1. What You Need to Know About Shared Monitoring
May 30, 2019
What You Need to Know About Shared Monitoring
An internal training for OCTAE, RSA, ETA, and TANF staff

2. What agency do you work for?
ETA
OCTAE
TANF
RSA

3. Amanda Ahlstrand
ETA
LaMonica Shelton
ACF

4. Cheryl Keenan
OCTAE
Chris Pope
RSA

5. Rose Zibert
ETA
Shannon Moler
RSA

6. 1. Yay—we made it!—LaMonica Shelton and Amanda Ahlstrand
2. How did we get here?—Cheryl Keenan
3. The Shared Monitoring Tool—Chris Pope
4. Standard Operating Procedures—Rose Zibert
5. Share Point—Shannon Moler
6. Q & A--All

7. 1 Yay—We Made It! The agencies made it happen because it made sense.
States have expressed interest in our progress, and support federal efforts aimed at consistency.
Lots of work—and we are only getting started.

8. Webinar Goals 1
Create a working knowledge of WIOA Shared Monitoring Guide
Facilitate consistent use of standard operating procedures to implement a shared monitoring process
Share plans for creating the WIOA Monitoring Share Point and gather feedback

9. How did we get here? 2
Workgroup Charge: Figure out how to approach monitoring of joint requirements in Title I-A
Consistency of the monitoring experience for States
Continued federal messaging about the importance of partner collaboration

10. Early Acknowledgements2
Federal programs have established monitoring procedures grounded in larger agency policy
Approaches vary across departments
ED monitoring highly centralized and carried out by HQ staff
DOL monitoring is decentralized and carried out at regional level
HHS dependent on audit reports

11. Early Decisions Lay Framework2
Departments will maintain current approaches to monitoring their respective programs
New protocols (aka Shared Monitoring Guide) focusing on joint requirements will be developed collaboratively among partners
Departments will have flexibility incorporating the new protocols into established monitoring practices
Standards for communicating on joint requirements will be collaboratively established

12. WIOA Shared Monitoring Guide3
Qualitative Questions
Determine where the State has had success in partnering and to determine areas that may need strengthening.
Determine where coordination is crucial, but does not occur or is limited.
Listen when more than one partner identifies a concern.
Consider whether any issues need a Federal, State, or local resolution.
Consider how lack of partnerships may lead to gaps in participant or business services.
Compliance Questions
Rooted in statutory requirements, the Joint WIOA Final Rule, or the DOL-only Final Rule.

13. WIOA Shared Monitoring Guide3
The Guide consists of four main sections:
1. WIOA Partnership
Only qualitative questions
2. Governance
Both qualitative and compliance questions
3. One-Stop Operations
4. Performance Accountability
What about Strategic Planning (WIOA State Plans)?

14. WIOA Shared Monitoring Guide3
1. WIOA Partnership
Describe how the State engages with businesses and other stakeholders in partnerships for the purposes of unified planning, career pathway development and apprenticeships, sector strategies, or other related workforce development activities.
What mechanisms are in place to support and maintain partnerships? Does the membership have clearly defined roles through an established charter, partnership agreement or MOU (beyond those required in WIOA)? Are there feedback mechanisms in place?

15. WIOA Shared Monitoring Guide3
2. Governance
SWDB Membership
SWDB Functions
LWDB Membership
LWDB Functions
Local Plan
Regional Plan
Note that these topics are contained in the DOL-only Final Rule; therefore, enforcement rests with ETA.

16. WIOA Shared Monitoring Guide3
3. One-Stop Operations
One-Stop Partner Roles and Responsibilities
Memoranda of Understanding
One-Stop Infrastructure Cost Funding
Accessibility/One-Stop Certification
Common Identifier
4. Performance Accountability
Performance Accountability topics (e.g., effectiveness in serving employers, co-enrollment)
Data Sharing and Matching

17. WIOA Shared Monitoring Guide3
Compliance Findings vs. Technical Assistance
Underlying this is the importance of Federal interagency sharing before, during, and after monitoring reviews.
Federal
Agency
WIOA Partnership
Governance
One-Stop Operations
Performance
Accountability
Qualitative Questions
ETA TA
Compliance Finding or TA
OCTAE
RSA

18. WIOA Shared Monitoring Guide3
Compliance Findings vs. Technical Assistance
Issues resulting from compliance questions may lead ETA, OCTAE, and RSA to issue a compliance finding or provide technical assistance.
Issues resulting from qualitative questions may lead ETA, OCTAE, and RSA to provide technical assistance.
ETA, OCTAE, and RSA may issue compliance findings or technical assistance related to topics in One-Stop Operations or Performance Accountability.
ETA may issue compliance findings or technical assistance related to topics in Governance while OCTAE and RSA would only document these issues as technical assistance (e.g., SWDB membership).

