PY18 WIOA ADULT PROGRAM MONITORING PARTICIPANT...

PY18 WIOA ADULT PROGRAM MONITORING

PARTICIPANT FILE CHECKLIST LWDB: MIS ID: Monitor(s): Date:

Provider: Co-enrolled? ☐ Yes ☐ No Program(s):

Date(s) Enrolled:

Date of Program Completion and/or System Exit:

Reason for Program Completion or Exit:

ELEMENT EVIDENCE & INDICATORS DETERMINATION &

COMMENTS ACTION REQUIRED/

RECOMMENDATIONS

ESD PY18 WIOA Adult Program Monitoring Participant File Checklist of 24 9-24-18

1. WIOA ADULT ELIGIBILITY CRITERIA

1-A. AGE/ DATE OF BIRTH

Age 18 or older

SELF-ATTESTATION:

ESD Policy 1019, Rev. 3: o Self-attestation of age is acceptable for ISD

co-enrollment, Basic Career Services only o Full eligibility documentation is required for

participants pursuing Individualized Career Services or Training Services

Verification of Age was in the file:

(WIOA Section 129(a); TEGL 22-15 [WIOA Section 3(2)]

☐ YES:

☐ Driver’s License or ID

☐ Birth Certificate

☐ Passport

☐ Other:

☐ NO, Could Not Locate

REPORTING:

Date of Birth is accurately recorded in MIS: (20 CFR 677.235)

☐ YES ☐ NO

☐ No Issues Identified

☐ Items to Address

☐ Questioned Cost

☐ Data Validation Issues

☐ Observation

Comments:

☐ No Action Required

☐ Action Required:

☐ Recommendation:

1-B. SELECTIVE SERVICE REGISTRATION

All males (U.S. citizens and aliens living in the U.S.) born after January 1, 1960 must be registered with Selective Service.

SELF-ATTESTATION:

ESD Policy 1019, Rev. 3: o Self-attestation of Selective Service

Registration is acceptable for ISD co-enrollment, Basic Career Services only

o Full eligibility documentation is required for participants pursuing Individualized Career Services or Training Services

☐ N/A- ☐ Female

☐ Born before Jan. 1, 1960

☐ Entered US after age 26

Verification of Selective Service Registration or waiver was in the file: [WIOA Section 189(h)]

☐ YES:

☐ DD-214

☐ Online SS Verification

☐ SS Acknowledgement letter

☐ Other:


REPORTING:

Selective Service Registration is recorded in MIS:

(20 CFR 677.235)

☐ YES ☐ NO



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:

1-C. LEGALLY ENTITLED TO WORK IN THE U.S. Citizens;

Nationals;

Lawfully admitted permanent resident aliens;

Refugees;

Asylees;

Parolees; and

0ther immigrants authorized by the Attorney General to work in the United States.

SELF-ATTESTATION:

ESD Policy 1019, Rev. 3: o Self-attestation of Legally Entitled to Work

in the U.S. is acceptable for ISD co-enrollment, Basic Career Services only

o Full eligibility documentation is required for participants pursuing Individualized Career Services or Training Services

Verification of Eligibility to Work in the U.S. was in the file: (WIOA Section 3(2))

☐ YES:

☐ ID & SS card

☐ Other:


REPORTING: Eligibility to work in the U.S. is recorded in MIS: :

(20 CFR 677.235)

☐ YES ☐ NO



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


2. PRIORITY OF SERVICE

Priority 1-Coverd Persons (veterans and eligible spouses) who are low-income, recipients of public assistance, or basic skills deficient

Priority 2- Individuals (non-covered persons) who are low-income, recipients of public assistance, or basic skills deficient.

Priority 3- Covered persons (veterans and

eligible spouses) who are not low income and not basic skills deficient.

Priority 4- Optional, LWDB Defined

WIOA Priority of Service category of enrollment is documented: [WIOA Sec. 134(c)(3)(E)]

☐ YES:

☐ Signed and dated WIOA Registration paper

form

☐ Signed MIS online Eligibility/Enrollment form

☐ Case Notes

☐ Other:





☐ Observation

Comments:



☐ Recommendation:

2-A. VETERANS & ELIGIBLE SPOUSES

Priority of Service Categories 1 & 3

☐ N/A: No evidence of this status and/or not the category selected for enrollment

Verification of participant’s veteran/eligible spouse status was located in the file: (TEGL 22-15)

☐ YES:

☐ DD-214

☐ Letter from the Veteran’s Admin.

