Methods of Administration MOA Element 9

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Methods of AdministrationMOA Element 9

• Corrective Actions and Sanctions

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Agenda

• Presentation Learning Objectives
• Presentation Key Requirements for Corrective
  Actions Sanctions
• Activity Identifying the Appropriate
  Corrective Action
• Presentation Documentation of Corrective
  Actions Sanctions
• Presentation States Implementation of
  Requirements

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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

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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

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Key Requirement 1Effect 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

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Term to Know Violation

• 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

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Key Requirement 1Effect Corrective Actions

• Take corrective action that is appropriate to the
  violation that has occurred.

EXAMPLES EXAMPLES
Violation Corrective Action
Failure to include tag lines in communication Reissue communication with the tag lines included
Discrimination violation Possibly, make-whole relief
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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

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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

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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
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Corrective Action PlanFailure to Include Tag
Lines
Corrective Action Documentation
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
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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

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Key Requirement 3Impose 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.

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Term to Know Sanction

• The judicial enforcement actions taken when
  corrective actions are not carried out to comply
  with WIA regulations
• Suspension
• Termination
• Denial of funding

9-13
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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

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• Review the
• Non-Compliance, Corrective Action,
• and Sanction Guidelines
• In your Participant Guide
• Pages 9-9 to 9-12

9-15
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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

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Supporting DocumentationCorrective 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 states procedures regarding
   corrective actions and sanctions

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States Implementation ofCorrective Actions and
Sanctions
To be addressed by the state specialist

• Policy communications and directives to LWIAs
  instructing recipients on how to comply with the
  Corrective Actions and Sanctions requirements
• States 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

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Methods of AdministrationMOA Element 9

• Corrective Actions and Sanctions