Quality Assurance and Compliance
If you have trouble accessing any of the files on this page, please contact Josue Colorado at 850-245-5011 or Josue.Colorado@fldoe.org.
A Way of WorkThe Quality Assurance section of the Bureau of Grants Administration and Compliance is responsible for the design, development, implementation and evaluation of a comprehensive system of quality assurance including monitoring. The role of the Quality Assurance and Compliance System is to assure financial accountability, program quality and regulatory compliance. As stewards of federal and state funds, it is incumbent upon the Division to monitor the use of federal funds and regulatory compliance of providers on a regular basis. With over 200 agencies and over 400 grants and contracts, the focus of the Quality Assurance and Compliance System is the programs operating under the Adult Education and Family Literacy Act (AEFLA), Workforce Innovation and Opportunity Act of 2014 (WIOA), and the Perkins Act of 2006 (Perkins IV). An integral part of the Quality Assurance and Compliance Process is to identify internal systems changes that may contribute to more effective and efficient operations.
2017-2018 Quality Assurance and Compliance Resources
- Quality Assurance Policies, Procedures, and Protocols 2017-2018 (PDF)
- Adult Education Desk Monitoring Review Instrument (PDF)
- Career and Technical Education Desk Monitoring Review Instrument (PDF)
- Career and Technical Student Organization Desk Monitoring Review Instrument (PDF)
- Quality Assurance Provider Training Fall 2017 (PDF)
- CTSO Provider Training Fall 2017 (PDF)
- Quality Assurance Provider Training Spring 2018 (PDF)
- CTSO Provider Training Spring 2018 (PDF)
Quality Assurance and Compliance Monitoring Reports 2017-2018
- Florida Gateway College (PDF)
- Gulf Coast State College (PDF)
- Indian River State College (PDF)
- Lake County School (PDF)
- Lake Sumter State College (PDF)
- Seminole State College of Florida (PDF)
- Suwannee County School District (PDF)
- Walton County School District (PDF)
Quality Assurance and Compliance System
Purpose of Monitoring
The purpose of monitoring is to identify the specific areas in which a provider is in compliance or non-compliance with federal law and regulations, state statutes and rules Uniform Grant Guidance (UGG), Federal Register Part III, Office of Management and Budget (OMB) 2 CFR Chapter I, Chapter II, Part 200, et al. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Final Rule. The timely identification of non-compliance provides a framework to make changes that are expected to result in programs becoming more efficient and effective. However, a comprehensive and multi-dimensional Quality Assurance and Compliance System is a foundation for continuous improvement of services and systems both internally and externally. Our commitment to excellence supports accountability, collaboration, targeted technical assistance, continuous improvement and positive systemic change.
A Quality Assurance and Compliance Advisory Council was established for Career and Technical Education and Adult Education and Family Literacy programs. The Advisory Councils participated in the review of the Quality Assurance and Compliance System. The two separate entities addressed the systems, program content and fiscal protocols. Stakeholder involvement will also be solicited through focus groups by conducting periodic conference calls with statewide representatives to address single topics.
Research State and National Trends
Staff conducted a comprehensive review of various monitoring systems to identify current trends and models for compliance monitoring for career and technical and adult education programs. A review of the following systems was completed: Arizona, California, Colorado, Connecticut, Georgia, Kentucky, Massachusetts, Michigan, New York, Pennsylvania, Vermont, and the U.S. Department of Education. Additional Florida monitoring systems are consistently reviewed.
Risk assessment is a process used to evaluate variables associated with workforce education grants and assign a rating for the level of risk to the Florida Department of Education and the Division of Career and Adult Education associated with each provider. The risk assessment is conducted by the Quality Assurance and Compliance Team to determine the monitoring strategy appropriate for each provider. A range of monitoring strategies includes resolution action plans, grant reviews, webinars, etc., with the more comprehensive strategy such as an onsite visit, or desk monitoring review designated for providers deemed to be at higher risk.
Protocols have been developed for Perkins IV, Adult Education and Family Literacy and Fiscal components. The protocols include interview questions aligned with the regulatory requirements; forms and checklists to be used for on-site visits, desk monitoring reviews, and other monitoring strategies are included; additional documents addressing the individual processes are also developed.
As deemed necessary by the Chancellor or Bureau Chief, special projects are completed that address areas of compliance including special investigations of specific grant awards. Collaboration and cooperation with Grants Management, Inspector General’s office, Comptroller’s office and others, as appropriate, is fundamental to the success of the Quality Assurance and Compliance System.