HomeMy WebLinkAbout972133.tiffJAN -G1 93 04:37 FROM:
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Colorado Department of Human Services
1575 Sherman Street
Denver, CO 80203
Fax Cover Sheet
DATE: September 2, 1997 TIME: 11:27 AM
H
TO: George Baxter PHONE: (970) 356-4000
Weld County FAX: (970) 352-0242
FROM: Maynard Chapman PHONE: (303) 866-2054
Dan Daly (303) 866-5821
FAX: (303) 866-5098
E -Mail: maynard.chapman®state.co.us
dan.daly@state.co.us
RE: Final Waiver Process Guidelines
CC: County Directors, Chairs of County Commissioners, Waiver Advisory Committee
members, CCI (Laura Beam)
Number of pages including cover sheet: 7
Message
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Attached are the final waiver process guidelines that replace the draft guidelines distributed two weeks
ago. They are being faxed to you immediately, so that you will have as much time as possible to submit
applications prior to October L An agency letter is being prepared and will follow shortly.
If you have any questions, please contact Maynard Chapman or Dan Daly at the above numbers.
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STATEMENT OF PURPOSE:
The waiver application processes and criteria that follow are based upon recommendations of the
Waiver Advisory Committee convened by the Governor's Office and the Colorado Department of
Human Services. Its purpose is to establish a reasonable procedure for preparing and evaluating
waiver applications as directed by SB 97-120. The waiver process and criteria are meant to
ensure that applications propose workable alternatives to existing policy with outcomes that can
be measured for a limited period of time to determine their value and effectiveness in moving
participants to self-sufficiency.
A. Waiver Proposal Development and Notice
Counties should assure that a waiver is needed and/or appropriate prior to development of and
application for a waiver. The proposed waiver should meet the waiver criteria that have been
established by the Governor and the State Department; should not be specifically disallowed
by provisions of SB 97-120; and should be designed to improve methods of achieving
participants' self-sufficiency, meeting work participation rates and performance goals, or
reducing dependency. This should be achieved through consultation with the State
Department and the Governor's office prior to the October I deadline for submission of
waiver applications. If a waiver is determined by the county to be appropriate, the county
may submit the waiver application to the State Department and the Governor's Office by
October I.
As a part of the waiver process, the county must provide, at a minimum, opportunity for
public input at County Commissioner meetings or department meetings in accordance with the
noticing requirements defined by State statute (24-6-402), including the maintenance and
mailing of notices of such meetings to persons on a "sunshine list." A rccord of all public
comments shall be submitted as part of the waiver application.
B. Application
Once a waiver proposal has been determined by the county to be appropriate, and opportunity
for public input has been solicited, the county may apply for the waiver using the application
form (Attachment A), Applications for waivers must be submitted to both the State
Department and the Governor's Office by October 1.
The county must provide notice of its application to all adjacent counties, and may provide
notice of its application for a waiver to any other county in the state. The county also shall
provide the welfare oversight committee of the legislature with a copy of the proposal.
The State Department of Human Services will provide notification of receipt of a waiver
application within 7 working days to any person or organization requesting such notice.
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C. Advisory Group
An Advisory Group, including representatives of the Governor's Office, the State Department
of Human Services, participants, counties and advocates shall make recommendations to the
Governor and the State Department concerning waivers.
D. Decision -Making Process
Upon receipt of a waiver application, the State Department will provide a copy to all advisory
group members. The Governor's Office or the State Department or the advisory group may
request a site visit or interview with the county to clarify the proposal. If a site visit and/or
other information gathering process results in substantive modifications to the proposal, the
State Department and/or Governor's Office may request additional public comments. For all
waiver applications, a decision by the Governor and the State Department to grant or deny a
waiver shall be made by December 1.
E. Amending Performance Contract
Once a waiver is granted to a county, that county must integrate the provisions of the waiver
into their annual performance plan with the State Department. This would be done as an
amendment to their plan. Written policies that will be used to implement the waiver would be
included in the amendment to the plan.
F. Reconsideration of Waiver Denial
If a waiver request is denied, the county may request reconsideration. The request should be
filed with the State Department within 7 working days after notification of denial.
