135.7 Non-compliance with RESET Requirements

When an individual who is mandatory for RESET is not meeting the requirements that are specified on the AMR the individual is considered to be in non-compliance.        

55 Pa. Code § 165.51(a)

Non-compliance has occurred when an individual who is required to participate in RESET:

The CAO will follow the compliance review process to see if the individual has good cause for not complying with participation requirements.

 

135.71 The Compliance Review Process

Sanction Desk Guide

A compliance review is held to determine whether the non-compliance was within the individual’s control (willful) or if an exemption or good cause exists (non-willful).            

55 Pa. Code § 165.21

Step 1

Scheduling the Interview

When the non-compliance becomes known to the CAO and the individual is participating in a CAO-directed activity the individual must be contacted within three (3) days to discuss the non-compliance.   Attempts to reach the individual by telephone must be narrated in the case record

The CAO has three (3) work days from the date the contractor terminates the referral in CWDS for non-compliance to contact the individual and discuss the reason for the non-compliance.  

If the CAO is able to reach the individual by telephone, the caseworker must conduct  a compliance review to determine whether or not the non-compliance was willful and without good cause.

If the CAO cannot reach the individual by telephone, the caseworker will send the Compliance Review Appointment Notice (PA 1706). The compliance review appointment must be scheduled within ten (10) work days of the date the non-compliance becomes known to the CAO.

The Compliance Review Appointment Notice must include the following information:

Before sending the Compliance Review Appointment Notice (PA 1706), the case file must be reviewed for domestic violence. When domestic violence has been disclosed and if an alternate address is being used, the CAO will send the Family Safety Notice (PA 1747), with the Compliance Review Appointment Notice.

If the individual responds to the Compliance Review Appointment Notice (PA 1706) by the 10th work day after the mailing date, the CAO will conduct an interview to discuss the reason for the non-compliance. The interview can be held in person or over the telephone.

Step 2

Reviewing the Case

The case file information, including all previous narratives, is reviewed along with the Client Information System (CIS), Commonwealth Workforce Development System (CWDS) and MAPPER in preparation for the compliance review. If information is located regarding the non-compliance, ensure that assistance was offered for any of the following circumstances:

NOTE:  If upon review of the record the caseworker discovers that the individual had one of the above circumstances and there is no narration that assistance was offered, the caseworker should discuss the circumstances with the individual at the compliance review to determine if the barrier is still an issue and offer assistance if needed. This discussion must be narrated.

When reviewing an individual’s situation to decide if there is good cause for non-compliance:

 

Step 3

Results of the Compliance Review

1. If it is determined that good cause exists:

NOTE:  If the individual did not comply with RESET requirements due to a verified exemption, no sanction is imposed. A new AMR will be developed to address the exemption and any other obstacle to compliance. The ETP code will be updated as required on eCIS to reflect the exemption.  

55 Pa. Code § 165.51(e)

 

2. If it is determined that no good cause exists and the non-compliance was willful, proceed with the next level sanction.  A PA 162A with the appropriate A.1, A.2, or A.3 attachment to the Advance Notice will be sent.  

If an individual does not attend or participate in the Compliance Review by telephone, the worker will complete the case review (Step 2). After reviewing the case, if it is determined that no good cause exists, proceed with the sanction process.

NOTE:  If domestic violence has been disclosed and the individual fails to attend the compliance review, no sanction occurs.

Step 4

Approving a Sanction

Proposed sanctions are reviewed by CAO management staff.  Based on the circumstances documented by the caseworker, the sanction will either be approved or denied.  If the proposed sanction is approved,  a PA162A with the appropriate A.1, A.2, A.3 or A.4 attachment to the Advance Notice will be sent notifying the individual of the sanction.  

CAOs must submit all proposed third level permanent sanctions to Headquarters through their Area Manager’s staff assistant for review. Headquarters will complete a review of the proposed sanction and a final decision will be sent to the Executive Director indicating how the CAO is to proceed.

When the proposed sanction is approved, a PA 162A with the appropriate A.1, A.2, A.3 or A.4 attachment to the Advance Notice will be sent notifying the individual of the sanction.                                                          

The caseworker will:

NOTE:  If the individual responds to the client notice prior to the effective date, then any new information provided must be considered before imposing the sanction unless:

 

 

135.72 Sanctions for Failure to Comply

Sanctions are appropriate when it has been determined that a mandatory participant is willfully non-compliant and good cause does not exist. A sanction is a change in eligibility status which results in a reduction of cash benefits received by the individual or family.    

55 Pa. Code § 165.61

If the sanction occurs within the first 24 months (less than 732 Act 35 days) of receipt of cash assistance, whether consecutive or interrupted, the sanction applies only to the willfully non-compliant individual.

55 Pa. Code § 165.61 (c) (1)

If the sanction occurs after 24 (equal to or greater than 732 Act 35 days) months of receipt of cash assistance, whether consecutive or interrupted, the sanction applies to the entire family.

55 Pa. Code § 165.61 (c) (2) 

ESA16542135 Sanctions and SPAL Overpayments (Linked February 25, 2013)

EPP-16563-135  Effect of Noncompliance for Fines and Costs on a Currently Sanctioned Client (Linked March 11, 2013)

The Sanction period duration shall be:

 

First Occurrence: A person is disqualified for a minimum of 30 days or until the individual states a willingness to participate in RESET or establishes an exemption or good cause, whichever is longer. See 135.74 Ending a Sanction and Regaining Eligibility.

