TITLE 11 LABOR AND
WORKERS’ COMPENSATION
CHAPTER 2 JOB TRAINING
PART 19 WORKFORCE INNOVATION AND
OPPORTUNITY ACT OVERSIGHT AND MONITORING
11.2.19.1 ISSUING AGENCY: New Mexico Department of Workforce
Solutions (DWS)
[11.2.19.1
NMAC - N, 7/1/2018]
11.2.19.2 SCOPE: State workforce development
board (state board), department of workforce solutions (DWS), chief elected
officials (CEOs), local workforce development boards (local boards), local
workforce system administrative entities (local administrative entities),
workforce system sub-recipients and workforce system partners.
[11.2.19.2
NMAC - N, 7/1/2018]
11.2.19.3 STATUTORY
AUTHORITY: Title
I of the Workforce Innovation and Opportunity Act (WIOA), 29 U.S.C. Chapter 32, Subchapter I; and NMSA 1978,
Section 50-14-1 et seq.
[11.2.19.3
NMAC - N, 7/1/2018]
11.2.19.4 DURATION: Permanent.
[11.2.19.4
NMAC - N, 7/1/2018]
11.2.19.5 EFFECTIVE DATE: July
1, 2018, unless a later date is cited at the end of a section.
[11.2.19.5
NMAC - N, 7/1/2018]
11.2.19.6 OBJECTIVE: To
provide comprehensive guidelines for local boards, sub-recipients, and contract
service providers, on the monitoring and procedures to be used by DWS to
oversee the appropriate administration of WIOA formula funds in New Mexico,
including roles and responsibilities of affected entities.
[11.2.19.6
NMAC - N, 7/1/2018]
11.2.19.7 STATE MONITORING AUTHORITY, PURPOSE, AND COMPLIANCE
A. Purpose.
The purpose of monitoring activities is to identify strengths and
weaknesses in the program operations and minimize risk for local boards. Monitoring also serves as a way to provide
technical assistance and resources to the local boards as they are held
accountable for the appropriate and effective expenditure of funds, as well as
the scope of activities associated with the implementation of WIOA.
B. Oversight roles and responsibilities. Recipients and sub-recipients of federal
financial assistance awarded under Title I of WIOA and the Wagner-Peyser Act must conduct regular oversight and monitoring of
its WIOA and Wagner-Peyser Act programs and those of
its sub-recipients and contractors as required under Title I of WIOA and the
Wagner-Peyser Act, as well as under Section 2 CFR
200, including 2 CFR 200.327, 200.328, 200.330, 200.331, and 2 CFR 2900, in
order to:
(1) determine that expenditures have been made within the proper
cost categories and within the cost limitations specified in WIOA and related
federal regulations;
(2) determine whether there is compliance with WIOA provisions,
related federal regulation, and other applicable laws and regulations;
(3) assure compliance with Section 2 CFR 200; and
(4) determine compliance with the nondiscrimination, disability,
and equal opportunity requirements of Section 188 of WIOA, including the Assistive
Technology Act of 1998 (USC 3003).
C. State monitoring authority. DWS is required to monitor the fiscal and
program activities of sub-recipients, which include the local boards, as well as
their contractors, i.e. service providers and one-stop operators to ensure the
integrity and compliance with WIOA, and related federal regulations.
D. Compliance
requirements. Sub-recipients and
contract service providers shall comply with all required program and fiscal
monitoring activities including site visits, document review, requests for
information, and any other information necessary in order to determine
sub-recipient and contract service provider compliance or performance. Failure to comply with this requirement will
result in corrective action and possible sanctions pursuant to 11.2.20 NMAC.
E. Access to records
and personnel.
(1) Access
to records. DWS, or its authorized
representative, has the right of timely access to any hard copy or electronic
document or communication, or any other record of sub-recipients or contract
service providers that are pertinent to the receipt and use of any funds
administered by DWS. DWS, or its
authorized representative, is also permitted to make any necessary copies,
transcripts, etc. in accordance with its monitoring activities.
(2) Access
to personnel. The right of access also
includes timely access to sub-recipient and contract service provider personnel
for the purpose of interview and discussion related to such documents.
(3) Record
retention. In accordance with Section 29
CFR 97.42, the right of access is not limited to any required retention period
but will last as long as the records are retained. Electronic or hard copy documents obtained
during a monitoring review will be secured appropriately. All monitoring records shall be retained for
a period of three years or, in cases of any litigation, claim, negotiation,
audit, or other action involving the records has been started before the expiration
of the three year period, the records shall be retained until completion of the
action and resolution of all issues which arise.
[11.2.19.7
NMAC - N, 7/1/2018]
11.2.19.8 LOCAL
BOARD SELF-MONITORING: Sub-recipients are also required
to monitor their own grant-supported activities to include the development of
local-level monitoring plans, tools, and processes.
A. Written procedures. Sub-recipients under WIOA Title I, must have
written monitoring and resolution procedures in place that are consistent with
Section 2 CFR part 200 to be used in monitoring both program and fiscal
operations. In addition, sub-recipients
and contract service providers shall develop their own local-level monitoring
plan that includes:
(1) the schedule or timetable for monitoring WIOA funded
activities; and
(2) identification of the type of review planned, such as
on-site review, comparative financial
analysis,
desk review, staff analysis, or other type of appropriate review.
