# Presentation: 932196

## Core Monitoring Guide

**2005 National Equal Opportunity**
**Training Conference**

**Notes:**
Welcome to this training session on using ETA’s Core Monitoring Guide.  In April 2005, the Employment & Training Administration (ETA) published the nucleus of its monitoring tools -- the Core Monitoring Guide.  This tool helps Federal Project Officers (FPOs) conduct comprehensive, standardized reviews of ETA grant recipients.  In this workshop, we will explain the structure and use of this tool and how FPOs will use it to determine grant recipient’s compliance with applicable Federal Civil Rights laws.  We will also discuss what the reviewer will be looking for and how members of the roles, responsibilities, and expectations of grant recipients during this portion of the review. 

## Learning Objectives

- At the conclusion of this training, you will:
- Understand how the guide is structured and used.
- Understand how indicators are used to determine if the Civil Rights objective has been met.
- Understand the roles and responsibilities of grant recipients and federal staff as federal staff monitor an entity’s compliance with Equal Opportunity laws.

**Notes:**
So why are you here and what do you hope to walk away with?  

At the end of this session, you will have a basic understanding of how the guide is structured, how federal staff will use it during a review, what the reviewer will be looking for, and how you should interact with them.  We will also go over the indicators under the Civil Rights objective and explain what you should expect after a review is done if the reviewer identifies findings.  

## Overview	

- Structure and Use of the Guide
- Roles and Responsibilities
- Grantee Community
- Federal Staff
- Review of a Notice

**Notes:**
As I said in the previous slide, we will talk about how the guide is structured and how it will be used by federal staff conducting a review.  We will also talk about the roles and responsibilities of the grantee community and federal staff.  Finally we will review an actual notice and the extent to which it complies with Equal Opportunity laws and regulations.

## Guide Structure

- Core Activities
- Design and governance
**Program and grant management systems**
- Financial management systems
- Service delivery
- Performance accountability
- Appendices

**Notes:**
Structure

The guide is organized around a series of generic activities or broad categories of activities that are considered essential to a grantee’s organization and operation.  We will briefly review each of these in subsequent sections of this training.  The core activities are:
Design and Governance—activities related to the organizations ability to plan for and develop a demand-driven workforce system.
Program and Grant Management Systems—overall organizational administrative and operational functions that are necessary for the operation of the grant, but not related to direct services.
Financial Management Systems—again, overall organizational administrative functions not related to the provision of services that are financial in nature.
Service Delivery—the systems, procedures and program operational functions that relate directly to the delivery of services to participants and employers or the development of products.
Performance Accountability—the ability of the grantee to meet performance goals and requirements as measured by achievement of service level and expenditure goals, meeting performance outcomes, managing the performance of subrecipients and contractors and the use of performance data.

To assist with the review, there are 3 appendices that contain reference material, authoritative sources and regulatory cites, and definitions of terms found in the guide.  

## Core Activity Structure

- Objectives
- Relate to each core activity
- Requirements or expectations
- Indicators
- Attributes or criteria
- Attest to achievement of objectives
_***C***_  for compliance
_***E***_  for effectiveness

**Notes:**
Core Activity Structure

Within each Core Activity, the guide is structured around a series of objectives.  The objectives are the requirements or expectations of the grantee related to the core activity that have a basis in law or regulation, or are considered as practices that allow the grantee to meet the objective.  For example, one of the objectives in the core activity related to program management systems is the requirement to adhere to civil rights requirements.

Each objective is followed by one or more indicators. The indicators provide those attributes or the criteria used to assess whether the objective has been met.  For example, one of the indicators for assessing the civil rights objective is that required notices have been posted and are visible.  

Each indicator is designated with either a C or an E.  The C signifies that the indicator is compliance related and must be present in order for the objective to be met.  If the indicator is not present, this will probably result in a compliance finding.  The E signifies that the indicator is a measure of the programs effectiveness. If the effectiveness indicators have been achieved, then there is a higher probability of success in meeting the objective.  An example of an effectiveness indicator would be the presence of an organizational chart and job descriptions related to the grant as an indicator related to the requirements for management of the grant.

