New Mexico Administrative Code › Title 11 - LABOR AND WORKERS' COMPENSATION › Chapter 2 - JOB TRAINING › Part 20 - WORKFORCE INNOVATON AND OPPORTUNITY ACT CORRECTIVE ACTIONS, PENALTIES AND SANCTIONS › Section 11.2.20.7 - CORRECTIVE ACTION AND PENALTIES

Current through Register Vol. 35, No. 13, July 16, 2024
A.
General.
Failure to ensure compliance with one or more contracted
				performance measures, grant agreement provisions, federal or state law, federal
				regulations, or federal or state technical assistance guidance, is considered a
				sanctionable act or acts. DWS may assess corrective action or penalties based
				on the totality of the circumstances surrounding the occurrence of a
				sanctionable act or acts, including the severity, nature, duration, and extent,
				including previous occurrences of sanctionable acts. In determining corrective
				action or penalties, DWS may consider efforts by the local board or
				sub-recipient to prevent the occurrence of the sanctionable act, such as
				efforts to obtain technical assistance or training, as well as resolved
				monitoring findings.
B.
Types
				of corrective action and penalties.
To assist the local board or
				sub-recipient in correcting any deficiencies, DWS may assess, for each
				occurrence of a sanctionable act, one or more of the following corrective
				action activities or penalties:
(1)
				participation in technical and quality assurance activities, including
				mandatory participation in training;
(2) on-site visits by DWS, or its designee,
				to monitor and assist with daily operations of a local board, local board's
				contractor, or sub-recipient;
(3)
				corrective action plan developed by DWS and implemented by the local board to
				address the identified weaknesses, including strict timelines for
				completion;
(4) submission of
				additional or more detailed financial or performance documentation or
				reports;
(5) designation as a
				high-risk local board or sub-recipient requiring additional monitoring
				visits;
(6) requirement for the
				local administrative entity, or the sub-recipient to report on activities and
				progress at state board meetings until performance is satisfactory;
(7) DWS meetings with the local area's chief
				elected official(s), local board chair, local board members, local board's
				executive director, or the sub-recipient to check in on progress on corrective
				action;
(8) DWS oversight or
				management of local board operations, such as the appointment of a
				steward.
(9) DWS approval of
				specified actions (i.e. prohibition against entering into specific contracts or
				engaging in certain activities without explicit prior approval from
				DWS);
(10) prohibiting the use of
				designated service providers or one-stop operators;
(11) payment restrictions, such as payment by
				reimbursement only with required supporting documentation;
(12) delay, suspension, or denial of contract
				payments;
(13) requirement of a
				local board or its sub-recipient(s) to reimburse DWS any costs it deems
				disallowed in accordance with federal or state law, or regulations;
(14) issuance of a notice of intent to cease
				immediately reimbursement of local program costs;
(15) designation of local board as ineligible
				for additional discretionary funding, incentives, or other funds;
(16) contract cancellation or
				termination;
(17) issuance of
				notice to revoke approval of all or part of the local plan affected;
(18) imposition of a local area
				reorganization plan;
(19) other
				actions deemed appropriate by DWS to secure compliance.