Monitoring for

Equal Opportunity and Compliance

Evelyn Rodriguez
EO Officer, Washington State Employment Security

Valerie E. Kitchings
EO Officer, District of Columbia Department of
Employment Services
 The USDOL in
Section 188
of the Workforce Investment Act (WIA)
requires each Governor to establish a
Methods of Administration
which includes a system for
periodically monitoring compliance
for conducting their WIA Title I-B programs in a
nondiscriminatory manner

~Monitoring for Equal Opportunity Compliance~ 2

Introduction

~Monitoring for Equal Opportunity Compliance~ 3

 Things to Consider when Developing
EO Monitoring Procedures
Who has the Are all monitors What role does the
Who makes up trained on WIA State EO and LWIA
responsibility Who do
the Monitoring Section 188 EO EO Officer play in
for EO monitors
Team? Monitoring the coordination of
Monitoring? report to?
Requirements? the EO Monitoring?

Have Does the Who is

policies/procedures/gu Is there an EO Does the EO EO responsible for
idelines regarding EO monitoring monitoring monitoring analyzing the
monitoring been instrument or instrument/check- instrument/ data collected?
issued? checklist? list address LEP check-list
and all of the nine address
MOA elements? LEP and all Do your EO
How frequent of the nine monitoring
Is there a written
are the MOA procedures
monitoring report Who receives a
monitoring elements? provide for follow
produced from copy of the
reviews/site up and/or
each monitoring monitoring
visits corrective
visit? report?
conducted? actions/sanctions?

~Monitoring for Equal Opportunity Compliance~ 4

 Prohibited Factors
Race Color Religion Sex

Disability National Age Political

Origin Affiliation or
Belief

Beneficiaries only:

Citizenship Participation in a WIA Title I-

financially assisted program or
activity

~Monitoring for Equal Opportunity Compliance~ 5

Elements of an EO Monitoring Review
Some or all of the nine elements of the MOA may be
covered:
1. 2. 3.
EO Officer Notice & Assurances
Designation Communication

4. 5. 6.
Universal Compliance with Data and
Access Section 504 Information
Collection

7. 8. 9.
Monitoring Complaint Corrective
System Processing Actions and
Procedures Sanctions

~Monitoring for Equal Opportunity Compliance~ 6

Monitoring Review Process

~Monitoring for Equal Opportunity Compliance~ 7

 Notification of Review and
Request for Preliminary Information
• Notify appropriate Director/Administrator
– 2 to 4 weeks prior to review

• Request Preliminary Information

– EO Data on applicants/clients, random sample
applications, non-monetary determinations, EO reports,
discrimination complaints, etc.
– The Monitoring Review Instrument may be sent
– Should be returned 10 days prior to review in order to
conduct a desk review prior to the on-site review

~Monitoring for Equal Opportunity Compliance~ 8

 Desk Review

• Upon receipt of preliminary information; prior to the

on-site review

• May help to identify potential items to be addressed

during the on-site review

• Analyze the statistical and written reports and other

documents returned

~Monitoring for Equal Opportunity Compliance~ 9

 Data Analyses
Examples...
Employment Services Unemployment Insurance
• Job applicant to job referral • Payment to nonpayment
• Job referral to job placement • Reason for nonpayment
• Average referral wage • Alleged misconduct
• Average placement wage • Job refusal
• Receipt of core services • Not able to or available
• Receipt of intensive services for work
• Denials by adjudicator

WIA Title I
• Population eligible to be served to
applicants
• Applicant to eligible applicant
• Eligible applicant to participant
• Completed WIA or partner services
• Received supportive services
Analyses may be applied to
specific groups, to include:
• Individuals with disabilities
• Veterans
• TANF Recipients
• Welfare to Work program
recipients

~Monitoring for Equal Opportunity Compliance~ 10

 On-Site Review
• Purpose
– determine compliance with equal opportunity and
nondiscrimination requirements and review significant
differences or disparities

• Entrance Meeting/Conference
– meet with appropriate Director/Administrator and/or Local
EO Officer
– discuss scope of review,
– make arrangements for client and staff interviews or file
reviews and
– discuss preliminary findings of the data analysis

~Monitoring for Equal Opportunity Compliance~ 11

 On-Site Review

• Review EO Monitoring Instrument with EO Officer

• Program Recruitment and Assessment

• EO Staffing Data
– review an discuss staffing EO demographics

• Review Participant Files

– participant EO demographics
– notice of Right to file a Complaint
– inappropriate Comments

~Monitoring for Equal Opportunity Compliance~ 12

 On-Site Review

• Review Participant Files

– participant EO demographics
– Notice of Right to File a Complaint
– inappropriate comments
– presence of medical condition information

• Interview Clients
– notice of rights to file a complaint provided
– accessibility to programs and facilities provided without
regard to race, color, religion, sex, national origin, age,
disability, etc.

~Monitoring for Equal Opportunity Compliance~ 13

 On-Site Review
• Employee/Staff Interview
– EO training received
– arrangements for LEP customers
– awareness and location of EO policies and procedures
– knowledge of how to serve customers with disabilities or
limited in English proficiency
– knowledge of process if he/she feels discriminated against
based on a prohibited factor

• Exit Meeting/Conference
– discuss observations
– give preliminary finding, if possible

~Monitoring for Equal Opportunity Compliance~ 14

 Report and Follow-up

• Monitoring Report
– within 30 days of completion of review
– areas of compliance and area(s) of pending or non-
compliance
– recommended corrective action(s)
– due date to come into compliance or to submit a plan (for
acceptance) for coming into compliance

• Corrective Action
– sanctions may be considered if recipient is fails to take
necessary action to voluntarily come into compliance

• Follow-up
– 6 to 9 months after recommendations are implemented

~Monitoring for Equal Opportunity Compliance~ 15

~Monitoring for Equal Opportunity Compliance~ 16