 4th month the potential progression to 75% and the 8th month potential progression is up to 100%. See below in Section 10 for additional guidelines for Penalty Resolution or Progression.
Failure to develop and sign an FSSP
Failure to complete an activity on the FSSP
Failure to cooperate with Child Support Services
Minor Parents *
* Minor parents are not required to develop an FSSP. Their only requirement is to register for and attend school. Minor parents can’t be penalized except for failure to comply with CSSD or failure to attend school. See (ATAP Manual Section 770-3F) for attendance requirements.
1014-4 B. APPROPRIATE USE OF PENALTIES
Penalties are intended to enforce the expectation that families meet program requirements and to engage families in the planning and activities that will lead them to employment and self-sufficiency. A penalty is not imposed if a client has Good Cause or Exempted from the requirement. A financial penalty should be the final step in the process of promoting participation. It is only used when other efforts to engage the family have failed.
Failure to Develop an FSSP:
No one is exempt from the requirement to develop an FSSP. A client may have Good Cause for missing an individual appointment to develop an FSSP under any of the Good Cause categories. Whenever possible, the appointments should be scheduled with the client and considering the client’s other obligations and challenges. Before a penalty is considered the case manager needs to document (WSPM Section 1014.) attempts made to work with the client.
Families in the Families First Track may have their IFSSP developed around and supporting the other agencies involved in their lives. The plans of these agencies become a part of the IFSSP. Supporting the family with wrap around services allows them to minimize their barriers and prepares them in the future to become more self-sufficient. Working with the Family Support Team (FST) becomes a part of the IFSSP.
Failure to Participate
All clients are required to participate at the maximum level that they are able. Case managers will use Prudent Person Judgment (PPJ) when considering penalties. Clients who are able to engage fully and have their basic childcare, transportation and work readiness needs met should be assigned 40 hours a week of activities (WSPM Section 1008)
If the client has an identified complexity that limits their ability to participate full time, i.e. a partial medical exemption, the IFSSP will be developed based on what the client can do and hours of participation will be negotiated based on the client’s current circumstances.
It is the case manager’s responsibility to monitor and confirm the client’s participation in assigned activities. Activities must be verified (Work Verification Plan) in order to be documented on the CMS Work Activities screen
(1) If a client does not report hours, it is the case manager’s responsibility to follow-up with the organization to which the client was reporting for their activities, i.e. work, Work Experience site, course instructor, partner agency representative etc.
(2) A documented job search log is required work search documentation. The client is responsible for tracking their work search efforts. Case managers are responsible for an interactive debriefing session with the client to review the work search log and plan next steps. (WSPM Section 1011).
(3) The case manager may assist the client in recording their work search efforts as they conduct the debriefing.
(4) Coaching the client for success may result in better future outcomes.
(5) If the client does not provide a work search log and they do not attend a scheduled work search debriefing, the case manager may determine that the activity was not completed and request a work activity penalty.
(6) It is important that case managers differentiate between “Failure to complete an activity” and “failure to submit documentation.” If a case manager can verify that a client did not complete an activity and they did not have good cause, a penalty may be requested.
(7) If the case manager determines that the client did not participate in the activity and good cause cannot be identified, the penalty may be requested.
(8) If the client has an identified complexity that limits their ability to participate full time, i.e. a partial medical exemption, the IFSSP will be developed based on what the client can do and hours of participation will be negotiated based on the client’s current circumstances.
Example:
Jody has been diagnosed with degenerative disk disease. She
has provided a (TA-10) Medical Capacity form stating
that she can work or participate 5 hours a day. She has limitations
on lifting, carrying, and must change from a seated to standing position
as needed throughout the day. Some days she takes medications
that affect her sleep and balance.
