1. Methods of Administration MOA Element 9 Corrective Actions and Sanctions

2. 9-1 Agenda Presentation: Presentation:Learning Objectives Presentation: Presentation:Key Requirements for Corrective Actions & Sanctions Activity: Activity: Identifying the Appropriate Corrective Action Presentation: Presentation: Documentation of Corrective Actions & Sanctions Presentation: Presentation: State’s Implementation of Requirements

3. 9-2 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. 9-3 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. 9-4 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. Failure to comply with WIA 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 Term to Know: Violation 9-5

7. 9-6 Key Requirement # 1: Effect Corrective Actions Take corrective action that is appropriate to the violation that has occurred. EXAMPLES ViolationCorrective Action Failure to include tag lines in communication Reissue communication with the tag lines included Discrimination violation Possibly, “make-whole” relief

8. 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 Term to Know: Make-Whole Relief 9-7

9. 9-8 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. Curative and preventive steps voluntarily taken to ensure that a violation does not re-occur in the future Term to Know: Prospective Relief 9-9

11. 9-10 Corrective Action Plan: Failure to Include Tag Lines Corrective ActionDocumentation Reissued communication with tag lines included Explanation of action taken Agreed on timeframe for reissuing the communication (if not yet reissued) Copy of written agreement specifying the corrective action to be taken & the timeframe for taking action Agreed to institute prospective relief: change policy, practice or procedure; develop new policy; communicate policy; educate people responsible Copy of written agreement specifying prospective actions to be taken & timeframe for each specific action

12. 9-11 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. 9-12 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. The judicial enforcement actions taken when corrective actions are not carried out to comply with WIA regulations:  Suspension  Termination  Denial of funding Term to Know: Sanction 9-13

15. 9-14 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. 9-16 Activity: Identifying the Appropriate Corrective Action Purpose:  Determine which corrective action is appropriate to rectify a discriminatory practiceTask: 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 spokespersonTime: @ 10 minutes

18. 9-17 Supporting Documentation: Corrective Actions and Sanctions Regulations implementing Section 188 of the Workforce Investment Act require that the following documentation be available: 1.Copies of any policy memorandum or directives explaining corrective actions and sanctions 2.Copies of each instrument used to inform recipients of the state’s procedures regarding corrective actions and sanctions

19. 9-18 State’s Implementation of Corrective Actions and Sanctions  Policy communications and directives to LWIA’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 Administration MOA Element 9 Corrective Actions and Sanctions