☐ Letter from any branch of the military

☐ Other:


REPORTING:

Veteran status is recorded in MIS: (20 CFR 677.235)

☐ YES ☐ NO




☐ Observation

Comments:



☐ Recommendation:

2-B. LOW INCOME


LOW INCOME IS NOT AN ELIGIBILITY CRITERIA FOR THE ADULT PROGRAM

WIOA Final Rule, Department’s response, pages 56113 and 56147:

o Rather, it is a statutory emphasis on providing individualized career services and training services to public assistance recipients, low income individuals or individuals who are BSD.


Verification of participant’s low-income status was located in the file: (TEGL 22-15)

☐ YES:

☐ TANF ☐ Other Public Assistance

☐ Food Stamps ☐ Pay Stubs

☐Signed & Dated Applicant Statement

☐ Other:


REPORTING:

Low income status is recorded in MIS: (20 CFR 677.235)

☐ YES ☐ NO




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


2-C. BASIC SKILLS DEFICIENT (BSD)


CASAS BELOW 236 (meaning a score of 235 or below) in Reading, Math or Listening

DEFINITIONS

WIOA Sec. 3(5): b. A youth or adult who is unable to compute or solve problems, or read, write, or speak English, at a level necessary to function on the job, in the individual’s family, or in society.

CASAS REQUIRED ASSESSMENT TOOL

ESD WIOA Policy 1011, Rev. 3: o ESD has approved CASAS tests as the only

standard tools to determine BSD used for program enrollment.

o The Appraisal test must be given first (prior to the pre-test) to determine the appropriate level and form of the pre-test to be used.

o The CASAS appraisal test cannot be used in lieu of the CASAS pre-test to determine BSD.

o If using the Locator (e-test), the appraisal and pre-test are combine

o Pre-tests determine BSD and EFL o BSD must be documented in MIS (See

policy for details) O Staff should not upload CASAS scoring

sheet in MIS nor place a copy in the hard file.


Verification of participant’s BSD status and CASAS pre-test scores are documented on one of the following documents located in the file: (ESD

Policy 1019, Rev.3, ESD Policy 1011, Rev. 3)

☐ YES:

☐ Official school records

☐ Signed and dated WIOA Registration paper form

☐ Signed MIS online Eligibility/Enrollment Form

☐ Case notes

☐ Other:


REPORTING:

BSD status is recorded in MIS: (20 CFR 677.235; ESD Policy 1011, Rev. 3)

☐ YES ☐ NO




☐ Observation

Comments:



☐ Recommendation:

2-D. OTHER PRIORITY- OPTIONAL Priority of Service Category 4 or more


Eligibility for LWDB “Other Priority of Service” is documented in the file:

☐ YES





☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


3. PROGRAM ENROLLMENT

3-A. DATE OF PROGRAM ENTRY, PARTICIPATION

PARTICIPANT 20 CFR 680.110:

(a) Individuals are considered participants when they have received a WIOA service other than self-service or information-only activities and have satisfied all applicable programmatic requirements for the provision of services, such as eligibility determination. (b) Adults who receive services funded under Title I other than self-service or information-only activities must be registered and must be a participant.

MIS DATA ENTRY REQUIREMENTS

WIN 0082: o Services must be entered at the point in

time they are delivered; o If services cannot be entered at the time

they are delivered, services must be entered within 14 calendar days of service delivery and the service date entered must always reflect the date the service was delivered.

ESD Policy 1023 : o All services must be linked to an Active

Program Enrollment. ESD Policy 1020 Data Integrity and

Performance Policy and Handbook: o Services within the WorkSource Service

Catalog are the source data for performance and outcome measurements across the WorkSource system.

o Stakeholders within the system must review the Services Catalog on a regular basis to ensure their knowledge of available services and definitions is maintained.

