WIA Administration Unit WIA. Workforce Investment Act. Program Monitoring Tool & Guide. State of Connecticut Department of Labor.

Transcription

1 WIA Administration Unit WIA Workforce Investment Act Program Monitoring Tool & Guide State of Connecticut Department of Labor April 9, 2014 Page 1 of 68

2 TABLE OF CONTENTS Page # Welcome 3 Monitoring Goals 3 Reference Resources (WIA and e-cfr) 4 Program Monitoring Review Process 4 Key Programmatic Areas 5 WIA Program Monitoring Tool Workforce Investment Board: Identification of Region 6 CTDOL Monitoring Team WIB Staff Entrance Interview / List of Attendees and General Notes 7 Monitoring Tool Components: 1. Board of Directors American Job Center Operator A. Memorandum of Understanding (MOU) 17 B. Priority of Service and Customer Choice 18 C. Eligibility 19 D. Core, Intensive, and Training Services Core Dislocated Workers and Displaced Homemaker Intensive Training Services & Individual Training Accounts (ITAs) Eligible Training Providers (ETPL) E. Priority and Special Populations F. On-The-Job (OJT) and Customized-Job-Training (CJT) G. Supportive Services and Needs-Related Payments H. Youth Activities Out-of-School Youth Concurrent Enrollment of Youth with Adult/Dislocated Worker 51 Training Services for Youth 52 Youth Summer Employment Participant File Review Forms Instructions 55 Form A Adult / Dislocated Worker Monitoring Instrument: Form B Youth Monitoring Instrument Page 2 of 68

3 Welcome to the State of Connecticut Department of Labor s Workforce Investment Administration Program Monitoring Tool and Guide. This guide is designed to: meet federal monitoring guidelines with the goal of collecting sufficient data to: o review WIA activities and o analyze how services are provided within the local American Job Center; and determine any compliance issues in one or more of the WIA funding streams. The goals of monitoring include: Confirming that local areas follow and comply with Federal and State statues and regulations for workforce programs Avoiding disallowed costs Identification of promising or best practices and sharing information with workforce system providers and partners Identification of areas requiring technical assistance Determining what constitutes good and quality programs Evaluation of program effectiveness and impact Identification of program successes and challenges Evaluation of program performance and service goal targets Conducting risk assessments Conducting Desk Reviews in preparation for on-site visits Staying connected to local program operations Providing a feed-back mechanism and process to Local Areas Sharing promising practices with partners and program providers, for implementation and wider replication Providing guidance to local areas to assist them in providing quality workforce services to customers Provide a framework and protocol for continuous improvement in workforce programs Create a repository of the policies and procedures for all local areas, for sharing with workforce partners A transparent and objective review of WIA program implementation at Local Boards The Connecticut Department of Labor (CTDOL) shall use this Tool to conduct WIA Program monitoring during a multi-day (at minimum) on-site review of each local area on an annual basis. One or more components may also be selected for targeted review of a local area. At CTDOL s discretion, some reviews may be conducted at CTDOL, e.g. desk reviews, etc. The monitoring components that follow include the applicable WIA and corresponding Code of Federal Regulation (CFR) cross-references. Results of monitoring shall be shared during the process of such on-site reviews and will also be shared annually during a statewide de-briefing. Page 3 of 68

4 Reference resources: The Workforce Investment Act (WIA) WIA Regulations Program Monitoring Review Process: Monitoring of the WIA Program involves the following aspects -- by funding string (Adult, Dislocated Worker, Youth): Eligibility and Records Review Delivery of Services Quality of Services Service Progression Service Levels Activity Levels Exit Strategies Analysis of Costs and Expenditures by Program Deliverables This tool is designed for CTDOL s use in conducting WIA Program monitoring during a three-day (at minimum) on-site review of each local area on an annual basis. One or more components may also be selected for targeted review of a local area. 1. Entrance Meeting 2. Interviews Review of local area policy and program design / implementation Participant case file review 5. Exit Meeting 6. Narrative Report and Statistical Analysis Closing Interview CTDOL Notice of Need for WIB to do Corrective Action Plan and WIB Response The CTDOL review team and the local WIB staff discuss the monitoring process and purpose as well as introduce all interested parties who will be involved in the review. CTDOL interviews key program staff and partners including member(s) of the WIB s Board and WIA participants. CTDOL determines: compliance with the WIA, corresponding Regulations, and State and Federal guidance best practices to share with program partners areas of concern or subject to technical assistance or corrective action WIB files are selected by CTDOL either randomly or deliberately. The CTDOL review team and the local WIB staff discuss the results of the monitoring process, best practices and improvements to be made. CTDOL prepares: Narrative Report summarizing and detailing its findings, and Statistical Analysis of data and trends as well as corresponding required corrective action(s), areas of concern and recommendations, suggestions for improvement, and best practices. CTDOL and the local board discuss findings and corrective action issues (if any). As needed, CTDOL will advise the local board of any issues requiring corrective action, and in response the local board will submit a Corrective Action Plan for CTDOL review and approval. Page 4 of 68

