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).

Willful non-compliance is defined as an instance where an individual had the opportunity and capacity to participate and did not.

An exemption from RESET participation may apply as defined in Section 135.3 .

55 Pa. Code § 165.21

Good Cause is defined as a reason an individual was unable to comply that was not within the individual’s control. See Section 135.4 for detailed definitions and examples of good cause.

Step 1

Scheduling the Interview

W hen t he 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:

Where the compliance review will take place.

The date and time of the appointment.

The option to complete the review by telephone.

The county assistance office's telephone number.

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:

Mental health treatment.

Drug and Alcohol counseling.

Child Welfare Agency services.

Domestic Violence.

Homeless, including facing eviction or utility shutoff.

Disabled or caring for household member with a disability.

Language barriers.

Previous or current MPP involvement.

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:

Look at the degree of failure, and review past practice for a pattern.

Review the case record and narrative to ensure that barriers were discussed and accommodations were offered to the individual. If barriers were not discussed and accommodations were not offered, then good cause may exist for non-compliance.

Allow an individual to offer evidence of good cause or exemption to avoid sanction, even if the sanction process has begun and the County Assistance Office has made a preliminary determination that there was no good cause for non-cooperation.

Step 3

Results of the Compliance Review

1. If it is determined that good cause exists:

The CAO must notify the contractor in writing that a good cause determination has been made and that the client will be returning to the program. Written notification may include a secure e-mail message; a form developed by the CAO , or other written communication. The message MUST be received by the contractor prior to the client’s new report date.

Entry of a new ETP Project Enrollment referral will need to occur after the contractor has been notified in writing. This will be considered the same enrollment within the program year.

When the referral is made, update the AMR, send a copy to the contractor and narrate the steps taken.

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.

The individual will not be eligible for referral to a contracted program until the next program year or after the sanction has ended .

It is critical that the CAO enters a clear narrative supporting the good cause r eview and determination .

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:

Narrate all actions and reasons for the actions.

Update eCIS to reflect the sanction.

Sanction continues until individual has demonstrated and maintained compliance for at least one week and thereafter or established good cause or exemption.

Keep sanction information in the case record and not purge any of the information.

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:

The individual appeals.

The county was in error in sending the notice.

The individual establishes good cause or exemption.