19. 4 SOPs Procedures for use when monitoring Applies to:
ETA: AD, DW, Youth; WP Employment Service
OCTAE: AEFLA
RSA: VR
Note: may be used by Federal Required One-Stop Partner Programs
Scope: Areas in WIOA Shared Monitoring Guide
Effective as of July 1, 2018

20. Pilot 4
Implement
Collect feedback
Tweak, as necessary

21. 4 Five Stages Phase One: Sharing Information in the Common Space
Phase Two: Pre-Visit Coordination
Phase Three: On-Site Consultation
Phase Four: Post-Visit Sharing of Findings, Reports, and TA Summaries
Phase Five: Follow-up After Report is Issued

22. Phase One: Sharing Information in the Common Space4
Procedures for making information available.
Post information to electronic repository
Documents Include:
Contact List
Monitoring Plan
Monitoring Reports & CAPs
Note: may include other relevant documents

23. Phase Two: Pre-Visit Coordination4
Procedures for preparing for a monitoring review.
Review other Core Programs Monitoring Plan
Review other Core Programs Information related to Monitoring
Arrange a call with a Core Program if further discussion of information is warranted.

24. Phase Three: On-Site Consultation4
Procedures for contacting a Core Program while on-site, if consultation is needed.
If Reviewing Agency obtains information that requires clarification while on-site, the Reviewing Agency will contact the relevant Core Program POC.
Core Program POC or designee will respond within 24 hours.

25. Phase Four: Post-Visit Sharing of Drafts & Final Reports4
Procedure for post-visit sharing of draft findings and TA summaries, and final monitoring reports.
Reviewing Agency will relevant draft findings to Core Program POCs for review, comment, and concurrence PRIOR TO issuing report.
Core Program POCs will respond within 10 business days (provides concurrence or disagreement).

26. Phase Four: Post-Visit Sharing of Drafts & Final Reports4
If a Core Program POC does not concur, a meeting to discuss the finding should be scheduled within the next 10 business days.
Note: Agreement among the Core Programs must be reached before Reviewing Agency may issue report.

27. Phase Four: Post-Visit Sharing of Drafts & Final Reports4
Procedures for sharing final monitoring reports with no findings based on the Joint WIOA Final Rule.
Within 7 business days of issuing report, Reviewing Agency will post report to electronic repository.
Within 10 business days of issuing final report, Reviewing Agency will notify Federal Core Program POCs and share report via link or as an attachment.

28. Phase Four: Post-Visit Sharing of Drafts & Final Reports (continued)4
Procedures for how to finalize TA summaries & recommendations.
The Reviewing Agency will draft a TA summary and share it with the relevant Core Program POC for review and concurrence.
Within 10 business days, Core Program POC provides concurrence or disagreement.
Consensus must be reached before the Reviewing Agency may include it in its monitoring report.

29. Phase Five: Follow-up After Report is Issued4
Procedures for how Reviewing Agency will remedy compliance findings and determine if joint TA is warranted.
Reviewing Agency will follow its established procedures to implement a Corrective Action Plan (CAP).
If joint actions by Core Programs is appropriate, the Reviewing Agency will coordinate joint TA.
Reviewing Agency will inform Core Partner Programs when CAP is closed.

30. SharePoint for Monitoring5
Folders for each state and territory will be built in the agreed-to structure.

31. SharePoint for Monitoring5
WIOA partners will provide OCTAE with the names and s of the staff who need to be invited to the SharePoint for Monitoring. 
OCTAE will then send out the invites to interagency federal staff to access the SharePoint.

32. SharePoint for Monitoring5
OCTAE will also send a separate to invitees about saving the invite so that staff log on properly each time. 
State Plan users previously tried to bookmark the SharePoint folder and found that it did not work due to two-factor authentication.