Program and Compliance Management

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Program and Compliance ManagementProgram and Compliance Management

Opening Session: Opening Session:

PERSPECTIVES ON ACCOUNTABILITYPERSPECTIVES ON ACCOUNTABILITY

V I R T U A L L V I R T U A L L YY

OutlineOutline• Key Attributes

• Your Compliance Playbook

• The Forest, The Trees and Performance Management

• The Zen of Reporting

• Data, Data Everywhere

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INTRODUCTIONINTRODUCTION

• Which of the following statements describes your thoughts/opinions about performance and performance data?

A. I get warm fuzzies

B. Performance accountability is my friend

C. I’d rather have root canal

D. I don’t think it’s meant to be understood

E. It’s something for techies, right?

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Key Attributes of Key Attributes of Accountability Accountability

within the Framework of within the Framework of Program & Compliance Program & Compliance

ManagementManagement

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UniversalityUniversality• All levels, entities, individuals

RelativityRelativity• It’s all relative for all of the above

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QuestionsQuestionsBased on the Universality and Relativity Based on the Universality and Relativity

of “Accountability”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 ___________.

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The National ContextThe National Context

• Government Performance & Results Act of 1993Government 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

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A UniversalUniversal Accountability Framework

PROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

Authorizing Statute

with associated regs

PROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

Authorizing Statute

with associated regs29

CFRPROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

Authorizing Statute

with associated regs

2 CFRFormerly OMB

Circulars29

CFRPROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

Authorizing Statute

with associated regs

2 CFRFormerly OMB

Circulars

P.L. 107-288

(JVA)29 CFR

PROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

ETA PoliciesAuthorizing Statute

with associated regs

2 CFRFormerly OMB

Circulars

P.L. 107-288

(JVA)29 CFR

PROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

ETA Policies

GRANT AGREEMENT

Authorizing Statute

with associated regs

2 CFRFormerly OMB

Circulars

P.L. 107-288

(JVA)29 CFR

PROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

ETA Policies

GRANT AGREEMENT

SGASolicitation for Grant Applications

Authorizing Statute

with associated regs

2 CFRFormerly OMB

Circulars

P.L. 107-288

(JVA)29 CFR

PROGRAM & COMPLIANCE MANAGEMENT

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A UniversalUniversal Accountability Framework

OMB-Approved Reporting

ETA Policies

GRANT AGREEMENT

SGA

Authorizing Statute

with associated regs

2 CFRFormerly OMB

Circulars

P.L. 107-288

(JVA)29 CFR

PROGRAM & COMPLIANCE MANAGEMENT

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YourYour Compliance Compliance PlaybookPlaybook

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Remember the Remember the Compliance Compliance HierarchyHierarchy

1. Statute

2. Regulations

3. Policy

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Playbook Contents Playbook Contents Not An Exhaustive List!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

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State/Local Playbook “Extras”State/Local Playbook “Extras”Local Local

leadership further defines

policy and procedural guidance

based on all of the above

and as appropriate

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ReflectionsReflections

What’s your playbook status?

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The Forest, The Trees The Forest, The Trees and Performance and Performance

ManagementManagement

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Fill in the BlanksFill in the Blanks

• Performance _________

• Performance _________

• Performance _________

• __________ Management

• __________ Management

• __________ Management

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Performance Management Performance Management as Forestas 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

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Who Cares?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

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The Bottom LineThe 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

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The Zen of ReportingThe Zen of Reporting

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A 10,000 Foot ViewA 10,000 Foot View

National National Reports Reports

and and AnalysesAnalyses

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Every “One” CountsEvery “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

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Program Reporting Program Reporting Summed UpSummed Up

• Who You’re Serving

• What They’re Getting

• With What Results

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If it’s not If it’s not reported,reported, it neverit never happenedhappened

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The WIASRDThe WIASRDWorkforce Investment Act Standardized Workforce Investment Act Standardized

Record DataRecord 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

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Quarterly WIASRD SubmissionsQuarterly WIASRD SubmissionsTEGL 17-09, 3/10/10, Page 2TEGL 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.”

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Caution: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)

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Data, Data EverywhereData, Data Everywhere

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Context is CriticalContext is Critical

“The bad news is, you do less work than anyone in this

office.

The good news is, you make the fewest mistakes.”

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Garbage In Garbage OutGarbage 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 Question: Who’s the village watchman?watchman?

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Caveat EmptorCaveat 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?

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About The Workshops About The Workshops in this Conferencein 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.

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We’ve Only We’ve Only Just Begun!Just Begun!

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Accountability: A Universal Framework

Program & Compliance Management

AuthorizingStatute 29 CFR

OMB Circulars

(2 CFR)

ApprovedReporting

Instructions

GrantAgreementSGA

Jobs forVeterans

Act

ETA Policies

Appendix

• 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).