Local Workforce Investment Area's
Program, Fiscal & Performance
Monitoring Guide for Subrecipients


New York State
Department of Labor
Workforce Development
and Training Division

November 2004

PREFACE	PAGE NO.
Introduction	Preface 1
Technical Assistance	Preface 1
Monitoring Purpose and Process	Preface 1
Monitoring Scope and Frequency	Preface 2
Program, Financial, Performance & Accountability	Preface 2
Monitoring Procedures	Preface 3
A. Monitoring Review Set Up	Preface 3
B. Entrance Conference	Preface 4
C. Sampling Procedures	Preface 4
D. Technical Assistance	Preface 5
E. Exit Conference	Preface 5
F. Monitor’s Work Papers	Preface 3
G. Monitoring Report	Preface 6
H. SanctionPreface 6	Preface 6
Acronyms	Preface 7
Section I - PROGRAM MONITORING
Section I-A   Program Monitoring - Adult and Dislocated Worker	I-A.1
Objectives, Review and Procedures	I-A.3
Exhibit 1 – Individual Record Review	I-A.4
Exhibit 2 – Verification of Data in Case Management & Reporting System	I-A.9
Exhibit 3 - OJT On-Site Employer/Supervisor Review	I-A.11
Exhibit 4 – OJT On-Site Trainee Review	I-A.15
Exhibit 5 – Entrance/Exit Conference	I-A.18
Exhibit 6 – Monitor’s Narrative
Section I-B   Program Monitoring - Youth	I-B.1
Objectives, Review and Procedures	I-B.3
Exhibit 1 – Individual Record Review	I-B.4
Exhibit 2 – Verification of Data in Case Management & Reporting System	I-B.8
Exhibit 3 – Summer Worksite Participant Interview Guide	I-B.10
Exhibit 4 – Summer Worksite Supervisor Interview Guide	I-B.14
Exhibit 5 – Entrance/Exit Conference	I-B.18
Exhibit 6 – Monitor’s Narrative
Section II - FINANCIAL MONITORING
Section II-A   Financial Management/Cost Allocation for Contracted Service Providers	II-A.1
Objectives, Review and Procedures	II-A.3
Exhibit 1 – Copies or Summaries of Reimbursement Vouchers
Exhibit 2 – WIA Contract Desk Review
Exhibit 3 – Listing of Persons Performing Fiscal Functions	II-A.5
Exhibit 4 – Reconciliation Analysis
Exhibit 5 – Cash Receipt Analysis	II-A.7
Exhibit 6 – Sample of Expenditures	II-A.8
Exhibit 7 – Post Review Survey	II-A.12
Exhibit 8 - Entrance/Exit Conference	II-A.18
Exhibit 9 - Monitor’s Narrative
Section II-B   Financial Management/Cost Allocation for Subrecipients Reporting by MSDCT/MSCR/AER	II-B.1
Objectives, Review and Procedures	II-B.3
Exhibit 1 – Copies of MSDCT, MSCR and AER	II-B.5
Exhibit 2 – WIA Desk Review
Exhibit 3 – Listing of Persons Performing Fiscal Functions
Exhibit 4 – Cash Receipts Analysis	II-B.7
Exhibit 5 – Comparison of Reports to Subrecipient Records	II-B.8
Exhibit 6 – Sample of Expenditures	II-B.15
Exhibit 7 – Allocation Analysis	II-B.19
Exhibit 8 – Post Review Survey	II-B.20
Exhibit 9 – Entrance/Exit Conference	II-B.26
Exhibit 10 – Monitor’s Narrative
Section II-C   Local Procurement	II-C.1
Objectives, Review and Procedures	II-C.3
Exhibit 1 – Local Policies and Procedures
Exhibit 2 – Small Purchases Analysis	II-C.4
Exhibit 3 – Competitive Proposals Analysis	II-C.5
Exhibit 4 – Sealed Bid Analysis	II-C.7
Exhibit 5 – Sole Source Analysis	II-C.8
Exhibit 6 – Copy of Signed Contract
Exhibit 7 – Post Review Survey	II-C.9
Exhibit 8 – Entrance/Exit Conference	II-C.12
Exhibit 9 – Monitor’s Narrative
Section II-D   Property Management	II-D.1
Objectives, Review and Procedures	II-D.3
Exhibit 1 – Subrecipient Inventory List
Exhibit 2 – Physical Inventory Sample	II-D.5
Exhibit 3 – Post Review Survey	II-D.6
Exhibit 4 – Entrance/Exit Conference	II-D.8
Exhibit 5 – Monitor’s Narrative
Section II-E   Subrecipient Monitoring	II-E.1
Objectives, Review and Procedures	II-E.3
Exhibit 1 – Subrecipient’s Monitoring Policies, Procedures and Plan
Exhibit 2 – Monitoring Survey	II-E.5
Exhibit 3 – Monitoring Results	II-E.7
Exhibit 4 – Audit Survey	II-E.9
Exhibit 5 – Audit Reports	II-E.10
Exhibit 6 – Entrance/Exit Conference	II-E.12
Exhibit 7 – Monitor’s Narrative
Section II-F   Desk Review For Contracted Service Providers	II-F.1
Objectives, Review and Procedures	II-F.3
Exhibit 1 – Comparison of Line Item Budgets to Reported Expenditures	II-F.5
Exhibit 2 – Post Review Survey (Cost Reimbursement Contracts)	II-F.6
Exhibit 3 – Comparison of Benchmark Budgets to Reported Budgets	II-F.7
Exhibit 4 – Post Review Survey (Performance Based Contracts)	II-F.8
Section II-G   Desk Review For Subrecipients Reporting by MSDCT/MSCR/AER	II-G.1
Objectives, Review and Procedures	II-G.3
Exhibit 1 – AER/MSCR Comparison	II-G.5
Exhibit 2 – Cash Receipts Comparison	II-G.6
Exhibit 3 – Analysis of Reported Cash Balances	II-G.7
Exhibit 4 – 70% Worksheet	II-G.8
Exhibit 5 – Monitor’s Summary
Section III - PERFORMANCE MONITORING
Section III-A   Performance Monitoring and Evaluation	III-A.1
Objectives, Review and Procedures	III-A.3
Exhibit 1 – Subrecipient Performance Monitoring and Evaluation	III-A.6
Exhibit 1-A – Prior Performance Evaluation	III-A.8
Exhibit 2 – Contract/Agreement
Exhibit 3 – Participant Activity/Performance Levels/Standards	III-A.10
Exhibit 4 – On-Site Review of Subrecipient	III-A.13
Exhibit 5 – Customer Satisfaction/Feedback Survey
Exhibit 6 – Efficiency Measures	III-A.15
Exhibit 7 – Analysis of Spending Patterns	III-A.17
Exhibit 8 – Post Review Survey	III-A.19
Exhibit 9 – Subrecipient Performance Information/Data	III-A.21
Exhibit 10 – Entrance/Exit Conference	III-A.23
Exhibit 11 – Monitor’s Narrative	III-A.24
ADDENDA
Addendum I    Adult and Dislocated Worker Information	Addenda 1
Eligibility	Addenda 3
Sequence of Services	Addenda 4
Individual Training Accounts	Addenda 6
On-the-Job Training	Addenda 7
Customized Training	Addenda 7
Addendum II    Youth Information	Addenda 8
Eligibility	Addenda 8
Services	Addenda 10
Addendum III    Alien Status and Acceptable Proof of Registration (Chart)	Addenda 12