55 Pa. Code § 165.61(b)(1)

62 P.S. 405.1

62 P.S. 432.3

Second Occurrence: A person is disqualified for a minimum of 60 days or until the individual states a willingness to participate in RESET or establishes an exemption or good cause, whichever is longer. See 135.74 Ending a Sanction and Regaining Eligibility.

55 Pa. Code § 165.61(b)(2)

Third Occurrence: A person or budget group is permanently disqualified.       

55 Pa. Code § 165.61(b)(3)

All third level (pre and post 24 month) sanction requests must be submitted to Headquarters via their Area Manager’s staff assistant for review after local management review and approval recommendation. Do not create ServiceNow tickets. Staff assistants should submit third sanction packets to the Bureau of Employment Programs (BEP) via email: RA-PWBEP.TANF@pa.gov

 

NOTE: When determining whether the period of the sanction is for the first, second or third occurrence, the CAO will disregard any sanction that began prior to the implementation of TANF in March, 1997.

 

A sanction does not affect Medicaid or SNAP benefits for cash assistance recipients, or Medicaid for a pregnant woman, or a child under age 21 in a household with a GA-related NMP sanctioned individual.

 

Sanction Modification:

Sanction negation or modification requests should also be submitted to Headquarters. Do not create ServiceNow tickets. Staff assistants should submit sanction packets to the Bureau of Employment Programs (BEP) via email:

RA-PWBEP.TANF@pa.gov

When a sanction requires a system modification to delete a previously imposed sanction entered in error for any reason, the CAO will submit the case record information and explanation for the proposed sanction modification to the Executive Director.  If, after reviewing the case, the Executive Director approves the modification, the information should be emailed to BEP for approval, with a cc: to the Area Manager.

BEP will complete a review of the case and forward any approved sanction modification to ServiceNow along with an explanation for the system modification or request to negate the sanction(s). The CAO is notified about the system update via email from BEP resource account.

Note: CAOs are able to negate a sanction that was entered in error prior to the actual start of the sanction, by entering the end date one day prior to the begin date to negate the sanction.

135.721 Reduction in Employment Hours

If an employed individual voluntarily and without good cause reduces earnings by not working an average of at least 20 hours, rather than sanctioning the individual or family, the cash grant is reduced by the dollar value of the income that would have been earned if the individual had fulfilled the requirement. This reduction will continue until:

135.73 The Sanction Notice

If a sanction is approved, the CAO will advise the individual of a proposed sanction or grant reduction by sending a manual PA 162A with the appropriate attachments (A.1.1, A.2.1, A.3.1, A.1.2, A.2.2, and A.3.2. See table below).          

55 Pa. Code § 165.71(a)

The manual PA 162A and attachments will identify:

 

 

Sanctions

Codes

Sanction Days

Attachment Needed

Pre-24 Months (less than 732 Act 35 days)

 

 

 

 

1st Sanction – Individual

DS 21

30 Days Minimum

Attachment A.1.1

2nd Sanction – Individual

DS 22

60 Days Minimum

Attachment A.2.1

3rd Sanction – Individual

DS 23

Permanent

Attachment A.3.1

Post 24 Months (equal to or greater than 732 Act 35 days)

 

 

 

 

1st Sanction – Full Family

DS 27

30 Days Minimum

Attachment A.1.2

2nd Sanction – Full Family

DS 28

60 Days Minimum

Attachment A.2.2

3rd Sanction – Full Family

DS 29

Permanent

Attachment A.3.2

 

 

135.74 Ending a Sanction and Regaining Eligibility

The CAO must send a PA 1712 to inform the client 15 calendar days prior to their minimum durational sanction period that they may come back to cash if they have a willingness to participate, are currently participating, or if they have a good cause or exemption.

55 Pa. Code § 165.71(b)

If the client contacts the CAO, the caseworker will determine if a sanction may be ended after the minimum durational sanction is served and the non-compliant individual either:

 


The CAO must narrate why the sanction was lifted and scan all documentation into Imaging.

Once the individual has established a willingness to comply after the minimum duration period, the CAO will complete a job readiness assessment (See OPS190101), complete and sign an Agreement of Mutual Responsibility (AMR) (See CAH 107) with the client and make a new referral to the appropriate program based on the client’s goals and barriers (See OPS190101). For every barrier the client has, an appropriate plan to address the barrier should be narrated and indicated on the AMR. A job readiness assessment and AMR update must be completed via the telephone or in person, depending on the needs of the client. An updated AMR can be sent to the client for signature and initials via mail or to the contracted program.  

A face to face appointment is not required to complete an AMR. The CAO may complete the job readiness assessment via the telephone, complete the AMR with the client, and send the updated AMR to the client for their initials and signature.

NOTE: If the client indicates a willingness to participate in work or work-related requirements and states they will come to the CAO to complete the AMR, the CAO must not close cash for a failure to come to an interview (047). The case and the sanction will remain open.

The sanction end date will be the date the CAO has a completed, signed AMR for the client with the client agreeing to accept a referral to a contracted program or verifying they have an exemption or being granted good cause. Ending the sanction will not affect the cash grant until the first regular payment date, therefore if the individual regains eligibility between payment dates, a one-time issuance (OTI) is completed to ensure the individual receives the correct benefit amounts.

NOTE: SPALs may be issued once the sanction is ended, the individual is referred to, or participating in an allowable activity or program, and need is verified. See Cash Assistance Handbook 135.6.

135.741 Reserved

135.742 Restoring Benefits

Individuals must fulfill the minimum durational sanction. Cash assistance must be reinstated immediately when one of the following happens:

 

Revised January 10, 2020, replacing November 26, 2019