Monitoring Tool - Connecticut Department of Labor Interim Monitoring Tool.pdf · monitoring tool which focuses on the most important aspect of WIOA, its participants. The following

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WORKFORCE INNOVATION AND OPPORTUNITY ACT

Monitoring Tool

PROGRAM YEAR 2016

July 1, 2016 through June 30, 2017

Rev. 5/23/2017

http://www.ctdol.state.ct.us/

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Contents Background ............................................................................................................................................... 3

Why Monitor?........................................................................................................................................... 3

The Tool ................................................................................................................................................... 3

Monitoring Procedure and Scope ............................................................................................................. 7

Monitoring I- Initial Contact .................................................................................................................. 10

Program Eligibility- Adults/Dislocated Worker ..................................................................................... 13

Program Eligibility- Youth ..................................................................................................................... 15

Activities- WIOA Sec. 134(c) TEGL- 19-16 ......................................................................................... 20

Adults and Dislocated Workers .............................................................................................................. 29

Occupational Skills/Registered Apprenticeships/Pre-Apprentice/Skills Upgrading/Re-Training/Adult

Education and Literacy ........................................................................................................................... 29

On the Job Training/Customized Incumbent Worker Training .............................................................. 31

Credential Attainment ............................................................................................................................. 33

Supportive Services ................................................................................................................................ 33

Measurable Skills Gain ........................................................................................................................... 34

Youth ...................................................................................................................................................... 36

Career Pathway ....................................................................................................................................... 36

Measurable Skills Gain ........................................................................................................................... 37

Supportive Services ................................................................................................................................ 38

Credential Attainment ............................................................................................................................. 38

Work Experience .................................................................................................................................... 39

Sub-contractors/Service Providers ......................................................................................................... 41

One-Stop System Worksheet .................................................................................................................. 43

One-Stop Interview................................................................................................................................. 46

Business Services Process Management Review ................................................................................... 49

Employer Survey/Interview .................................................................................................................... 55

Governors Reserve ................................................................................................................................. 59

Governance ............................................................................................................................................. 65

Compliance Findings &Action Required ............................................................................................... 74

Area(s) of Concern ................................................................................................................................. 75

Questioned Cost:..................................................................................................................................... 76

Best/Promising Practices ........................................................................................................................ 77

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Background

On July 22, 2014, the Workforce Innovation and Opportunity Act (WIOA) was signed into law by

President Barack Obama.

With its enactment, the United States Department of Labor (USDOL) Employment and Training

Administration (ETA) has a renewed opportunity to articulate its vision for a demand-driven public

workforce development system, redefine the interactions between USDOL and its Federal partners and

modernize service delivery through the alignment and integration of programs and data systems.

Why Monitor?

The Workforce Innovation and Opportunity Act (WIOA) emphasize program performance at the State

and local area level. Monitoring at both levels will ensure that proper systems are in place, being

followed, and meet legal requirements. To accomplish this, the State has prepared this monitoring

guide which includes onsite and desktop monitoring systems, corrective-action procedures, follow-up

procedures, and other items.

The reason for emphasizing monitoring is to help reduce possible audit exceptions, sanctions, and

unallowable costs (which may need to be reimbursed to the Federal government). Through the use of

established monitoring procedures, both State and local areas may minimize such problems through

early detection and correction.

The Tool

The Workforce Innovation and Opportunity Act (WIOA) was The Workforce Innovation and Opportunity Act (WIOA) was created to provide state and local areas

the flexibility to collaborate across systems in an effort to better address the employment and skills

needs of current employees, jobseekers, and employers. WIOA accomplishes this by prescribing:

1. A stronger alignment of the workforce, education, and economic development systems; and

2. Improving the structure and delivery in the system to assist America’s workers in achieving a

family-sustaining wage while providing America’s employers with the skilled workers they need to

compete on a global level.

To successfully monitor the State’s efforts in achieving the above goals, CTDOL has developed a

monitoring tool which focuses on the most important aspect of WIOA, its participants.

The following tool has been designed to view each of Connecticut’s five Workforce Development

Boards from the perspective of jobseekers, and employers. We have selected random participants

from each of the Title I programs including Adult, Dislocated Worker and Youth. In addition one

employer was selected in an effort to determine quality of service and compliance with business

engagement. Under WIOA, Core Services are provided to not only participants but those who require

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our services which do not rise to level of participation. As such two additional random participants

who meet this criterion were selected for review.

Each selected random participant in the monitoring sample will be followed from their first contact

with the American Job Center through their current status and will include the following compliance

components:

For participants:

I- Initial Contact –

Referral to AJC

Customer Flow

Universal Access

Customer Choice

II - Career Services

Career Services, as identified in sec. 134(c)(2) of WIOA and Federal Regulations §678.430, consist of

three types: basic career services, individualized career services, and follow-up services including:

1. Program Eligibility

Eligibility for program in inclusion in Adult, Dislocated or Youth program

Registration/Participation Dates

Verification of required elements

Documentation of required verification elements

2. Outreach, intake and orientation to information and other services available through

The one stop system.

3. Initial assessment of skill levels

4. Labor exchange services

5. Provision of performance information

6. Assistance in filing of Unemployment Claims

7. Referral to other programs as appropriate

IV - Individualized Services

1. Comprehensive and Individualized Assessments

2. Development of IEP plan.

3. Group Counseling

4. Individual Counseling

5. Career Planning

6. Short-term prevocational services

7. Internships/Work-Experiences

8. Workforce Preparation Activities

9. Financial literacy services as described in sec. 129(b)(2)(D) of WIOA and §681.500 of that

chapter.

10. Out-of-area job search assistance and relocation assistance.

11. English language acquisition and integrated education and training programs.

12. Follow-Up Services must be provided, as appropriate, including; counseling, regarding the

workplace, for participants in adult or dislocated worker workforce investment activities who

are placed in unsubsidized employment, for up to 12 months after the first day of employment.

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V -Training Services

Training services, as described in WIOA sec. 134(b)(2)(A)(3) and §680.200-230. Training services

may be made available to adults and dislocated workers:

Who, after an interview, evaluation, or assessment, and career planning, have been determined

by a one-stop operator or one-stop partner, as appropriate, to –

a. be unlikely or unable to obtain or retain employment, that leads to economic self-

sufficiency or wages comparable to or higher than wages from previous employment,

through the career services described above;

b. be in need of training services to obtain or retain employment that leads to economic self-

sufficiency or wages comparable to or higher than wages from previous employment; and

c. have the skills and qualifications to successfully participate in the selected program of

training services;

Who select programs of training services that are directly linked to the employment

opportunities in the local area or the planning region, or in another area to which the adults or

dislocated workers are willing to commute or relocate;

Are unable to obtain grant assistance from other sources to pay the cost of such training,

including such sources as state-funded training funds, Trade Adjustment Assistance, and

Federal Pell Grants established under title IV of the Higher education Act of 1965, or require

WIOA assistance in addition to other sources of grant assistance, including Federal Pell Grants;

and

If training services are provided through the adult funding stream, are determined eligible in

accordance with the state and local priority system in effect for adults under WIOA).

