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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:

3.6.2 Non-Compliance Sanction Policy

3.6.2.1 What is the Non-Compliance Sanction Policy?

The non-compliance sanction (NCS) policy ends WorkFirst cash assistance when adults refuse to do their part to actively prepare for and seek employment, or otherwise participate, for six months in a row. Dependent teens are not subject to the non-compliance sanction policy. (See 3.6.1.7 for additional details.)

The ultimate goal of the NCS policy is to re-engage WorkFirst families currently in sanction status and to encourage them to take full advantage of the opportunities offered by the program. Sanction is not a punishment, but instead it is a tool to promote personal accountability and responsibility.

The policy is designed to provide numerous opportunities for the parent(s) to re-engage in appropriate WorkFirst activities and address any to participation. For best results, staff should intervene early and take any opportunity to contact the people who are in non-compliance with their WorkFirst requirements. At three or four months of sanction (or at two months for previous NCS terminated persons back on sanction status ), you schedule a NCS case staffing to help persons get out of sanction and start moving towards self-sufficiency.

The information in this section should only be followed after a case has been placed in sanction status following the procedures in section 3.6.1-Sanctions and the person has been in sanction status for three months in a row. An NCS case review and case staffing is required before being able to refer a case to the SRP for possible case closure. Do not refer the case to the SRP for a decision until the person enters month 4 of sanction.

3.6.2.2 What is the “Pathway to Engagement” program?

The purpose of the “Pathway to Engagement” program is provide additional services that can help families in long-term sanction and families who have lost their cash grants due to sanction prepare for life after WorkFirst and facilitate the family's access to community resources. This program is voluntary and also provides additional services to assist parents to meet with their WorkFirst Program Specialist (WFPS) or WorkFirst Social Worker (WFSW) in order to begin re-engaging in WorkFirst activities.

The Pathway to Engagement program consists of two phases:

The WFPS makes the referral to the Pathway to Engagement program during the NCS case staffing if the parent is still refusing to participate in WorkFirst activities and faces termination due to a non-compliance sanction.

3.6.2.3 What are the contracted “Pathway to Engagement” services?

When a parent in month 4 thorough 6 of sanction is referred for services, the contractor will conduct an in-person interview, preferably in the family's home, to assist in developing a TANF Exit Plan. This plan must include a written strategy on how the family will meet their basic needs after TANF benefits are terminated to promote family stability and child safety. Additionally, the plan must include referrals and linkages to appropriate and available community resources as identified by the WFPS/WFSW, assessment, or other evaluations. The plan must address the following areas:

A copy of the plan shall be kept in the contractor's client file and a summary provided in eJAS note type “Sanction”. The contractor will also send an eJAS e-message to the referring WFPS/WFSW notifying them of the exit plan and any family circumstances or urgent health or safety issues identified by the contractor.

For parents who have completed an Exit Plan or who no longer want to pursue an Exit Plan and, are willing to re-engage in WorkFirst activities, the contractor may develop a Re-Connection Plan. The Re-Connection Plan will determine how the contractor will assist the client to meet with their WFPS/WFSW in order to begin re-engaging in WorkFirst activities. A copy of this plan will be kept in the contractor's client file and a summary of the plan must be documented in eJAS note type “Sanction”. The contractor will also send an eJAS e-message to the referring WFPS/WFSW notifying them of the Re-Connection Plan.

If a parent has been terminated from WorkFirst cash assistance as a result of a non-compliance sanction, the contractor will:

For parents willing to re-engage, the contractor will assist the parent(s) with the re-application for TANF benefits. After benefits have been approved, the contractor will develop a Re-Connection Plan to determine how the contractor will assist the client in meeting with their case manager in order to begin re-engaging in WorkFirst activities.

3.6.2.4 NCS Case Review

The case review is the first step of the NCS process.

The purpose of the review is to make sure that all of the steps to place the person in sanction as described in section 3.6.1 - Sanctions were followed and correctly documented.

WFPS or WFSW should take this opportunity to review any possible evidence that may have been received or reported on a case since the initial sanction was imposed, and which could indicate that the person may be unable to participate or have good cause. If such evidence is found, the case manager should attempt to contact the person to verify the new information and encourage the person to develop a new IRP. If good cause is found on a case, the sanction should be removed the first of the following month after good cause has been established. Remember to document this in eJAS case notes.

3.6.2.5 NCS Case Staffing

The NCS Case Staffing is the second step in the NCS process. The WFPS or WFSW schedules and invites the sanctioned person to participate in the NCS case staffing held during month four of sanction (or month two if the person has been previously terminated by the NCS process). We must invite at least two professionals such as social workers or persons from other agencies that have worked with the sanctioned individual. A minimum of two professionals are required to conduct an NCS Case Staffing and the WFPS counts as one professional. During the NCS Case Staffing Children's Administration must be invited if they are working with the family. Document that Children's Administration involvement was checked and if they were invited to the NCS Case Staffing.