## Core Activity Structure

- FPO Guidance
- Questions or documentation examples
- Assist in assessment of indicator
- Source and Notes

**Notes:**
Core Activity Structure

Within each indicator, guidance is provided to the FPO on the types of documentation to look for or questions that might be asked to assess the presence of the indicator.  This FPO guidance is designed to be a starting point for the reviewer on assessing the indicator, while allowing the FPO to use their own experience and professional judgement. 

The indicator also provides space for the reviewer to capture the notes from interviews or list source documents used in assessing the indicator.  The box is expandable. 

## Using the Guide	

**Role and Responsibilities of Federal Staff **
- Gather reference documents
- Review source documents
- Observe notices posted
- Interview grantee staff
- Walk through the facility

**Notes:**
Using the Guide

Before beginning a review using the Core Monitoring Guide, you should prepare for the on-site review by obtaining all the relevant resource and reference materials you will need to conduct the review.  Specifically, review 29 CFR Part 31, 29 CFR Part 32, 28 CFR Part 35, 29 CFR Part 35, 29 CFR Part 37, and 49 CFR Part 25.  On site, review the grant recipient’s source documentation such as their monitoring reports and policies and procedures and observe any notices posted, i.e., where the notices are posted, in what format, and in what language.  Use these materials, along with your interviews of grantee staff, and your walk through of the grant recipient’s facilities to assess the organization is in compliance with EO laws and regulations. 

## Using the Guide

**Role and Responsibilities of the Grantee **
- Provide source documents to federal staff for review
- Policy manual and written procedures
- Written discrimination complaint procedure
- Publications, materials, and brochures
- Provide staff for interviews
- Provide full access to facilities

**Notes:**
For both grant recipient and federal staff, this may be new territory.  However, it is nothing you can’t handle with a little preparation.  Now to address your real question - what can we do to prepare for this review?

Provide your policy and procedures manual or access to the federal staff – including a copy of your written discrimination complaint procedure and a copy of or access to all your publications, materials, and brochures.  

Make your staff available for interviews and allow the federal staff conducting the review unfettered access to your facilities.  Nothing piques the interest of a reviewer more than limited access to records or staff.

Finally, there is no shame in cleaning up your act for company, i.e., a fed coming in to conduct a review.  In other words, if you have a poster or notice intended for participants hidden behind an open door or in the staff break room – consider posting it in a more visible area that participants can see.  

## Using the Guide	

- Objective conclusions
- Summary findings
- At the objective level
- Promising Practices
- Findings or High-Risk Factors
- Other Observations
- Results
- Formal written report

**Notes:**
Conclusions, the extent to which an organization has met the objective, are summarized at the objective level – not for each indicator.  Grant recipients whose activities reflect promising practices will be duly noted.  Findings are an indication that the organization has not met the Civil Rights objective.  They will be forwarded to the Civil Rights Center for resolution and/or any additional action.

## Objective 2.3 Civil Rights

- Recipients of DOL financial assistance must comply with:
-  **Title VI** **- Civil Rights Act of 1964**
**Section 504** **– Rehabilitation Act**
**Title IX, Education Amendments of 1972**
**Age Discrimination Act of 1975**
**Section 188 of the Workforce Investment Act**

**Notes:**
Title VI - Nondiscrimination in Federally Assisted Programs
Section 31.1 - The purpose of this part is to effectuate the provisions of Title VI of the Civil Rights Act of 1964 to the end that no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance from the Department of Labor.  
Section 504 – Rehabilitation Act
Section 504 of the Rehabilitation Act of 1973 prohibits discrimination on the basis of handicap in any program or activity receiving or benefiting from Federal financial assistance.  The purpose of this part is to implement section 504 with respect to programs and activities receiving or benefiting from Federal financial assistance from the Department of Labor.  
Title IX, Education Amendments of 1972