B. Monitoring Controls. To ensure comprehensive and effective
monitoring, sub-recipients and contract service providers must adhere to the
following:
(1) require periodic reports from their contract service
providers outlining monitoring reviews, noncompliance issues, and the status of
corrective actions;
(2) ensure
that a briefing regarding monitoring activities and findings is provided to the
local board or appropriate local board subcommittee at regularly scheduled
meetings and that this briefing is documented; and
(3) perform an annual evaluation of the monitoring function to
determine its effectiveness.
C. Reporting and resolution requirements. Sub-recipients and contract service providers
shall ensure monitoring reports identify instances of noncompliance with
applicable federal, state, and local laws, regulations, contract provisions or
grant agreements, policies, and official directives, and provide
recommendations for corrective action and program quality enhancements. Sub-recipients and contract service providers
shall ensure that timelines are established for the completion of corrective
action based on the severity of the deficiency, and shall work with the
contract service providers to ensure implementation of corrective action. Timelines shall support prompt correction of any
instances of noncompliance.
Sub-recipients and contract service providers shall ensure that a copy of all monitoring reports are made available to all
local board members.
[11.2.19.8
NMAC - N, 7/1/2018]
11.2.19.9 MONITORING REVIEW
ELEMENTS:
A. Self
and risk assessments. The monitoring
process begins with an assessment of the overall health of the WIOA program to
assist DWS in determining each local board’s level of risk and serves as
guidance for setting monitoring focus and priorities.
B. Monitoring reviews. The types of reviews that can be conducted
include annual onsite monitoring reviews and quarterly desk reviews, both
fiscal and programmatic with timeframes set by DWS.
(1) Annual
onsite monitoring reviews. State
monitors may conduct two kinds of onsite monitoring reviews of each local board
annually at the mid program-year mark, which includes an annual fiscal review
and an annual programmatic review. The
purpose of these reviews is to identify the strengths and weaknesses of local
board implementation of WIOA.
(2) Desk
Reviews. State monitors may conduct two
kinds of desk reviews of local boards, which includes
a quarterly fiscal review and a quarterly programmatic review. The reviews are designed to identify any issues
with the local board’s fiscal or administrative controls, programmatic
operations, and are intended to ensure that these issues are addressed timely.
C. Monitoring
reports. When preparing for and
performing monitoring reviews, monitors will use a set of monitoring tools to
guide their review work activities. Upon
completion of monitoring activities, the monitor will begin work on, and issue,
a detailed monitoring report which will be sent electronically to the
appropriate local elected official(s) and administrator(s) within 30 days of
the completion of the evaluation period.
The report will identify issues, policies, or practices that are
noncompliant with program standards or other WIOA-related regulations. These observations are risk areas (i.e. areas
of concern or findings) that if not corrected, could lead to an area of
noncompliance in future monitoring reviews.
Findings will include citations for laws, rules, or policies that are
out of compliance, and the corresponding corrective actions and recommendations
that are required. The report will also
include any local board strengths identified by the monitor worth noting, as
well as any best practices or technical assistance information the monitor determines
may be beneficial to the local board.
D. State monitoring outcomes. Findings can result in the development of a
detailed corrective action plan, the provision of technical assistance, or
other means by which the deficiencies identified during the evaluation and
monitoring period shall be addressed.
The requirements for corrective action can be found pursuant to Section
20 CFR 683 and 11.2.20 NMAC. Likewise,
exceptional performance, as determined by DWS, can lead to incentives as noted
in 11.2.20 NMAC.
E. Review
follow-ups. State monitors will
conduct follow-ups to verify the completion of required or recommended
corrective action activities within the timeframes communicated through the
state monitoring manual. This will
ensure that any lingering monitoring findings throughout the program year have
been resolved, or that a robust corrective action plan is in place for the
resolution of those items as appropriate.
Follow-up reviews revealing failed compliance will be documented in a
formal report to DWS for determination of appropriate sanctions.
[11.2.19.9 NMAC - N, 7/1/2018]
11.2.19.10 TECHNICAL ASSISTANCE: Technical assistance is an
ongoing activity vital to addressing performance and encouraging an environment
of continuous improvement. DWS will proactively
assist local boards by issuing policy guidance, sharing of best practices, and
will work to resolve operational issues as they arise. DWS will also provide guidance and assistance
to highlight areas that are working well.
Monitors will also be offering technical assistance as a part of the
annual onsite monitoring review process, as needed.
[11.2.19.10 NMAC - N, 7/1/2018]
11.2.19.11 INCENTIVES:
Clean monitoring reports (i.e. no findings), exceptional performance
outcomes (i.e. more than one hundred percent of the local negotiated
performance level), or demonstrated tangible positive outcomes of innovative
service strategies, as determined by DWS, can result in the local board’s
receipt of an incentive award.
Incentives will emphasize accountability, high performance, seamlessness
and continuous improvement, supporting New Mexico in achieving its workforce
development goals. DWS will annually
determine the total amount of funds to be awarded from funds available. State technical guidance will be used to
address the process for the administration of incentive awards in accordance
with WIOA and federal regulations.
[11.2.19.11 NMAC - N, 7/1/2018]
HISTORY OF 11.2.19 NMAC:
History of Repealed Material:
11.2.10
NMAC, Workforce Investment Act (WIA) Oversight and Monitoring, filed 6-16-2000
- Repealed effective 8-15-2012.
11.2.19
NMAC, Workforce Investment Act (WIA) On-the-Job Training, filed 12-15-2005 -
Repealed effective 8-15-2012.
11.2.19
NMAC, Workforce Investment Act (WIA) On-the-Job Training, filed 8-15-2012 -
Repealed effective 7-1-2018.