Program and Compliance Management

1. Program and Compliance Management V I R T U A L L Y Opening Session: PERSPECTIVES ON ACCOUNTABILITY

2. Outline Key Attributes Your Compliance Playbook The Forest, The Trees and Performance Management The Zen of Reporting Data, Data Everywhere

3. INTRODUCTION • Which of the following statements describes your thoughts/opinions about performance and performance data? • I get warm fuzzies • Performance accountability is my friend • I’d rather have root canal • I don’t think it’s meant to be understood • It’s something for techies, right?

4. Key Attributes of Accountability within the Framework of Program & Compliance Management

5. Universality • All levels, entities, individuals • Relativity • It’s all relative for all of the above

6. QuestionsBased on the Universality and Relativity of “Accountability” What’s another way of saying The National Context? The _i_ P_ _ t u _ _ B_ _ _ nd the S _ _ _ es What does Isaac Newton’s theory have to do with accountability? Accountability flows ___________.

7. The National Context Government Performance & Results Act of 1993 Applies to federal agencies but many implications for ___________ and ____________ Primary purpose to inform Congressional decision-making and institutionalize results-driven government Referenced often Funding decisions tied to performance outcomes based on solid data

8. A Universal Accountability Framework PROGRAM & COMPLIANCE MANAGEMENT

9. A Universal Accountability Framework Authorizing Statute with associated regs PROGRAM & COMPLIANCE MANAGEMENT

10. A Universal Accountability Framework Authorizing Statute with associated regs 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

11. A Universal Accountability Framework 2 CFR Formerly OMB Circulars Authorizing Statute with associated regs 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

12. A Universal Accountability Framework 2 CFR Formerly OMB Circulars Authorizing Statute with associated regs P.L. 107-288 (JVA) 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

13. A Universal Accountability Framework ETA Policies 2 CFR Formerly OMB Circulars Authorizing Statute with associated regs P.L. 107-288 (JVA) 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

14. A Universal Accountability Framework GRANT AGREEMENT ETA Policies 2 CFR Formerly OMB Circulars Authorizing Statute with associated regs P.L. 107-288 (JVA) 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

15. A Universal Accountability Framework SGA Solicitation for Grant Applications GRANT AGREEMENT ETA Policies 2 CFR Formerly OMB Circulars Authorizing Statute with associated regs P.L. 107-288 (JVA) 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

16. A Universal Accountability Framework OMB-Approved Reporting GRANT AGREEMENT SGA ETA Policies 2 CFR Formerly OMB Circulars Authorizing Statute with associated regs P.L. 107-288 (JVA) 29 CFR PROGRAM & COMPLIANCE MANAGEMENT

17. Your Compliance Playbook

18. Remember the Compliance Hierarchy • Statute • Regulations • Policy

19. Playbook Contents Not An Exhaustive List! • Statute • P.L. 105-220 (WIA) • P.L. 107-288 (JVA) • Regulations • 29 CFR Part 95 and Part 97 • 29 CFR Part 37 • 20 CFR Part 652, et al. (WIA Regs) • 2 CFR • Policy • Training and Employment Guidance Letters (TEGLs) • Training and Employment Notices (TENs) • http://wdr.doleta.gov/directives

20. State/Local Playbook “Extras” Local leadership further defines policy and procedural guidance based on all of the above and as appropriate

21. Reflections What’s your playbook status?

22. The Forest, The Trees and Performance Management

23. Fill in the Blanks • Performance _________ • Performance _________ • Performance _________ • __________ Management • __________ Management • __________ Management

24. Performance Management as Forest • …with lots of trees • Performance measurement • Data collection • Data analysis • Customer satisfaction surveying • Reporting results • Contract administration • Etc. • Translation: Performance measurement is part of performance management – they are not synonymous

25. Who Cares? Perceptions drive behavior The measurement aspect may be the purview of a few technical or MIS staff but the management aspect is everyone’s business – every staff person from the One-Stop ‘greeter’ to the Executive Director So whose performance is it anyway

26. The Bottom Line • From an organizational perspective (irrespective of “level”) we’re all responsible for grants management or program management or compliance management • From an individual perspective (irrespective of “level”) we’re all responsible for performance management