For Employers:

As provided in WIOA sec. 107(d), the Local WDB must:

Lead efforts to engage with a diverse range of employers and other entities in the

region in order to:

(1) Promote business representation (particularly representatives with optimum

policy- making or hiring authority from employers whose employment opportunities

reflect existing and emerging employment opportunities in the region) on the Local

WDB;

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(2) Develop effective linkages (including the use of intermediaries) with employers in

the region to support employer utilization of the local workforce development system

and to support local workforce investment activities;

(3) Ensure that workforce investment activities meet the needs of employers and

support economic growth in the region by enhancing communication, coordination, and

collaboration among employers, economic development entities, and service providers;

and

(4) Develop and implement proven or promising strategies for meeting the

employment and skill needs of workers and employers (such as the establishment of

industry and sector partnerships), that provide the skilled workforce needed by

employers in the region, and that expand employment and career advancement

opportunities for workforce development system participants in in-demand industry

sectors or occupations.

Lead efforts in the local area to identify and promote proven and promising strategies

and initiatives for meeting the needs of employers, workers and job seekers, and identify and

disseminate information on proven and promising practices carried out in other local areas for

meeting such needs.

Lead efforts to engage with a diverse range of employers and other entities in the

region in order to:

(1) Promote business representation (particularly representatives with optimum

policy- making or hiring authority from employers whose employment opportunities

reflect existing and emerging employment opportunities in the region) on the Local

WDB;

(2) Develop effective linkages (including the use of intermediaries) with employers in

the region to support employer utilization of the local workforce development system

and to support local workforce investment activities;

(3) Ensure that workforce investment activities meet the needs of employers and

support economic growth in the region by enhancing communication, coordination, and

collaboration among employers, economic development entities, and service providers;

and

(4) Develop and implement proven or promising strategies for meeting the

employment and skill needs of workers and employers (such as the establishment of

industry and sector partnerships), that provide the skilled workforce needed by

employers in the region, and that expand employment and career advancement

opportunities for workforce development system participants in in-demand industry

sectors or occupations.

Lead efforts in the local area to identify and promote proven and promising strategies

and initiatives for meeting the needs of employers, workers and job seekers, and identify and

disseminate information on proven and promising practices carried out in other local areas for meeting

such needs.

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Monitoring Procedure and Scope

Monitoring will either be full or done as a desk audit depending on the year and circumstances. All

WDB’s will be fully monitored bi-annually.

Three weeks per Workforce Development Board

Random Selection of Customers- Using CTHires Reports CTDOL WIOA Administration will run a

report for each of the WDB’s to select the following random participants.

Random Selection of 10 customers- The monitoring team will select 10 random customers including

the following:

2 Participants from WIOA Title I Adult

2 Participants from WIOA Title I Dislocated Worker

3 Participants from WIOA Title I Youth (1 In School 2 Out of School)

2 Participants who applied but were not approved for Title I programs- This will include a review of

CTHires information only.

1 Employer who received services for Review

Week 1

Week 2

Monitoring Team review of selections- The monitoring team will review selections to determine what

materials/documentation the Workforce Development Board (WDB) will be required to submit based

on the following:

Participants

Initial Contact

One Stop Operations

Pre-participation services including application for Title I programs

Activities

Assessments

Support Services

Credential Attainment

Measurable Skills Gains

Career Pathways

Work Experience

Contract and Programmatic Review with WDB’s boards, sub-contractors and Providers

including:

o Budgets

o Mou’s

o RFP’s

Employers

Initial Contact

One Stop Operations

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Business Service Integration

Activities

Support Services

Expectations and Results

Week 3 Submission and review of WDB materials including case files. The monitoring team will

prepare and submit any required additional information to the WDB based on its review.

Week 4

4. On-site visit will consist of the following:

A. Entrance Meeting

B Review/tour of facility where each selected customer received services.

C. Interview with staff and customer/employer (if possible) who received services including

any sub-contractor(s) who worked with customer.

D. Exit Meeting

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WIOA Participant Monitoring Tool

WIOA Title I

Participant State ID:

Reportable _______

Participant________

Program_________________________________

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Monitoring I- Initial Contact Referral

Service providers shall provide information to eligible applicants, whether enrolled in WIOA or

not, of the services available through WIOA service providers, including information regarding the

opportunities for nontraditional training and employment. Determination may be made prior to

enrollment in WIOA to refer an eligible applicant to another service agency or training and

education program deemed more suitable for the individual. Each service provider shall ensure

that an eligible applicant who cannot be served by its particular program is referred to appropriate

agencies, both within and outside the WIOA system that may be able to better serve the applicant.

For Monitoring Team

WIOA -Sec. 121

Referrals

How was the customer referred to the AJC

for services?

Was the referral appropriate for the

program selected?

Were referrals made to other partner or

non-partner programs?

Did the customer receive informational only

activities prior to participation if they

eventually received services in a program?

What types of staff worked with the

individual?

Documents Requested:

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For Monitoring Team

One Stop Operation

Was the customer provided with Universal

Access under 20 CFR 678.415 (see Joint WIOA Final

Rule).

Was the range of services delivered

integrated into a seamless delivery? As

defined: Smoothly continuous or uniform in

quality; combined in an inconspicuous way.

§ 680.340 Was the customer offered consumer

choice in selecting the services offered?

Establishment of a One Stop Delivery

System

(WIOA 121 and 29 USC 3151)

The requirements of a One-Stop Delivery

Systems include: (1) a One-Stop in each local

area with access to the six core programs; (2)

the services must be provided at least one

physical center in each local area and may

make the services available through a network

of affiliated sites or through a network of

eligible One-Stop partners; (3) collocation of

employment service offices under Wagner-

Peyser Act; and (4) should have a common

system identifier, such as logo or phrase.

Was the customer provided with career

information prior to participation?

Should the customer have been enrolled in a

program if they were not?

Documents Requested: Current WDB plan

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For Monitoring Team

Pre-Participation Services – WIOA Sec. 134(c) TEGL- 19-16

The following services do not trigger participation under WIOA but do count in making the customer

a reportable individual. What services if any did the customer receive prior to participation? Were the

services correctly documented?

Did the customer receive Provision of info.

on job vacancies?

Did the customer receive info. On job skills

necessary to fill vacancies?

Did the customer receive provision of info.

on local demand occupations, with earnings,

skill requirements, and opportunities for

advancement for those jobs?

Did the customer receive provision of

performance and cost info. for providers of

education and training?

Did the customer receive provision of local

performance?

Did the customer receive information on

availability of supportive services or

assistance?

Did the customer receive a referral to

supportive services?

Did the customer attend any workshops that

were self-service or did not require staff

assistance?

Was the customer’s eligibility for Title I

WIOA services completed?


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Program Eligibility- Adults/Dislocated Worker Evaluate the following for each category below:

1. Was the information provided accurate?

2. Does the hard copy information in the file match the information referenced in CTHires?

3. Were any discrepancies noted in case files?

WIOA Sec. 3(2), Sec. 3(15)

Indicate whether the participant is an Adult (A) or Dislocated Worker (DW).

CTHires or Paper Case File Supporting Documentation.

20 CFR Part 675, 20 CFR 680.600,and 640, WIOA Sec. 3(36), Local Workforce Service Plan and Resource Guide

If an Adult, was the Adult determined low income as described in the local plan and was there documentation in the file to support the low income determination? (Low income was not applicable to the participant , participant was a Dislocated Worker or an Employed/Incumbent Worker referred by the employer).


20 CFR Sec. 680.130, WIOA Sec.3(15), Local Workforce Service Plan

If a Dislocated Worker, did the case file contain documentation of lay-off, termination, plant closure, recently separated veteran or spouse of a recently separated veteran, spouse of a veteran on active duty or other eligible Dislocated Worker criteria?