5 The five (5) key programmatic areas subject to review include the following: 1. Governance 2. Grant Management Program Service Delivery Review of Follow-up services Performance and Accountability To be added in a future update of this Tool Evaluation of each local area s governance and program design in the context of a demand-driven system. Evaluation of the capacity of the local boards and CTDOL as Program Administrator to perform the broad management functions required when operating federally-funded workforce development grants. Evaluation of the local area s capacity and effectiveness in delivering services to participants and employers, including a Process Review of: a. Operating systems b. Participant files c. Training opportunities d. Business services Evaluation of the effectiveness of service delivery to a. participants and employers. Assessment of services designed to engage job-seekers in b. activities that increase employment and job retention Evaluation of sub-recipient s meeting operational goals, including: a. Planned service targets b. Planned expenditure targets c. Negotiated performance outcome goals Page 5 of 68

6 WIA Monitoring Tool Fill out one of these for each Board for each time Monitoring is conducted. Workforce Investment Board R E G I O N Check Acronym Board E WIB Eastern Connecticut Workforce Investment Board NC WIB Capital Workforce Partners NW WIB Northwest Regional Workforce Investment Board SC WIB Workforce Alliance SW WIB The WorkPlace, Inc. Monitoring Review Dates: Insert start date through Insert end date CTDOL Monitoring Team: Name Title WIB Staff: (Please provide a copy of your organizational chart if available) Name Title Page 6 of 68

7 Entrance Interview/List of Attendees and General Notes: Page 7 of 68

8 WIA Monitoring Tool Monitoring Questions (and WIA or CFR citations) are in bold blue text. WIA or CFR text is in bold italicized black text. 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component Obtain a copy of the WIB s handbook and/or all policies Sunshine Provision How does the Local Board meet its requirement to make available to the public, on a regular basis, through open meetings, information about its activities, including information about membership, information about the Local Plan, development of significant policies and guidelines and, if requested, minutes of formal Board meetings? WIA 117 (b)(2) Does the Local Board meet all membership requirements? Members who represent organizations, agencies or other entities must have optimum policy-making or hiring authority within the entities they represent. Members may be appointed as a representative of more than 1 entity if that individual meets all the criteria for such representation, for each such entity Confirm that a majority (51%) of the members are from local businesses in the local area: Local Area Businesses: Owner of businesses, CEOs or officers of businesses, business executives or employers with optimum policy-making or hiring authority 20 CFR (a), defined as a person who can reasonably be expected to speak affirmatively on behalf of the entity he/she represents and to commit that entity to a chosen course of action Persons who represent businesses with employment opportunities reflecting local area employment opportunities Individuals nominated for appointment by local business organizations and business trade associations Do representatives of business constitute fifty-one (51%) of the WIB? Yes: No: Confirm that there are two (2) or more members representing each of Page 8 of 68

9 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component the following categories: Local Educational Providers: Representatives of local educational entities (local school boards, local educational agencies, adult education providers, literacy activity providers, post-secondary institutions such as community colleges) Individuals nominated for appointment by local educational institutions, organizations or associations Local Labor Organizations: Representatives of labor organizations representing employees Individuals nominated for appointment by labor organizations Other representatives of employees Community-Based Organizations: Representatives from community-based organizations Representatives from organizations representing veterans Representatives from organizations representing the disabled Economic Development: Public Economic Development Agency representatives Private Sector Economic Development agencies (b) WIA 121(b)(1)(B) Confirm that the Local Board has at least one member from each required One-Stop partner: Required One-Stop partners include: The required partners are the entities responsible for administering the following programs and activities in the local area: WIA Title I, including Adults Dislocated Workers Youth Job Corps Native American programs Migrant and seasonal farm worker programs Veterans workforce programs Programs authorized under the Wagner-Peyser Act Adult education and literacy activities authorized until WIA Title II Program authorized under Title I, Parts A & B of the Rehabilitation Act Senior community service employment (SCSEP) activities authorized under the Older Americans Act of 1965, Title V Post-secondary vocational educational activities under the Carl D. Perkins Vocational & Applied Technology Education Act Trade Adjustment Assistance (TAA) and NAFTA Transitional Adjustment Assistance activities authorized under the Trade Act of 1974 as amended and the Trade Adjustment Assistance Reform Act of 2002 Activities authorized under 38 U.S.C. 41 (local veterans employment representatives and disabled veteran outreach programs) Employment and training activities carried out under the Community Services Block Grant Employment and training activities carried out by the federal Page 9 of 68

