2. DET-APPS
3. TAA Policy Manual
4. Chapter 2) Administration & Oversight
5. 2.3 Program Monitoring & Oversight



TAA Policy Manual
Ch.2) Administration & Oversight

Table of Contents 

2.3 Program Monitoring & Oversight

Effective August 1, 2021

2.3.1 Description & Purpose

As the recipient of funds for the TAA Program, DWD-DET is responsible for the oversight of TAA Program operations and activities.¹ To fulfill this responsibility TAA Central Office staff will monitor activities performed under the Federal award at least quarterly. The purpose of monitoring is to:

• Ensure the program complies with appropriate policies and procedures, and operates within the parameters established by law, regulations, the Governor-Secretary Agreement, Equal Opportunity and Nondiscrimination policies, and program guidelines, including overall compliance with:
  • All relevant Trade Act iterations;
  • The Trade Adjustment Assistance for Workers implementing regulations found at 20 CFR Part 618;
  • Department of Labor Employment and Training Administration Advisories;
  • OMB's Uniform Administrative Guidance found at 2 CFR Parts 200 and 2900;
  • Nondiscrimination and Equal Opportunity provisions contained in Section 188 of WIOA and regulations 29 CFR Part 38 applicable to employment and service delivery; and
  • DWD-DET's TAA Policy & Procedures Manual.
• Assess the quality and equity of services provided to program participants and employers, and where appropriate, make recommendations for improvement;
• Identify technical assistance needs;²
• Identify system-wide issues requiring policy or program review and resolution;³
• Identify positive practices and share with others in the workforce development system;⁴ and
• Assess impacts of workforce programs for customers within the workforce development area (WDA) and the State of Wisconsin.

2.3.2 Monitoring Program Requirements

TAA Central Office staff will conduct monitoring of TAA participant files at least quarterly.⁵ Primarily this monitoring will be completed by the assigned TAA Regional Liaison. At a minimum this monitoring will include a review of case files from at least five participants being served in each of the four TAA regions⁶ (20 files total⁷) and will include case files for participants from at least two certifications⁸. This quarterly monitoring will also include the validation of required data elements.⁹

During each quarterly monitoring cycle several key items will be reviewed and considered. These items may include, but are not limited to, the following:

• Surveys or other information collection from local TAA Career Planners and Job Service District Directors;
• Surveys or other information collection from partner agency staff;
• Review of selected case files to evaluate compliance and quality of service, to include
  • review of paper documents;
  • review of ASSET entries;
  • review of financial transactions made on behalf of TAA participants; and
  • review of local equal opportunity and nondiscrimination compliance.

Within 30 days of the completion of the quarterly monitoring cycle the TAA Central Office will issue a written report to the appropriate TAA Career Planner(s) and Job Service District Director(s) identifying any promising practices, areas of concern, findings, and related corrective actions.

Upon receipt of the report, the TAA Career Planner(s) and Job Service District Director(s) will work to complete any necessary corrective actions within 30 days, or as soon as otherwise practical. The results of this action must be documented, in writing, to the TAA Regional Liaison. The review will be closed when no further corrective action is required. The TAA Regional Liaison will provide ongoing support throughout the process in the form of technical assistance and/or staff training.

Report Terminology

Terms utilized will be those identified in the United States Department of Labor's (USDOL) Core Monitoring Guide (August 2018).

Promising Practice – Used to highlight positive aspects of programs that may be shared with other TAA staff to help improve their program operations.

Area of Concern – Practices that do not represent instances of non-compliance but could become compliance problems in the future if not addressed.

Finding – Practices that are directly non-compliant with a specific federal/state law, policy, or procedure.

Corrective Action – Action that must be completed to rectify an area of concern or finding before a monitoring cycle can be completed.

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• ¹ 20 CFR 618.860(d)(2)(i); 20 CFR 618.864(g)(4)
• ² 20 CFR 618.864(g)(4)(i)
• ³ 20 CFR 618.864(g)(4)(i)
• ⁴ 20 CFR 618.864(g)(4)(i)
• ⁵ 20 CFR 618.864(g)(4)(ii)
• ⁶ 20 CFR 618.864(g)(4)(iii)
• ⁷ 20 CFR 618.864(g)(4)(ii)
• ⁸ 20 CFR 618.864(g)(4)(ii)
• ⁹ TEGL 7-18; TEGL 23-19