27. The Zen of Reporting

28. A 10,000 Foot View National Reports and Analyses

29. Every “One” Counts • From secretary to Secretary • Decisions, decisions . . . • Data entry – Timely and Accurate • Know your MIS • If you think you’re too small to make a difference, you’ve never been in bed with a mosquito

30. Program Reporting Summed Up • Who You’re Serving • What They’re Getting • With What Results

31. If it’s not reported, it never happened

32. The WIASRDWorkforce Investment Act Standardized Record Data • Individual records for current and former WIA participants submitted on quarterly basis • Basis of WIA aggregate reporting • TEGL 17-09 required for the first time quarterly records on participants, not just exiters • Affords unprecedented level of analysis

33. Quarterly WIASRD SubmissionsTEGL 17-09, 3/10/10, Page 2 • “With more timely detailed information, ETA will be able to perform more in-depth program analysis and assessment. Decisions will be better informed, and states will gain access to frequent updates on nationwide trends in participant characteristics, training, employment services, and outcomes.”

34. Caution: The WIASRD isn’t just for MIS, reporting or performance staff It’s the foundation for WIA accountability! (including data validation) It contains information program staff need (like definitions and their nuances) Some states put key aspects of the WIASRD into state program guidance (e.g., eligibility)

35. Data, Data Everywhere

36. Context is Critical “The bad news is, you do less work than anyone in this office. The good news is, you make the fewest mistakes.”

37. Garbage In Garbage Out • “The government is very keen on amassing statistics. They collect them, add them, raise them to the nth power, take the cube root, and prepare wonderful diagrams. But you must never forget that every one of these figures comes in the first instance from the village watchman, who just puts down what he pleases.” Question: Who’s the village watchman?

38. Caveat Emptor • Know the context and be an informed consumer of information • Our data tell a story; Your data tell a story • …so what does it say?

39. About The Workshops in this Conference Information that supports workforce development accountability, compliance and data management Findings/Concerns from data validation reviews highlighted National, Regional, State, Local WIASRD data discussed Etc.

40. We’ve Only Just Begun!

41. Accountability: A Universal Framework Appendix Approved Reporting Instructions SGA Grant Agreement ETA Policies Authorizing Statute 29 CFR OMB Circulars (2 CFR) Jobs for Veterans Act Program & Compliance Management

42. Authorizing Statute • In most cases, the Workforce Investment Act or WIA is the authorizing statute (Sec. 171 of WIA authorizes pilot and demonstration projects). Note that the WIA regulations would apply. • Earmark grants are authorized by appropriations legislation • 29 CFR (Code of Federal Regulations) • Parts 95 and 97 contain uniform administrative requirements (e.g., grantees are responsible for managing their projects, including sub-recipient activities and services; includes requirements pertaining to data collection and reporting) • Part 37 contains implementing regulations for the non-discrimination and equal opportunity provisions of WIA Sec. 188 • OMB Circulars • Includes cost principles (e.g., OMB Circular A-21 covers institutions of higher education) • Circulars now codified under 2 CFR • Jobs for Veterans Act • Public Law 107-288 pertains to all DOL-funded employment and training programs and establishes ‘priority of service’ for veterans and eligible spouses • ETA Policies • Training & Employment Guidance Letters (or TEGLs) covering a range of topics, including salary and bonus limitations (TEGL 5-06) and the definitions of key terms such as ‘participant’ and ‘exiter’ contained in TEGL 17-05 • SGA (Solicitation for Grant Application) • Contains grant-specific and/or program-specific information; grantees agree to provisions as condition of award receipt. (The SGA could clarify that certain activities and/or expenditures are unallowable for the particular grant.) • Grant Agreement • This is the agreement between USDOL and the grantee organization. It contains the Statement of Work (SOW) and performance expectations • Approved Reporting Instructions • The OMB-approved ETA 9130 is required of all USDOL/ETA grantees for quarterly financial reporting • Programmatic reporting is different across the core workforce programs (different reports for Wagner-Peyser and WIA) and it also differs across discretionary grantees (based on OMB-approved reporting instructions for the specific type of grant).