Enforcing Compliance: Corrective Actions and Sanctions

1. Methods of AdministrationMOA Element 9 Corrective Actions and Sanctions

2. Agenda • Presentation: Learning Objectives • Presentation: Key Requirements for Corrective Actions & Sanctions • Activity: Identifying the Appropriate Corrective Action • Presentation: Documentation of Corrective Actions & Sanctions • Presentation: State’s Implementation of Requirements

3. Learning Objectives • Explain the requirements for Corrective Actions and Sanctions • Determine the appropriate corrective actions and sanctions when a violation has occurred • Identify documentation to demonstrate observance of proper procedures • Describe how the state guarantees that requirements will be met

4. Key Requirements for Corrective Actions and Sanctions • Establish procedures for effecting corrective actions and applying sanctions, if needed, to ensure that resolution of any noncompliance can be enforced • Maintain & submit documentation to show that corrective actions and prospective relief plans are being implemented and maintained • Impose sanctions for violations that are not voluntarily corrected

5. Key Requirement # 1:Effect Corrective Actions • Take corrective action when there is probable cause to believe a violation has occurred and violation has been identified as a result of: • Monitoring review • Discrimination complaint • Both

6. Term to Know: Violation • Failure to comply with WIOA regulations, ranging in seriousness: • Infraction • Technical violation EXAMPLES: Failure to include required language in an assurance or failure to include tag lines in a communication • Discrimination violation EXAMPLES: disparate impact, failure to provide reasonable accommodation 9-5

7. Key Requirement # 1:Effect Corrective Actions • Take corrective action that is appropriate to the violation that has occurred.

8. Term to Know: Make-Whole Relief • Bringing the person to the condition he or she would be in if the discrimination had not occurred. • Back pay • Front pay • Retroactive benefits • Training • Other service discriminatorily denied 9-7

9. Key Requirement # 2: Document Corrective Actions & Relief Plans • Take immediate corrective action; agree on plan if immediate corrective action is not possible: • Completely correct each violation • Establish minimum time frame to completely correct the violation • Institute follow-up monitoring procedures to ensure commitments to take corrective action and remedial action are being fulfilled • Provide written agreement or assurance to document corrective action taken or prospective relief planned

10. Term to Know: Prospective Relief • Curative and preventive steps voluntarily taken to ensure that a violation does not re-occur in the future 9-9

11. Corrective Action Plan:Failure to Include Tag Lines

12. Conciliation Agreements • A detailed written assurance negotiated when a more serious violation or deficiency cannot be corrected immediately. Agreement should: • Be in writing • Describe each violation • Specify corrective or remedial action • State time period to correct • Be sufficient in scope to avoid reoccurrence • Institute periodic reporting on the status • Institute enforcement procedures

13. Key Requirement # 3:Impose Sanctions • State must have procedures in place to impose sanctions when all attempts to provide assistance to effect voluntary correction of a violation have failed or when it is apparent that the recipient fails or refuses to correct the violation within the timeframe established.

14. Term to Know: Sanction • The judicial enforcement actions taken when corrective actions are not carried out to comply with WIOA regulations: • Suspension • Termination • Denial of funding 9-13

15. Sanction Procedures • List measures taken to achieve voluntary compliance • Explain that the severity of the noncompliance will determine the sanctions imposed • Provide listing of potential sanctions • Detail the notification process, including respondent rights, time frames, and hearing • Identify responsible individuals, with their roles and responsibilities

16. Review the “Non-Compliance, Corrective Action, and Sanction Guidelines” In your Participant Guide Pages 9-9 to 9-12 9-15

17. Activity: Identifyingthe Appropriate Corrective Action Purpose: • Determine which corrective action is appropriate to rectify a discriminatory practice Task: • Read each scenario • Decide what, if any, corrective actions are needed • Determine if a written assurance or conciliation agreement is more appropriate • Come to a group consensus for each case • Select a spokesperson Time: • 10 minutes

18. Supporting Documentation:Corrective Actions and Sanctions Regulations implementing Section 188 of the WIOA requires that the following documentation be available: • Copies of any policy memorandum or directives explaining corrective actions and sanctions • Copies of each instrument used to inform recipients of the state’s procedures regarding corrective actions and sanctions

19. State’s Implementation ofCorrective Actions and Sanctions • Policy communications and directives to LWSA’s instructing recipients on how to comply with the Corrective Actions and Sanctions requirements • State’s procedures for penalizing or censuring a non-complying recipient and a table of sanctions that may be applied • Additional MOA requirements imposed by the state to implement the requirements of Corrective Actions and Sanctions To be addressed by the state specialist:

20. Methods of AdministrationMOA Element 9 Corrective Actions and Sanctions