Participant met all programmatic eligibility requirements: [20 CFR 680.110 and TEGL 19-16)

☐ YES ☐ NO, Unable to Validate

There is documented evidence (e.g., case notes, IEP, other) indicating a service other than self-service or information only activities was provided to the participant initiating program participation:

[20 CFR 680.110) and TEGL 19-16]

☐ YES ☐ NO

REPORTING:

A service other than self-service or information-only activities was recorded in MIS on date of program enrollment: [20 CFR 680.110) and TEGL 19-16]

☐ YES ☐ NO

Service was attached to the appropriate program: (ESD Policy 1023) ☐ YES, No Issues Identified

☐ NO, one or more service was not attached to the appropriate program

The services recorded in MIS were recorded within the allotted timeframes: (WIN 0082)

☐ YES, No Issues Identified

☐ NO, one or more service was recorded beyond the 14-day timeframe

☐ NO, there is no service recorded in ETO

Program enrollment is documented in case notes: (WIN 0089)

☐ YES, very detailed

☐ YES, some detail

☐ NO, could not locate case notes documenting:

☐ Date of program enrollment as recorded in MIS

☐ Participant’s eligibility

☐ Services planned



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:

3-B. CONCURRENT PROGRAM ENROLLMENT

TRACKING OF FUNDS

TEGL 19-16 O Local program operators must identify

and track the funding streams which pay the costs of services provided to individuals who are concurrently enrolled, and

O Ensure no duplication of services.

☐ N/A

REPORTING: Program enrollments are recorded in MIS:

(20 CFR 677.160)

☐ YES ☐ NO

Services are recorded in MIS and assigned to the appropriate program: (20 CFR 677.160)

☐ YES ☐ NO



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


3-C. EMPLOYMENT STATUS AT PARTICIPATION

Federal Register Vol. 80, No. 140: o Employed:

Did any work as a paid employee; Did any work in his or her own business,

profession or farm; Worked as an unpaid worker (15 hours per

week, TEGL 10-16, Attachment 1) in an enterprise operated by a member of the family, or;

Is one who was not working, but has a job or business from which he or she was temporarily absent because of illness, bad weather, vacation, labor-management dispute, or personal reasons, whether or not paid by the employer for time-off, and whether or not seeking another job.

o Employed, but Received Notice of Termination of Employment or Military Separation: If the participant is a person who, although

employed, either:

Has received a notice of termination of employment or the employer has issued a Worker Adjustment and Retraining Notification (WARN) or other notice that the facility or enterprise will close, or

Is a transitioning service member (i.e., within 12 months of separation).

Verification of employment status was located in the file: (TEGL 22-15)

☐ YES:

☐ Pay stub

☐ Case notes


REPORTING: Employment Status at Program Entry was

recorded in MIS: (20 CFR 677.235)

☐ YES ☐ NO




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4. SERVICES

4-A. BASIC CAREER SERVICES

MIS: See WS Service Catalog


WIN 0082: Effective 2-15-17: O Services must be entered at the point in

time they are delivered; O If services cannot be entered at the time



Program Enrollment.

ESD Policy 1020 Data Integrity and Performance Policy and Handbook: o Services within the WorkSource Service



TO MAKE CORRECTIONS TO ACTIVITY START DATES-BASIC SERVICES ONLY:

WIN 0082: Effective 2-15-17: o Designated “Department Head” for each

LWDB may edit Activity Start Dates for exceptions to data entry after 14 days.

o Designated “Department Head” is responsible for ensuring the appropriate documentation and data integrity of the service dates in their local area.

☐ N/A, no documented evidence of any Basic Services provided

REPORTING: Basic Services provided to the participant (as

documented in case notes or other documentation in the file) are correctly recorded in MIS: (20 CFR 677.235; WIN 0082)


☐ NO, one or more service was not recorded in MIS

☐ NO, one or more service recorded in MIS was not correct as defined in the WS Service Catalog

Service was attached to the appropriate program: (ESD Policy 1023)







Appropriate outcome for this service was recorded in MIS, if applicable: (20 CFR 677.235)

☐ N/A- still active in service or outcome not required


☐ NO, one or more outcomes incorrectly recorded

☐ NO, one or more outcomes not recorded

Case notes support the services recorded in MIS: (WIN 0088) ☐ YES, very detailed


☐ NO, could not locate case notes supporting one or more service recorded in MIS

Case notes document the start, progress and outcome of the service, when applicable: (WIN 0088)



☐ NO, could not locate case notes for:

☐ Start of service

☐ Progress of service

☐ Outcome of service




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-B. INDIVIDUALIZED CAREER SERVICES MIS: See WS Service Catalog






Program Enrollment.




TO MAKE CORRECTIONS TO ACTIVITY START DATES-INDIVIDUAL SERVICES ONLY:

WIN 0082: Effective 2-15-17: o Editing Activity Start Dates for

Individualized/Training & Support Service TouchPoints is limited to the WIT Team.

o To make corrections, local Department Head must complete the “Request for Activity Start Date Correction” form and follow the current process for submitting Remedy Tickets.

