Program Monitoring Policy

Transcription

1 Tulsa Area Wrkfrce Develpment Bard, Inc. Prudly serving Creek, Osage, Pawnee and Tulsa Cunties in Oklahma Prgram Mnitring Plicy Bard Apprved: June 15, Suth Detrit Ave., Tulsa OK Phne: Wrkfrce Tulsa is an equal pprtunity emplyer/prgram. Auxiliary aids and services are available upn request t individuals with disabilities. This presentatin was financed in whle r part by funds frm the US Department f Labr as administered by the Oklahma Office f Wrkfrce Develpment. TDD/TTY: ; Vice: Prgram Mnitring Plicy TU

2 Prgram Mnitring Plicy Changes Overview Mst Recent Plicy Changes: Bard Apprval: Executive Cmmittee Apprval: Oversight Cmmittee Apprval: Yuth Cmmittee Apprval: Reasn: This plicy was updated t reflect the change reducing the cmprehensive mnitring frm mnthly t quarterly. Bard Apprval: Executive Cmmittee Apprval: Oversight Cmmittee Apprval: Yuth Cmmittee Apprval: Reasn: Prvide guidance and accuntability t the lcal area in mnitring respnsibilities and expectatins under the Wrkfrce Innvatin and Opprtunity Act f This plicy is als designed t prvide the Service Prvider guidance in the submissin and respnses t services prvided t participants and mnitring reprts. Tulsa Area Wrkfrce Develpment Bard Prgram Mnitring Plicy TU

3 Prgram Mnitring Plicy Bard Apprval: 06/15/2017 Tulsa Area Wrkfrce Develpment Bard I. Purpse: Prvide guidance and accuntability t the lcal area and its service prvider in audit respnsibilities and expectatins under the Wrkfrce Innvatin and Opprtunity Act f II. III. IV. Authrity: Wrkfrce Innvatin and Opprtunity Act (WIOA) 107(d)(4) Emplyer Engagement, 129 Title I Yuth Prgram, and 121 One-Stp Delivery System. Backgrund: In accrdance with federal and state guidance, lcal wrkfrce develpment bards must issue plicy regarding the prcedures and prcesses f the prgram mnitring. Definitins: A. Area f Cncern - A first r secnd warning, n a cnsistent issue f nt cmplying with written plicy, guidance r requested prcedural steps. B. Desk Reviews Reviews made during the mnitring prcess fr the purpse f cllecting and analyzing infrmatin and t supprt n-site reviews/mnitring. Desk reviews analyze existing data such as required mnthly financial reprts, vuchers, cntracts, budgets, OSL data, and prir audits and mnitring reprts. C. File Reviews Reviews f a sample f participant s files t determine cmpliance with required federal, state, and lcal laws, plicies, and prcedures. D. Finding - Tw r mre warnings, n a cnsistent issue f nt cmplying with plicy, guidance r requested prcedural steps. E. Observatin - Item nt addressed within written plicy, guidance, r requested prcedural steps, but that will need t be reviewed fr prcedural imprvement. F. On-Site Reviews The fundamental cmpnent f mnitring reviews, cnsisting f data cllectin techniques using frmal mnitring guides. On-site reviews allws fr the verificatin f items cntained in the cntract, grant agreement, r ther items identified in the desk review Tulsa Area Wrkfrce Develpment Bard 3 Prgram Mnitring Plicy TU