Jody would like to work with pre-school aged children. A Work
Experience placement is being considered at Head Start to help Jody develop
the skills necessary and a reference for employment in the field. A
consistent Monday – Friday 8-1 schedule would not be ideal for Jody’s
situation. Her Work Experience Placement Agreement describes
a 25 hour a week commitment acknowledging that some days, Jody can participate
in more than 5 hours other days she may not be able to participate at
all. Her tasks are assigned with the same flexibility in mind;
some days she may spend the majority of her time in the classroom with
the children, other days she may provide supervision on the bus or she
may help in the kitchen.
If Jody had a week that she was particularly affected by her condition
and could not complete her hours, she could be given good cause. If
Jody did not attend or participate in her identified activities for a
reason other than described or covered under her Medical Capacity form,
a penalty would be considered. The Case Manager would weigh
all of the good cause options to determine if Jody’s situation warrants
a reduction in benefits.
Failure to Cooperate with CSSD (ATAP 717-4)
Clients are required to provide information and cooperation with the Child Support Services Division (CSSD) about the absent parent when applying for or receiving ATAP benefits. In some circumstances providing such information could be harmful to the reporting parent or child(ren). In those cases, the parent has the opportunity to describe their situation and be considered for Good Cause. Case managers will be prepared to provide support to a client who is attempting a Good Cause claim. That support may include helping to write or provide verification of their situation.
A client who does not report the information as required, and they know about an absent parent who does not have good cause, can be penalized.
Note:
Determination of good cause for failure to comply with CSSD
is ultimately determined by CSSD.
Incentive to Engage or Reengage
The most successful incentives to engage or reengage are the services and resources available to the participant through their case manager. The 40% benefit reduction is not intended to be used as a threat to keep clients engaged. While clients must be informed of the existence of penalties, they are more likely to maintain communication and participation if they have rapport with their case manager. Penalties should be used only as a last resort when considering opportunities to engage or reengage a client.
Engaging the FST to help the client with their IFSSP can be beneficial.
1014-4 C. WHEN GOOD CAUSE DOES NOT EXIST - REQUESTING A PENALTY OR DISQUALIFICATION
Effort to Engage
Case managers will document all attempts and method used to engage clients. Upon introduction, consider asking for the best way to reach the client and/or the best time of day to make contact. (WSPM Section 1006) for additional information.
Timing your penalty request
Penalties should be requested as close to the action or lack of action as possible. Case managers must balance this with their Good Cause exploration. Penalties must be requested through the caseworker or Functional Team to which the case is assigned as early in the month as possible. Case managers can identify which functional team to send their request by looking at the CMS Case Summary Screen. Contact information for each functional team can be found at: http://dpaweb.hss.state.ak.us/FIELD/PDF/DPA_Offices-Functional-Teams-Email-Fax.pdf .
Caseworker must have at least 10 days to process the request and provide the client with adverse action. If the appropriate timeline is not followed, the penalty will not be set for the following month.
Example:
The case manager has determines on September 6th that a client has failed
to participate in Job Club which was assigned on the client’s August 15th
FSSP. The case manager has documented all attempts and methods
of attempted contact to engage the client. The Case manager
has reviewed the case for Good Cause. The case manager follows
the guidance in the (Admin Manual section 109-10)
and the (Statewide Process Management Guide) to
request an appropriate penalty.
Documenting your request
Case managers document their request for penalties with all attempts to contact the client in CLNO.
Example CLNO:
Sept 6: CLNO Title: Request for WA Penalty the Job Club activities; Resume
workshop, Interview workshop, or On-line Applications workshop as assigned
on Johnny’s 8.15 IFSSP. Case manager has explored possible
good cause and has found none. CM has made the following attempts
to re-engage. See CLNO on 8.17; 8.22; 8.23; 8.24 & 8/28.
August 28th: dropped by Johnny’s residence while in the neighborhood. No
one was home. CM left a note on Johnny’s door to please call.
CM set Alert, CANO and emailed Report of Change Team regarding penalty
request.
August 24th: appointment letter – asking Johnny to call for an appointment
to discuss alternative activities or supports needed to attend Job Club
August 23rd: message that Johnny was missed in the workshop. Please
call to discuss
August 22nd: reminder message about 8.23 workshop
August 17th: call re: non-attendance – Johnny said he forgot and he’ll
be there next week.
