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ETA Compliance Assistance Plan


ETA conducts a number of compliance assistance activities that are intended to help fund recipients comply with the requirements of laws, regulations, program guidance, and grant and contract conditions. These activities include informational tools, technical assistance, monitoring, and other activities. Because of the wide variety of programs and activities that ETA administers, these activities are carried out in a variety of ways.

Informational Tools

ETA's guiding philosophy in compliance assistance is to make federal requirements easy to understand and access for its customers. To accomplish this, ETA uses a variety of approaches to provide information on the requirements to states, local governments, stakeholders, fund recipients, and the general public: Web Sites: ETA maintains a variety of web sites at the national and regional level that provide information to customers, stakeholders, and applicants for funds. There is also a "Fax on Demand" system that provides certain types of information for employers who don't have Internet access. For information about compliance assistance activities pertinent to a specific program please refer to the program-specific office website at (www.doleta.gov/etaindex.cfm).

Advisories: The advisory system (formerly called directives) encompasses guidance letters, program letters, handbooks and technical assistance guides. This system was reengineered recently to respond to suggestions from states and localities on how to make these communications more responsive to customer needs. Agency advisories can be found at (http://wdr.doleta.gov/directives).

Seminars/Workshops/Speaking Events: Compliance assistance information is also covered at conference workshops and seminars, and general policy information is communicated at speaking events.

E-Mail Correspondence: All ETA program offices and regions respond to e-mail inquiries from customers and the general public.

Other: Some other informational materials are publications, directories, fact sheets, information packets, brochures, and "best practices."

Technical Assistance and Training
ETA provides technical assistance and training to its fund recipients to help them understand and comply with federal requirements relating to their programs. This technical assistance and training is provided in a variety of ways.

Technical Assistance Guides and Handbooks : ETA publishes a variety of publications and technical assistance tools designed to assist customers in successfully addressing those federal requirements that pose compliance challenges. For example, a Technical Assistance Guide on Limited English Proficient Strategies is being developed to help grantees service affected populations.

On-Site Assistance : ETA regional and national office staffs provide on-site assistance during monitoring trips and regional reviews.

Training : ETA's training initiatives involve a variety of methods and formats including seminars, workshops, focus groups, forums, town hall meetings and conferences, teleconferences, and videoconferences. During the past year, ETA trained over 1,200 state and local one-stop staff on financial management requirements of the Workforce Investment Act.

Monitoring
ETA conducts monitoring activities both on-site and off-site as part of its compliance assistance program.

Off-Site Monitoring: Usually conducted by the assigned Grant Officer's Technical Representative (GOTR), this type of monitoring involves "desk reviews" and feedback to program operators. Monitoring usually occurs quarterly with the grantee's data submission.

On-Site Monitoring: On-Site monitoring is also used in ETA programs to facilitate compliance with grant agreements and related grant requirements. This allows ETA to observe projects that have "promising practices" that can be shared with other grantees.