4 Prgram Mnitring, cntinued V. Oklahma Office f Wrkfrce Develpment (OOWD) The TAWDB ensures: A. mnitring f service prvider, including mnitring reprts and reslutins, shall be submitted t OOWD n an annual basis and at least sixty (60) days prir t expiratin f the service prvider cntract. B. OOWD is prvided with all requested dcuments within the 60 day timeframe and prir t the OOWD scheduled mnitring date. C. apprpriate staff is available at the n-site lcatin n the mnitring date(s) t assist OOWD mnitring. VI. Lcal Plicy: The lcal bard, thrugh its members, staff, and Oversight Cmmittee, will be respnsible fr ensuring lcal versight f WIOA Title I Adult, DLW prgrams and the One-Stp System, as prescribed by the Wrkfrce Innvatin and Opprtunity Act and Gvernr s Cuncil fr Wrkfrce Develpment. Attachments within this dcument may be updated by bard staff t reflect changes in federal, state and lcal plicies and prcedures. T ensure cmpliance with federal, state and lcal administrative and financial requirements, the bard will prvide versight regarding plicies and prcedures used in the lcal area and ensure that state and lcal perfrmance gals are being achieved. The bard will receive reprts frm the Tulsa Area Wrkfrce Develpment Bard (TAWDB) staff and fiscal agent n the results f all mnitring activities, and any ral r written reprts generated by the TAWDB Executive Directr regarding significant mnitring r cmpliance issues that have cme t his/her attentin. A. Bard Staff Administrative Respnsibilities The bard staff, cnsisting f the Executive Directr and Manager f Cmpliance will be respnsible fr the ntificatin f all invlved parties and ensuring that crrective actins are taken when mnitring findings are identified. The Executive Directr will als be respnsible fr ntifying the chairman f the bard and/r bard Oversight Cmmittee immediately thrugh written r ral ntificatin f any situatins deemed ptentially serius and pressing. A timeframe will be established later in this dcument fr the cmpletin f crrective actins and prcedures established fr fllw-up mnitring t ensure crrective actin has been taken. B. Mnitring Respnsibilities Activity Respnsible Staff Type f Reprt Distributed T TAWDB Manager f Mnitring/Oversight Service Prvider Prgram Cmpliance Written TAWDB Executive Directr Mnitring Quarterly TAWDB Oversight Cmmittee System Mnitring TAWDB Executive Directr and TAWDB Manager f Cmpliance Mnitring, Written Summary Oral Service Prvider Center Managers TAWDB Executive Directr TAWDB Chairman f the Bard TAWDB Bard, as apprpriate Chief Lcal Elected Official, as apprpriate Tulsa Area Wrkfrce Develpment Bard 4 Prgram Mnitring Plicy TU

5 Prgram Mnitring, cntinued C. Scpe and Frequency f Mnitring Dates listed belw are subject t staff availability. At a minimum, mnitring will be cmpleted nce thrughut the Prgram Year. Mnitring Calendar Type f Mnitring Perid Dates f Mnitring Reprt Due System Delivery Annually Jan 3 - Feb 25 April 30 1st Quarter - July-Sept Nv 1 - Nv 30 Nv 30 Cntract Perfrmance 2nd Quarter - Oct-Dec Feb 1 - Feb 28 Feb 28 3rd Quarter - Jan-Mar May 1- May31 May 31 4th Quarter - Apr-Jun Aug 1- Aug 31 Aug 31 Cmprehensive Quarterly Mnitr Of the fllwing mnth Adult/DLW 5% f new enrllments Crrelates with Cntract Perfrmance Crrelates with Cntract Perfrmance Yuth 5% f new enrllments Crrelates with Cntract Perfrmance Summer Yuth Wrk Experience (WEX) June August July 1 -Aug 31 Aug 31 On-The-Jb & Wrk Experience (WEX) Cntract, except SYEP WEX Cntinuus As Needed May 31 Crrelates with Cntract Perfrmance System Delivery Equal Opprtunity (EO) Ensure regulatins are being fllwed in all wrkfrce centers. Triennially System Integratin Plicy Cmpliance Alignment Review partners and their invlvement in the wrkfrce system in relevance t lcal partner Memrandum f Understanding(s). Ensure LWDBs plices align with state and federal regulatins. service prvider prcedures t align with LWDB directin. Triennially Annually All Service Prvider plicy, prcedures, plans and changes t any t the previusly listed, must be submitted t the TAWDB Executive Directr and Manager f Cmpliance fr apprval. All One-Stp Operatr r Center plicy, prcedures, plans, and changes t any f the listed abve, must be submitted t the TAWDB Executive Directr and Manager f Cmpliance fr apprval. Prgram Perfrmance Cntract Perfrmance Measures Ensure Service Prvider is meeting the measures utlined in Service Prvider cntract. Quarterly Tulsa Area Wrkfrce Develpment Bard Prgram Mnitring Plicy TU