LINK to (Admin Manual 109-10)
The Administrative Procedures Manual provides guidance about the case managers’ use of CANO.
The Statewide Process Management Guide provides information about the steps and timeframe expectations for caseworkers to process penalty requests.
1014-4 D. REQUESTING A PENALTY
Communication with caseworker
Example CANO:
Sept 6
CANO Title: request for WA Penalty
Johnny B. Good has not participated in the work activities assigned on
8.15. Please set WA penalty to begin on 10.1.
To resolve this penalty, Johnny can engage in the assigned activities or
meet with his case manager to establish a new plan.
Johnny can also provide good cause if there are reasons outside his control
that impacted his ability to participate in these activities.
Example Case Alert:
Sept 6, 2012
Alert: set WA penalty 10.1 see CANO 9.6
Applicant vs. Recipient (ATAP MS 723-2)
There are minor differences in the application of a penalty for an on-going case versus a new application. The new DPA Lean Process with eligibility makes it unlikely that many cases will be pended through the time period that the client is scheduled to begin activities.
If an applicant does not engage in activities the penalty is applied effective the date of application date or date eligibility begins.
If a recipient does not engage in activities, the penalty is set for the first day of the month following adverse action notification.
Case managers should be aware of this difference and consider the date(s) of activities when requesting a penalty for an applicant (a client whose application is pended and does not have an open case yet).
1014-4 E. ENDING A PENALTY (ATAP 723-3)
(1) The demonstration of their commitment may require a reasonable period of time.
(i) Five days for the first failure to comply
(ii) Ten days for the second failure to comply and
(iii) 30 days for the third or subsequent failure to comply.
Compliance Requirements
CSSD Compliance [CS] – Client must take action to cooperate with CSSD’s request.
Family Self-Sufficiency Plan Development [SS] – Client must meet with their case manager to develop and sign their FSSP
Work Activity [WA] – The client can participate in the missed activity or develop a new plan with an alternate activity. (ATAP Manual Section 723-3 A.(2)) provides suggested compliance timeframes if a client has a history of non-compliance.
Note:
Job Quit or Refusal Disqualification [JQ] and Fraud Disqualification [IP]
cannot be ended through compliance once the disqualification has begun.
Becomes Exempt from Work Activities
Work Activity Exemption reasons are listed in (ATAP Manual Section 730-2) 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 can be successful with the plan. If an exemption criterion exists a client cannot receive a WA penalty.
If a penalty is set, then the family is determined to meet exemption criteria, the penalty must be ended back to the date that the exemption began.
In cases where a single parent has a child under age 1, if the client has not taken their “baby exemption” but has not met work activity requirements, the baby exemption [BA] will be applied to the case instead of the penalty.
Determined to Have Good Cause
(ATAP Manual Section 723-1) provides a list of Good Cause criteria.
If a client meets one or more of these criteria, a penalty should not be set. If the Good Cause criteria is identified after the penalty has been set, the penalty must be ended back to the date that the exemption began. See section 1. Above.
Date of Intent
The date of intent is the date the client expresses their intent to comply with the FSSP activities. This is a critical date for case managers to note. Even if the appointment is scheduled for two weeks away, the client’s date of intent is the day they make contact.
Example CLNO for SS
Date of Intent:
CLNO title: Intent to Comply
Marvin called on September 4th because he wants to develop a new IFSSP. He
did not have good cause for missing his last IFSSP appointment. The
first available appointment is September 19th at 2:30. Marvin
will call on September 18th to confirm. The new IFSSP will
resolve the penalty with an end date of September 4th.
Example CLNO for WA Date of Intent:
CLNO title: Intent to Comply
Renee is currently under a WA penalty for not attending her CWE site hours
beginning August 14th. We met to develop a new FSSP. The
CWE site is willing to give her an alternate start date of September 17th. This
is Renee’s first WA penalty. This penalty will be ended with
(today’s date) as her date of intent when she completes 5 days of scheduled
hours at her CWE site.