10 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component (a)-(c) WIA 121(b)(2) (b) WIA 117(b)(2)(B) Department of Housing and Urban Development (HUD) Programs authorized under State unemployment compensation laws Other human resource program entities may serve as additional One-Stop partners if the Local Board and chief elected officials approve their participation. Additional One-Stop partners may include: TANF programs authorized under the Social Security Act, Title IV Employment and training programs authorized under the Food Stamp Act of 1977 Work programs authorized under the Food Stamp Act of 1977 Programs authorized under the National and Community Service Act of 1990 Other appropriate Federal, State or local programs, including programs related to transportation and housing and programs in the private sector The state may require that 1 or more of the programs identified immediately above be included as a partner in all of the local One-Stop delivery systems in the state. Other: Persons or representatives of entities as the local areas chief elected official deems appropriate and as determined by the chief elected official, including: entities representing persons with multiple barriers to employment entities representing persons of other special populations Are all WIB seats filled? Yes: No: If no, what vacancies currently exist? Obtain a written listing of all current Board members and their respective affiliation per WIA criteria WIA 117 (c)(2) The Governor shall, once every 2 years, certify 1 Local Board for each local area in the state. Or, if this state procures services for any WIB s One-Stop provider, indicate below. Is the Board s certification on file and current? Yes: No: Date of current certification on file: Obtain a copy of the current certification. Page 10 of 68

11 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component If this state procures services for any WIB s One-Stop provider, describe which WIB and circumstances, below: 4. CTDOL request Describe the orientation the WIB provides to its members. Obtain copies of all orientation materials WIA 117 (h)(2) Does the WIB have a Youth Council? Yes: No: Obtain a copy of Youth Council members. Confirm that the Youth Council is comprised of the following required members with special interest or expertise in youth policy: Local Area Businesses: Owner of businesses, CEOs or officers of businesses, business executives or employers with optimum policy-making or hiring authority Persons who represent businesses with employment opportunities reflecting local area employment opportunities Individuals nominated for appointment by local business organizations and business trade associations Local Educational Providers: Representatives of local educational entities (local school boards, local educational agencies, adult education providers, literacy activity providers, post-secondary institutions such as community colleges) Individuals nominated for appointment by local educational institutions, organizations or associations Local Labor Organizations: Representatives of labor organizations representing employees Individuals nominated for appointment by labor organizations Other representatives of employees Community-Based Organizations: Representatives from community-based organizations Representatives from organizations representing veterans Page 11 of 68

12 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component Representatives from organizations representing the disabled Economic Development: Public Economic Development Agency representatives Private Sector Economic Development agencies One-Stop Partners: Representatives from each of the One-Stop partners (See list on page 9) Other: Persons or representatives of entities as the local areas chief elected official deems appropriate and as determined by the chief elected official, including: entities representing persons with multiple barriers to employment entities representing persons of other special populations Additionally, does the Youth Council have the following required members? Representatives of youth service agencies, including juvenile justice and local law enforcement agencies Representatives of local public housing authoriites Parents of eligible youth seeking assistance under this SubTitle Individuals, including former participants, and representatives of organizations, who have experience relating to youth activities Representatives of the Job Corps, as appropriate WIA 117(h)(2)(B) Individuals as the Local Board chairperson, in cooperation with the chief elected official, deems appropriate. If any such individuals are on the Board, fill in below: Obtain a written listing of all current Youth Council members and their respective affiliation per WIA criteria. Oversight of the Youth Council: The youth council is responsible for: Coordinating youth activities in a local area; Developing portions of the local plan related to eligible youth, as determined by the chairperson of the Local Board; Recommending eligible youth service providers in accordance with WIA section 123, subject to the approval of the Local Board; Conducting oversight with respect to eligible providers of youth activities in the local area, subject to the approval of the Local Board; and Page 12 of 68

13 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component Carrying out other duties, as authorized by the chairperson of the Local Board, such as establishing linkages with educational agencies and other youth entities WIA 117(d)+(h)(4) The Local Board, working with the youth council, is responsible for conducting oversight of local youth programs operated under the Act, to ensure both fiscal and programmatic accountability. Local program oversight is conducted in consultation with the local area's chief elected official. The Local Board may, after consultation with the CEO, delegate its responsibility for oversight of eligible youth providers, as well as other youth program oversight responsibilities, to the youth council, recognizing the advantage of delegating such responsibilities to the youth council whose members have expertise in youth issues. Describe the LWIB s process and procedure to conduct oversight of the Youth Council Does the WIB have an approved Local Area Five-Year Plan? Yes: No: When was the Local Area Five-Year Plan last approved and/or modified? Date(s): Approved Modified Obtain a copy of the WIB s most recent Local Area Plan. WIA 118(b) Review Plan for compliance with WIA 118(b) on next page -- and indicate issues of non-compliance here: Page 13 of 68