6 Prgram Mnitring, cntinued Quarterly reprts must be: prvided in the frmat fund in Attachment A Summary Tab, unless therwise cmmunicated in writing by Bard Staff. prvided via n later than the secnd full week Friday after the end f the Quarter. Quarter 1 July September 2016 reprt due: August 12, 2016 The service prvider will prvide a mnthly update n the service prvider cntract perfrmance. This reprt will be due the secnd full week Friday f the fllwing mnth. The dcument shuld have the prgram year, mnth reprt name, then file name. (i.e Service Prvider Cntract Perfrmance - fr July 2016). Custmer Satisfactin Survey surveys must be sent n later than the first full week Friday after the quarter has ended, surveys are t be sent t thse participants wh have received an IEP/ISS within that specific quarter f the prgram year, participant shall have 14 calendar days t cmplete the survey, must be at least a 6% respnse frm thse wh were cntacted. Thse whse s are undeliverable r bunce back are excluded frm the denminatr. Custmer Satisfactin measure shall be calculated by the additin f the psitive respnses divided by the number f thse cntacted. This shall be cumulative in nature. Thse cntacted exclude bunce back and undeliverable s. If the result f the quarterly cntract perfrmance mnitring reflects the service prvider did nt meet cntract incentive numbers, then the apprpriate dllar amunt will be reimbursed t the LWDB, thrugh the Fiscal Agent. Perfrmance Indicatrs Ensure the service prvider is meeting all state perfrmance expectatins. Quarterly The Service Prvider will prvide a mnthly update n the State Perfrmance Indicatrs. This reprt will be due the secnd full week Friday f the fllwing mnth. The dcument shuld have the prgram year, mnth reprt name, then file name. (i.e State Perfrmance Indicatr Reprt, fr July 2016.) Any ther Grants Ensure the Service Prvider is meeting all perfrmance expectatins. Quarterly The Service Prvider will prvide a mnthly update n the specific Grant Perfrmance Indicatrs. This reprt will be due the secnd full week Friday f the fllwing mnth. The dcument shuld have the prgram year, mnth reprt name, then file name. (i.e State Perfrmance Indicatr Reprt, fr July 2016.) Cmprehensive Mnitring f eligibility, participant eligibility verificatin dcumentatin, data validatin, pririty f services, assessment and individual emplyment plan and/r individual service strategy and ther items. Adult & Dislcated Wrker A minimum 5% f new enrllments shall be mnitred. Mnitring shall be cmpleted by the secnd full week Friday and reprt cmpleted by the furth full week Friday. Mnthly Tulsa Area Wrkfrce Develpment Bard Prgram Mnitring Plicy TU

7 Prgram Mnitring, cntinued Yuth At a minimum 5% f new enrllments shall be mnitred. Mnitring shall be cmpleted by the secnd full week Friday and reprt cmpleted by furth full week Friday. Mnthly Summer Yuth Emplyment Prgram Wrk Experience (SYEP WEX) Mnitring f eligibility, participant eligibility verificatin dcumentatin, data validatin, pririty f services, assessment individual service strategy, WEX cntracts, wrksite mnitring, and ther items. Annually Infrmatin must be prvided in the frmat fund in Attachment B, unless therwise cmmunicated in writing by bard staff. The spreadsheet shuld have file name, calendar year, mnth and day in the file name.( i.e SYEP , fr July 1, 2016) Attachment B must be prvided via nt later than 3 business days after the Summer Yuth Emplyment Prgram Wrk Readiness week has begun r anther pint in time set by bard staff in writing. WEX cntracts shall be upladed within a 3 business day timeframe. These are items that need t be upladed: Wrk Site Agreement Trainee Plan I-9 and W-4 Frms Wrk Experience Orientatin Supervisr Orientatin. Any update f the Attachment B will fllw these steps: Update the spreadsheet with the apprpriate infrmatin in a different clred text than what is fund in the dcument. If text is in black, then use red r a bright clr. Use a clr that is nt similar t the ne already being used. Save the dcument as a revisin by adding R plus the apprpriate number that reflects the number f times the dcument has been revised (1), then add date f revisin (i.e. PY15-PY16 SYEP R ). If anther revisin is needed, be sure t make all text within the dcument black, then put changes in a different clr and replace the R with the current numbers R2 and date f revisin (i.e. PY15-PY16 SYEP R ). On-The Jb training (OJT) Mnitring f eligibility, participant eligibility verificatin dcumentatin, data validatin, pririty f services, assessment f individual service strategy and/r individual emplyment plan, OJT cntracts, wrksite mnitring and ther items. As Needed Infrmatin must be prvided in the frmat fund in Attachment C unless therwise cmmunicated in writing by bard staff. The spreadsheet shuld have file name, prgram year, mnth and day in the file name. ( i.e SYEP , fr July 1, 2016) Attachment C must be prvided via nt later than 3 business days after the On-The-Jb cntract has begun and cpy f cntract upladed t the state data system as utlined in plicy. Any update f the Attachment C will fllw these steps: Update the spreadsheet with the apprpriate infrmatin in a different clr text than what is fund in the dcument. If text is in black, then use red r a bright clr. Use clr that is nt clse the ne already being used. Tulsa Area Wrkfrce Develpment Bard Prgram Mnitring Plicy TU

