Jobs for VeteransState Grant (JVSG)

Shawn O’MalleyRegional Veterans’ Program Coordinator

(RWBs 9, 10, 12, 13, 16, 18, 23 and 24)

Audit Procedures(JVSG Class Three)

Overview

So you’re going to be Audited… When to prepare Who will conduct the audit? What will be audited? What is my role in an audit? Who else will participate? The day of the audit

What to bring and what to expect Your next steps Audit Best Practices

So You’re Going to be Audited…

First thing – B R E A T H E!

• Audits are important. They are urgent. And they are necessary

• You may have some anxiety after hearing stories about other Regions that went through difficult audits and “how bad it was”

So You’re Going to be Audited…

• Many people feel unprepared for a compliance audit…but why?

• Bottom Line - Worrying about an audit is like worrying about the weather. The only part under your control is how prepared you are

continued

When to Prepare for Your Audit

Short answer is:

Right now! When it comes to audits, the saying, “an ounce of

prevention is worth a pound of cure” certainly rings true

Document everything you do in EFM

“Be a SME”!!

Non-DEO audits are conducted by the US Department of Labor (USDOL), Veterans Employment and Training Service (VETS)

Florida’s Director, Veterans’ Employment and Training Service (DVET)

Assistant Director for Veterans' Employment and Training (ADVET)

Who Will Conduct the Audit?

When invited (and as observers only)

State Veterans' Program Coordinator

Assistant State Veterans' Program Coordinator

Regional Veteran Program Coordinators

Who Will Conduct the Audit?continued

Basically everything you’ve done and even what you haven’t

But you probably want to know specifics?

Intake (how, who, effectiveness, process, results, etc.)

Services Provided (to SBE vets, non-vets, non-SBE vets, results)

Timeliness of services (when, how, results)

Case notes (SBE listed, what happened, why, how, impact, etc.)

What Will be Audited?

IEP (short/long term goals, roadmap, changes, follow-up, results, etc.)

Follow-up (scheduled, documented, meaningful, results)

Outreach (where, when, why, results)

Employer contacts (when, where, how often, documented, results)

Position Description (signed, current, understood, updated?)

Processes (everything vet related, especially POS processes)

What Will be Audited?continued

What will be expected of you?

You will be asked many questions, including:

Your job responsibilities and where are they defined?

Why did you serve this vet and was the vet assessed prior?

Priority if Service – definition, who provides, who is the expert, training?

Your Role in the Audit

Why this service instead of that one?

Explain this case note

Tell me about the IEP – how do the short and long term goals relate, what is the roadmap, was it agreed upon, etc.

Follow-up – explain how it was useful (results)

Remember, Be a SME!

Your Role in the Auditcontinued

Who else might meet with the auditors?

Regional Senior Managers (in and out brief)

Managers

Front desk staff

WP staff

WIOA staff

Who Else Will Participate?

Resource Room staff

Business Services staff

Partners

VA Work Study staff

Anyone on the team (WHY??)

Who Else Will Participate?continued

What should I bring?

Pen and paper

Copy of signed position description

Highlights (best practices, innovative ideas, show-off!)

Good attitude (remember, audits are helpful!)

Questions (just make sure they aren’t “how do I do my job”?)

The Day of the Audit

What to expect

An interview (Tell me about yourself…)

LOTS of questions (the answers are known, so be honest!)

Your Opinion (How are things…? What do you think about…?)

Issues (Have you discussed this with your manager?)

The Day of the Auditcontinued

Whew! Its over!

B R E A T H E

Review the notes you took

Gather up anything promised

Research anything you didn’t understand Be a SME!

Your Next Steps

Staff training opportunities? (discuss with your manager and your LVER)

Review your processes - do you have to change how you do business based on what you just learned?