Deleting or Ending a Penalty
DELETED – the action is requested by the case manager to the caseworker 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 application of the penalty.
ENDED – the action taken when the client complies with the action necessary to resolve the penalty after the benefit has been reduced or good cause or exemption begin after the penalty was applied. -A supplement may be issued for partial months of assistance. These penalties will stay in the ESI Work Sanction (WOSA) screen history. Please note difference between when good cause occurred and when good cause was identified.
Restoring Benefits (ATAP Manual Section 723-3 B)
Delete
By requesting penalties as early in the month as possible, case managers will give the client the opportunity to resolve the issue before a benefit is issued at the reduced rate.
Example CLNO - Delete Penalty:
August 16 CLNO title: Lift Penalty
Steven was scheduled to attend the Job Center Resume workshop on July 27th. He
did not attend and did not present good cause. A WA penalty
was requested August 3rd when good cause was not identified. Penalty
was scheduled begin on September 1st.
Steven responded to the penalty notice and attended the resume workshop
on August 15th. He also submitted verification of his work
search.
Example CANO – Delete Penalty:
August 16 CANO title: Lift Penalty
Steven resolved WA penalty by attending the resume workshop prior to the
date the penalty was scheduled to be imposed. Lift penalty.
Example Alert:
August 16 Delete WA penalty.
Work activity has been completed
Date of intent (ATAP Manual Section 723-3B)
Once the date of intent has been established, the client will begin the activity that will resolve the penalty within 5, 10 or 30 days, base on the number of prior penalty actions, as determined by the case manager. If the activity is interrupted without good cause, that date of intent will be adjusted to the date the client agreed to renew activities, once compliance was determined.
NOTE: The date of intent and date of penalty end are not the same thing. If the client says they will comply on 10/15 by signing their FSSP on 10/18 and does so on 10/18 the date of intent is 10/15. The date of penalty end in 10/14. If the client fails to show on 10/18 without good cause and shows up on 10/19, the date of intent is 10/19. But if they call on 10/20 to rearrange to 10/21 and sign on 10/21, the date of intent in 10/20 and the penalty end is 10/19.
Ending the Penalty on Date of Intent - Activity done within 10 days of Intent
Example CLNO - End Penalty:
September 4 CLNO title: Work Activity Penalty Ended effective
8.22
Amanda called CM on 8.22 to request a meeting to update her FSSP so her
penalty could be ended. We met on 8.24 to develop her new FSSP. Amanda
was scheduled to attend 9 credits (9 classroom hours + homework once confirmed
by curriculum) at Students’ Choice College (an alternate activity from
her prior FSSP) and a 20 hour a week CWE at Head Start that will support
her goal of Early Childhood Educator. Both activities started
on 8.27. Amanda has attended all scheduled hours for five consecutive
days. CM requests that the WA penalty be Ended and
the September benefit restored. Copy to CANO, case Alert set.
Example CANO – End Penalty:
CANO title: Work Activity ended effective 8.22
Amanda called CM on 8.22 to request a meeting to update her FSSP so her
penalty could be ended. Beginning 8.27 Amanda attended all
scheduled hours for five consecutive days. CM requests that
the WA penalty be ended and the September benefit restored. Case
Alert set and email sent.
Example Alert:
Alert Case Alert: 9.4
End WA effective 8.22. Issue Sept supplement
Ending the Penalty on Date of Compliance – Activity Not Completed Within 10 Days of Intent
Example CLNO – End Penalty:
CLNO title: Work Activity ended effective 9.13.2012
Amanda called CM on 8.22 to request a meeting to update her FSSP so her
penalty could be ended. We met on 8.24 to develop her new FSSP. Amanda
was scheduled to attend 9 credits (9 classroom hours + homework once confirmed
by curriculum) at Students’ Choice College (an alternate activity from
her prior FSSP) and a 20 hour a week CWE at Head Start that will support
her goal of Early Childhood Educator. Both activities started
on 8.27. Amanda has attended her classes, but did not report
to her CWE until 9.13. CM requests that the WA penalty be ended
and the September benefit restored effective 9.13, the date of full engagement. Copy
to CANO, case Alert set.
