WIOA State Plan Common Elements

DWD utilizes a variety of processes and reporting tools for regular monitoring of program performance to drive quality improvement and effectiveness. Some of the methods utilized are outlined below: 

Federal Performance Metrics. DWD currently follows the six primary indicators of performance described under section 116(b)(2)(A) of WIOA. For the PY22/PY23 local performance negotiation cycle, DWD issued Local Performance Negotiations Guidance (Memorandum 2021-25, available at https://www.in.gov/dwd/compliance-policy/policy/active/). DWD utilized the average of PY21 actuals and PY21 negotiated goals as the basis for conducting local area negotiations. DWD is currently developing a local Statistical Adjustment Model (LSAM) and intends to utilize this model for future negotiation and adjustment cycles. Additionally, DWD also developed and maintains a Federal Performance Measures dashboard that enables staff and workforce partners to efficiently analyze years’ worth of Local Area Reports in one location. This information is available on the DWD Performance Portal at: https://www.in.gov/dwd/performance/federal/.  

In addition to negotiations, DWD also conducts a year end assessment following each program year where an adjustment is made based on the negotiated rates of performance and what actually took place over the program year. Each local area is provided with a local area performance assessment and is required to meet a 50% threshold for each individual WIOA measure and a 90% threshold for each overall program measure. In the event a local area fails to meet these required thresholds once the adjustment has been applied, DWD will take steps to provide formalized technical assistance that could include or require the development of a performance improvement plan or reorganization of the local board.  

Programmatic and Fiscal Compliance Monitoring. DWD conducts regular monitoring of each local workforce development area (LWDA) to examine compliance with statutory, regulatory, and policy-driven requirements, as well as identify areas in need of administrative, financial management, programmatic, and/or systemic improvement. WIOA Title I programs are monitored on an annual basis and formal reports are issued identifying compliance findings, areas of concern, and best practices. 

Additional information regarding the DWD monitoring process is available at https://www.in.gov/dwd/compliance-policy/monitoring/. In 2021, DWD developed an Oversight and Monitoring Strategic Plan (OMSP) to assist in streamlining and modernizing workforce program and grant oversight activities. The OMSP communicates a consistent vision and approach for oversight and monitoring across all workforce program areas, while remaining agile as structure and priorities evolve. The OMSP highlights four priority areas: 

• Priority 1: Adequate monitoring and oversight of workforce programs 

• Priority 2: Culture of continuous improvement through oversight and monitoring 

• Priority 3: Manage performance and grantee support 

• Priority 4: Strengthen fiscal efficiency across all workforce programs 

To carry out the strategies and focus areas of the OMSP, DWD established a standing Quality Workgroup consisting of staff responsible for program monitoring in various workforce areas. The Quality Workgroup is tasked with ensuring continuous improvement through sharing of best practices and identification of technical assistance and training needs. For example, following compliance monitoring conducted in PY2021 and PY2022, DWD developed the Year-In-Review (YIR) with aggregated WIOA compliance review outcomes, including noteworthy practices, from across the twelve LWDAs. The purpose of the YIR was to help regions identify their performance relative to their peers, and to provide focus areas for training staff and to support their own monitoring activities. Aggregated monitoring information has helped inform new and updated DWD policies/technical assistance as well as impact DOL-DWD technical assistance roundtable topics. DWD anticipates continued expansion and utilization of the YIR in future years.  

DWD continues to work toward a more unified, consistent approach to monitoring across all of its workforce programs. Many workforce programs now participate in concurrent reviews during the Title I review process. DWD works with the LWDAs to develop a comprehensive schedule of review activities for the week with each program conducting their own interviews with LWDA staff. The full team of DWD monitors participates in entrance and exit conferences with LWDA leadership and programs use a consistent framework for sharing results of their monitoring activities. 

Assessment of One-Stop Partner Programs. Many partner programs are reviewed at the local level through DWD’s routine annual compliance reviews in each of the twelve LWDAs (see above), or through program-specific grant oversight, assessment, and monitoring conducted by individual programs. Over the past few program years, DWD’s Compliance Team has incorporated concurrent monitoring of several Federal and State programs into its annual review process. As an example, during PY2023-2024, several programs are included in the LWDA review process, such as Title I, Equal Opportunity, RESEA, Apprenticeship grants, Performance Support Grants, QUEST DWG, MSFW, Employer Training Grants, and Workforce Ready Grants. DWD utilizes available performance data along with detailed monitoring activities to comprehensively assess these programs. Each LWDA monitoring review includes analysis of local-level strategy and progress against the State and Local Plans. Comprehensive reports and corrective action plans, as applicable, are issued for each LWDA.  