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WIOA Sec.188 (a)(5), 29 USC 2938(a)(5)

Was documentation in the case file of U.S. citizenship or authorization to work in the U.S.?


29 USC 2939(h), 50 U.S.C. App. 453 WIOA Sec.189(h), and Local Workforce Service Plan

If required, was documentation in the case file of Selective Service Registration or an allowable exemption? (Note: Federal requirement for males born on or after January 1, 1960).

CTHires or Paper Case File

Supporting Documentation

Veterans

WIOA Sec.3(63)(A) and (B), 38 U.S.C. 101, 20 CFR 1010.110 TEGL 03-15 and Local Workforce Service Plan

If the participant was a veteran, did the file contain documentation to verify veteran status?



WIOA Sec.3(63)(A), 38 U.S.C. 101, 20 CFR 1010.110 TEGL 03-15 and Local Workforce Service Plan

If the participant was an eligible spouse of a veteran, did the file contain documentation to verify eligible spouse of a veteran status?




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Grievance Complaint Form

CFR 683.600, 20 CFR 181(c )

Was a signed and dated Grievance/Complaint and EEO/Discrimination Form in the participant's case file? (Y, N).



Documents Requested: The local WDB signed and dated grievance policy.

Program Eligibility- Youth

WIOA sec. 129 (a)(1)(B), WIOA sec. 129 (a)(1)(C), WIOA Rules Subpart B Section 681.210, 681.220, 681.230, 681.320, 681.250, 681.240, 681.260, 681.280

Indicate whether the youth is an Out-of-School Youth (OSY) or an In-School Youth (ISY).



WIOA sec. 129 (a)(1)(B), WIOA sec. 129 (a)(1)(C), 20 CFR 681.230

Was documentation in the case file to verify school status? Applicable if participant enrolled on or after 7/1/2015.



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WIOA sec. 129 (a)(1)(B) and (C), WIOA SEC. 129(A)(2), WIOA Final Rules Subpart B Section 681.210, 20 CFR 681.260, WIOA sec. 3(36)

Was documentation in the case file that the youth was determined eligible based on the total family income calculation, receipt of cash assistance, Supplemental Social Security Income, Social Security Disability Insurance, Food Stamps, or was disabled, living in a high poverty rate area, receives or is eligible for free or reduced lunch, a homeless/runaway or a foster child? Note: Low income determination is not required if the participant is an OSY and meets one or more of the barriers listed in WIOA Sec. 129 (a)(1)(B) .



WIOA sec. 129 (a)(1)(B) and (C), WIOA SEC. 129(A)(2), WIOA Final Rules Subpart B Section 681.210, 20 CFR 681.260, WIOA sec. 3(36)

What barriers if any were

identified?

How was the barrier verified?

WIOA Sec. 129(c) (5), Local Workforce Services Plan, 20 CFR 681.250

If the participant did not qualify under any category was the participant determined eligible under the 5% exception criteria and was documentation in the case file to support this program eligibility

List the exception reason used

and was documentation

contained in CTHires or Paper

Case File Supporting

Documentation

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WIOA sec. 129 (a)(1)(B), WIOA sec. 129 (a)(1)(C)

Was documentation of age in the case file? (Note: In-School youth must be 14-21 and Out-Of-School youth must be 16-24 years of age).



WIOA Sec.188 (a)(5), 29 USC 2938(a)(5), and Special Project Contract

Was documentation in the case file of U.S. citizenship or authorization to work in the U.S.?



29 USC 2939(h), and Special Project Contract, and Local Workforce Services Plan

Was selective service verification documentation in the case file at the time of registration or during participation? (Applicable to males over the age of 18 years at registration).



WIOA Resource Guide; Special Project Contract; and Local Workforce Services Plan, WIOA sec. 3(24)(I)

Was documentation in the case file to support the federal or local barrier(s) entered in the CTHires ?(Note: A barrier is required for all youth).



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If the applicant is a non-emancipated youth under 18 years of age, or 18 years of age and older with a legal guardian due to disability, did the application include the signature of a parent or legal guardian or was there a self-attestation from a parent or legal guardian in the case file?



Grievance Complaint Form

CFR 683.600, 20 CFR 181(c )

Was a signed and dated Grievance/Complaint and EEO/Discrimination Form in the participant's case file? (Y, N).



CFR 683.600, 20 CFR 181(c )

If yes to, did the Grievance/Complaint and EEO/Discrimination Form include the correct name and addresses for filing a grievance or EEO complaint?




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For Monitoring Team

Activities- WIOA Sec. 134(c) TEGL- 19-16

The following activities trigger participation and are divided between Basic Career Services, Individualized

Career Services and Training. Note these services do not have to be delivered in any sequence under WIOA,

however a justification for each service provided should be noted in case notes.

It is not required that all participants receive all activities. For each category below determine the following:

1. Were the activities selected allowable under program guidelines?

2. Were the activities selected justified based on client assessment, IEP and customer choice?

3. Were the activities properly entered into CTHires and do they match and paper file?

4. Are there corresponding case notes for each activity?

5. Are the dates for the activity entered accurate to when the activity took place including beginning date and

ending date? Adult/Dislocated Workers

Basic Career Services

Did the customer receive a provision of

information on filing for Unemployment

Benefits?

Did the customer receive assistance in

establishing financial aid?

Individualized Services

Did the customer receive an initial

assessment?

What assessment was used?

Does the WDB have a policy in place for the

assessment used?

Was the assessment recorded in CTHires

and the results placed in the file or scanned

into CTHires?

Did the customer receive an IEP?

Was the IEP recorded in CTHires and the

results placed in the file or scanned into

CTHires?

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Did the participant receive any group

counseling?

Was the group counseling entered into the

CTHires and noted in the Case Notes

Did the customer receive individual

counseling?

Was the individual counseling entered into

the CTHires and noted in the Case Notes?

Did the customer receive career planning?

Was the career planning entered into the

CTHires and noted in the Case Notes?

Did the customer receive short-term

prevocational services?

Were the services entered into the CTHires

and noted in the Case Notes?

Did the customer receive any internships or

work experiences? (including transitional

jobs)

Was the internship/work experience entered

into the CTHires and noted in the Case

Notes?

Did the customer receive any workforce

preparation activities?

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Were the activities entered into the CTHires


Did the customer receive any financial

literacy services?

Were the activities entered into the CTHires


Did the customer receive any out-of-area

job search assistance and relocation

assistance?

Was the assistance entered into the CTHires


Did the customer receive any English-

language acquisition and integrated

education services or trainings




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Training Services

Did the customer receive training services as

described in Sec. 134(c)(3)(D)with the

exception of incumbent worker training?

Was the training service appropriate based

on career pathways and reasonable goals of

earning or working towards a living wage?

Was the training entered into the CTHires


Do case notes indicate one on one contact

with the customer?

Documents Requested

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Youth- 129(c)(2)

Career Services

Did the youth receive an IEP, Objective

Assessment and one of the 14 core activities

prior to participation?

Was this correctly documented in the

CTHires system?

Did the youth receive tutoring, study skills

training, or drop-out prevention?



Did the youth receive Alternative Secondary

School Services



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Did the youth receive education

concurrently with workforce preparation?



Did the youth receive leadership

development?



Did the youth receive supportive services,

what kind?

Does the supportive service match the local

WDB policy for such services?