14 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component An identification of the workforce investment needs of businesses, job-seekers, and workers in the local area An identification of current and projected employment opportunities and job skills necessary to obtain such opportunities A description of the One-Stop delivery system to be established or designated in the local area, including: How the Local Board will ensure continuous improvement of eligible providers of services and ensure that such providers meet the employment needs of local employers and participants A copy of the local Memorandum(s) of Understanding between the Local Board and each of the One-Stop partners concerning the operation of the local One-Stop delivery system A description of the local levels of performance negotiated with the Governor and the chief elected official(s) to be used by the Local Board for measuring the performance of the local fiscal agent (where appropriate), eligible providers, and the local One-Stop delivery system A description and assessment of the type and availability of adult and dislocated worker employment and training activities in the local area, including a description of the local ITA system and the procedures for ensuring that exceptions to the use of ITA's, if any, are justified under WIA section 134(d)(4)(G)(ii) and 20 CFR A description of how the Local Board will coordinate local activities with Statewide rapid response activities A description and assessment of the type and availability of youth activities in the local area, including an identification of successful providers of such activities A description of the process used by the Local Board to provide opportunity for public comment, including comment by representatives of business and labor organizations, and input into the development of the local plan, prior to the submission of the plan An identification of the fiscal agent, or entity responsible for the disbursal of grant funds A description of the competitive process to be used to award grants and contracts for activities carried out under this subtitle I of WIA, including the process to be used to procure training services that are made as exceptions to the Individual Training Account process (WIA section 134(d)(4)(G)) A description of the criteria to be used by the Governor and the Local Board, under 20 CFR , to determine whether funds allocated to a local area for adult employment and training activities under WIA sections 133(b)(2)(A) or (3) are limited, and the process by which any priority will be applied by the One-Stop operator In cases where an alternate entity functions as the Local Board, the information required at (b), Such other information as the Governor may require Page 14 of 68

15 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component 8. CTDOL request Obtain a copy of any written guidelines or instructions the WIB has implemented regarding its issuance of policies. Describe the process used by the Board to review and/or initiate WIB policies: (a)(1-3) The oversight roles and responsibilities of recipients and subrecipients: Each recipient and subrecipient must conduct regular oversight and monitoring of its WIA activities and those of its subrecipients and contractors in order to: o Determine that expenditures have been made against the cost categories and within the cost limitations specified in the Act and the regulations in this part; o Determine whether or not there is compliance with other provisions of the Act and the WIA regulations and other applicable laws and regulations; and o Provide technical assistance as necessary and appropriate. Local areas must cooperate with the State s annual on-site monitoring reviews of local areas' compliance with DOL uniform administrative requirements, as required by WIA and the appropriate administrative requirements for sub-recipients and the applicable cost principles indicated at for all entities receiving WIA title I funds. Obtain a copy of and review the LWIB s policies regarding oversight and monitoring of its sub-recipients and contractors regarding program service delivery, costs, provision of technical assistance to sub-recipients and contractors, follow-up and resolution process. Note any issues of concern or areas to correct. Page 15 of 68

16 1. WIB BOARD OF DIRECTORS # 20 CFR Monitoring Component Obtain a copy of and review the LWIB s local Grievance Policy. Note any issues of concern or areas to correct. Required grievance procedures for local areas and direct recipients Each local area, State and direct recipient of funds under title I of WIA, except for Job Corps, must establish and maintain a procedure for grievances and complaints according to the requirements of this section. The grievance procedure requirements applicable to Job Corps are set forth at 20 CFR Each local area, State, and direct recipient must: o Provide information about the content of the grievance and complaint procedures required by this section to participants and other interested parties affected by the local Workforce Investment System, including One-Stop partners and service providers; o Require that every entity to which it awards Title I funds must provide the information referred to in paragraph (b)(1) of this section to participants receiving Title I-funded services from such entities; and o Must make reasonable efforts to assure that the information referred to in paragraph (b)(1) of this section will be understood by affected participants and other individuals, including youth and those who are limited-english speaking individuals. Such efforts must comply with the language requirements of 29 CFR regarding the provision of services and information in languages other than English. Local area procedures must provide: o A process for dealing with grievances and complaints from participants and other interested parties affected by the local Workforce Investment System, including One-Stop partners and service providers; o An opportunity for an informal resolution and a hearing to be completed within 60 days of the filing of the grievance or complaint; o A process which allows an individual alleging a labor standards violation to submit the grievance to a binding arbitration procedure, if a collective bargaining agreement covering the parties to the grievance so provides; and o An opportunity for a local level appeal to a State entity when: No decision is reached within 60 days; or Either party is dissatisfied with the local hearing decision. Procedures of direct recipients must provide: o A process for dealing with grievance and complaints from participants and other interested parties affected by the recipient's Workforce Investment Act programs; and o An opportunity for an informal resolution and a hearing to be completed within 60 days of the filing of the grievance or complaint. The remedies that may be imposed under local, State and direct recipient grievance procedures are enumerated at WIA 181(c)(3). Page 16 of 68

