Illinois Administrative Code › Title 56 - LABOR AND EMPLOYMENT › Part 2600 - SERVICE DELIVERY SYSTEM AND STATE RESPONSIBILITIES › Section 2600.50 - Sanctions Policy

Current through Register Vol. 48, No. 28, July 12, 2024
In accordance with 56 Ill. Adm. Code
				2630.122, the
				Department is held responsible for all funds under the Act. In order to carry
				out this responsibility, the Department shall provide for sanctions when
				grantees fail to comply with applicable laws, regulations, and policies. The
				purpose of having a sanctions policy is the same as that for having technical
				assistance and corrective action strategies in that the final intent is to help
				grantees correct performance deficiencies and/or move into compliance with a
				particular portion of the Act or regulations. Thus, the focus is not punitive.
				As long as grantees are implementing the corrective action plans approved by
				the Department, sanctions will be avoided. The corrective action environment is
				one in which the grantee negotiates with the Department on activities to be
				undertaken to correct performance deficiencies. In the sanctions environment,
				the Department takes a more forceful role in determining what actions a grantee
				shall take to correct problems.
a)
			 Definitions - The following definitions are applicable to this Section:
"Indication of Problem" - The point at which a compliance
				problem is identified.
"Intermediate Activity(ies)" - The initial action(s) to be
				taken by the State and the grantee in turn in order to rectify an identified
				deficiency.
"Performance Exception" - The specific activity/performance
				which shall be monitored by the Department, and to which sanctions may be
				applied.
"Sanction(s)" - The particular action(s) which shall be taken
				by the Department when deficiencies remain uncorrected.
"State Intervention Authority" - Citation(s) to the Act,
				federal regulations, and/or State rules which provide the authority for the
				Department to impose sanctions for unacceptable performance in a given
				area.
b) Following are
			 specific areas of performance which are subject to Department sanctions.
1) Reporting
A) Performance Expectation - In accordance
			 with 56 Ill. Adm. Code
			 2610.130(b),
			 grantees shall enter participant and expenditure data into the JTPA- II
			 management information system (MIS) and direct subgrantee reporting system
			 (DSGR) by the thirtieth day of the month following the month in which the
			 participant transaction or expenditure occurred. Manual reports shall also be
			 submitted by this date.
B)
			 Indication of Problem - The following are indicative of failure to meet the
			 performance expectation as defined in subsection (b)(1)(A) above:
i) cash draws exceed reported expenditures by
			 5% for any month;
ii) based on the
			 quarterly data entry performance summary reports, less than 90% of enrollments,
			 training and service records or termination records were entered in the JTPA-
			 II MIS within four (4) weeks after their creation;
iii) based on manual logs, manual
			 expenditures or participant reports, the reports are submitted late;
iv) based on comparison of close- out
			 submission with DSGR's content as of July 30, there is under- or over-
			 reporting of 10% or greater.
C) Intermediate Activities - When a grantee
			 fails to meet the performance expectation, one or more of the following steps
			 shall be taken in an effort to redress the problem(s).
i) The Department shall notify the grantee,
			 the Private Industry Council (PIC) and the chief elected official (CEO) in
			 writing of the problem(s).
ii) The
			 Department shall offer technical assistance.
iii) The grantee shall develop a corrective
			 action plan.
iv) The Department
			 shall monitor the grantee's implementation of the corrective action
			 plan.
v) The Department shall
			 measure performance to determine if the problem has been corrected.
vi) The grantee shall revise the corrective
			 action plan if that plan has not solved the problem as determined by the
			 Department.
D)
			 Implementation of Corrective Action - Timelines for implementing corrective
			 action shall depend on the measurement cycle, which may be monthly, quarterly
			 or annually and the nature of the corrective action plan.
E) State Intervention Authority - In
			 accordance with Sections 164(a)(1) and (e)(2)(C) of the Act and Job Training
			 Partnership Act (JTPA) regulations found in 20 CFR 629.35 (April 1, 1991
			 edition), the Department shall impose sanctions for unacceptable
			 performance.
F) Sanctions -
			 Sanctions shall be triggered by failure to implement the corrective action plan
			 and/or the repeated failure of corrective action to eliminate the problem
			 identified. Sanctions include:
i) withholdig
			 cash until expenditures are balanced with requests;
ii) revoking a portion of the administrative
			 plan until the grantee acquires needed resources;
iii) imposing contracting policy changes
			 designed to encourage timely reporting by service providers.