Example CANO – End Penalty:
CANO title: Work Activity Penalty End effective 9.13.2012
Amanda called CM on 8.22 to request a meeting to update her FSSP so her
penalty could be ended Amanda has attended her classes, but did not report
to her CWE until 9.13. CM requests that the WA penalty be ended
and the September benefit restored effective 9.13, the date of full engagement. Copy
to CANO, case Alert set.
Example Alert:
Case Alert: 9.13 End WA penalty effective 9.13.
Issue supplement if due
Household changes (ATAP Manual Section 723-6 D. and ATAP MS 793-5 B)
Penalties and Disqualifications follow the person. Household composition changes may impact the benefit amount if a penalty has been applied to the person.
Household Member Moves In
(1) If a single parent is joined by a second parent (with at least one biological child in common) they become a 2P household. The parent is considered a recipient (not an applicant) for the purposes of the penalty.
(2) If the parent who has joined the case was has an IPV, the benefit reduction will be reassessed to the case the month that parent is added to the case (the first full month after they join the family).
(3) If the parent who has joined the case was in penalty for non-compliance at the time their previous case closed, the penalty will continue unless the parent comes into compliance with the requirement. If the parent is in compliance prior to the month they are added to the case (the month after they join the family) there will be no penalty applied. If they are not in compliance at the time they are added to the case the penalty will begin in that month and remain until they are in compliance.
Household Member Moves Out
If a two-parent family benefit is reduced due to one household member’s incomplete FSSP or work activity assignment or IPV, when that person leaves the household, the benefit is adjusted and the penalty or disqualification is no longer applied effective the month they are no longer on the case (the month after that individual leaves).
Co-occurring penalties (ATAP Manual Section 793-4 D)
(1) A family can have multiple penalties at the same time. The penalty amount is not cumulative; even if the household has a WA, SS and CS penalty their benefit is reduced only by 40%. If a client has a WA penalty for not following through on an activity, he or she could have an SS penalty applied to their case if the FSSP update appointment is missed. They can end both penalties by developing a new FSSP (with the same or alternate activities) and engaging in the activities on that plan.
(2) In a two-parent family, each parent can have one or more penalties. The penalty amount is not cumulative; even if both parents have penalties their benefit is reduced only by 40%. The benefit is not restored until all of the penalties are resolved.
(3) We often see two-parent households in which one or the other parent is involved with case management. It is critical to engage both parents. If one parent fails to develop or sign an FSSP or does not complete an activity on their FSSP, the other parent cannot take action to resolve the penalty. If both parents on a two-parent case are penalized, both must take appropriate action to resolve the penalties. Though the penalties are not cumulative, the benefit will not be restored until both parents have engaged with their case manager.
Prior to requesting the progression of a penalty from 40% to 75%, or from 75% to 100%, the case manager must:
(1) Demonstrate their attempts to engage the client, and resolve the penalty, and
(2) Ensure that the health and safety of the children in the household will not be jeopardized if the penalty progresses.
(3) The focus of the appointment will be on clarification of program requirements, finding a solution that will resolve the penalty and assisting the client to come into compliance so their benefit can restored.
(4) When the case manager has determined the appropriate action on the case, documentation will be entered in a CANO to document the decision, and an alert will be set, to allow the caseworker to take action on the case.
Support Services while under penalty (WSPM Section 1009)
(1) If support services are necessary to assist the client to resolve a penalty they will be issued according to the determined need.
(2) If lack of support services is identified as a barrier to client ability to resolve the penalty by engaging in activities, it may result in overturning a penalty decision.
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