1 Workforce Investment Act Methods of Administration Two-Year Recertification Presenters: Julia Mankata-Tamakloe, Chief of the Office of Compliance Assistance and Planning, Civil Rights Center, OASAM, USDOL Gregory Shaw, Consultant        

2 Workshop Goals The goal of this workshop is to provide information that will facilitate a smooth and problem free recertification of your State’s MOA by: Reviewing the 2-year certification requirement; Discussing the CRC recertification process; Describing common problems in recertification submissions; and Offering advice and guidance.

3 Workforce Investment Act Methods of Administration The Recertification Requirement

4 Two-Year Recertification Regulatory RequirementCRC Practice 29 CFR Part 37.55(c) Every two years from the date on which the initial MOA is submitted to the Director under § 37.55(a)(2), the Governor must review the Methods of Administration and the manner in which it has been implemented, and determine whether any changes are necessary in order for the State to comply fully and effectively with the nondiscrimination and EO provisions of WIA and part 37. CRC triggers the two year recertification submission from the date of the State’s last MOA recertification, not the date on which the initial MOA is submitted to the Director.

5 Two-Year Recertification Regulatory RequirementCRC Practice 29 CFR Part 37.55(c) (1) If any such changes are necessary, the Governor must make the appropriate changes and submit them, in writing, to the Director. Generally, accepts the determination of the State on what changes in policies, procedures, or systems are necessary in order for the State to comply fully and effectively with the nondiscrimination and EO provisions of WIA and part 37.

6 Two-Year Recertification Regulatory RequirementCRC Practice 29 CFR Part 37.55(c) (2) If the Governor determines that no such changes are necessary, s/he must certify, in writing, to the Director that the Methods of Administration previously submitted continues in effect. Generally, accepts the determination of the State that no changes in policies, procedures, or systems are necessary and that the MOA previously submitted continues in effect.

7 The Recertification Process State submits recertification to CRC CRC acknowledges receipt. If letter of self- certification. CRC accepts self- certification and issues recertification letter. CRC does not accept self- certification and requests specific changes. CRC reviews changes. State is requested to make changes. State makes changes and resubmits. CRC reviews changes. CRC accepts changes and issues recertification letter.

8 Workforce Investment Act Methods of Administration Recertification Submissions: Common Problems

9 Common ProblemAdvice Recertification submission not signed by the Governor or the Governor’s officially designated signature official. The recertification letter must be signed by the Governor. The Governor may, in writing to the Director, delegate the signature authority. General

10 Common ProblemAdvice Failed to timely submit request for recertification. It is the State’s responsibility, not the Civil Rights Center, to remember the MOA recertification date. Failure to submit could result in the issuance of a Notice to Show Cause to the Governor. General

11 Common ProblemAdvice Submission of changes in loose leaf papers (unorganized). Submissions are to be arranged in in order by element, and tabs used within each element. Recommend putting the submission in a binder. General

12 Common ProblemAdvice Submission of letter certifying no changes, when it is well known that changes have occurred. Be truthful and to the point rather than evasive. General

13 Common ProblemAdvice Submitting documents with name of another State. It’s okay to adopt another State’s documents or procedures, but use “white out” before copying. General

14 Review of the MOA Elements 1. Designation of Equal Opportunity Officers 2. Equal Opportunity Notice & Communication 3. Review of Contracts & Agreements 4. Universal Access 5. Compliance with Section Data Collection & Recordkeeping 7. Monitoring 8. Compliant Processing Procedures 9. Corrective Actions/Sanctions Procedures

15 Common ProblemAdvice Generally, MOAs do not describe a practice or procedure of reviewing local area EO Officer designations for compliance, and local EO Officer contact information is not kept current. Don’t just accept the designation made by the local area. Review the person designated against the regulatory requirements and keep current the local EO Officer contact information that is on file with CRC. MOA Element 1 – Designation of Equal Opportunity Officers

16 Common ProblemAdvice State and local EO Officer reporting relationships constitute or give the appearance of a conflict of interest. 1.EO Officer reporting to the Human Resource Director/Manager is not preferred. 2.EO Officer reporting to the General Counsel or similar official is not compliant. MOA Element 1 – Designation of Equal Opportunity Officers

17 Common ProblemAdvice MOAs don’t contain updates that reflect the integration of technology into organizations and the workforce system. Update MOA to encompass such areas as websites, electronic presentations, and audio and video broadcast. MOA Element 2 – Equal Opportunity Notice & Communication

18 Common ProblemAdvice None.Generally, MOAs have achieved adequacy in describing the contracting procedure of incorporating the required assurance language, and having measures in place to ensure local areas do the same. MOA Element 3 – Review of Contracts & Agreements

19 Common ProblemAdvice Generally, MOA narratives have been minimally acceptable. Many States have updated their MOA to better articulated policies, procedures, and practices of local areas regarding community and customer outreach. Use the knowledge gained from LEP and disability self- assessments to strengthen workforce systems to ensure that no class of people are denied services, or excluded from participation. MOA Element 4 – Universal Access

20 Common ProblemAdvice MOA narratives have been satisfactory to meet minimum requirements based on paper review. Updates are not being made by as many States as anticipated. Use the knowledge gained from the use of the Section 188 Disability Checklist, Disability Work Incentive grants, and Disability Navigator Initiative to strengthen the narrative and documentation for this MOA element. MOA Element 5 – Compliance with Section 504

21 Common ProblemAdvice None. Keep current on DOL/ETA’s data collection and evaluation system. Make sure that procedures, not only exist, but are adhered to regard the handling and retention of medical records. Year after year reporting of zero complaints filed suggests that you look at your procedures for collecting and recording this data. MOA Element 6 – Data Collection & Recordkeeping

22 Common ProblemAdvice MOA narratives have been satisfactory to meet minimum requirements based on paper review. Use the knowledge gained over the past years to enhance monitoring strategy and methods. Give particular emphasis to statistical analyses of services to customers, and process analyses of procedures. MOA Element 7 – Monitoring

23 Common ProblemAdvice States don’t communicate a management plan when the complaint process has been delegated to local areas. Also, narratives generally don’t speak about training efforts to ensure that those with the responsibility for handling complaints have the necessary competencies. For those States where the complaint process has been delegated to local areas, describe the practice followed by the State in oversight of the complaint process. Commit to a training plan in the area of complaint handling and investigating. MOA Element 8 – Compliant Processing Procedures

24 Common ProblemAdvice Narrative sometimes failed to connect with MOA Element 7 – Monitoring. Ensure that corrective actions are associated with all monitoring findings. Also ensure that follow-up is done to see that the corrective action required was taken and that the action taken was satisfactory. MOA Element 9 – Corrective Actions/Sanctions Procedures

25 Question & Answer PERIOD Seek compliance assistance from the Civil Rights Center early and often.