8 Prgram Mnitring, cntinued Save the dcument as a revisin by adding R plus the apprpriate number that reflects the amunt f times the dcument has been revised (1), then add date f revisin (i.e. PY15-PY16 SYEP R ). If anther revisin is needed, make all text within the dcument black then put changes in a different clr and replace the R with current infrmatin R2 and date f revisin (i.e. PY15- PY16 SYEP R ). Wrk Experience (Excluding SYEP WEX) Mnitring f eligibility, participant eligibility verificatin dcumentatin, data validatin, pririty f services, assessment f individual service strategy and/r individual emplyment plan, WEX cntracts, wrksite mnitring and ther items. As Needed Infrmatin must be prvided in the frmat fund in Attachment D, unless therwise cmmunicated by bard staff. The spreadsheet shuld have file name, prgram year, mnth and day in the file name.( i.e. PY16 SYEP , fr July 1, 2016) Attachment D must be prvided via n later than 3 business days after Wrk Experience (WEX) cntract has begun, accmpanied by the WEX cntract being upladed within the 3 business day timeframe These are items that need t be upladed Wrk Site Agreement Trainee Plan I-9 and W-4 Frms Wrk Experience Orientatin Supervisr Orientatin Any update f the Attachment D will fllw these steps: Update the spreadsheet with the apprpriate infrmatin in a different clr text than what is fund in the dcument. If text is in black, then use red r a bright clr. Use clr that is similar t the ne already being used. Save the dcument as a revisin by adding R plus the apprpriate number that reflects the number f times the dcument has been revised (1), then add date f revisin (i.e. PY15-PY16 SYEP R ). If anther revisin is needed, be sure t make all text within the dcument black then put changes in a different clr and replace the R with the current numbers R2 and date f revisin (i.e. PY15-PY16 SYEP R ). D. Reprting: As systematic mnitring is cmpleted, bservatins r findings identified by the TAWDB Manager f Cmpliance will be reprted t the apprpriate department heads (i.e. Service Prvider, Executive Directr, integrated and nn-integrated center managers, TAWDB Chairman f the Bard, etc.), within the wrkfrce system/center, thrugh a written summary r ral reprt, as apprpriate. The written reprt may be accmplished thrugh letter, standardized mnitring frm r . Observatins will nt require a respnse; hwever, findings wuld necessitate a respnse frm the apprpriate party within 14 calendar days. The TAWDB Manager f Cmpliance will then review prpsed crrective actins t ensure that prpsed actins have been implemented. In the case f pssible disallwed csts, the TAWDB Manager f Cmpliance will ntify the TAWDB Executive Directr immediately. The TAWDB Oversight Cmmittee will receive a summary reprt frm the TAWDB Manager f Cmpliance at each cmmittee meeting utlining the mnitring activities and any ptential liabilities reviewed. As prgrammatic mnitring is cmpleted, the TAWDB Manager f Cmpliance will issue a mnitring reprt t the Service Prvider fr any deficiencies fund fr that mnitring activity. If n deficiencies are fund a letter shall be prvided t the Service Prvider addressing the criteria mnitred and that n issues were fund. If issue are fund the Service Prvider will have 14 calendar days t issue a crrective actin Tulsa Area Wrkfrce Develpment Bard Prgram Mnitring Plicy TU

