Policy Chapters and Sections

Sanctions

Chapter: 10 Section: 9.6
Effective Date: 2/15/2019
Expiration Date: Continuing
Published Date: 9/9/2020 2:23:04 PM
Status: Current
Version: 2

Tags: Disability, Equal Employment Opportunity, Nondiscrimination, EO, NDP, NDP

  1. When a recipient does not have the capacity to correct a violation(s), or when it’s clear that the recipient has failed or refuses to do so, DCEO is required to respond by imposing sanctions. EOMC has procedures in place to impose sanctions when all attempts to aid 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. DCEO reserves the right to take enforcement proceedings as approved by the Director of DCEO when corrective actions are not carried out to comply with WIOA regulations include suspension, termination and denial of funding. DCEO explicitly considers sanctions as the actions enforced through judicial process when a recipient refuses or fails to carry out corrective actions.
  2. Due to either findings of discrimination as part of a complaint investigation, or compliance review, written notifications shall be issued to recipients of their noncompliance. Supportive documentation will indicate findings and methods to accomplish voluntary compliance in a corrective action plan. The State WIOA EO Officer works with the noncompliant entity to establish necessary schedules to correct the violation. In the case of a finding of discrimination, the corrective action plan must provide for whole relief. The State WIOA EO Officer may make recommendations for sanctions to the DCEO Director when the recipient does not comply with the established action plan.
  3. IDES has also implemented policies and procedures to ensure its obligations under “Corrective Action and Sanctions” Section 38.90 through 38.100 of the federal regulations are followed.
    1. Summary
      1. IDES has established procedures for obtaining prompt corrective action and applying necessary sanctions when noncompliance is found with respect to the services, benefits and programs it administers. These procedures have been established with respect to IDES employees as well as IDES itself and address discriminatory noncompliant conduct directed at IDES employees and IDES clients. IDES contractors may also be held accountable by IDES for violations of various Federal and State nondiscrimination and EO statutes and rules.​​​​​​​
    2. Organizational​​​​​​​
      1. Department of Employment Security is organized to provide program services through a system of local offices reporting to six (6) Regional Office Managers, who report to the Executive Deputy Director of Service Delivery. The Department also provides program services via the Internet. The managers of the Department’s Internet services report to the Deputy Director of Department of Information Technology (DoIT). The managers of the Department’s administrative operations report either to the Executive Deputy Director of Administration or to the IDES Director. The Executive Deputy Directors and Deputy Director report directly to the IDES Director, which enables the resolution of complaints and violations quickly at the highest levels of the Department.
      2. Corrective and remedial action may take place whenever IDES, an IDES employee or an IDES contractor is as the result of an Equal Opportunity Compliance Review or the investigation of a complaint. The Office of Equal Opportunity is responsible for conducting EO Compliance reviews and complaint investigations of alleged discrimination and for issuing notifications of violation when violations are found.​​​​​​​
    3. Violations involving IDES​​​​​​​
      1. Notification will go to the Executive Deputy Director of the affected division as well as to the Department Director. Every IDES employee is required to sign the IDES Code of Ethics. In signing this document, the employee agrees to abide by its terms and conditions, which includes EO, Affirmative Action and Sexual Harassment provisions. Included in the Code of Ethics is a description of the sanctions applied in the event of noncompliance. Additionally, as discussed previously, IDES Policies/Procedures 1200 through 1207 establish procedures for obtaining prompt corrective action and applying necessary sanctions when noncompliance is found with respect to the Department’s nondiscrimination policies. In the event of noncompliance, both the Department and its employees are subject to these noncompliance provisions. Disciplinary actions are described in IDES Policy and Procedures 2002. In the event employees or clients have been found to have been discriminated the EO Officer will make recommendations to the Department for corrective action including training or discipline.