17 A. MEMORANDUM OF UNDERSTANDING (MOU) (c) WIA 121(c)(2) WIA 121(d)(1) Does the WIB have a Memorandum of Understanding (MOU) with the One-Stop operator? MOU Yes No Competitive Bid Yes No Consortium Agreement w/ at least 3 or more of the required One-Stop partners listed at (see page 9) Yes No Obtain: a copy of the MOU, and the WIB s certification of the One-Stop operator per WIA 121(d)(1). WIA 121(c)(2) Confirm that the MOU contains: Provisions describing: The services to be provided through the one-stop delivery system How the costs of such services and the operating costs of the system will be funded Methods for referral of individuals between the one-stop operator and the one-stop partners, for the appropriate services and activities The duration of the MOU and the procedures for amending the MOU during the term of the MOU Such other provisions as the parties to the MOU deem appropriate. If there are any such other provisions, list below: Page 17 of 68

18 B. PRIORITY OF SERVICE AND CUSTOMER CHOICE 1. WIA 134(d)(4)(E) Describe the Priority of Service policy, if any, in effect at the WIB, including but not limited to persons of low income, Veterans, eligible spouses of Veterans, etc. In the event that funds allocated to the local area for adult and dislocated worker employment and training activities are limited, priority shall be given to recipients of public assistance and other low-income individuals for intensive and training services and WIA 134(d)(4)(F) Obtain a copy of the written: Priority of Service policy and Customer Flow policy. Describe the Customer Choice policy, if any, in effect at the WIB. Training services shall be provided in a manner that maximizes Customer choice in the selection of an eligible provider of such services. The One-Stop provider shall provide to customers the State list of eligible training providers including a description of such programs, including OJT and CJT as well as performance and cost information. Persons determined eligible for training may select a provider after consultation with a case manager. Unless training funds for a program year have been exhausted, the One-Stop operator must refer the person to the selected provider and establish an ITA to pay for the training from the applicable Adult or DW program funding. A referral may be conducted by providing a voucher or certificate to the person to obtain the training. Obtain a copy of the written policy, if any. Page 18 of 68

19 C. ELIGIBILITY (a)-(b) What is the LWIB s process for registering Adults and Dislocated Workers? Registration is the process for collecting information to support a determination of eligibility. Adults and Dislocated Workers receiving WIA Title I services other than self-service or informational activities must be registered and determined eligible. Obtain all forms (and corresponding instructions) used by the WIB to collect applicant s information in order to determine WIA eligibility, including but not limited to: o step-by-step process for collecting information, if given to applicants o checklists to document collection of documentation o forms to calculate low income o releases to provide permission to obtain PII (personally-identifiable information) o Information regarding a WIB s grievance process o forms that document literacy/ numeracy testing results o Equal Opportunity notices and forms Confirm WIB compliance with CTDOL Policy regarding registration. Page 19 of 68

20 D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES (a)(1) Are Core services made available in at least one (1) One-Stop in each local area? Yes: No: Are services made available elsewhere: at affiliated sites or specialized centers (e.g. centers established to serve dislocated workers from a particular industry or employer, or to serve residents of public housing? Yes: No: If YES, where are services made available other than at the One- Stop? WIA 101(9)-(10) Obtain all forms (and corresponding instructions) and local policy used by the WIB to determine WIA Adult and DW eligibility for Core services. Using the state s MIS, Case Notes and other documentation in the participant s file [See Participant File Review forms included under this Monitoring Tool], confirm the WIB s enforcement of WIA criteria regarding eligibility for Core services for Adults and Dislocated Workers (DW). Adults: 18 years of age or older Dislocated Workers: Must meet the definition at WIA 101(9): WIBs usually use the CTDOL WIA-5 form 9. The term ``dislocated worker'' means an individual who A. (i) has been terminated or laid off, or who has received a notice of termination or layoff, from employment; (ii): ( I ) is eligible for or has exhausted entitlement to unemployment Page 20 of 68