9 Prgram Mnitring, cntinued and/r respnse t any mnitring reprt issued. The mnitr will then review crrective actins t ensure prpsed actin has been implemented. E. Crrective Actins An Official Reprt shall be prvided t the apprpriate party upn cmpletin. Thse receiving the reprt frm Bard Staff shall have 14 calendar days t respnd. Observatins will nt require a respnse; hwever areas f cncern and findings wuld necessitate a respnse frm the apprpriate party. The apprpriate party shall have 2 attempts t address all issues fund with the reprt r have a plan in place fr a reslutin that has been apprved by the TAWDB Executive Directr. Further respnses may be allwed at the discretin f the TAWDB Executive Directr. If parties reach an impasse and are nt able t reslve an issue, the TAWDB determinatin shall stand and the service prvider has the ptin t submit a grievance thrugh the TAWDB Grievance Plicy. The TAWDB Manager f Cmpliance shall cnduct fllw-up mnitring n thse deficiencies which have been addressed in the mnitring reprt within a reasnable amunt f time, t ensure that prper crrective actins have been taken. F. Supprt Dcumentatin Supprt dcumentatin may be requested frm the Service Prvider frm time t time t validate respnses t crrect actins. In prviding the supprt dcumentatin these item will apply: Each supprting dcument shall have the issue number identified n the reprt and the apprpriate participant identificatin number f the participant fr which the dcumentatin is referencing. G. Technical Assistance Any TAWDB Service Prvider r One-Stp Partner may request technical assistance frm the TAWDB by making a request in writing t the TAWDB Executive Directr r TAWDB Manager f Cmpliance. The request shuld describe the type f assistance requested. The TAWDB Executive Directr r TAWDB Manager f Cmpliance will reply t any such request after cnsidering the TAWDB s pririties and available resurces. In additin, the TAWDB, Service Prviders, CLEOs, r fiscal agents may request technical assistance frm the OOWD in rder t ensure cmpliance with federal r state regulatins. All cmmunicatins frm the TAWDB cntracted Service Prvider t the State Agency must include the Manager f Cmpliance. VII. ATTACHMENTS: Attachment A TEMPLATE CONTRACT PERFORMANCE QUARTER MONITORING REPORT Attachment B TEMPLATE SUMMER YOUTH EMPLOYMENT PROGRAM SPREADSHEET Attachment C TEMPLATE ON THE JOB TRAINING SPREADSHEET Attachment D TEMPLATE WORK EXPERIENCE SPREADSHEET Attachment E TEMPLATE CUSTOMER SERVICE SATISFACTION QUARTER DATA REPORT Tulsa Area Wrkfrce Develpment Bard Prgram Mnitring Plicy TU

10 Wrkfrce Tulsa PY 15 Quarter 3 Adult & Dislcated Wrker Summary PY 15 Quarter 3 Yuth Prgram Summary M 1 IEP 652 M 2 Attainment 76 M 3 CRC 218 M 4 Hard t Serve 120 M 1 ISS 229 M 2 Hard t Serve M 3 CRC 50 M 4 WEX 43 Attachment A: Cntract Perfrmance Quarter Mnitring Reprt

11 Wrkfrce Tulsa Name OSL # Service Prvider ADVOCATE Cmpany Wrk Schedule Emplyer Address Start Date Estimated End Date Supervisrs Phne Alternate Supervisrs Alt Phne # Alt Attachment B TEMPLATE SUMMER YOUTH EMPLOYMENT PROGRAM SPREADSHEET

12 Wrkfrce Tulsa Name OSL # Service Prvider ADVOCATE Cmpany Wrk Schedule Emplyer Address Start Date Estimated End Date Supervisrs Phne Alternate Supervisrs Alt Phne # Alt Attachment C TEMPLATE ON THE JOB TRAINING SPREADSHEET

13 Wrkfrce Tulsa Name OSL # Service Prvider ADVOCATE Cmpany Wrk Schedule Emplyer Address Start Date Estimated End Date Supervisrs Phne Alternate Supervisrs Alt Phne # Alt Attachment D TEMPLATE WORK EXPERIENCE SPREADSHEET

14 Wrkfrce Tulsa Custmer Satisfactin Quarter Data Q1 Q2 Q3 Q4 # f participants wh received IEP/ISS in Quarter # f wh the survey was sent t # f bunce backs n s Attachment E TEMPLATE CUSTOMER SERVICE SATISFACTION QUARTER DATA REPORT