Other appropriate persons to invite could include,

You must let the sanctioned individual know that they can invite anyone else they choose to attend their NCS case staffing.

3.6.2.6 What happens at a NCS case staffing?

Use the NCS case staffing to get people re-engaged, describe the benefits of participation and make sure the person knows what they did not do and how to cure their sanction. Explain the consequences for continued refusal to participate, as follows:

If the individual does not attend the NCS case staffing:

3.6.2.7 Case Staffing Outcomes

After the NCS case staffing, send the case staffing result letter explaining:

For Example:

If we find the individual may be unable to participate in his or her assigned activities, the case staffing could result in:

If the person reports a new barrier at the NCS case staffing (or home visit if the person did not show up for the NCS case staffing), it is critical to give/send the person a letter requesting documentation or verification of the barrier. Do not send a recommendation to close to the case to the SRP until a decision has been made on the verification provided by the sanctioned person.

If we decide that the person is still refusing to participate without a good reason:

If the person failed to attend the NCS case staffing, a home visit attempt is required. The intent is to give the person one last opportunity to conduct the NCS case staffing and to re-engage before a recommendation to close the case is sent to the SRP.

The information from the NCS case staffing and the home visit should be documented in the appropriate section of the NCS review criteria.

3.6.2.8 “Pathway to Engagement” Policy – Step-by-Step Guide

During the NCS case staffing if the sanctioned parent is still refusing to participate without a good reason and is facing termination, the WFPS/WFSW will make a referral to the “Pathway to Engagement” program. The WFPS/WFSW will:

  1. Enter component code SA or SN with an end date that coincides with 3 months post non-compliance sanction termination.
  2. Enter the “Pathway to Engagement” contractor code.
  3. Complete the eJAS electronic referral using the canned text provided in Resources of this section.
  4. Document the referral with all other activities, including the review of the case records, under the “Sanction” note type.
  5. Notify the parent of the referral to the “Pathway to Engagement” program in the case staffing results letter using the canned text provided in Resources subsection of this section.

Once the contractor receives the referral, they will:

  1. Conduct an in-person interview, preferably in the family's home, to assist in developing a TANF Exit Plan, including referrals and linkages to appropriate and available community resources.
  2. Summarize the Exit Plan in eJAS note type “Sanction”.
  3. Send an e-message to the referring worker to notify them of the Exit Plan.

If during the preparation of the TANF Exit Plan, parents who have completed an exit plan or no longer want to pursue an exit plan but are willing to re-engage, the contractor will:

  1. Develop a Re-Connection Plan to determine how they will assist the parent to meet with their WFPS/WFSW in order to begin re-engaging in WorkFirst activities or other appropriate services.
  2. Summarize the Re-Connection Plan in eJAS note type “Sanction”.
  3. Send an e-message to the WFPS/WFSW to notify them of the Re-Connection Plan.
Once the Re-Connection is received, the WFPS/WFSW will review the plan and schedule an IRP development appointment, if not already scheduled. The appointment may include the contractor.
3.6.2.9 What questions are asked in the NCS Review Criteria?
3.6.2.10 What is the Sanction Review Panel (SRP)?

The SRP is a group of professionals who are independent of your local Community Services Office and review cases that CSOs recommended for case closure.

After receiving a recommendation from the CSO Administrator (CSOA) or whoever is acting as CSOA, the SRP decides whether to close a case after a thorough review, making sure the sanction was appropriate and that we have made attempts to re-engage the person in appropriate WorkFirst activities.

3.6.2.11 How do I withdraw cases referred to the SRP?

You can withdraw a case that has already been referred to the SRP only on a limited exception basis. The table below outlines what constitutes an appropriate reason for withdrawal:

What if circumstances change after I refer a case to the SLRP?
Cases that may be removed from SLRP Cases that cannot be removed from SLRP

Parent cured the sanction

Sanction lifted (e.g., unaddressed barriers discovered; parent now exempt from WorkFirst activities)

Cases referred too early (in Month 1, 2, or 3 of sanction)

Closed cases

Cases with procedural errors (e.g., 10-day notices, no Good Cause determination)

If a referred case meets one of the above criteria for removing a case from the SLRP, you may request that the case be removed. To request the removal of a case:

3.6.2.12 When do I refer cases to the SRP that are due to close for other reasons?

A sanctioned parent may request termination or the case may be closed for other reasons at any time during the non-compliance sanction process. Staff may need to follow through with a referral to the State Level Review Panel even when a sanctioned parent's case is closed.

Refer all cases to the State Level Review Panel in Month 4 or more of sanction that have had a non-compliance sanction case staffing, even if the case is due to close for another reason. The resulting State Level Review Panel decision will not be applied unless and until the parent reapplies within 6 months and has refused to participate for 6 months.

