Element VII

Monitor Recipients for Compliance (29 CFR §38.54(d)(2)(ii))

 

The system for evaluating the extent to which recipients are complying with the administrative obligations of 29 CFR part 38, including, but not limited to:  

          

Assurances (See 29 CFR §38.20 through 38.22)

As previously noted, Utah is a single state service delivery system; therefore, there are no sub-state recipients.  As such, many of the following obligations and assurances are met in previous elements.  DWS’ ECs, ESCs, and administrative offices are monitored following the DWS Management Evaluation schedule of one site per Service Area per year. The EO Officer conducts Statewide Monitoring and Compliance reviews on a periodic basis as well.  Monitoring includes data analysis for WIOA training programs and services, UI, and DWS employee demographic information, as well as on-site EC and administrative office reviews for accessibility and signage.  Staff interviews are also conducted as part of the reviews. 

Based on a previous CRC review, DWS is currently updating its monitoring program and process, data collection and analysis and monitoring schedule. The changes include the Unemployment Insurance data analysis and review, in compliance with the UIPL No. 11-14.

As part of the new monitoring process, on-site EC and ESC visits were conducted and will continue on a periodic basis. See the On-Site Visit Employee Interview Tool here.  Reviews of a sample of online job orders using the Job Order Quality Assurance Tools for self-service (online) and mediated (staff-assisted) job orders, a LEP review, DWS employee demographic data analysis review and site visit walk through are included in the EO monitoring plan.  Eligible Training Providers are reviewed at the time of application to receive WIOA funding.  Additionally, providers are required to provide a strategic plan for serving individuals with disabilities and persons who are limited English proficient.

Another piece of the new monitoring efforts to ensure that DWS is administering its programs and activities in a non-discriminatory way, will be a review of data collected by DWS, performed on a periodic basis by the Workforce Research and Analysis Division.  This review will provide a statistical analysis of the data collected and will include an analysis by race/ethnicity, sex, age and disability status for the EO Officer’s review.  This analysis will employ proportional sampling and difference tests using Monte Carlo simulations to identify any instances of substantial divergence in determinations.  The proportional sampling and difference tests approach has been used by the department in the past to evaluate non-discrimination in the Unemployment Insurance program and was supported by special funding from the United States Department of Labor Employment and Training Administration.  This review will be conducted during the next statewide Equal Opportunity Review. 

 

Equal Opportunity Officers (See 29 CFR §38.23 through 37.28)

As noted in Element I, Ms. Parsons is the sole EO Officer for the State of Utah Department of Workforce Services with EO contact persons serving as EO points of contact with the ECs and the ESCs.

 

Notice and Communication.  (See 29 CFR §38.29 through 38.36)

The EO Officer includes a review of signage, electronic customer files and other forms of the EO notice and communication in the annual monitoring reviews.

 

Data and information collection and maintenance.  (See 29 CFR §38 through 38.41)

Data information collection and maintenance is reviewed during the periodic Statewide EO Reviews, as noted in Element VII.

                       

Universal access.  (See 29 CFR §37.42)

See Element IV.

 

Complaint processing procedures.  (See 29 CFR §38.70 through 38.80)

See Element VIII.

 

Performing the responsibilities assigned such recipients by the State through the MOA, such as conducting equal opportunity monitoring/evaluation reviews of applicants for and recipients of WIOA financial assistance (including monitoring assurances and programmatic and architectural accessibility).  

See Elements I and V.                         

                        

Imposing sanctions and corrective actions for violations noted by a recipient during its monitoring reviews.  

See Element IX.

 

Ensuring policy development, communication and training are carried out.

In addition to the monitoring conducted by the EO Officer, the DWS Quality Evaluation team conducts Management Evaluations (ME) on an annual basis.  These reviews include Civil Rights and accessibility, both programmatic and physical.  Also, at the federal level, Food and Nutrition Services conduct an onsite State Program Access Review and Local Program Access Review to look at accessibility issues.  Ms. Parsons is provided a copy of the ME reports and any corrective action plans.  Copies of the ME tools may be viewed here and here, as well as the most current ME report.

 

Ensuring that their programs and activities are operating in a nondiscriminatory manner and ensuring equal opportunity, including but not limited to conducting analysis, by race/ethnicity and sex, of program and employment activity, including but not limited to rates of application, placement, and termination, to determine if significant differences exist, and conducting follow-up monitoring to determine the cause of any such differences, through the analysis of the records of individual registrants, applicants, eligible applicants/registrants, employees and applicants for employment; interviews; and other appropriate techniques.  

As part of the monitoring and evaluation schedule, Ms. Parsons reviews the data reports provided by DWS’ Workforce Research and Analysis Division staff.  These reviews include analysis of the race/ethnicity, age, disability status and sex of all DWS customers enrolled in program and employment activities, placements and terminations. This information is coordinated with the outreach efforts of the DWS program specialists.

 

The procedures for reviewing recipients’ policies and procedures to ensure that the policies and procedures do not violate the prohibitions contained in 29 CFR §38.5 through 38.10.

The DWS EO Officer, Quality Control, and Contracts staff monitor for EO requirements and activities periodically.  Desk reviews as well as site reviews are conducted to ensure compliance with equal opportunity and nondiscrimination policies, and that appropriate training, communication, and signage are in place and maintained.

 

The written reports prepared for each review.  These reports must provide, among other things, that the results of the monitoring review will be made available to the recipients(s) reviewed.  

Comprehensive EO Monitoring Reviews are written and emailed to the DWS Executive Director, Deputies, and Senior staff.  Any concerns or recommendations for corrective action are addressed with time frames for responses duly noted. 

 

The involvement of the State and local level EO Officer(s) in conducting reviews.  Where EO monitoring is carried out by individuals other than the State or local level EO officer, the narrative should provide the names, titles, and organizations of those persons.  

As previously noted, the EO Officer is responsible for the majority of the EO compliance monitoring.

 

The procedure for determining which recipients are to be reviewed, the frequency of reviews of recipients, and the number of recipients to be reviewed per year.

Data reviews and analysis are a part of the overall comprehensive EO reviews.  All reviews are conducted periodically.  Recipients, such as training providers, will be randomly monitored on a rotational schedule to ensure all providers are monitored within a three-year period.