## Indicators

- Policies and Procedures
- Do they reflect applicable laws and regs?
- Notices
- Do they inform readers of the discrimination complaint process, EO and Sec 504 policies?
- Are they in languages appropriate for the population being served?
- Accessible Facilities

**Notes:**
During a review, FPOs will request and review your policies and procedures to determine whether they reflect applicable laws and regulations – Title VI, Section 504, Americans with Disabilities Act, Title IX, Age Discrimination Act, and Section 188 of the Workforce Investment Act.  The FPOs will also walk through your facility and review your publications to determine if your notices are in languages appropriate to the populations being served and if the notices inform the reader of the discrimination complaint process, EO and Section 504 policies.

## Indicator 2.31

- Policies and procedures
- Written discrimination complaint procedure
- Is wording required by 29 CFR 37.30 in publications, materials, and brochures?
- Monitoring compliance with EO law
*EO is The Law* notice

**Notes:**
What is the FPO looking for?  Primarily FPOs are looking to see if the grant recipient’s policies and procedures were developed in accordance with applicable laws and regulations.  In other words, FPOs want to see that your policies and procedures demonstrate your commitment to the principles of the laws and regulations.  
Does your organization have written discrimination complaint procedure?  Is this discrimination complaint procedure and the rest of the wording required by 29 CFR 37.30 in your publications, materials, and brochures?  In a minute, we will review a notice from the DC Department of Employment Services to determine the extent to which the District has included specific wording required by 37.30 in its notice.

But before we do that, ask yourself - to what extent does your organization monitor its own compliance with EO law.  If your organization has subs – to what extent does it monitor the subrecipient’s compliance with EO law?

## Indicator 2.32

- Notices
- Does it provide contact information, overview of discrimination complaint process, etc?
- Where and in what format are notices posted?
- Language appropriate for population served?

**Notes:**
In the next slide we are going to look at an example of a notice and determine if it contains all pertinent information such as an overview of the discrimination complaint process and contact information for individuals who believed they may have been subject to discrimination.  However, before we review a notice for completeness and accuracy, let’s talk about where, in what format, and in what language notices must be  posted.

Not only must notices be prominently displayed but per Section 37.31,
(a) at a minimum, the notice required by Section 37.29 and 37.30 must be:
(1) Posted prominently, in reasonable numbers and places;
(2) Disseminated in internal memoranda and other written and electronic communications;
(3) Included in handbooks or manuals, and
(4) Made available to each participant, and made part of each participant’s file.
(b) The notice must be provided in appropriate formats to individuals with visual impairments.  Where notice has been given in an alternate format to a participant with a visual impairment, a record that such notice has been given must be made a part of the participant’s file.
When you go back to your offices, check out the location of your notices.  Is the notice in a staff break room or behind an open door? Remember, participants aren’t likely to see the notice in the staff break room or behind an open door.  Also, if the majority of the participants you serve speak and/or read in another language other than English – make sure your notices are in languages appropriate for the population served.

## Notice

|    EQUAL OPPORTUNITY IS THE LAW 

It is against the law for this Recipient of Federal financial assistance to discriminate on the following  basis:

Against any individual in the United States, on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief; and 

Against any beneficiary of programs financially assisted under Title I of the Workforce Investment Act of 1998 (WIA) on the basis of the beneficiary’s citizenship/status as a lawfully admitted immigrant authorized to work in the United States, or his or her participation in any WIA Title I-financially assisted program or activity.
                                          |
| --- |

## Discrimination Complaint Procedure

**EQUAL OPPORTUNITY IS THE LAW**
** *****It is against the law for this Recipient of Federal financial assistance to discriminate on the following  basis:***
- Against any individual in the United States, on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief; and
- Against any beneficiary of programs financially assisted under Title I of the Workforce Investment Act of 1998 (WIA) on the basis of the beneficiary’s citizenship/status as a lawfully admitted immigrant authorized to work in the United States, or his or her participation in any WIA Title I-financially assisted program or activity.
-  ***The Recipient must not discriminate in any of the following areas:***
-   • Deciding who will be admitted, or have access, to any WIA Title I-financially assisted program or activity;
-   • Providing opportunities in, or treating any person with regard to, such a program or activity; or
-   • Making employment decisions in the administration of, or in connection with, such a program or activity.