21 D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES compensation, or (II) has been employed for a duration sufficient to demonstrate, to the appropriate entity at a one stop center referred to in section 134(c), attachment to the workforce, but is not eligible for unemployment compensation due to insufficient earnings or having performed services for an employer that were not covered under a State unemployment compensation law; and (iii) is unlikely to return to a previous industry or occupation; B. (i) has been terminated or laid off, or has received a notice of termination or layoff, from employment as a result of any permanent closure of, or any substantial layoff at, a plant, facility, or enterprise; (ii) is employed at a facility at which the employer has made a general announcement that such facility will close within 180 days; or (iii) for purposes of eligibility to receive services other than training services described in section 134(d)(4), intensive services described in section 134(d)(3), or supportive services, is employed at a facility at which the employer has made a general announcement that such facility will close; C. was self-employed (including employment as a farmer, a rancher, or a fisherman) but is unemployed as a result of general economic conditions in the community in which the individual resides or because of natural disasters; or D. is a displaced homemaker The term displaced homemaker means an individual who has been providing unpaid services to family members in the home and who-- (A) has been dependent on the income of another family member but is no longer supported by that income; and (B) is unemployed or underemployed and is experiencing difficulty in obtaining or upgrading employment Describe the process for providing and documenting Core services for Adults and Dislocated Workers. Page 21 of 68

22 D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES WIA 134(d)(2) Identify the Core services made available by the WIB to eligible Adult and Dislocated Workers: Determinations of eligibility to receive assistance under WIA Outreach, intake and orientation to information and services available through the One-Stop delivery system Initial assessment of skill levels, aptitudes, abilities, and supportive service needs Job search, placement assistance and career counseling Provision of employment statistics information about local, regional and national labor market areas, including: job vacancy listings information on job skills necessary to obtain jobs on such listings information related to: o local occupations in demand and o the earnings and skill requirements for such occupations Provision of performance information and program cost information on: Eligible Providers of Training Services Eligible Providers of Youth Services Providers of Adult Education Providers of Post-Secondary Vocational Education activities Vocational Education activities available to school drop-outs Providers of Vocational Rehabilitation program activities Provision of information regarding how the local area is performing on local performance measures including local area One-Stop delivery system performance Information regarding the availability of supportive services, including child care and transportation available in the local area and referral to such services as needed Provision of information regarding filing claims for unemployment compensation Assistance in establishing eligibility for: Welfare-to-Work Programs of financial aid assistance for training and education programs not funded under WIA but which are available in the local area Follow-Up services, including counseling regarding the workplace, for 12 months after any WIA participant is placed into un-subsidized employment Obtain any written local policy used by the WIB regarding Core services in their respective local area. Page 22 of 68

23 D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES 2. AMERICAN JOB CENTER (AJC) OPERATOR (formerly One-Stop, now AJC) D. CORE, INTENSIVE AND TRAINING SERVICES INTENSIVE SERVICES (a)(2) What entity provides Intensive services to Adults and Dislocated workers in the local area? Provided directly by the One-Stop operator Provided through contracts with service providers who are approved by the local area WIB. If this is the method used by the WIB, obtain copies of such contracts and WIA 134(d)(3)(C) Identify the Intensive services provided by the WIB to eligible Adult and Dislocated Workers: Comprehensive and specialized assessments of skill levels and service needs, including: Diagnostic testing and other assessment tools In-depth interviewing and evaluation to identify: o Barriers to employment o Employment goals Development of an Individual Employment Plan (IEP) to identify: Employment goals Achievement objectives Appropriate combination of services for the participant to achieve employment goals Group counseling Individual counseling and career planning Case management for participants seeking training services Short-term pre-vocational services, including development of: Learning skills Communication skills Page 23 of 68

24 D. CORE, INTENSIVE AND TRAINING SERVICES INTENSIVE SERVICES Interviewing skills Punctuality, personal maintenance and professional conduct to prepare them for unsubsidized employment or training Describe any issues or areas of concern regarding Intensive Services provided by the WIB Obtain all forms (and corresponding instructions) and local policy used by the WIB to determine WIA Adult and DW eligibility for Intensive services. Using the state s MIS, Case Notes and other documentation in the participant s file [See Participant File Review forms included under this Monitoring Tool], confirm the WIB s enforcement of WIA criteria regarding eligibility for Intensive services for Adult and Dislocated Worker (DW). Criteria to Receive Intensive Services (a) unemployed and have received at least 1 Core Service and are unable to obtain employment through Core services and are determined by a One-Stop operator to be in need of intensive services to obtain employment (b) employed and have received at least 1 Core Service and are determined by a One-Stop operator to be in need of intensive services to obtain employment Describe the process for providing and documenting Intensive Services for Adults and Dislocated Workers. Page 24 of 68

25 D. CORE, INTENSIVE AND TRAINING SERVICES INTENSIVE SERVICES What is the LWIB s criteria for determining whether an employed worker needs intensive services to obtain or retain employment leading to self-sufficiency (LLSIL)? Obtain a copy of the policy. State Boards or Local Boards must set the criteria for determining whether an employed worker needs intensive services to obtain or retain employment leading to self-sufficiency. At a minimum, such criteria must provide that selfsufficiency means employment that pays at least the lower living standard income level, as defined in WIA 101(24). Self-sufficiency for a dislocated worker may be defined in relation to a percentage of the layoff wage. The special needs of individuals with disabilities or other barriers to employment should be taken into account when setting criteria to determine self-sufficiency. Page 25 of 68