REPORTING: Individualized Career Services provided to the

participant (as documented in case notes or other documentation in the file) are correctly recorded in MIS: (20 CFR 677.235; WIN 0082)









☐ NO, one or more service was recorded beyond the 14- day timeframe


Appropriate outcome for this service was recorded in MIS: (20 CFR 677.235)





Case notes support the services recorded in MIS: (WIN 0088)




Case notes document the start, progress and outcome of the service: (WIN 0088)










☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-D. INTERNSHIP or WORK EXPERIENCE (WEX) MIS: Individualized, Work/Internship Experience

DEFINITION 20 CFR 680.180: o An internship or work experience is a

planned, structured learning experience that takes place in a workplace for a limited period of time.

o Internships and other work experience may be paid or unpaid, as appropriate and consistent with other laws, such as the Fair Labor Standards Act.

o An internship or other work experience may be arranged within the private for profit sector, the non-profit sector, or the public sector.

o Labor standards apply in any work experience setting where an employee/employer relationship, as defined by the Fair Labor Standards Act, exists.






Program Enrollment.




☐ N/A, no documented evidence this service was planned or provided

Contracts, time sheets, performance evaluations, and similar documentation supporting the WEX was on file for the participant: (DOL, State guidance)

☐ YES ☐ NO, Could Not Locate

REPORTING: Service (as documented in case notes or other

documentation in the file) is correctly recorded in MIS: (20 CFR 677.235; WIN 0082)












☐ N/A- still active in service

















☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-E. SUPPORTIVE SERVICES, INCENTIVES & NEEDS-RELATED PAYMENTS MIS:

SUPPORT SERVICES: O Program Support Services-Other O Program Support Services-Transportation O Tutoring

INCENTIVES: While ESD Policy 5621, Rev. 1 allows for incentives for WIOA Adults and DW, there is no service to record an incentive in MIS.

NEEDS-RELATED PAYMENTS: Needs-Related Payments 2.0

ELIGIBILITY TO RECEIVE SUPPORTIVE SERVICES 20 CFR 680.910: (a) Supportive services may only be provided to

individuals who are: (1) Participating in career or training services as defined in WIOA secs 134(c)(2) and (3); and (2) Unable to obtain supportive services through other programs providing such services.

(b) Supportive services may only be provided when they are necessary to enable individuals to participate in career services or training services.

SERVICES NOT ALLOWED DURING FOLLOW-UP ESD WIN 0078, Rev. 1: o Supportive services are not allowed for adults and

dislocated workers during follow-up and after exit.

INCENTIVES

ESD WIOA Policy 5621, Rev. 1 O Incentive payments must be justified and

documented by service providers. O Service providers must document (case note) the

following in the case management system for each participant that receives an incentive payment: The business case for the incentive payment’s

contribution to the participant’s success and How the incentive payment was calculated.

O Service providers must also internally maintain appropriate and identifiable expenditure records of incentive payments for the purpose of local, state, and federal monitoring and audits.

NEEDS-RELATED PAYMENTS:

20 CFR 680.930: o Needs-related payments provide financial assistance to

participants for them to participate in training and are a supportive service.

20.CFR 680.940: Adults must be: o Unemployed; o Not qualify for or have ceased qualifying for UI; and o Be enrolled in a program of training services under WIOA

sec. 134(c)(3).


WIN 0082: Effective 2-15-17: O Services must be entered at the point in time they are

delivered; O If services cannot be entered at the time they are

delivered, services must be entered within 14 calendar days of service delivery and the service date entered must always reflect the date the service was delivered.

ESD Policy 1023 : o All services must be linked to an Active Program

Enrollment.

ESD Policy 1020 Data Integrity and Performance Policy and Handbook: o Services within the WorkSource Service Catalog are the

source data for performance and outcome measurements across the WorkSource system.



Supportive services were provided only if necessary to participate in services: (20 CFR 680.910; TEGL 19-16)

☐ YES

☐ NO, Unable to Validate

Supportive services were provided with WIOA funds only when the participant was unable to obtain supportive services through other programs:

[20 CFR 680.910(a)(2)]

☐ YES


Documentation of supportive services was on file and met local policy requirements: (ESD WIOA Policy 5602)

☐ YES


INCENTIVES ☐ N/A, no documented evidence incentives

were provided

Justification of the incentive payment was documented: (ESD Policy 5621 Rev. 1) ☐ YES


Case notes were recorded in MIS: (ESD Policy 5621 Rev. 1) ☐ YES


Case notes included: (ESD Policy 5621 Rev. 1) O The business case for the incentive payment’s

contribution to the participant’s success

☐ YES

☐ NO, Could Not Locate AND

O How the incentive payment was calculated.

