Monitoring for Equal Opportunity and Compliance

Evelyn Rodriguez
EO Officer, Washington State Employment Security

Valerie E. Kitchings
EO Officer, District of Columbia Department of Employment Services

The USDOL in

Section 188 of the Workforce Investment Act (WIA)
requires each Governor to establish a

Methods of Administration
which includes a system for

periodically monitoring compliance
for conducting their WIA Title I-B programs in a nondiscriminatory manner
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Things to Consider when Developing EO Monitoring Procedures
Who has the responsibility for EO Monitoring? Who makes up the Monitoring Team? Are all monitors trained on WIA Section 188 EO Monitoring Requirements? Who do monitors report to? What role does the State EO and LWIA EO Officer play in the coordination of the EO Monitoring? Who is responsible for analyzing the data collected? Do your EO monitoring procedures provide for follow up and/or corrective actions/sanctions? 4

Have policies/procedures/gu idelines regarding EO monitoring been issued? How frequent are the monitoring reviews/site visits conducted?

Is there an EO monitoring instrument or checklist?

Does the EO monitoring instrument/checklist address LEP and all of the nine MOA elements? Who receives a copy of the monitoring report?

Is there a written monitoring report produced from each monitoring visit?

Does the EO monitoring instrument/ check-list address LEP and all of the nine MOA elements?

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Prohibited Factors
Race Disability Color National Origin Religion Age Sex Political Affiliation or Belief

Beneficiaries only: Citizenship Participation in a WIA Title Ifinancially assisted program or activity
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Elements of an EO Monitoring Review
Some or all of the nine elements of the MOA may be covered:
1. EO Officer Designation 4. Universal Access 7. Monitoring System 2. Notice & Communication 5. Compliance with Section 504 8. Complaint Processing Procedures 3. Assurances 6. Data and Information Collection 9. Corrective Actions and Sanctions

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Monitoring Review Process

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Notification of Review and Request for Preliminary Information
• Notify appropriate Director/Administrator
– 2 to 4 weeks prior to review

• Request Preliminary Information
– EO Data on applicants/clients, random sample applications, non-monetary determinations, EO reports, discrimination complaints, etc. – The Monitoring Review Instrument may be sent – Should be returned 10 days prior to review in order to conduct a desk review prior to the on-site review

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Desk Review
• Upon receipt of preliminary information; prior to the on-site review • May help to identify potential items to be addressed during the on-site review • Analyze the statistical and written reports and other documents returned

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Data Analyses
Employment Services • Job applicant to job referral • Job referral to job placement • Average referral wage • Average placement wage • Receipt of core services • Receipt of intensive services WIA Title I • Population eligible to be served to applicants • Applicant to eligible applicant • Eligible applicant to participant • Completed WIA or partner services • Received supportive services Unemployment Insurance • Payment to nonpayment • Reason for nonpayment • Alleged misconduct • Job refusal • Not able to or available for work • Denials by adjudicator Analyses may be applied to specific groups, to include: • Individuals with disabilities • Veterans • TANF Recipients • Welfare to Work program recipients

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On-Site Review
• Purpose
– determine compliance with equal opportunity and nondiscrimination requirements and review significant differences or disparities

• Entrance Meeting/Conference
– meet with appropriate Director/Administrator and/or Local EO Officer – discuss scope of review, – make arrangements for client and staff interviews or file reviews and – discuss preliminary findings of the data analysis

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On-Site Review
• Review EO Monitoring Instrument with EO Officer • Program Recruitment and Assessment • EO Staffing Data
– review an discuss staffing EO demographics

• Review Participant Files
– participant EO demographics – notice of Right to file a Complaint – inappropriate Comments
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On-Site Review
• Review Participant Files
– – – – participant EO demographics Notice of Right to File a Complaint inappropriate comments presence of medical condition information

• Interview Clients
– notice of rights to file a complaint provided – accessibility to programs and facilities provided without regard to race, color, religion, sex, national origin, age, disability, etc.

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On-Site Review
• Employee/Staff Interview
– – – – EO training received arrangements for LEP customers awareness and location of EO policies and procedures knowledge of how to serve customers with disabilities or limited in English proficiency – knowledge of process if he/she feels discriminated against based on a prohibited factor

• Exit Meeting/Conference
– discuss observations – give preliminary finding, if possible

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Report and Follow-up
• Monitoring Report
– within 30 days of completion of review – areas of compliance and area(s) of pending or noncompliance – recommended corrective action(s) – due date to come into compliance or to submit a plan (for acceptance) for coming into compliance

• Corrective Action
– sanctions may be considered if recipient is fails to take necessary action to voluntarily come into compliance

• Follow-up
– 6 to 9 months after recommendations are implemented
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