# Presentation: 062459

## Methods of AdministrationMOA Element 7

- Monitoring and Compliance

## Agenda

**Presentation:****	**Learning Objectives
**Presentation:****	**Requirements for EO Monitoring 	and Periodic Monitoring
**Activity:**  	Checklist for Identifying Ways    	to Monitor Compliance
**Presentation:** 	Review of Acceptable 	Documentation
**Presentation:** 	State’s Procedures on Monitoring 	for Compliance
**Wrap-Up:****	**Alphabet Review

## Learning Objectives

- State oversight responsibilities for WIA monitoring
- Identify EO monitoring requirements under WIA
- List the minimum requirements for periodic monitoring
- Identify acceptable documentation for monitoring requirements
- Explain the state’s procedures to monitor for compliance

## Monitoring Responsibilities

- Each Governor must establish two systems (29 CRF 37.37):
- System to periodically monitor of all aspects of the recipients’ compliance with WIA
- System to monitor compliance with the  nondiscrimination and equal opportunity requirements under WIA

## EO Monitoring Review System Must Include

- Review of recipient’s compliance with  administrative obligations
- EO Officers
- Notice and Communication
- Assurances
- Review of recipient’s compliance with MOA responsibilities
- Review of programs and activities to determine whether discrimination is occurring

## What type of review system does your state use to conduct its monitoring?

**Question**

**7-**

## Periodic Monitoring ReviewMust Include

- Analyzing recipient’s data and records
- Investigating significant differences across groups
- Evaluating compliance with administrative obligations under the MOA, including:

- Assurances
- EO Officers
- Notice & communication
- Data and information
- Universal access

- Complaint processing procedures
- Performance of recipient responsibilities assigned by state through MOA

## Periodic Monitoring ReviewMust Include (cont.)

- Conducting EO monitoring/evaluation reviews
- Imposing sanctions and corrective actions
- Evaluating policy development, communication, and training
- Ensuring nondiscrimination and EO operation:

- Analyses by race/ ethnicity, sex, age, and disability status to determine significant differences

- Analyses of records, interviews, and other appropriate methods to determine causes of differences

## Acceptable Analyses

- Practical Significance
- 80% rule (41 CFR 60-3, DOL regulation regarding Uniform Employee Selection Guidelines – Element 6)
- Statistical Significance
- Two-Standard Deviation Test

## What type of analyses does your state use to identify significant differences?

**Question**

**7-**

## Activity:  Identifying Ways to Monitor Compliance

**Purpose:**
- Identify ways the state monitors compliance with WIA’s nondiscrimination & EO requirements
**Task:**
- Think about your state’s monitoring system.  What documents and procedures are in place to demonstrate a recipient’s compliance?
- Make a list of your ideas for monitoring.
- Discuss your ideas as a group.
- Select someone to report out.
**Time:**
- 10 minutes

## Ways to Monitor Compliance

- Records
- Policy issuances on nondiscrimination
- Job training plans, contracts, assurances, and other similar agreements
- System of policy and communication training for EO Officers and staff
- Procedures to obtain prompt corrective action or to apply sanctions in case of noncompliance
- Supporting documentation to show compliance with commitments

## Director of the Civil Rights Center:  Authority

- Periodically review the adequacy of the MOA, as well as the adequacy of the Governor’s performance under the MOA
- Review the MOA during a compliance review

## Failure to Comply withRequest for Information

- The CRC Director may issue a _Notice to Show Cause_ to a recipient failing to comply with the requirements, where the failure results in the inability of the Director to make a finding.

## Failure to Comply withRequest for Information (cont.)

- Includes, but is not limited to:
- Failure to submit requested info, records, or data within designated time
- Failure to submit, in a timely manner, any info, records, or data requested during a compliance review, complaint investigation, or other action
- Failure to provide CRC access, in a timely manner to premises, records, or employees during compliance review

## Failure to Show Cause

- If the CRC Director concludes that compliance cannot be secured by voluntary means, the Director must:
- Issue a Final Determination
- Refer the matter to the Attorney General with a recommendation for civil action; or
- Take other sanctions provided by law

## Monitoring Documentation

- Policy & procedural issuances on required elements of the MOA
- Monitoring instruments and instructions
- Evidence of the extent to which nondiscrimination and EO policies have been developed and communicated as required
- Information on the extent to which EO training has been carried out or is planned
- Reports of monitoring reviews and reports of follow-up actions taken under those reviews where violations have been found, including appropriate sanctions
- Notices made under Notice and Communication

## Monitoring for Complianceat the State Level

- How the state will communicate monitoring obligations to all recipients
- How the recipients have made, and will continue making, efforts to ensure monitoring is occurring
- How the state will monitor and evaluate the success of its recipients’ monitoring efforts

## Wrap-up Activity: Alphabet Review

- In your groups, generate at least one significant item, concept, or principle from Element Seven that starts with each letter of the alphabet.
- Use the page provided in your manual.
- You may be creative in adapting various words.
- Each group will be asked to share their items.

- 7-

## Methods of AdministrationMOA Element 7

- Monitoring and Compliance