(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.

Source Note: The provisions of this §802.82 adopted to be effective February 7, 2011, 36 TexReg 604; amended to be effective February 24, 2014, 39 TexReg 1201