☐ YES


Incentive expenditure records were available for monitoring purposes: (ESD Policy 5621 Rev. 1) ☐ YES


NEEDS-RELATED PAYMENTS ☐ N/A, LWDB does not offer

Needs-Related Payments, or no documented evidence this service was needed or provided

Participant was unemployed, did not qualify for UI (or ceased to

qualify ) and was enrolled in training: (20 CFR 680.930) ☐ YES ☐ NO, Unable to Validate

For participants who have ceased to qualify for UI, the participant was enrolled in training by the end of the 13th week after the most recent layoff, or enrolled by the end of the 8th week after the worker was informed that a short-term layoff would exceed 8 weeks, whichever is applicable? [WIOA Sec. 134(d)(3)(B)] ☐ N/A ☐ YES ☐ NO, Unable to Validate

Is the level of NRP equal to or less than the applicable level of UI or the poverty line as described in WIOA Sec. 134(d)(3)(C)?


REPORTING: Supportive services provided to the participant (as

documented in case notes or other documentation in the

file) are correctly recorded in MIS: (20 CFR 677.235; WIN 0082)






☐ Questioned Cost


☐ Observation

Comments: ________________________ Service was attached to the

appropriate program: (ESD Policy 1023) ☐ YES, No Issues Identified
























☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


TRAINING SERVICES

4-F. TRAINING SERVICES

MIS: See WS Service Catalog

ELIGIBILITY 20 CFR 680.210: Training services may be

made available to employed and unemployed adults who: (a) A one-stop center or one-stop partner determines, after an interview, evaluation or assessment, and career planning, are: 1) 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 career services;

2) In need of training services to obtain or retain employment leading to economic self-sufficiency or wages comparable to or higher than wages from previous employment through career services;

3) Have the skills and qualifications to participate successfully in training services;

(b) Select a program of training services that is directly linked to the employment opportunities in the local area or the planning region, or in another area to which the individuals are willing to commute or relocate; (c) Are unable to obtain grant assistance from other sources to pay the costs of such training, including such sources as State-funded training funds, TAA, and Federal Pell Grants, or require WIOA assistance in addition to other sources of grant assistance, including Pell Grants.











Participant was 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 career services: [20 CFR 680.210(a)(1)]


The participant was in need of training to obtain or retain employment leading to economic self-sufficiency or wages comparable to or higher than wages from previous employment: [20 CFR 680.210(a)(2)] ☐ YES ☐ NO, Unable to Validate

The participant had the skills and qualifications to participate successfully in training:

[20 CFR 680.210(a)(3)]


Training is linked to in-demand employment opportunities in local area or area in which they are willing to commute or relocate: [20 CFR 680.210(b)]


Evidence of participant’s satisfactory progress in training was located in the file: (WIOA Final Rule, narrative

page 56177; ESD Policy 5601, Rev. 1)

☐ N/A-training not started/progress not yet provided

☐ YES


Evidence of training outcome is in the file:

(i.e., certificate, diploma; 20 CFR 677.235)

☐ N/A-still active in service

☐ YES


REPORTING: Training services provided to the participant (as

documented in case notes or other documentation in the file) are correctly recorded in

MIS: (20 CFR 677.235; WIN 0082)













☐ Questioned Cost


☐ Observation ___________________________ Date withdrew/completed training is

recorded in MIS and supported by case notes: (TEGL 22-15; WIN 0088)

☐ N/A-still active in service

☐ YES

☐ NO, Unable to Validate if the participant is still in training

☐ NO, date completed training is not recorded in MIS and/or not supported by case notes

If the participant withdrew from training, the reason for withdrawing and the revision to the participant’s employment and training plan is documented: (WIN 0088))

☐ N/A, participant did not withdraw from training



☐ NO, could not locate documentation for reason for withdrawing from training and/or revision to plan










Case notes document the start, progress and outcome of the service: (WIN 0088))









☐ Recommendation:

Comments:




Date(s) Enrolled:





RECOMMENDATIONS


4-F(a). CONSUMER CHOICE

20 CFR 680.340: (a) Training services, whether under ITAs or under contract, must be provided in a manner that maximizes informed consumer choice in selecting an eligible provider. (b) Each Local WDB, through the one-stop center, must make available to customers the State list of eligible training providers required in WIOA sec. 122(d).