Was the service entered into the CTHires


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Did the youth receive adult mentoring?



Did the youth receive comprehensive

guidance and counseling?



Did the youth receive financial literacy

education, describe the type?



Did the youth receive Entrepreneurial

training, describe the type?

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Did the youth receive services that provide

labor market information?



Did the youth receive Postsecondary

preparation and transition activities?



Training Services

Did the youth receive Occupational Skills

Training, where?

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For Monitoring Team

Adults and Dislocated Workers

Occupational Skills/Registered Apprenticeships/Pre-Apprentice/Skills Upgrading/Re-Training/Adult Education and Literacy

Was an Occupational Skills,

Registered Apprenticeship, Pre-

Apprenticeship, Skills Upgrade

and Retraining, or Adult

Education and Literacy activity

entered in CTHires

20 CFR 680.210 and 680.220, WIOA Sec. 134(c)(3)(A)(bb), WIOASec.134(c)(2)

If yes, was documentation in the case file of a determination of need for training services after an interview, evaluation, or assessment and career planning?

20 CFR 680.410-420, WIOA Sec. 122 (b)(1)(D), WIOA Sec. 122 (b)(4)(A), WIOA Sec. 122 (a)(3),

Was the training activity provided, in a local/state demand occupation?

20 CFR 680.410-420, WIOA Sec. 122 (b)(1)(D), WIOA Sec. 122 (b)(4)(A), WIOA Sec. 122 (a)(3),

Was the training provider on the local/state approved eligible training provider list (ETPL)?

20 CFR 680.300, WIOA sec. 134 (c)(3)(F)(iii) and (G)

If an Individual Training Account (ITA) was utilized, were ITA costs recorded including costs for books, supplies and financial assistance?

20 CFR 680.330 and 680.470 , WIOA Sec. 122(a)(2)(B), WIOA Sec. 134(d)(1)(A)(IX)(II)(bb)

If a Registered Apprentice activity was provided, was an OJT activity entered in the CTHires or was the RA training not funded using OJT funds?

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20. CFR 680.350, WIOA Sec. 134(c)(3)(D)(X)

If an Adult Education Literacy activity was provided and Title I Adult and Dislocated Worker funds were used, was the AEL activity done concurrently or in coordination with an allowable training activity?

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For Monitoring Team

On the Job Training/Customized Incumbent Worker Training WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan

Was On-The-Job (OJT), Customized Training (CT) or Incumbent Worker Training (IWT) provided to the participant?

WIOA Sec.122 (h), 20 CRF 680.770, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan

Was it (OJT, CT or IWT).

WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan

If IWT, was there documentation of an established employment history with the employer of six months or more or was the participant part of a training group where the majority of the group meet the six months requirement?


Was an OJT, CT or IWT agreement executed between the employer or a RA program sponsor and the Region for the participant's training position?. (Note: An agreement between the registered apprenticeship program sponsor and the region can only be executed if the participant was placed in a RA program).



Does the job title on the referral match the occupation listed on the participant's IEP or case notes?

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Is documentation in the case file that the participant's OJT/CT/IWT start date was on or after the employer's OJT/CT/IWT contract effective date?


Did the file contain details of the skills to be attained, the duration of the training and the wage rate or the established non-federal reimbursement share?


Was the training provided as described in the OJT/CT/IWT agreement?

Documents Requested: Copy of WDB OJT/CJT policy

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For Monitoring Team

Credential Attainment TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-09

Was a credential attainment entered into CTHires?

TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-10

Was documentation in the participant's case file to support the credential?


Does the credential attainment date and type match the credential attainment information entered in CTHires

Does the credential meet the definition of a Credential as indicated in CT’s WIOA Policy Manual?


For Monitoring Team

Supportive Services 20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract

Was a supportive service activity entered in CTHires?

20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract

Was there documentation in the participant case file to verify the supportive service provided?

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20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract.

Did the supportive service activity documented in the case file match the supportive service activity entered in the CTHires?


Was documentation in the case file to show that the supportive services were issued in accordance with local policy?

Documents Requested: Copy of Supportive Services Policy

For Monitoring Team

Measurable Skills Gain

TEGL 17-05

Were basic skills pre-test assessment results maintained in the participant's case file?

WIOA sec 3(5)(a)(b), 20 CFR 681.290

Was the participant determined to be basic skills deficient?

TEGL 17-05, Federal Data Validation Requirements, WIOA

Was the participant pre-tested and post-tested? Was there a skill gain reported and

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sec. 116 (b) (2)

documented in the file or CTHires?

TEGL 17-05, Federal Data Validation Requirements, WIOA sec. 116 (b) (2)

Was the original test documentation in the case file?

TEGL 21-16

For purposes of skill gain Which CASAS test was utilized ?

Life Skills Math 50

Life and Work Math 80

Life and Work Reading 80

CASAS Electronic Testing Math

102

CASAS Electronic Testing

Reading 101

TEGL 21-16

If the Measurable skills gain reported was other than an approved NRS test, indicate the type of skill gain and was there documentation in the file or CTHires of the gain?

36

For Monitoring Team

Youth

Career Pathway 20 CFR 681.320, and Special Project Contract. WIOA sec. 129(c)(1)(A)

Was documentation in the case file of an objective assessment?

WIOA sec. 129 (c)(1)(A), WIOA Sec 136 (A)(ii), 20 CFR 681.420

If yes, does the Objective Assessment include an assessment of the academic level, occupational skill level, as well as the service needs and strengths of the participant?

WIOA sec. 129 (c) (A), 20 CFR 681.460

Was documentation in the case file of an ISS that was created jointly by the participant and the career manager created ISS , and had at least one of the 14 program elements listed?

WIOA sec. 129 (c) (1) (B), 20 CFR 681.460

Does the ISS directly link to one or more of the performance indicators and does the ISS list the activities and services the youth will be or has been engaged in during participation in the WIOA program?

WIOA sec. 129 (c) (1) (B), 20 CFR 681

Was the ISS in the case file updated as activities were completed, benchmarks reached, goals achieved and/or the youth's needs changed?

Documents Requested: WDB Career Pathway Policy

37

For Monitoring Team

Measurable Skills Gain

TEGL 17-05

Were basic skills pre-test assessment results maintained in the participant's case file?

WIOA sec 3(5)(a)(b), 20 CFR 681.290

Was the participant determined to be basic skills deficient?


Was the participant pre-tested and post-tested? Was there a skill gain reported and documented in the file or CTHires?


Was the original test documentation in the case file?

TEGL 21-16

For purposes of skill gain Was the CASAS test utilized one of the following approved tests?

Life Skills Math 50

Life and Work Math 80

Life and Work Reading 80

CASAS Electronic Testing Math

102

CASAS Electronic Testing

Reading 101

TEGL 21-16

If the Measurable skills gain reported was other than an approved NRS test, indicate the type of skill gain and was there documentation in the file or CTHires of the gain?


38

For Monitoring Team

Supportive Services 20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract

Was a supportive service activity entered in CTHires?


Was there documentation in the participant case file to verify the supportive service provided?

20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract.

Did the supportive service activity documented in the case file match the supportive service activity entered in the CTHires?


Was documentation in the case file to show that the supportive services were issued in accordance with local policy?

Documents Requested: WDB Supportive Services Policy

For Monitoring Team

Credential Attainment TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-09

Was a credential attainment entered into CTHires?

39


Was documentation in the participant's case file to support the credential?


