Example of an ETPL Monitoring Review Process - Workforce Innovation and Opportunity Act (WIOA)

Although every assessment project is unique, the review process will consists of nine stages. Through these stages the Local Workforce Development Area will determine ways to minimize risks and increase efficiencies under ETPLs. Determine if participants received training as needed to progress toward achieving their employment goals. Training is in an in-demand occupation and delivered by an accredited provider, as applicable.

1. Plan. The local area will develop a schedule based on a review of all pertinent information. Sources may include, but are not limited to, completion rate, complaints, a risk assessment, internal and external evaluations and management guidance.
2. Notify. The local area should schedule a meeting with the provider to discuss the process to be reviewed. Identify the scope and objectives of the review, how long it is expected to last and what the responsibilities for all parties are in the review process. Any factors that may impact the review should be raised at this time. Factors include vacations, fiscal year end reporting requirements, etc.
3. Fieldwork. Testing should include interviews with the staff, review of procedures and manuals, compliance with the local area policies, state laws and regulations and assessing the adequacy of internal controls. To begin testing, the local area should select no less than 10% of student/participant files to review per year. The reviewer should compare student files with invoices submitted by provider to the local area as well as progress reports to assure that the individual is still in training classes.
4. Communicate. Keep the provider updated on the status of the review on a regular basis especially if there are any findings. There may be instances where the findings can be addressed immediately.
5. Draft. The report draft should include Summary and Recommendations that will be provided to the Training Provider.
6. ETP's Response. The provider should provide a response relative to any discrepancies found by the local area reviewer. The response should resolve any discrepancies or unanswered questions regarding collection of documentation, conflicting information in file and invoices and absence of curriculum synopsis. There should be a specific target date of completion for the recommended actions. The time window for the ETP's' Response is can be 30 calendar days.
7. Review. The final version of the ETP report can include the ETP's response and any resolutions.
8. Distribute. The report is then released to the ETP Point of Contact, Local Area Director and designated staff. It should be provided to the State of Maryland upon request.
9. Verify. The Local Area Director or designee should conduct a follow up on the content of the provider assessment. To include:

✓ Documentation of the work performed.
✓ Conclusions reached and reports issued.
✓ Procedures for follow-up to ensure the take corrective action.
✓ Early warning system to detect and evaluate risks, determine scope of review, frequency, and depth of review procedures needed, and adjust the monitoring plan accordingly.
✓ Review and evaluate provider's policies and procedures and the system of internal controls.
✓ Reviews of laws, regulations, and rulings.
✓ Sample selection methods and results.
✓ Proof of reconciling detail to related control records (participant reports and invoices).

The ETP monitoring work papers must document the work performed by the reviewer. Work papers should contain completed work in reviewing training program and analyses that clearly indicate the procedures performed, the extent of testing, and the basis for the conclusions reached.

Created by: Maryland Department of Labor, M&C Unit, Tw/8-19