26 D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs) Obtain all forms (and corresponding instructions) and local policy used by the WIB to determine WIA Adult and DW eligibility for Training services. Using the state s MIS, Case Notes and other documentation in the participant s file [See Participant File Review forms included under this Monitoring Tool], confirm the WIB s enforcement of WIA criteria regarding eligibility for Training services for Adult and Dislocated Worker (DW). Criteria to Receive Training Services (a) At a minimum, an individual must receive at least 1 Intensive service (e.g. Individual Employment Plan (IEP) with a case manager, or counseling and career planning) before receiving training services (b) The case file must contain a determination of need for training services under 20 CFR see below as identified in the IEP, comprehensive assessment or any other intensive service received. 20 CFR : Training services may be made available to employed or unemployed Adults and Dislocated Workers who: (a) have met eligibility requirements for intensive services and have received at least 1 Intensive Service and have been determined to be unable to obtain or retain employment through such services (b) after an: o interview, o evaluation, or o assessment and case management have been determined by a: o One-Stop operator or o One-Stop partner to 1. be in need of training services and 2. have the skills and qualifications to successfully complete the selected training program (c) select a program of training services directly linked to employment opportunities in the local area or in another area to which the individual is willing to relocate (d) are unable to obtain grant assistance from other sources to pay the costs of such training (e.g. Welfare to Work, State-funded training programs, Trade Adjustment Assistance and Federal Pell Grants) or Page 26 of 68

27 D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs) (e) (c) require WIA assistance in addition to other sources of grant assistance, including Federal Pell Grants for WIA Adults (i.e. funded through the Adult funding stream): are determined eligible in accordance with the State and local priority system, if any, in effect for WIA Adults per 20 CFR (low income adults and public assistance recipients) A WIA participant may enroll in WIA-funded training while their Pell Grant application is pending if the One-Stop operator has made arrangements with the training provider and WIA participant re allocation of the Pell Grant, if the Pell Grant is subsequently awarded in which case, the training provider must reimburse the WIA-funds used for the training to the amount covered by the Pell Grant. Reimbursement is not required from the portion of the Pell Grant assistance disbursed to the WIA participant for education-related expenses. Describe the process for providing and documenting Training Services for Adults and Dislocated Workers and WIA 134(d)(4)(D) Identify the Training services provided by the WIB to eligible Adult and Dislocated Workers: Occupational skills training, including training for non-traditional employment On-the-Job Training (OJT) Programs combining workplace training with related instruction, which may involve cooperative education programs Training programs operated by the private sector Skill upgrading and retraining Entrepreneurial training Job Readiness training Adult education and literacy activities combined with services described above Customized-Job-Training (CJT) conducted with a commitment by an employer or group of employers to employ the participant upon successful completion of the training Does the WIB provide any training opportunities not listed above? (a): The list of training services in the WIA is not all-inclusive and additional training services may be provided. If yes, please list below: Page 27 of 68

28 D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs) , and WIA 117(f)(1)(B) Does the local WIB directly provide training services? Yes: No: If yes, does the local WIB have the required Waiver from the Governor? Yes: No: Obtain a copy of any such Waiver , and WIA 134(d)(4)(G)(ii) Does the WIB utilize any of the following exceptions allowed under WIA, to provide WIA-authorized training services in lieu of an Individual Training Account (ITA): Note: Customer choice requirements must be met per WIA 134(d)(4)(F) Such training services are On-the-Job (OJT) training provided by an employer Such training services are Customized-Job-Training (CJT) training provided by an employer The local Board determined there are an insufficient number of training services in their respective local area (e.g. rural location) to accomplish the purpose of an ITA system The local Board determined there is a training program of demonstrated effectiveness offered in the local area by a CBO (community-based organization) or another private entity, to serve special participant populations who face multiple barriers to employment, defined by WIA 134(d)(4)(D)(iv) as: a population of low-income individuals included in one or more of the following categories: substantial language or cultural barrier; offenders; homeless; other hard-to-serve populations as defined by the Governor Page 28 of 68

29 D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs) Obtain a copy of and review the local WIB s policy for duration and amount of Individual Training Accounts. The duration and amount of ITA's can be limited: The State or Local Board may impose limits on ITA's, such as limitations on the dollar amount and/or duration. Limits to ITA's may be established in different ways: o There may be a limit for an individual participant that is based on the needs identified in the individual employment plan; or o There may be a policy decision by the State Board or Local Board to establish a range of amounts and/or a maximum amount applicable to all ITA's. Limitations established by State or Local Board policies must be described in the State or Local Plan, respectively, but should not be implemented in a manner that undermines the Act's requirement that training services are provided in a manner that maximizes customer choice in the selection of an eligible training provider. ITA limitations may provide for exceptions to the limitations in individual cases. An individual may select training that costs more than the maximum amount available for ITAs under a State or local policy when other sources of funds are available to supplement the ITA. These other sources may include: Pell Grants; scholarships; severance pay; and other sources. Indicate any areas of concern below: Is the policy in the WIB s Local Five Year Plan? Yes: No: Page 29 of 68