☐ N/A, not in applicable service

Eligible Training Provider List (ETPL) was made available to the participant: (20 CFR 680.340(b))


Training was outside of WA State and met the requirements of local policy and ESD WIOA Policy 5611, Rev. 1:

☐ N/A

☐ YES

☐ N0, Unable to Validate



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:

4-F(b). FINANCIAL AID; OTHER GRANT ASSISTANCE

ESD Policy 5601: o Local areas must consider the availability

of other sources of grants, excluding loans, to pay for training costs so that WIOA funds are used to supplement but not supplant other sources.

o WIOA funds are intended to provide training services in instances when there is no grant assistance (or insufficient assistance) from other sources (i.e., TANF, BFET, Title IV Programs and State-funded grants) to pay for those costs.

o The use of WIOA funds to pay down a loan of an otherwise eligible participant is prohibited; however, the mere existence of a federal loan must not impact eligibility determinations.

☐ N/A, not in applicable service

Availability of non-WIOA funds, excluding loans, was explored and outcome of efforts was documented: (20 CFR 680.230)

o FAFSA/other resources were explored:


☐ YES, evidence training provider was not eligible for Aid

☐ NO, Could Not Validate o Outcome of FAFSA/other resources explored

was documented:



If applicable, Dept. of Veterans Affairs training funds were exempt from the “other sources of training grants” requirement: (WIOA Final Rules)

☐ N/A

☐ YES




☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-G. ADULT EDUCATION & LITERACY ACTIVITIES MIS:

Training, Adult Education and Literacy with Training (2.0)

If not in combination with training, this service must be recorded as a career service (WS Service Catalog as of 6-

28-18)

TRAINING REQUIREMENT WIOA Final Rule, Department’s response page

56115: o The Department notes that if Title I adult and

dislocated worker funds are used for these activities, they must be done concurrently or in coordination with any training activities in WIOA sec. 134(c)(3)(D)(i)–(vii).

20 CFR 680.350: o WIOA funds may provide adult education

and literacy activities if they are provided concurrently or in combination with one or more of the following training services: (a) Occupational skills training, including

training for nontraditional employment; (b) OJT; (c) Incumbent worker training; (d) Programs that combine workplace

training and related instruction, which may include cooperative education programs;

(e) Training programs operated by the private sector;

(f) Skill upgrading and retraining; or (g) Entrepreneurial training.

MIS DATA ENTRY REQUIREMENTS WIN 0082: Effective 2-15-17: O Services must be entered at the point in









If WIOA funds were used for the Adult Education & Literacy Activities, they were provided in concurrence with any of the training activities in WIOA sec. 134(c)(3)(D)(i)–(vii) and 20 CFR 680.350.


REPORTING: Services provided to the participant (as documented in

case notes or other documentation in the file) are

correctly recorded in MIS: (20 CFR 677.235; WIN 0082)
























☐ Progress of service ☐ Outcome of service



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


WORK-BASED TRAINING

4-H. ON-THE-JOB TRAINING (OJT) MIS: Training, On-the-Job Training 2.0

OJT DEFINITION & DESIGN WIOA Sec. 3(44): The term “on-the-job training”

means training by an employer that is provided to a paid participant while engaged in productive work in a job that-

(A) Provides knowledge or skills essential to the full and adequate performance of the job;

(B) Is made available through a program that provides reimbursement to the employer of up to 50% of the wage rate of the participant, except as provided in section 134(c)(3)(H), for the extraordinary costs of providing the training and additional supervision related to the training; and

(C) Is limited in duration as appropriate to the occupation for which the participant is being trained, taking into account the content of the training, the prior work experience of the participant, and the service strategy of the participant.

OJT WAGES & BENEFITS

20 CFR 683.275: (a) Individual in OJT must be compensated at the same rates, including periodic increase, as trainees or employees who are similarly situated in similar occupations by the same employer and who have similar training, experience, and skills. (c) Individuals in OJT must be provided benefits and working conditions at the same level and to the same extent as other trainees or employees working a similar length of time and doing the same type of work.

OJT CONTRACTS 20 CFR 680.710: OJT contracts may be written for

eligible employed workers when: (a) The employee is not earning a self-sufficient wage or wages comparable to or higher than wages from previous employment; (b) The requirements of sec. 680.700 are met; and (c) The OJT relates to the introduction of new technologies, introduction to new production or service procedures, upgrading to new jobs that require additional skills, workplace literacy, or other appropriate purposes identified by the Local WDB.

