Administrative and Fiscal Monitoring Training Overview September 2022

PY22 Administrative and Fiscal Monitoring Training September 20 & 21, 2022 Virtual Training Training Facilitators Greg Ferland, Director of Workforce Monitoring Phouang Hamilton, WIOA Monitoring Manager Kris Damalas, Workforce Monitor

Agenda 1. 2. 3. 4. Introductions Workforce Professionals Center Website Feedback and Timeline PY22 Administrative and Fiscal Tool Review Administrative and Fiscal Monitoring Tool Pre-Monitoring Questionnaire Document Items Requested in Advance Questions/Answers 5. 6. General Process and Timeline

Where to find critical info Workforce Professionals Center URL: https://wpc.wa.gov/monitoring https://wpc.wa.gov/monitoring/workforce 3

Feedback Timeline PY22 Monitoring Reviews Begin October 3, 2022 Feedback on Tools Due September 28, 2022 How to give feedback after today? Email: workforcemonitoring@esd.wa.gov Identify the tool in the subject line (F&A Monitoring Tool, Items Requested in Advance, or Pre-Monitoring Questionnaire) 4

PY22 Administrative and Fiscal Monitoring Tool

Changes to PY22 Monitoring Tool 3 main changes to the PY22 Monitoring Tool More specific questions in Design and Governance (1.1) One Stop certification subsection in Administrative Controls and Monitoring (1.4) One item added to Procurement and Contracts review concerning participant exit goals (1.7) Direct participant expenses (support services, etc.) will continue to be reviewed by the program team. 6

Columns in the Tool Questions for Confirmation, Review & Discussion Item Description Documents to Review Item Item # that is under review (1.1, 1.2, 1.3, etc.) Description Description of the item under review with citations/references for context Questions for Confirmation, Review & Discussions These are questions that will guide our review. We may ask some of them outright but most of them describe what we re looking to confirm. Documents to Review Documents reviewed during the monitoring process which include those submitted prior to the scheduled date of the review. 7

Status Determination No Issues Identified Noted Practice Item(s) to Address Questioned Costs Disallowed Costs Findings N/A 8

Monitoring Tool https://wpc.wa.gov/monitoring/tools 9

Monitoring Tool 1.1 Design and Governance 10

Monitoring Tool 1.1 Design & Governance - Questions If the fiscal agent and LWDB are separate entities, the monitors will look for evidence the LWDB voted to authorize the fiscal agent to perform the functions listed in WIOA 679.420(c)(1)-(3). Monitors will review CEO by-laws, designation agreements, and consortium agreements to see if they define the subcommittees for the LWDB. If they do, the monitors will seek board by-laws and/or board minutes where the LWDB approved or concurred with the committee created by the CEO. Is it clear in agreements that the LWDB chooses its own chair? Are there any documents that state the chair is chosen or approved by the Chief Elected Official(s)? If an entity is performing more than one role at the local level is there a signed agreement between the Chief Elected Official(s), LWDB chair, and director of that organization as required in 20 CFR 679.430? Monitors will look for any agreement that states the hiring and termination of the LWDB ED is at the discretion of the CEO. Such an agreement would fail a compliance check. If CEOs run the hiring process, monitors will be looking for involvement of LWDB members, e.g. what qualifications are they seeking in an ED, something that reflects board involvement in hiring process and decision. 11

Monitoring Tool 1.2 MOU/IFA No changes this year 1.3 Policies and Procedures No changes this year 12

Monitoring Tool 1.4 Administrative Controls & Monitoring 13

Monitoring Tool 1.4 Administrative Controls & Monitoring One Stop Certification 20 CFR 678.800(d) One Stop Certification Local WDBs must assess at least once every 3 years the effectiveness, physical and programmatic accessibility, and continuous improvement of one-stop centers and the one-stop delivery systems ESD Policy 5612 Section 3. Policy item b. One-Stop Evaluation and Certification Frequency One-stop sites will be evaluated and certified no less than once every three years. ESD Policy 5612 In support of the goals of continuous improvement of the one-stop delivery system, on at least an annual basis each certified site will provide a report detailing the progress toward reaching higher standards set out in the certification criteria and this information will be provided to the Local Workforce Development Board. 14

