Monitoring for Equal Opportunity and Compliance

1
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

2

• 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

3
Introduction
4
Things to Consider when Developing EO Monitoring
Procedures
Are all monitors trained on WIA Section 188 EO
Monitoring Requirements?
What role does the State EO and LWIA EO Officer
play in the coordination of the EO Monitoring?
Who has the responsibility for EO Monitoring?
Who makes up the Monitoring Team?
Who do monitors report to?
Does the EO monitoring instrument/check-list
address LEP and all of the nine MOA elements?
Have policies/procedures/guidelines regarding EO
monitoring been issued?
Who is responsible for analyzing the data
collected?
Is there an EO monitoring instrument or checklist?
Does the EO monitoring instrument/check-list
address LEP and all of the nine MOA elements?
Do your EO monitoring procedures provide for
follow up and/or corrective actions/sanctions?
How frequent are the monitoring reviews/site
visits conducted?
Is there a written monitoring report produced
from each monitoring visit?
Who receives a copy of the monitoring report?
5
Prohibited Factors
Race
Color
Religion
Sex
National Origin
Age
Disability
Political Affiliation or Belief
Beneficiaries only
Participation in a WIA Title I-financially
assisted program or activity
Citizenship
6
Elements of an EO Monitoring Review
Some or all of the nine elements of the MOA may
be covered
1. EO Officer Designation
2. Notice Communication
3. Assurances
5. Compliance with Section 504
6. Data and Information Collection
4. Universal Access
7. Monitoring System
8. Complaint Processing Procedures
9. Corrective Actions and Sanctions
7
Monitoring Review Process
8
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

9
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

10
Data Analyses
Examples...

• 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

• Unemployment Insurance
• Payment to nonpayment
• Reason for nonpayment
• Alleged misconduct
• Job refusal
• Not able to or available for work
• Denials by adjudicator

• 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

• Analyses may be applied to specific groups, to
  include
• Individuals with disabilities
• Veterans
• TANF Recipients
• Welfare to Work program recipients

11
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

12
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

13
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.

14
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

15
Report and Follow-up

• Monitoring Report
• within 30 days of completion of review
• areas of compliance and area(s) of pending or
  non-compliance
• 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

16
Questions?