Does the credential attainment date and type match the credential attainment information entered in CTHires

Does the credential meet the definition of a Credential as indicated in CT’s WIOA Policy Manual?


For Monitoring Team

Work Experience Local Workforce Service Plan, WIOA sec. 129(c)(2)(C), 20 CFR 681.600-681.630, 20 CFR 680.700, 20 CFR 681.480

Was a WE activity entered in CTHires?

Local Workforce Service Plan, WIOA sec. 129(c) (2)(c), 20 CFR 681.600

Was a WE activity agreement executed between the employer and the LWDB for the participant's training?

Local Workforce Service Plan and WE contract agreement, WIOA sec. 129(c) (2)(C), 20 CFR 681.600

Was documentation in the case file that the WE start date was on or after the employer's WE activity agreement effective date?

40

Fair Labor Standards Act, Local Workforce Service Plan, Special Project Contract, WIOA sec. 129(c) (2)(C), 20 CFR 681.600

Was this a paid WE?

Fair Labor Standards Act, Local Workforce Service Plan, Special Project Contract, WIOA sec. 129(c) (2)(C) , 20 CFR 681.600

Was the participant paid the wage stated in the agreement and were FLSA requirements met?

Local Workforce Service Plan and WE contract agreement, WIOA sec. 129(c) (2)(C)

Was the WE training provided as described in the WE Training Plan?

WIOA sec. 129(c) (2)(C) 20 CFR 681.600

Did the participant complete the WE activity?

Local Workforce Service Plan, Special Project Contract, WIOA sec. 129(c) (2)(C), 20 CFR 681.600

Did the employer provide a copy of the training completion information?

Documents Requested: WDB WEX Policy

41

For Monitoring Team

Sub-contractors/Service Providers List the Contractor(s) Sub-Contracter(s) that worked with the participant:

2CFR § 00.319, State WIOA Procurement Policy Were the contracts procured through competitive bidding?

Describe the process Does the WDB have a procurement policy?

2CFR §200.20

Did the services rendered to the

participant match the service

deliverables in the contract?

2CFR §200.303

Was the contractor/sub-contractor

monitored by the local WDB?

Were there any significant findings?

What corrective Action steps did the

WDB take to ensure the provider

remained in compliance?

42

Documents Requested: Copy of Contract/Copy of WDB Monitoring Policy/Most recent monitoring

report

43

Characteristics of an American Job Center (AJC) (TEGL 4-15) FEDERAL VISION

1. Is How management a shared responsibility of States, local workforce development boards (WDBs), elected officials, core partners, other mandated partners, and one-stop center operators? Please explain how ?

AJC: Explain how your AJC meets the following expectations

1. Reflect welcoming environment to all customers?

2. Is staff sensitive to the unique needs of individuals with disabilities and are prepared to provide necessary accommodations?

3. Develop, offer and deliver quality business services?

a. Development and offering of service to specific businesses, staff able to identify industry skill needs, appropriate strategies for assisting employers and coordinating service across partner programs?

b. Speak with one voice when communicating with employers?

4. Offer access to job seeker and worker customers for education and training leading to industry-recognized credentials?

5. Create opportunities by providing customers timely labor market, job- driven information and choice as possible related to education/training, career and service delivery options, while offering customers the opportunity to receive skill-development and job placement service?

a. Does the AJC ensure opportunities are available to those with disabilities?

6. Provide career services that motivate, support and employer customers?

7. Assess individual's skill development and improving basic, occupational and employability skills?

Service Design (TEGL 4-15) FEDERAL VISION

1. Are frontline staff familiar with functions and basic eligibility of partner programs to make referrals?

2. Design and implement practices that actively engage industry sectors and use economic and labor market information, sector strategies, career pathways, Registered Apprenticeships, and competency models to help drive skill-based initiatives.

3. Balance traditional labor exchange services with strategic talent development within a regional economy. This includes use of market- driven principles and labor market information that help to define a regional economy, its demographics, its workforce and its assets and gaps in skills and resources.

4. Balance traditional labor exchange services with strategic talent development?

5. Does the AJC ensure physical and programmatic access to everyone including those with disabilities and language barriers?

6. Has the WDB assessed programmatic and physical accessibility of

To be completed by WDB

One-Stop System Worksheet Local Workforce Development Area (WDA): Please provide specific examples, attach any documents/policy developed in relation to the questions. Date:

I. Vision

44

1. Has the WDB been named as the one-stop operator with the

agreement of the local CEO and the Governor? (20CFR §679.410).

If yes, the State must ensure certification in accord with §678.800; if not

completed by NDOL Office of Employment & Training monitor must

include in this review.

2. Has the WDB in agreement with CEO designated and certified a one-stop operator?

3. Was the certification awarded through a competitive process? 4. Is the entity eligible to receive funds(may be entity or consortium of

entities that includes 3 or more partners): An entity of demonstrated

effectiveness, located in the WDA which may be:

Institution of higher education

State Employment Services on behalf of local office of the agency

Community-based organization, nonprofit organization or intermediary

Private for-profit entity

Government agency

Other interested origination or entity (local chamber or business

organization, labor organization

Elementary and secondary schools are not eligible except nontraditional public secondary schools and area career/technical education schools.

5. Did the WDB require that one-stop operators disclose any potential conflicts of interest arising from relationships of the

1. Does the AJC operator facilitate an integrated, co-located partnership that seamlessly incorporates services of partners?

2. Does the AJC organize and integrate services by function (rather than program) when program allows?

a. Are one-stop center who perform similar tasks serving on relevant functional teams, e.g. Skills Development, Business Services)

4. Does the AJC maintain integrated case managements systems through customer’s interaction with integrated system and allow information collected from customers at intake to be captured once?

a. Is it in accord with Personal Identifiable Information guidelines?

5. Does the AJC reflect integrated systems of performance, communication and case management, and use technology to achieve integration and expanded service offerings?

6. Are AJC staff trained to understand importance of data validation, collection processes, and the importance of accurate reporting?

7. Are center staff routinely cross training: knowledge, skills and motivation to provide service to job seekers, including those with disabilities, and business in an integrated, regionally focused framework of service delivery?

8. Does the AJC have highly trained career counselors, skilled in advising job seekers of their options, knowledgeable about local labor market dynamics, services available and skill in developing customer’s skills for employment successes?

II: Partners WIOA Sec. 121 (b) 1. Does each partner provide access through the one-stop system to programs/activities they carry out, (career services applicable to the program or activities available at the one stop in addition to any other locations?

2. Does every partner use of portion of the funds available to maintain the one-stop? (See partner worksheet)

3. Did every partner enter into a MOU? (See partner worksheet) III. One Stop Operator WIOA Sec. 121(d)

45

operators with training service providers or other service provider?

6. Did the WDB take action to ensure that practices are not established that create disincentives for providing long-term

services to individuals with barriers (participation time limits)?

7. Did the WDB require that operators comply with Federal regulations, and procurement policies, relating to the calculation

and use of profits?

8. Is there an agreement clearly identifying roles and responsibilities?

III. One Stop System WIOA Sec. 121 (e) 1. Are Career Services available at the AJC? (Who and How). 2. Are training services available at the Is the AJC, is it a point of

access for training services (Sec. 134( c)(3) & (3)(G))

3. Does the one-stop disseminate information on training service providers? Does it include performance and cost information?

(§679.380(a)). Was it observable in the one-stop?