WIOA Final Rules, page 56149: o OJT contracts must be continually monitored so

that WIOA funds provided through OJT contracts are providing participants the training to retain employment successfully.


WIN 0082: Effective 2-15-17: O Services must be entered at the point in time they are

delivered; O If services cannot be entered at the time they are

delivered, services must be entered within 14 calendar days of service delivery and the service date entered must always reflect the date the service was delivered.


Enrollment.

ESD Policy 1020 Data Integrity and Performance Policy and Handbook: o Services within the WorkSource Service Catalog are the

source data for performance and outcome measurements across the WorkSource system.



The participant’s work experience and existing knowledge and skills were considered when developing the OJT: [WIOA Sec. 3(44)]


Contracts, time sheets, performance evaluations, and similar documentation supporting the OJT was on file for the participant:

(DOL, State guidance)


Knowledge and skills essential to the full and adequate

performance of the job was documented: [WIOA Sec. 3(44)]


The length of the OJT was appropriate to the occupation for

which the participant was trained. [WIOA Sec. 3(44)]


The participant was compensated at the same rate and provided benefits and working conditions as other employees in similar occupations by the same employer: (20 CFR 683.275)


The OJT did not displace or partially displace other employees of

the employer: [WIOA Sec. 181(b)]


Written concurrence of the labor organization and employer was

obtained, if applicable: [WIOA Sec. 181(b)]

☐ N/A

☐ YES


The OJT was developed with an employer who does not continuously fail to provide long-term employment with equal

benefits and wages: (WIOA Sec. 194(4)


The service provider confirmed the employer had not relocated less than 120 days prior to the OJT and did not lay off employees at the prior location: [WIOA Sec. 181(d)]


Factors were documented if employer was reimbursed above 50% and up to 75%: [20 CFR 680.730(b); TEGL 19-16]

☐ N/A ☐ YES ☐ NO, Could Not Locate

OJT contract was regularly monitored:(WIOA Final Rules, page 56149)


REPORTING:

Services provided to the participant (as documented in case notes or other documentation in the file) are













☐ Questioned Cost


☐ Observation

_______________________ Appropriate outcome for this

service was recorded in MIS: (20 CFR 677.235)


















☐ Recommendation:

Comments:




Date(s) Enrolled:





RECOMMENDATIONS


4-I. CUSTOMIZED TRAINING MIS: Training, Customized Training

ELIGIBILITY, DEFINITION & DESIGN

ESD WIOA Policy 5616, Rev. 1: O Individuals considered for customized

training must meet eligibility requirements for Adult and Dislocated Worker programs.

WIOA Final Rules, page 56156: o Customized training is used to train

individuals who are not employed with the participating employer at the start of participation.

20 CFR 680.760: (a) Training designed to meet the special

requirements of an employer(s); (b) Conducted with a commitment by the

employer to employ an individual upon successful completion of the training; and

(c) Employer pays for the significant cost of the training.










Participant met the eligibility of the Adult program: (ESD WIOA Policy 5616, Rev. 1)


Participant met the unemployed or employed status: (WIOA Final Rules, page 56156 and 20 CFR 680.770)


The service provider confirmed the employer had not relocated less than 120 days prior to the training and did not lay off employees at the prior location: [WIOA Sec. 181(d)]


Training met the special needs of the employer: [(20 CFR 680.760(a)]


Employer’s commitment to employ the participant was met: [(20 CFR 680.760(b)]


Employer is committed to pay or did pay a significant cost of training: [(20 CFR 680.760(c)]


REPORTING:






























☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-J. INCUMBENT WORKER TRAINING MIS: Training, Incumbent Worker Training

DEFINITION & DESIGN 20 CFR 680.790: o Incumbent worker training must increase

the competitiveness of the employee or employer.

o Incumbent worker training is training conducted with the commitment by the employer to retain or avert the layoffs of the incumbent worker(s) trained.

INCUMBENT WORKER ELIGIBILITY 20 CFR 680.780: To qualify as an incumbent

worker, the incumbent worker needs to be: o Employed, o Meet the Fair Labor Standards Act

requirements for an employer-employee relationship, and

o Have an established employment history with the employer for 6 months or more (with the exception that in the event the incumbent worker training is being provided to a cohort of employees, not every employee in the cohort must have an established employment history with the employer for 6 months or more as long as the *majority of those employees being trained do meet the employment history requirement. (*ESD WIOA Policy 5607, Rev. 3 defines “majority” as meaning 51% or more)

o An incumbent worker does not have to meet the eligibility requirements for career and training services for adults and dislocated workers under WIOA, unless they also are enrolled as a participant in the WIOA adult or dislocated worker program.








