1. New Grantee Orientation Webinar Series Is Your House in Order?: Preparing for the Compliance Visit October 29 th 2012; 2:00 - 3:00 PM (EDT)

2. 2 Is Your House in Order?: Preparing for the Compliance Visit Moderator Toni Wilson National Liaison U.S. Department of Labor

3. 3 Is Your House in Order?: Preparing for the Compliance Visit Presenter Chantel Devaughn DOL YouthBuild Coach YouthBuild USA

4. 4 Is Your House in Order?: Preparing for the Compliance Visit  Create cohesion –Planning and development  Standardize processes –Staffing –Resource and budget allocation –Program management  Measure and monitor success –Implementation and management –Monitoring and evaluation Ready, Set, Systems!

5. 5 Is Your House in Order?: Preparing for the Compliance Visit Ready, Set, Systems!  Create cohesion –Planning and development  Standardize processes –Staffing –Resource and budget allocation –Program management  Measure and monitor success –Implementation and management –Monitoring and evaluation  Have Standard Operating Proced ures (SOP’s)  Be prepared to always show accountability

6. 6 Is Your House in Order?: Preparing for the Compliance Visit  Program policies & procedures manual  Fiscal policies & procedures manual  Participant or student handbook  Organizational chart  Regular staff meetings & program evaluations  Program activity calendar/schedule  Memoranda of understanding/ service agreements with key partners  Regular meetings with key partners Design & Governance Quality Indicators

7. 7 Is Your House in Order?: Preparing for the Compliance Visit  Develop integrated relationships with: –Local workforce development system (WIB’s, Youth Council, One Stops) –Business and industry representatives (employers, chambers, unions, associations) –Education and training providers (4-year colleges and universities, community colleges, trade schools, vocational training institutions, skill centers and adult education providers) Design and Governance Quality Indicators

8. 8 Is Your House in Order?: Preparing for the Compliance Visit  Administrative controls  Personnel  Civil rights  Sustainability  Match requirements  Equipment  Procurement  Audit and audit resolution  Reporting systems Program and Grant Management Systems

9. 9 Is Your House in Order?: Preparing for the Compliance Visit  Develop an internal budget (not just the SF424) and review with program staff  Ensure fiscal staff have a thorough understanding of the YouthBuild program and its operations  Hold regular meetings between program and fiscal staff  Understand the frequency and timing of draws and whether it is an allowable cost Budget Controls

10. 10 Is Your House in Order?: Preparing for the Compliance Visit  Must reflect statement of work plan  Allocate adequate funds for: –Staff training and professional development –Travel costs (e.g. DOL learning exchanges) –Fringe benefits (e.g. vacation, accrual, salary increases) –Participant incentives and supportive services  Include line items based on a comprehensive plan for retention and follow-up  Recalibrate based on program adjustments Budget

11. 11 Is Your House in Order?: Preparing for the Compliance Visit  Develop a process for planned vs. actual cost analysis and projections  Include a timely process to compare actual expenditures to approved line items  Create a balance between spending at a consistent rate and in accordance to program flow  Be able to project spending rate and spend down within the grant period Cost Projection and Rebalancing

12. 12 Is Your House in Order?: Preparing for the Compliance Visit  Critical function and impacts future sustainability  Financial reports should be: –Accurate –Timely –Truthful –Inclusive of sub-recipient information –Aligned with policies and procedures  Integrity of data should be checked and verified (develop a system of checks and balances) Financial Reporting

13. 13 Is Your House in Order?: Preparing for the Compliance Visit Statement of Work  Share the vision with staff  Establish roles and responsibilities  Define operational procedures (e.g. program protocol, decision-making, reporting process, style, deadlines)  Identify mutual accountability practices (e.g. resolving conflict, program adjustments)  Share progress reports (e.g. achievement benchmarks, completion rates)

14. 14 Is Your House in Order?: Preparing for the Compliance Visit  Ensure performance measures are met  Execute a clear and accountable sub-contract  Ensure performance measures, benchmarks, and timelines are outlined and understood by both parties  Develop an internal reporting system for: –Documenting performance –Program monitoring and audit plan  Devise a procedure to address under-performing sub-contractors Sub-recipient Performance

15. 15 Is Your House in Order?: Preparing for the Compliance Visit  Reports on services provided  Planned levels of performance  Regular internal reviews Essential Tools

16. 16 Is Your House in Order?: Preparing for the Compliance Visit  Track whether your program is meeting or exceeding performance outcomes  Project grant end performance using current outcomes  Hold sub-recipients accountable for their performance Items for Regular Monitoring

17. 17 Is Your House in Order?: Preparing for the Compliance Visit  Service Design http://www.youtube.com/watch?v=UzJ5U Hwxf_E&list=PL2664D2506BF42857&inde x=3&feature=plpp_video http://www.youtube.com/watch?v=UzJ5U Hwxf_E&list=PL2664D2506BF42857&inde x=3&feature=plpp_video  Play clip.18 – 2:34 Design and Governance

18. 18 Is Your House in Order?: Preparing for the Compliance Visit “Is Your House in Order?” Video Series The complete series is available on the Community of Practice (CoP) under e-Learning Series. Resources

19. 19 Is Your House in Order?: Preparing for the Compliance Visit Please enter your questions into the Chat Room! Question and Answer Period

20. 20 Is Your House in Order?: Preparing for the Compliance Visit Speakers’ Contact Information Presenter: Chantel Devaughn  Email: cdevaughn@strattrack.com

21. 21 Is Your House in Order?: Preparing for the Compliance Visit Access to Webinar Resources WEBINAR RESOURCES: Recordings and transcripts are available within 2 business days after the event.

22. 22 Is Your House in Order?: Preparing for the Compliance Visit www.workforce3one.org For more information about the Workforce Investment System:  Visit www.careeronestop.orgwww.careeronestop.org  Call 1-877-US2-JOBS