4. Does the one-stop dissemination of information on supportive

services? Does it include performance and cost information?

(20CFR §679.900) Was it observable in the one-stop?

5. Does the one-stop disseminate information on the full array of

applicable and appropriate services available through the WDBs or other eligible providers, or one-stop partners? Does it include

performance and cost information? (20CFR§681.420) Was it

observable in the one-stop?

6. Does the AJC provide access to partner programs and activities?

7. Are all Wagner-Peyser sites co-located in a center? 8. Is there at least on physical center in the region? 9. Are services also available through:

A network of affiliate sites Network of eligible one-stop partners

(See WIOA Sec. 121(e)(20(B)(i) & (ii) for requirements)

10. Does the WDB region have any specialized centers? (WIOA

sec. 121 (e)(2)(C) for requirements)

11. Are programs, services and activities accessible through electronic means in a manner that improves efficiency, coordination and quality in delivery of partner services?

12. Does the one-stop system include the common one-stop identifier (American Job Center) in products, programs, activities, services, facilities and related property and materials?

13. Does the one-stop take part in any income generating activities? (20 CFR §683.295, 2 CFR §200.323)

46

One-Stop Interview

(Some areas are more appropriately answered by the One-Stop Operator, an interview with the

operator is required)

In person interview or complete for Desk Audit Local Workforce Development Area (WDA): One-Stop Operator Interviewed: Local Workforce Development Board (WDB) Administrative Entity: Date:

Local Workforce Development Board (WDB)

1. What strategies has the WDB developed for using technology to maximize the accessibility and

effectiveness of the workforce development system for employers? AJC partner case management and intake system connections Access to services in remote areas Strategies for meeting needs of individuals Leveraging resources and capacity

2. Has the WDB conducted oversight of the American Job Center and one-stop system including the vendors and subrecipients the WDB contract with?

Assessed physical and programmatic accessibility of all one-stop centers

3. Has the WDB, with the agreement of the CEO: Selected a one-stop operator Designated and certified one-stop Operator Selected a provider for Career Services Certified the one-stop

4. Does the one stop operator provide career services, if no has the WDB identified eligible

providers of career services? If the WDB is delivering career services or certified as the one stop operator – was it with

the agreement of the CEO and the Governor?

If the contract in place, signed as required? Ask to see contract…

5. How does the WDB facilitate access to services provided through the one-stop delivery system,

including remote areas, through the use of technology and other means?

6. Has the WDB entered into MOUs with all partners?

7. Does the WDB have a standing committee to provide information and assist with operational and other issues relating to the one-stop delivery system?

Membership Examples of actions

8. Does the WDB have a standing committee to provide information and assist with operational

and other issues relating to the provision of services to individuals with disabilities? Programmatic access Staff training on providing supports for accommodation

47

Membership Examples of actions

9. Has the WDA established a comprehensive one-stop center?

provides career services access to training services section 134(c)(3) point of access to training services for participants section 134(c)(3)(G) provides access to data, information, and analysis; job search, placement, recruitment,

and other labor exchange services (Wagner Peyser) PARTNERS

1. Are all required partners co-located at the AJC?

If no, how is access provided?

2. What other entities are co-located at the AJC?

3. Have MOUs been entered into with all partners including the use of funds to support the one-stop system?

4. How do partners take part in the operation of the one-stop? 5. What cost sharing agreements are currently in place regarding the operation of the one-stop?

One Stop Delivery System

1. Where is/are the physical center(s) in the workforce development area?

2. Are there affiliate sites?

3. How are programs, services and activities made accessible through electronic means?

Improves efficiency, coordination and quality

4. How is information disseminated through the one-stop to both individuals and employers: Career Services Training Services Supportive Services Youth Services Eligible Training Providers Eligible OJT Employers Grievances and Complaint process

48

WIOA Business Engagement Employer Tool

WIOA Title I

Selected Employer:

49

For WDB completion

Business Services Process Management Review

BUSINESS SERVICES YES NO

COMMENTS

Does the WDB promote recruiting

agreements? If yes, what is the

process?

Does the WDB conduct or participate

in job fairs? If yes, what is the

process?

Does the WDB market/communicate,

internally and externally the workforce

business proposition? If yes, how is

this done?

Does the WDB evaluate its Business

Services? If yes, how is this done?

Does the WDB institutionalize and

replicate proven outreach tactics (i.e.,

outreach tactics, core processes,

performance metrics? If yes, how was

this done?

Did the WDB build on an existing or

establish a local industry-specific

workforce business consortium in

partnership with economic

development organizations? If yes,

what organizations were included?

Does the WDB prioritize target

industry clusters? If yes, how is this

done?

Does the WDB provide a platform for

the creation of or technical input for

industry specific training programs? If

yes, how is this done?

Did the WDB institutionalize local,

regional and statewide “voice of the

customer” business forums to keep

abreast of current and emerging

workforce needs (e.g. business-led

initiatives)? If yes, how was this

accomplished?

50

Did the WDB try to increase workforce

awareness via visibility at target

industry specific events? If yes, how

was this accomplished?

Did the WDB showcase successful

workforce/business partnerships at

local economic development business

events? If yes, how was this

accomplished?

Does the WDB promote recruiting

agreements? If yes, what is the

process?

How does the WDB track their

penetration rate and repeat touches?

What outreach materials do you use?

How do you target both large and small

employers?

51

For Monitoring Team

What staff worked with the employer?

Was there follow-up services delivered to the

employer? Please be sure to cover the

following:

1. How often do BSR’s follow up?

2. What type of follow-up services did the

employer receive?

Were employer services documented in

CTHires?

52

How was the employer referred to the AJC

for services?

What services was the employer offered?

Were referrals made to other partner or

non-partner programs? How are referrals

made?

What specific steps are BSR’s employing to

build employer relationships?

53

What services were listed in CTHires?

Did the employer receive the

information/opportunity to complete a

customer service survey?

WIOA sec.116(b)(2)(A)(i)(VI)

Retention with the same employer?

54

WIOA sec.116(b)(2)(A)(i)(VI)

Repeat Business Customers? Has the

employer used our services in the last three

years, in addition to the current services they

are receiving?

55

For Monitoring Team

Employer Survey/Interview

Employer Selected:

The survey contains Modules that cover four basic areas of employer services:

Worker Recruitment

Business Services

(Labor Market) Information

WORKER RECRUITMENT Response

1 Have you posted one or more job

openings on the CTHires web site in the

last 6 months?

2 [In the last 6 months have you talked with

any CT AJC staff about posting job

openings or recruiting workers?

3 If yes, how satisfied are you with the help

that was provided? Are you very satisfied,

satisfied, dissatisfied, or very dissatisfied?

4 Did you post the job opening(s) by

contacting the AJC and having them do

it,or by listing it yourself on the internet

with CTHires,

5 Did you fill the last position that you

posted on CTHires?

6 If yes, was the new hire a job applicant

from CTHires?

7 In general, do you feel that you had too

many, about the right number, or too few

applicants as a result of your CTHires job

posting(s)?

8 Over the last 6 months, about how often

have you logged on to CTHires to review

job seeker resumes to find applicants for a

56

job opening? Would you say 1 or more

times a week, 1 to 3 times a month, less

than once a month, or not at all?

9 If you reviewed resumes how satisfied are

you that the resumes you reviewed on

CTHires gave you useful information

about the job seekers?

10 Have you used the matching feature that

lets you find resumes posted on CTHires

that match the qualifications in your job

posting?