Make appropriate adjustments

Focus on the vet – do the right things and provide the best services, and document everything properly

Your Next Stepscontinued

Seek clarification on anything you still are not sure about (discuss with your manager)

After the audit, meet with your vet teammates and discuss issues, questions, good and bad – be a team (coordinate with your manager)

Follow your local guidance (don’t make changes to processes or procedures based on the audit - follow your local policies!)

Be a SME!

Your Next Stepscontinued

Audit Best Practices

Reception staff should ask veteran status regardless of gender

Every veteran served by a DVOP should have a Significant Barrier to Employment identified and receive an intensive service. If the vet does not require (or want) IS, AJC staff should not refer the veteran to a DVOP and provide services

Veteran staff should maintain a copy of their most current signed position description

Veteran staff should obtain/read the DEO Veterans State plan

Audit Best Practices

The region may wish to clearly define to all staff the term “homeless” – this may help when AJC staff conduct initial assessments to determine if the veteran should be referred to the DVOP. A good source of information for clarifying “homeless” can be found here: The McKinney-Vento Homeless Assistance Act

When “low income” is determined to be an SBE for a veteran, staff should list the details behind that determination (family size, total family income, time frame used to determine the low income barrier, etc.) as part of the case note

Audit Best Practices

DVOPs should partner with regional County Veteran Service Officers (CVSOs) - A list of CVSOs can be found here: County Veteran Service Officers

LVERs staff should provide veteran specific training to management and AJC staff

The region’s quarterly managers’ report should be used to show-case innovative solutions the region has developed to serve veterans

Audit Best Practices

The region may decide to have all staff take the National Veterans’ Training Institute’s “Preparing Veterans for Meaningful Careers” training presentation. The presentation is located here:http://www.nvtihelpvets.ucdenver.edu/splash.php

The region may consider having DVOPs attend local WIA and/or TANF case management (CM) training to help improve their CM skills and how to properly code, create and update Individual Employment Plans as well as the use/case noting of IS

Questions

Regional Veterans’ Program Coordinators (RVPC)

Shawn O’MalleyRegional Veterans’ Program Coordinator

(RWBs 9, 10, 12, 13, 16, 18, 23 and 24)

Overview

Who we are Metrics VPL Question and Answer

Now’s the time to clear up any confusion!

• Fred Beckham, Regional Veterans’ Program Coordinator (RWB’s 1 – 8)

• André D. Anderson, Regional Veterans’ Program Coordinator (RWB’s 11, 14, 15, 17, 19-22)

• Shawn O’Malley, Regional Veterans’ Program Coordinator (RWB’s 9, 10, 12, 13, 16, 18, 23, 24)

Regional Veterans Program Coordinators (RVPC)

MetricsCompliance Intensive Service RatesServices providedCase note reviewsIEP ReviewsServices to non-vetsServices to non-SBE vetsTech assistsTrainingInformation Process review

What we do

Desk Reviews

What are they?

When are the done?

What is reviewed?

Example:

What we do

Microsoft Word Document

We are not going through each VPL, but lets talk about your QuestionsConfusionClarificationGripesSuggestionsIdeas

VPL Questionsand Answers!

Veterans Program Letter (VPL) 03-14

VPL 03-14, Change 1

VPL 04-14

VPL 08-14

VPL Questionsand Answers!

Adobe Acrobat Document

Adobe Acrobat Document

Adobe Acrobat Document

Adobe Acrobat Document

Questions

Five Elements of Team Collaboration

Deal With Negativity – You will have some whiners and those who say, “I work better alone,” so accept that up front and work as a team to make a team

You Have to Meet – Most people hate meetings, but if you are going to be an effective team, you need to meet. And regularly. Set up your meeting plan and expect team members to adhere to set meeting times.

Individual Input – If you don’t offer and allow individuals on the team to give input, you’re not a team, you are just collaborating.

Keep Track of Good Ideas - If an idea worked well, or a good idea was brought up that can’t be tried at the current time, make a note of it and try it at the next opportunity

If Change is Needed – If changes arise, don’t panic! Face the changes as the great team you are!