WIA Section 188

Disability Checklist
Training

Element 9
Corrective Actions and Sanctions
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 that9-2

are not voluntarily corrected
 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

9-3
 Corrective Actions

• Take corrective action that is

appropriate to the violation that
has occurred.
EXAMPLES
Violation Corrective
Failure to include Action
Reissue
tag lines communication with
in communication the tag lines
Discrimination included
Possibly,
violation “make-whole” relief
9-4
 Corrective Actions

• 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 or9-5
prospective relief planned
 Corrective Action Plan
Example:
Failure to Include Tag Lines
Corrective Action Documentation
Reissued communication Explanation of action
with tag lines included taken
Agreed on timeframe for Copy of written
reissuing the agreement specifying
communication the corrective action to
(if not yet reissued) be taken & the
Agreed to institute timeframe for taking
Copy of written
prospective relief: change action
agreement specifying
policy, practice or prospective actions to
procedure; develop new be taken & timeframe
policy; communicate for each specific action
policy; educate people 9-6
responsible
 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 9-7
 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.

9-8
 Ultimate Sanction

The judicial enforcement actions

taken when corrective actions are
not carried out to comply with WIA
regulations:
 Suspension

 Termination

 Denial of funding

9-9
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 9-10
 WIA Section 188
Disability Checklist
Training

Element 9
Corrective Actions and Sanctions