11 How satisfied are you that the resumes

were a good match to your job posting?

12 If you had a colleague who needed to post

a job opening, would you recommend

using CTHires?

13 Now I'd like to ask about labor market

data or statistics, such as salary or wage

information, workforce demographics, or

unemployment data. In the last 12 months,

have you received this type of information

from Business Services Staff?

14 Have you obtained any labor market data

or statistics from CTHires or Research

through the internet, through a

publication, or by another method?

15 How satisfied are you with the time it took

to respond to your telephone call or email?

16 How easy was it to find the data or

statistics you needed?

17 What kinds of labor market data or

statistics did you receive?

57

18 How satisfied are you that the information

was presented in a clear and

understandable manner?

19 Did you use this information to make

decisions about wages and salaries, for

workforce or business planning, for

preparing a report, or for some other

purpose?

20 [If not what were the reasons you were not

able to use the information?

21 How well did the information meet your

needs? Very well, well, not very well, or

not at all?

22

In the last six months have you talked

with a representative from AJC about your

business needs and concerns? This person

may have visited you or contacted you by

phone. Topics you might have discussed

include worker recruitment; retention,

skills, or training; general HR issues;

economic development issues; financing

issues; solutions for modifying tasks or

equipment to accommodate an employee;

or government regulations

23 What was the general topic area of the

conversation?

24 Did the representative talk with you about

using CTHires for recruiting purposes?

25 Have you used CTHires since that time?

58

26 How satisfied are you that this

representative understood your business

needs and concerns? Are you very

satisfied, satisfied, dissatisfied, or very

dissatisfied?

27 How satisfied are you with the time it

took the representative to respond when

you had a question or needed

information?

28 How well did the overall result meet your

needs? Was it ... very well, somewhat

well, not very well, or not at all?

29 Are you aware that CTDOL has money

available to assist employers in finding

and supporting workers in both traditional

and non-tradition apprenticeship

programs?

59

For DOL Local Office Manager

Governors Reserve

The Workforce Innovation and Opportunity Act (WIOA) reforms and modernizes workforce development and provides Governor’s Reserve Funds to support employment and training activities defined in WIOA Section 134(a)(3)(A) and youth activities defined in WIOA Section 129(b)(2). WIOA restores the statewide set-aside to 15 percent. The law sets the framework for use of these funds by describing a set of required and optional activities that the funds may support. Below are statewide allowable activities under the Governor’s Reserve.

Statewide Allowable Activities

Have 15% funds been used for the following in your region?

Has the WDB developed and implemented

innovative programs and strategies designed to

meet the needs of all employers (including

small employers) in the State, including the

programs and strategies referenced in WIOA

sec. 134(a)(3)(A)(i);

What are they?

Has the WDB developed and implemented

innovative programs and strategies designed to

meet the needs of all employers (including

small employers) in the State, including the

programs and strategies referenced in WIOA

sec. 134(a)(3)(A)(i);

What are they?

60

Has the WDB developed strategies for serving

individuals with barriers to employment, and

for coordinating programs and services among

one-stop partners; Please describe:

Has the WDB Developed or identified

education and training programs that have the

characteristics referenced in WIOA sec.

134(a)(3)(A)(iii);

Please describe:

Has the WDB implemented programs to increase the number of individuals training for and placed in non-traditional employment; Please describe:

Has the WDB conducted research and

demonstrations related to meeting the

employment and education needs of youth,

adults and dislocated workers;

Please describe:

61

Has the WDB supported the development of alternative, evidence-based programs, and other activities that enhance the choices available to eligible youth and which encourage youth to reenter and complete secondary education, enroll in postsecondary education and advanced training, progress through a career pathway, and enter into unsubsidized employment that leads to economic self-sufficiency; Please describe:

Has the WDB supported the provision of career

services in the one-stop delivery system in the

State as described in § 678.430 of this chapter

and WIOA secs. 129(b)(2)(C) and 134(c)(2);

Has the WDB supported financial literacy activities as described in § 681.500 of this chapter and WIOA sec. 129(b)(2)(D);

Has CTDOL provided incentive grants to local

areas for performance by the local areas on

local performance accountability measures;

Please describe:

https://www.customsmobile.com/regulations/20/678.430

https://www.customsmobile.com/regulations/20/681.500

62

Has CTDOL provided technical assistance to Local Workforce Development Boards (WDBs), chief elected officials, one-stop operators, one-stop partners, and eligible providers in local areas on the development of exemplary program activities and on the provision of technology to facilitate remote access to services provided through the one-stop delivery system in the State; Please describe

Has CTDOL provided technical assistance to

local areas that are implementing WIOA Pay-

for-Performance contract strategies and

conducting evaluations of such strategies.

Technical assistance may include providing

assistance with data collections, meeting data

entry requirements, and identifying level of

performance;

Please describe

Has CTDOL or your WDB provided activities to

facilitate remote access to training services

provided through the one-stop delivery system;

Please describe:

63

Activities that include:

Activities to improve coordination of workforce

investment activities, with economic

development activities; and

Activities to improve coordination of

employment and training activities with child

support services and activities, cooperative

extension programs carried out by the

Department of Agriculture, programs carried

out by local areas for individuals with

disabilities (including the programs identified in

WIOA sec. 134(a)(3)(A)(viii)(II)(cc)), adult

education and literacy activities including those

provided by public libraries, activities in the

correction systems to assist ex-offenders in

reentering the workforce and financial literacy

activities; and

Developing and disseminating workforce and

labor market information

Implementation of promising practices for

workers and businesses as described in WIOA

sec. 134(a)(3)(A)(x);

Adopting, calculating, or commissioning for

approval an economic self-sufficiency standard

for the State that specifies the income needs of

64

families, by family size, the number and ages of

children in the family, and sub-State

geographical considerations

Developing and disseminating common intake

procedures and related items, including

registration processes, across core and partner

programs; and

Coordinating activities with the child welfare

system to facilitate provision of services for

children and youth who are eligible for

assistance under sec. 477 of the Social Security

Act.

How many (FTE) positions are funded in your

local WDB?

Please describe their duties and the percentage

of time spent on each duty?

Please provide a signed copy of the MOU for

5% staff in region

The onsite review may include interviewing 15% Governor Funded Staff regarding their knowledge, training and the services they provide to customers?

65

For WDB Completion

Governance

WIOA Section 107 (a) ESTABLISHMENT.—Except as provided in subsection (c) (2) (A), there shall be established, and certified by the Governor of the State, a WDB in each local workforce development area (WDA) of a State to carry out the functions described in subsection (d) (and any functions specified for the local board under this Act or the provisions establishing a core program) for such area.

WIOA Sec. 107 (b)(2); 20CFR

§679.320-.350- Composition of Board

Does the WDB maintain a Membership list with designation; Nomination and appointment procedures; nominations, minutes? Please provide a copy

WIOA sec. 107(d); 20CFR

§679.370 -.390-Functions

Is there a WDA plan, written policies, regional planning activities, research and labor market analysis documentation, meeting agendas/products, Career Pathways, budget for the activities of the WDB; accessibility

assessment, certification of one- stop? Please provide

WIOA Sec. 107 (c)(1)(B)(i),

20CFR §679.310(e) & .430 Written Agreements

Does the WDB include MOUS agreements with CETC, WDB’s and Local Chief Elected Officials Please Provide

66

WIOA sec. 107(b)(4); 20CFR

§679.360 Standing Committees and Board

Does the WDB maintain Bylaws, minutes for the board and all standing committees? Please Provide

WIOA Section 107(c)(2); 20CFR

§679.350,

Have the WDB’s been certified with Governor CETC as required under WIOA? Bi-annual Please Provide

20CFR §679.390 WIOA Sec. 107(e) Sunshine Provision

Are Public Notices, agendas, minutes, bylaws, awards, roster, website, meeting schedules, posted on the WDB website and in newspapers?