30 D. CORE, INTENSIVE AND TRAINING SERVICES ELIGIBLE TRAINING PROVIDERS (ETPL) What process does the local area use to provide Case Management consultation services to Adult and DW participants for the selection of training from eligible training providers? Obtain copies of any local policy, protocol, procedures and forms used by the local area in this process. How does the One-Stop process ITA payments? Electronic transfer of funds through financial institutions Vouchers Incremental ( benchmark ) payments at intervals during the training course period Obtain copies of any forms used by the local area in this process. Page 30 of 68

31 D. CORE, INTENSIVE AND TRAINING SERVICES ELIGIBLE TRAINING PROVIDERS (ETPL) What are the local area s limitations on the duration and/or amount of ITAs? Limitations on dollar amount Explain: Limitations on duration Explain: Limitations based on needs identified in the IEP (Individual Employment Plan) Explain: Local policy to establish a range of amounts or a maximum amount applicable to all ITAs Explain: Such limitations are included in the State and/or Local plan Explain: Exception(s) are allowed to the limitations on ITAs Explain: A participant is allowed to select training that costs more than the maximum ITA amount when other sources (e.g. Pell Grants, scholarships, severance pay, etc.) are available to supplement the ITA Explain: (c) How does the local area / One-Stop operator share the Eligible Training Provider List (ETPL) with: Individuals who have been determined eligible for training services Explain: Customers whose training is supported by other One-Stop partners Explain: Does the local area / One-Stop operator supplement the information available from the state s ETPL? Information on programs of training services linked to occupations in demand Performance and cost information including program-specific performance and cost for the local outlet(s) or multi-site eligible providers Page 31 of 68

32 D. CORE, INTENSIVE AND TRAINING SERVICES ELIGIBLE TRAINING PROVIDERS (ETPL) Other appropriate information related to WIA objectives which may include information in , the Customer Reports System aka performance information, regarding the performance of training providers in the local area Explain: Obtain copies of any hand-outs or other information shared by the local area with WIA participants regarding supplemental information on eligible training providers. Page 32 of 68

33 E. PRIORITY AND SPECIAL POPULATIONS WIA 134(d)(4)(E) In the event that WIA Adult funds allocated to the local area are limited, priority for Intensive and Training activities must be given to: recipients of public assistance and other low-income individuals in the local area. Note: Per , this provision does not apply to Dislocated Worker funds, which are not subject to this requirement. Has the local area established any criteria and/or process regarding service priority for such persons? Yes: No: If yes, address: o if the local area uses other (non-wia) funds o needs of specific groups in the local area o other appropriate factors o serving other individuals meeting eligibility requirements (f) WIA 101(10) WIA 134(a)(3)(vi)(I) Does the One-Stop operator offer assistance to eligible Displaced Homemakers (as defined on page 30 above) in the following ways: Core services provided by One-Stop partners through the One-Stop delivery system Intensive or training services for which the Displaced Homemaker would qualify or is eligible Statewide employment and training projects conducted with funds reserved by the State, if any, for: innovative programs for Displaced Homemakers who may also include persons receiving public assistance and is within 2 years of exhausting lifetime eligibility for Social Security Title IV, Part A Programs to increase the number of individuals training for and placed in non-traditional employment Obtain a copy of the local policy and indicate any areas of concern here: Page 33 of 68

34 E. PRIORITY AND SPECIAL POPULATIONS WIA 101(25)(B) WIA 101(25)(F) If the family of a person with a disability does not meet income eligibility criteria, the disabled individual is considered low income if the disabled person s own income meets EITHER: o income criteria per WIA 101(25)(B) Total family income for the 6-month period prior to WIA application (exclusive of: o Unemployment Compensation, o Child Support payments, o Cash payments under a Federal/state/local income-based public assistance program o Old-age and survivor s insurance benefits under the Social Security Act that does NOT exceed the HIGHER of: o the Federal Poverty Level ( FPL), or o 70% of the Lower Living Standard Income Level (LLSIL) which is in effect for that period of 6 months prior to application or o income eligibility criteria for cash payments under any Federal, State or Local public assistance program per WIA 101(25)(F) A person with a disability whose own income meets the low income criteria but who is a member of a family whose income does not meet such criteria What is the WIB s local policy to give priority to disabled individuals whose family does not meet low income criteria? 4. CTDOL What is the WIB s local policy regarding priority-of-service to Veterans and their spouses? Page 34 of 68