If the NCS process is ended due to case closure, and the sanctioned person reapplies for WorkFirst cash assistance, the case will be reopened in sanction status with the appropriate month count. Enclose a copy of the Non-Compliance Sanction Review letter (i.e., the SRP decision letter) with the award letter when you reopen the case. Add information to the award letter to let the parent know when the case is scheduled to terminate if the parent does not participate as required for four weeks in a row. The CSO will need to continue to attempt to re-engage the person.

Example:

October is month 4 of sanction, the parent has completed a non-compliance sanction case staffing, and the case closes for another reason effective 11/1. The case is sent to the Sanction Review Panel and the recommendation to terminate the case is upheld.

The person reapplies and is approved effective December 1. The case is reopened in Month 5 of sanction. Send a copy of the Non-Compliance Sanction Review letter and add to the award letter that the case is scheduled to terminate effective 2/1 unless the person participates as required for 4 weeks in a row.

3.6.2.13 How do I monitor cases referred to the SRP in eJAS?

When the CSOA submits the case to the SRP, the "Clients in Sanction" report will show the "Date Referred to the Sanction Review Panel".

CSO staff is responsible for monitoring the Clients in Sanction report which is accessed from the Caseload Management Report.  The report will be updated with the SRP decision of either approved or denied.  When the decision is first made, it is bolded until the worker reviews the decision from the Clients in Sanction report. 

3.6.2.14 What if a Sanction Review Panel decides to close a case?

The WFPS or WFSW will view the decision in the "Clients in Sanction" Report. The SRP sends a decision letter (which is not an official adverse action notice) directly to the sanctioned family.

The letter informs the person of:

The SRP will also describe in the Sanction Review Panel Decision section in the NCS Review Criteria, the reason they approved case closure.

The WFPS or Financial Services Specialist closes the WorkFirst cash assistance by:

Staff must also make sure that the family receives other types of public assistance benefits they may qualify for, like Basic Food or Medicaid. Encourage persons who file a fair hearing and requests continued benefits to re-apply and meet participation requirements in case they lose the hearing.

3.6.2.15 What if a sanction lasts longer than six months?

If a sanction goes beyond 6 months, input the appropriate "delay reason" code on the ACES WORK screen. For example:

3.6.2.16 What if a Sanction Review Panel does not close the case?

The SRP will detail the following in the Non-Compliance sanction (NCS) review decision summary as follows:

The SRP decision is recorded on the "Clients in Sanction" report in eJAS, which is accessed from a link on the Caseload Management Report. CSO staff is responsible for monitoring the report. New decisions will be in BOLD type.

CSO Staff Actions

Invalid Sanctions - (Initial)

NCS Process Errors

The SRP may send the case back because the person should never have been sanctioned or a sanction is invalid.

The SRP may send the case back for correction when the NCS process was not followed. The sanction itself is still valid, but we cannot close the case unless the error is fixed.

Examples include when the sanctioned person:

  • Did not know what their IRP required
  • Was sanctioned for an activity not in her or his IRP
  • Was not receiving mail at a time we sent her or him the IRP
  • Was not given adequate or timely notice for the good cause appointment/sanction case staffing.
  • A sanction case staffing was not conducted or was done incorrectly (like one staff person did the staffing and made the sanction decision)
  • Had unaddressed barriers (e.g. NSA plan not followed, Family Violence, LEP, Mental/Medical Heath, Substance Abuse)
  • Had good cause not to participate.
  • Reported a barrier to participation which was reported prior to the initial sanction and which was not followed up upon by the department.

Examples include:

  • NCS Case staffing was not conducted or not done correctly.
  • Person was not given adequate or timely notice (e.g. 10-day notice case staffing appointment,).
  • Person was involved with Children's Administration and we did not invite CA to the NCS case staffing
  • The Mandatory Home visit for not participating in the NCS case staffing was not attempted
  • Child Safety Review was not given to a person attending the NCS case staffing or the person did not attend the NSC case staffing and was not sent the Child Safety Review information
3.6.2.17 Under what conditions can we request a reconsideration of a denial decision by the State-Level Review Panel (SLRP)?