- If you think that you have been subjected to discrimination under any WIA Title I-financially assisted program or  activity, you may file a complaint within 180 days from the date of the alleged violation with either:
-   • The Recipient’s  Equal Opportunity Officer, Valerie Kitchings, Department of Employment Services, 77 P Street, NE, Washington, DC 20002or the person whom the Recipient has designated for this purpose; or
-   • The Director, Civil Rights Center (CRC), U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-4123, Washington, DC 20210.

## Discrimination Complaint Procedure

**EQUAL OPPORTUNITY IS THE LAW**
** *****It is against the law for this Recipient of Federal financial assistance to discriminate on the following  basis:***
- Against any individual in the United States, on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief; and
- Against any beneficiary of programs financially assisted under Title I of the Workforce Investment Act of 1998 (WIA) on the basis of the beneficiary’s citizenship/status as a lawfully admitted immigrant authorized to work in the United States, or his or her participation in any WIA Title I-financially assisted program or activity.
-  ***The Recipient must not discriminate in any of the following areas:***
-   • Deciding who will be admitted, or have access, to any WIA Title I-financially assisted program or activity;
-   • Providing opportunities in, or treating any person with regard to, such a program or activity; or
-   • Making employment decisions in the administration of, or in connection with, such a program or activity.

- If you elect to file your complaint with the recipient, you must wait until the recipient issues a written Notice of  Final Action, or until 90 days have passed (whichever is sooner), before filing with the Civil Rights Center.
- If the Recipient does not give you a written Notice of Final Action on your complaint within 90 days of the day on  which you filed your complaint, you do not have to wait for the Recipient to issue that notice before filing a complaint with the CRC.  However, you must file your CRC complaint within 30 days of the 90-day deadline (in other words, within 120 days of the day on which you filed your complaint with the Recipient).  If the Recipient does give you a written Notice of Final Action on your complaint, but you are dissatisfied with the  decision or resolution, you may file a complaint with the CRC. You must file your CRC complaint within 30 days of the date on which you received the Notice of Final Action.

## Contact Information

**FOR INFORMATION OR TO FILE A COMPLAINT, CONTACT:**
**VALERIE KITCHINGS, Equal Opportunity Officer,**
_**valerie.kitchings@dc.gov**_
**Department of Employment Services, Office of Equal Opportunity**
**64 New York Avenue, NE, 3rd Floor • Washington, DC 20002**
**(202) 671-2568 • TDD/TTY (202) 673-6994 • Fax (202) 673-7019 **
- Auxiliary aids and services are available upon request to individuals with disabilities.
**Equal Opportunity Employer/Provider**
-  **__________________________________________________________________**
- I acknowledge having read and understood the above notice.
- Signature: _______________________________
- Date: ___________________________________

## Indicator 2.33

- Grantee’s location and facilities
- Physically accessible and usable

**Notes:**
Remember all three indicators must be met in order for the FPO to state that the grant recipient has met the objective.  In Indicator 2.33, FPOs are reviewing the physical accessibility and usability of the grantee’s location and facilities.  

In order to determine if the grant recipient’s location and facility, or part of the facility, is physically accessible to and usable by disabled individuals; FPOs will do a walk-through of the grant recipient’s facility to determine if it meets physical access requirements noted in 29 CFR 32.26-28.  Our goal is to ensure that no qualified handicapped individual shall, because of a recipient’s facilities are inaccessible to or unusable by handicapped individuals, be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity to which this part applies. [32.26]

## Conclusion

**Did we achieve our objectives?**