Partner programs such as Unemployment Insurance, Senior Community Service Employment Program (SCSEP), Trade Act Programs, and Jobs for Veterans State Grants (JVSG) are housed within DWD and conduct independent oversight, assessments, and monitoring. 

DWD conducts ongoing assessments through a program dashboard tool designed to monitor the volume of ongoing activities in our various workforce programs. This dashboard provides a look at both quarter-by-quarter data, as well as a historical year-over-year perspective. The historical perspective is critical and provides long term insight into patterns and trends in activities, and the quarter over quarter perspective supports our efforts to impact activities throughout the year. A sample of this dashboard is included in 4.B.  

Indiana’s Legislative Services Agency (LSA) also conducts an annual review, analysis, and evaluation of Indiana’s workforce-related programs to provide the general assembly with the information it needs to make informed policy choices about the efficacy workforce related programs. Specifically, IC 2-5-42.4-3 requires the LSA to conduct a systematic and comprehensive review, analysis, and evaluation of workforce related programs that includes information about each program that is necessary to determine if the goals of the program are being achieved. The annual review is to be conducted over a five-year cycle during which each program will be reviewed at least once on a schedule determined by the Office of Fiscal and Management Analysis, Legislative Services Agency (LSA). Additional evaluation requirements for the evaluation are outlined in IC 2-5-42.4-3(b). The 2023 Workforce Program Review includes information about JVSG, Next Level Jobs WRG and ETG, and other workforce programs outside of DWD.  

Adult Education Assessment Strategies. To monitor and evaluate the quality of adult education activities, program management, fiscal management, data management, and performance measures are continuously assessed. Informal and formal monitoring, desk audits, data checks, and program visits are conducted by state central office staff, adult education coordinators, and the InTERS data team. Low performing programs are identified, in part, based on the accountability results described in section 116(b) of WIOA. Visits are made to low performing programs by a state team. Local programs develop professional development plans, target measurable skill gains to increase academic gains, and develop strategies to reduce student separations. Technical assistance and professional development are provided to further increase student success. Likewise, a comprehensive risk assessment is performed on all successful grantees from the Multi-Year Adult Education Competitive Grant Application (Request for Application) and the Multi-Year Integrated English Literacy & Civics Education Competitive Grant Application (Request for Application). 

Based on these results, a number of adult education programs are selected for formal monitoring each year by a state monitoring team. Virtual and on-site monitoring visits are made to view records and classes, and to interview personnel. Formal reports are forwarded to local providers after site visits, and programs out of compliance are placed on corrective action plans. Programs are not released from corrective action plans until compliance is achieved and satisfactory progress is reached. Technical assistance is provided, and professional development is customized for programs identified as low performing. 

States negotiate yearly performance targets with the U.S. Department of Education, Office of Career, Technical, and Adult Education with respect to the percentage of program participants who, during a program year, are in an adult education or training program that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains toward a credential or employment. Indiana requires providers of adult education to meet similar state negotiated WIOA metrics. Additionally, the state reviews the percentage of adults who are post-tested; the percentage of adults who exit the program without measurable skill gains; the percentage of adults who achieve measurable skill gains in distance education; and the percentage of adults who attain a high school diploma or equivalency. 

At a minimum, State staff reviews program performance monthly and communicates to area providers efforts toward meeting local, regional, and State performance targets. The goal is continuous improvement. Performance is also monitored daily by the InTERS data team. Each provider and region see how they perform compared to the State and to the same time a year ago. To provide further transparency, the State broadcasts a monthly webinar that extensively covers these metrics and related performance standards. A coordinated series of professional development and technical assistance opportunities are offered to support these efforts. Funded programs employ professional development facilitators (lead teachers) who support and promote these targets. Lead teachers are required to monitor goals and provide quarterly reports to the professional development state team who analyze Indiana’s strategies to meet these objectives. 

In grant renewal years, funding is determined by past performance. A yearly performance scheduled is released at the start of each program year. The schedule outlines state priorities and performance accountability standards for future grant awards. Recent performance metrics included enrollment; measurable skill gains; high school diploma or equivalency; and certifications as core areas. Additionally, a companion schedule included Integrated Education and Training performance as a metric with focus on enrollments, completions, and certifications.