WIOA sec. 107(d)(10)(A); 20CFR

§679.410(a), .430 Sole Source?

Has the WDB obtained a Sole Source procurement, agreement of the Chief Elected Official and the Governor, One-Stop certification by State

WIOA §679.360(a) &.370(i) Monitoring

Please provide the WDB monitoring policies for sub-

67

contractors, including a schedule and copy of the last monitoring performed?

68

For Monitoring Team- However the WDB needs to provide membership list with

representation Board Membership Compliance

LOCAL WORKFORCE DEVELOPMENT BOARD (WDB) WORKSHEET

WDB NAME CONTACT PERSON TELEPHONE DATE Governor’s Criteria for appointments: (WIOA Sec. 107(a)(2)

Total Seats (20CFR§ 679.320) Required % Required Number Actual % or Meets Number

I. Business Majority 51% Small Business (20CFR§679.320(b) 2

II. Representatives of Workforce 3-5 20% III. Education & Training 2-3 IV. Government & Econ. Develop. 3-5 V. CEO Addition

I. BUSINESS (WIOA Sec. 107 (b)(2)(A), (3), (5))

NAME

(Business Chair

)

TITLE ENTITY NOMINATED BY BUSINESS(LOCA

L BUSINESS ORG AND BUSINESS TRADE ASSOCIATONS)

APPOINTED TERM START

TERM END

OPTIMUM POLICY

PROVIDE EMPLOYMENT – HIGH QUALITY

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

II. Representatives of the Workforce (WIOA Sec. 107(b)(2)(B))

Shall Include NAME TITLE ENTITY OPTIMUM POLICY AUTHORITY

NOMINATED BY (Labor Federations)


TERM END

1 Representative of Labor Organizations

2 Representative of Labor Organizations

No Labor Organizations - how determined? 1A Other Representatives

of Employees

2A Other Representatives

of Employees

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3 Representative of

Joint Labor- Management Apprenticeship Program

No joint Labor-Management Apprenticeship Program - how determined?

3a Representative of Apprenticeship Program

May Include:

4 CBO 5 Organizations

III. Education and Training (WIOA Sec. 107(b)(2)(C))

SHALL INCLUDE NAME TITLE ENTITY OPTIMUM

POLICY NOMINATED BY


TERM END

1 Eligible Provider administering Adult Education & Literacy

2 Institution of Higher Education providing workforce investment activities (incl. community colleges)

MAY INCLUDE: 3 Local

Educational agencies, CBO demonstrated . . . education or training needs of individuals with barriers to employment

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IV. Governmental and Economic Development (WIOA Sec. 107(b)(2)(D))

SHALL INCLUDE NAME TITLE ENTITY OPTIMUM POLICY

NOMINATED BY


TERM END

1 Economic and Community Development Entity

2 Wagner-Peyser 3 Voc Rehab MAY INCLUDE: 4 Agencies or

entities – transportation, housing, public assistances

5 Philanthropic Organizations

V. CEO Addition’s (WIOA Sec. 107(b)(2)(E))

MAY INCLUDE

NAME TITLE ENTITY OPTIMUM POLICY

NOMINATED BY


TERM END

1 2 3

VI. Standing Committees (WIOA Sec. 107(b)(4)

1. Has the WDB named standing committees? If No – does the board direct activities directly? If yes:

Committee Name Members (*indicates WDB member) Duties

VII. Certification

Most Recent Certification

Certified Date of Certification Timely Request of Certification (if due)

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For Onsite Interview or to completed by WDB for Desk Audit

Workforce Development Board (WDB) Interview/Questionnaire

Local Workforce Development Area (WDA): Date:

1. Has the Workforce Development Board (WDB) establishing any standing committees (§679.360)? If

yes name and describe.

Committees?

Chaired by a WDB Member? Other WDB members? Other committee members appointed by?

Demonstrated experience and expertise?

2. Has the WDB developed an approved 4-year WIOA plan (§679.370)? If yes how were stakeholders involved in development and identifying and leverage resources?

3. What efforts have been made to engage with employers and other entities in your WDA?

4. Has the WDB conducted workforce research and labor market analysis? If yes, describe:

5. Developed and implemented career pathways within the WDA aligning the employment, training,

education and supportive services available? If yes, describe:

6. Identified proven and promising strategies and initiates for meeting the needs of employers, workers and job seekers and disseminating information on proven and promising practices carried out in other WDAs for meeting such needs?

7. Have strategies been implemented to maximize the accessibility and effectiveness of the local system

through use of technology? If yes, describe:

Have strategies increased service:

To remote areas? Meeting needs of individuals with barriers to employment? Leveraged resources and capacity of the workforce development system?

8. Has the WDB conducted oversight of WIOA activities, the one-stop delivery system and the appropriate

use and management of WIOA funds in conjunction with the CEO?

Developed an oversight policy/procedures Developed an oversight schedule Identified actions to be taken when deficiencies are identified

Completed any oversight activities in the last 12 months? If yes reports must be submitted with questionnaire.

9. Has the WDB developed and implemented a certification process for the one-stop center(s)?

When was most recent certification completed? Affiliate sites?

10. Has the WDB negotiated funding for the infrastructure costs of one-stop centers in your WDA? If no

describe attempts, progress, status. If yes, describe arrangements.

11. Has the WDB developed a system for receiving applications, evaluating and approved service providers?

Youth Eligible Training Providers

One-Stop Operators

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12. Has the WDB developed a line item budget for the activities of the board?

13. Has the WDB developed a system for assessment of the physical and programmatic accessibility of the

one-stop center(s) in accord with WIOA sec. 188?

Are there written procedures?

Is there a written assessment? Provide most recent.

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Monitoring

Report

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Compliance Findings &Action Required When the monitor finds a practice that appears to be in violation of law, rule, or policy.

Any time documentation is missing for enrollment, eligibility, data validation, etc. this

would be a compliance finding. The Compliance Finding would be immediately followed

by Action Required. The compliance finding will reference the law, regulation, or policy

that is not being followed.

Action Required: The action the provider must take to resolve the Compliance Finding.

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Area(s) of Concern When the monitor finds a practice that might lead to non-compliance of law, rule, or

policy. This would be used for a questionable practice but not a practice that is definitely

out of compliance. In the report the monitor would word this as a matter of technical

assistance or chance for improvement. Depending on the concern, the provider may or may

not respond to these on the report. The Area of Concern should be followed by a

recommendation.

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Questioned Cost:

Used when monitors find unallowable purchases and/or incorrect or documentation is

missing for activities, services or payments that were made with program dollars. The

payment is questioned until the provider has a chance to respond and resolve the

discrepancy.

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Best/Promising Practices

Best Practice: Analysis of outcome data indicates that exceptional programming or service

delivery is being produced by the provider.

Promising practice: Work that is recognized by the monitor during or after the monitoring

process as promising but not yet sufficiently substantiated through data collection and outcome

measures