Monitoring Tool 1.4 Administrative Controls & Monitoring One Stop Certification What is the LWDB s current process of reviewing the effectiveness, accessibility, and improvement of their One-Stop centers? Does the certification process take place at least once every 3 years? Have the certified sites in the local area provided annual reports detailing the progress toward reaching higher standards set out in the certification criteria ? Did the LWDB establish additional criteria and set higher standards for service coordination than those set by the State and if so, what are they? 15

Monitoring Tool 1.4 Administrative Controls & Monitoring One Stop Certification One Stop Certification Determinations Pre-Monitoring Questionnaire MOU to confirm site designations conform to description of services provided Confirm services described on website and in other readily available public documents (brochures, fliers, posters) are those required by the level of certification of the site. Evidence of annual report for each certified site being provided to the LWDB 16

Monitoring Tool 1.5 Internal Controls No changes this year 1.6 Cash and Financial Management No changes this year 17

Monitoring Tool 1.7 Procurement and Contracts Review scopes of work in subrecipient contracts to confirm that they do not have exit goals based on the program year 18

Monitoring Tool No Changes 1.8 Cost Allocation Plan or Rate 1.9 Property and Inventory (most LWDBs won t have this reviewed this year) 1.10 Single Audit 1.11 Personnel 1.12 Grievance and Complaint 1.13 Incumbent worker (if it applies) Discretionary Tools Increased Employment (Rapid Response) Economic Security for All (Federal and State) Opioid Emergency Grants National Disaster Recovery DW National Emergency Recovery DW 19

Questions? 20

Questionnaire Document 21

Questionnaire Document Contact Information 22

Questionnaire Document One Stop Certification 23

Questionnaire Document State Economic Security for All (EcSA) 24

Questionnaire Document Program Questions List names of staff who attended the annual ESD statewide data validation training as required in ESD Policy 1003, Revision 2. Describe how you track the following enrollment caps: a) Exemption from low-income requirement. Per WIOA Section 129(a)(3)(B) and 20 CFR 681.250, in any single program year, no more than five percent of a local area s total youth participants can be those who are not low-income despite the low-income eligibility requirement (In-School Youth or Out-of- School Youth in Category 3 or 8). b) Limitation on In-School Youth requiring additional assistance. Per WIOA Section 129(a)(3)(B), in any single program year, no more than five percent of a local area s total In-School Youth participants can be those who require additional assistance to complete an educational program or to secure or hold employment (Category 7). 25

Questions? 26

Items Requested in Advance 27

Items Requested in Advance Calendar 28

Items Requested in Advance 1.6 Cash and Financial Management 29

Items Requested in Advance 1.6 Cash and Financial Management Monitoring Unit will identify specific draws or months by program and request the following financial documents, prior to the review. Please indicate your preference by selecting one of the two options below. Option 1: Selected Draws for each grant (draws to be identified) Detailed General Ledger of transactions by grant OR Option 2: Selected Months for each grant (months to be identified) Detailed General Ledger of transactions by grant Understanding that accounting systems vary, each board will be given the option of providing the list of transactions from specific months or from specific draws identified by the Monitoring Unit. For each transaction sampled, the Monitoring Unit will review source documentation and allocation method, if applicable. Both processes will test allowability, allocation, and reasonableness of transactions sampled. 30

Questions? 31

General Process & Timeline 32

General Timeline Monitoring Unit will: Download items from SFT site Review Questionnaire Review Items Requested in Advance Return all sampled lists to LWDB About 2 weeks prior to review week Draw Samples/Personnel/Procurements & Contracts/Property & Inventory (if applicable) Entrance Letter 6 Weeks prior to scheduled date 3 Weeks to respond Return Pre-Monitoring Questionnaire Items Requested in Advanced Upload items to SFT site 33

Questions? 34

Contact Us Workforce Monitoring Unit Employment System Policy and Integrity (ESPI) Employment Security Department workforcemonitoring@esd.wa.gov Website: https://wpc.wa.gov/monitoring 35

Thank you! 36