Effective December 21, 2007, a CSO can submit a request for reconsideration of an NCS termination denial by the SLRP under certain conditions outlined below:

All requests for Reconsideration must be documented under the Sanction note type in eJAS with:

3.6.2.18 How do I submit a case for reconsideration?

The Reconsideration request is a manual submission process:

  1. The CSO Administrator or designee will submit the case to the Regional Office using the State-Level Review Panel Denial Reconsideration form. The CSO will indicate on the form the basis for the Reconsideration and document the request under the Sanction note type in eJAS. Staff will not need to complete a new NCS Review tool in eJAS.
  2. The Regional Office will review the Reconsideration form. Regions will determine locally whether the case is appropriate for Reconsideration. If determined appropriate for Reconsideration, the Regional Office will submit the Reconsideration request to CSD Headquarters via e-mail at DEAPncsrecon@dshs.wa.gov. The Region's approval and submission to CSD, Community Services Headquarters must be documented under the Sanction note type in eJAS.
  3. CSD Headquarters will review the Reconsideration request. If the request for a Reconsideration is not supported by CSD Headquarters, a notification will be sent to the Regional Administrator, CSOA and Regional WorkFirst Coordinator with the reason the reconsideration was not supported.

    All decisions will be documented under the Sanction note type in eJAS.

  4. If the request for Reconsideration is supported by CSD Headquarters, the case will be forwarded to the SLRP for Reconsideration. CSD Headquarters will send the Reconsideration decision to the Regional Administrator, CSO Administrator and Regional WorkFirst Coordinator.
  5. CSOs will image the decision document to the client's Electronic Case Record (ECR) and take the appropriate action on the case. CSO staff will enter appropriate eJAS narrative documentation to support these actions.
3.6.2.19 Non-Compliance Sanction Policy – Step-by-step guide

The WFPS or WFSW

  1. Identifies adults who have been in sanction status for at least three months in a row (or two months in a row if the person has been previously terminated by the SRP) using the Clients in Sanction report on the Caseload Management Report. Dependent teens are not subject to the non-compliance sanction policy. See 3.6.1.7 for how to process these cases.
  2. Does a pre-NCS case staffing case review to ensure all sanction steps have been followed and documented and whether sanction is still appropriate
  3. Mails the WorkFirst Non-Participation Appointment letter (085-01) with a scheduled NCS case staffing appointment 10 days prior to the scheduled appointment, adding the following text:

    4. "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. You can invite anyone you wish to come with you to this appointment"

    Remember to document that Children's Administration was contacted to determine their involvement with the parent and if they were invited to the NCS case staffing.

  4. Conducts the NCS case staffing during month 4 of sanction. At the NCS case staffing:
    1. Review why the person was placed in sanction
    2. Attempt to re-engage the person in WorkFirst activities
    3. Discuss, document and review current circumstances and identify any issues/barriers that are keeping the person from participating in WorkFirst. Follow-up on potential issues/barriers and consider modifying the IRP.
    4. Conduct a Child Safety Review to help the person plan for case closure, including:
      1. Discuss how the person plans to support their family once WorkFirst cash assistance is terminated for refusal to participate
      2. Explain the possible continuation of Medicaid and Basic Food assistance post-WorkFirst
      3. Provide a list of community resources (like WIC) that are available to help meet the family's need.
      4. Explain that they will be able to apply for CEAP at reapplication if the case is closed by the SRP.
    5. Make a referral to the "Pathway to Engagement" program and notify the parent of the referral in case staffing results letter using the canned text provided.

    If the person does not attend the NCS case staffing you must also

  5. Attempt a mandatory home visit per WAC 388-310-1600 9(d) to re-engage the person and identify any unresolved issues.
  6. Mail the person a list of community resources since you did not have a chance to give them this information at the case staffing. (This counts as a Child Safety Review).
  7. Make a referral to the "Pathway to Engagement" program and notify the parent of the referral in the case staffing results letter using the canned text provided.
  8. Document the issues discussed and results of the case staffing under the NCS case staffing event type. Explain why the department decided to recommend the case to the SRP for termination. 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 to recommend the case to the SRP for case termination.

      • Remember to send the person the Case Staffing Result Letter.

  9. If the person is able but unwilling to participate in WorkFirst activities, complete the NCS Review Criteria in eJAS and notify the CSOA or the person who is acting as the CSOA that the case needs their review (Automation note: The person who approved the Sanction Review Criteria cannot also approve the NCS Review Criteria).
  10. Upon approval by the CSOA or person acting as the CSO, the case is automatically referred to the SRP.
  11. The SRP will decide whether to close the case and send out a SRP Result letter (which is not the official adverse action letter) for cases that will be closed. A letter will not be sent to the person if the SRP finds the initial sanction was invalid or sends the case back to complete all steps of the NCS process.
  12. CSO staff are responsible to monitor the actions of the SRP on the Clients in Sanction Report on the CLMR and take appropriate action based on the SRP decision.
  13. Notify CSD immediately if a sanction is removed after a case is referred to the Sanction Review Panel so the panel does not take further action on the case.
  14. Refer cases to the Sanction Review Panel that have reached month 4 of sanction and the NCS case staffing has been done even if the case is due to close for another reason.

Resources

Related WorkFirst Handbook Sections
Forms & Other Resources

For more information about the WorkFirst HandBook, contact Olga Walker, WorkFirst Program Manager.