G. Complaints Concerning Approved Waivers
Although the waiver policy would not be subject to appeal, complaints will be important in
determining if a waiver should be revoked. SB 97-120 clearly states that the Governor and
the State Department can revoke a waiver if it is shown to have an adverse affect. Complaints
may be filed by a client, group of clients, community group, another county or group of
counties. The complaint should show the adverse impact of the waiver on a client, the
community and/or another county. Complaints should be filed with the State Department and
the waiver county.
The county shall be given an opportunity first to resolve the complaint through local dispute
resolution procedures.
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H. Duration of Waiver
Waivers can be granted for periods up to three years in duration at the request of the county,
based upon the judgment of the State Department and the Governor's Office and the
recommendation of the Advisory Group.
I. Termination of Waiver
If the Governor believes that a county's implementation of the Works program pursuant to a
waiver that has been granted fails to satisfy the requirements of Federal law or is inconsistent
with the purposes of the Works Program, the Governor may revoke the waiver. This could be
based upon, but not limited to, lack of compliance with the performance contract, violations
of law, or accumulated public complaints illustrating the adverse impacts. The State
Department shall solicit public comments prior to revocation of a waiver.
If a waiver is revoked by the Governor, the county shall resume implementation of the Works
program pursuant to the provisions of Part 7 of SB 97-120 and State rules promulgated
pursuant to Part 7 of SB 97-120.
A county may request that its own waiver be terminated. In such cases, the county shall
solicit public comment about the proposed waiver termination. A final decision to terminate
the waiver shall be made by the Governor.
S. Evaluation of Waiver
An evaluation plan must be provided as part of the waiver application. The plan must, at a
minimum, provide for a process analysis; an impact analysis; and a cost/benefit analysis. It
must also include a description of the project's approach to data collection, and specify the
deliverables to be provided by the evaluator.
The scope of the evaluation design must he consistent with the projected impacts of the
waiver proposal. For example, a waiver application of short duration or limited impact might
be evaluated internally through existing administrative data. On the other hand, a waiver
request with potential significant or statewide impacts might require a rigorous evaluation
conducted by an independent evaluator.
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K. Definitions
Waiver
Time -limited approval of an application by a county to temporarily suspend any requirement
of Part 7, Article 2 of title 26 of Colorado Revised Statutes or the rules promulgated pursuant
to Part 7 in order to improve methods of achieving participants' self-sufficiency, meet work
participation rates and performance goals, or reduce dependency. Any statute or rules
governing statewide eligibility; the amount of the basic assistance grant; county maintenance
of effort; any requirement of Federal Law; and a participant's right to appeal cannot be
suspended.
Self -Sufficiency
A single or two -parent family's ability to maintain continuous and/or advancing employment
which meets the family's basic needs (including food, shelter, clothing, health care, and
transportation) on a daily and continuing basis without direct government cash assistance.
Work Participation Rates
Federal requirement specified in PL 104-193, Personal Responsibility and Work Opportunity
Act of 1996.
Performance Goals
Goals developed through a performance contract between the State Department and each
county in accordance with the provisions of SB 97-120.
Dependency
Reliance upon direct government cash assistance when alternatives exist that would meet a
family's basic needs on a daily and continuous basis or refusal to participate in steps that lead
to self-sufficiency.
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L. Criteria
1. The waiver application needs to show that the county is not able to accomplish what it wants
to do without a waiver. Identify the statute or rule.
2. The waiver must help move the participant to self-sufficiency, meet work participation rates
and performance goals or reduce dependency.
3. The waiver must demonstrate that the benefits to clients exceed any negative consequences;
provides for their fair and equitable treatment through clear policy and adequate staff training;
and is within waiver authority granted by SB 97-120.
4. The waiver must be a proposal designed to experiment with an innovative policy idea that can
be measured and evaluated.
5. The waiver must include an adequate evaluation plan, including a budget analysis and
projected long-term (up to three years) impacts.
6. The waiver must show that the benefits to consumers and the community exceed any negative
consequences, and is within waiver authority granted by SB 97-120.
7. The waiver must be consistent with State and Federal law.
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