(a) Boards, workforce service providers, and AEL grant
recipients shall ensure that regular oversight of their own activities
and regular monitoring of the activities of their workforce service
providers and AEL service providers that receive public funds administered
by the Agency, are conducted and completed. Monitoring shall include
monitoring of both the fiscal and program performance of the workforce
service providers and AEL service providers administering and delivering
services. These monitoring activities shall be designed to ensure
programs achieve intended results and resources are efficiently and
effectively used for authorized purposes and are protected from waste,
fraud, and abuse. Monitoring activities shall be planned to focus
on areas of highest risk to help ensure the most effective use of
monitoring resources.
(b) Monitoring activities shall assess a workforce
service provider's and AEL service provider's compliance with applicable
laws, regulations, provisions of contracts and Board plans, and official
directives and circulars including, but not limited to, DOL Training
and Employment Guidance Letters, DOL Training and Employment Notices,
U.S. Department of Health and Human Services guidance letters, U.S.
Department of Education Office of Vocational and Adult Education guidance,
Commission rules contained in Part 20 of this title, Texas Workforce
Commission WD Letters and AEL Letters, the Agency's Financial Manual
for Grants and Contracts, and other Agency guidance. The Board and
AEL grant recipient shall assess the workforce service provider's
and AEL service provider's compliance with the appropriate uniform
administrative requirements for grants and agreements applicable to
the type of entity receiving funds, as promulgated in OMB circulars
or rules. These activities shall encompass both financial and programmatic
monitoring and shall be evaluated on a periodic basis. Each Board,
workforce service provider, and AEL grant recipient shall conduct
regular oversight and monitoring of its workforce service providers
or AEL service providers in order to:
(1) determine that expenditures have been charged to
the cost categories and within the cost limitations specified in the
applicable laws and regulations;
(2) determine whether or not there is compliance with
other provisions of applicable laws and regulations; and
(3) provide technical assistance as necessary and appropriate.
(c) The monitoring function shall include the development
and implementation of:
(1) a risk assessment tool;
(2) a monitoring plan;
(3) a monitoring program, including established policies
and procedures; and
(4) reporting and resolution processes.
(d) The Board and workforce service provider, or the
AEL grant recipient and AEL service provider, shall develop and implement
written policies and procedures that describe and support the monitoring
process.
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