O Stakeholders within the system must review the Services Catalog on a regular basis to ensure their knowledge of available services and definitions is maintained.

☐ N/A

Incumbent worker met the eligibility criteria of 20 CFR 680.780:

☐ Employed

☐ Yes, No Issues Identified

☐ No, Could Not Validate

☐ Employed 6 or more months, with exception

☐ Yes, No Issues Identified

☐ No, Could Not Validate

Verification of employment status was located in the file: (TEGL 22-15)

☐ Yes:

☐ Pay stub

☐ Case notes

☐ No, Could Not Locate

The service provider confirmed the employer had not relocated less than 120 days prior to the training and did not lay off employees at the prior location:

[WIOA Sec. 181(d)]


The training would increase the competitiveness of the employer or employee: (20 CFR 680.790 and TEGL 19-16)


Employer is/was committed to retain employment or avert layoffs: (20 CFR 680.790)


REPORTING: The following is required if the recipient received more than training and is enrolled in the Adult Program:

Employment Status at Program Entry was recorded in MIS: (20 CFR 677.235) ☐ Yes ☐ No























☐ Questioned Cost


☐ Observation

Comments: _______________________ Case notes document the

start, progress and outcome of the service: (WIN 0088)









☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-K. REGISTERED APPRENTICESHIP MIS: Training, Apprenticeship Training

RA REPORTING AND DATA VALIDATION REQUIREMENTS:

TEGL 13-16: o For data validation purposes, staff are

required to flag whether or not a WIOA participant is either in a RA program at the time of program enrollment or whether they enter a RA during program participation.

POINT OF EXIT

TEGL 13-16: o The point of exit should be based on when the

participant is successfully moving through the RA program and is no longer receiving services from WIOA.

o The following two factors should be considered when determining an appropriate exit policy: Wage Increases: Apprentices receive

progressive increases in pay as their skills and knowledge increase-this is a core element of all Registered Apprenticeships. A wage increase may be an appropriate point of exit from WIOA, as it means that apprentices have passed a milestone in their training, improved their skills, and increased their earnings-signaling that support through WIOA may no longer be needed.

Credential Attainment: Many RA programs offer interim occupational credentials that can be attained by apprentices during their program. The attainment of a credential is another aspect that could be factored into the determination of an appropriate exit point from WIOA, given that this marks an important milestone in the RA program. Attainment of a credential signals that apprentices have successfully advanced along a career pathway and increased their skills in the field, and potentially moved beyond the point of needing WIOA support.


WIN 0082: Effective 2-15-17: O Services must be entered at the point in time

they are delivered; O If services cannot be entered at the time they

are delivered, services must be entered within 14 calendar days of service delivery and the service date entered must always reflect the date the service was delivered.


Enrollment. ESD Policy 1020 Data Integrity and Performance

Policy and Handbook: o Services within the WorkSource Service Catalog

are the source data for performance and outcome measurements across the WorkSource system.



REPORTING: Services provided to the participant (as

documented in case notes or other documentation in the file) are correctly recorded in MIS: (20 CFR 677.235; WIN 0082)





























☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


4-L. TRANSITIONAL JOBS MIS: Individualized, Transitional Job

PROGRAM DESIGN AND ELIGIBLE PARTICIPANTS

20 CFR 680.190: o A transitional job is one that provides a

time-limited work experience that is wage-paid and subsidized, and is in the public, private, or not-for-profit sectors for those *individuals with barriers to employment who are chronically unemployed or have inconsistent work history, as determined by the Local WDB.

o Transitional jobs must be combined with comprehensive career services and supportive services.

TEGL 19-16: o This service must be combined with career

and supportive services.

*INDIVIDUALS WITH A BARRIER TO EMPLOYMENT:

WIOA sec. 3(24): (1) Displaced homemakers; (2) Low-income individuals; (3) Indians, Alaska Natives, and Native Hawaiians; (4) Individuals with disabilities; (5) Older individuals, i.e., those aged 55 or over (6) Ex-offenders; (7) Homeless individuals; (8) Youth who are in or have aged out of the foster care system; (9) Individuals who are English language learners, individuals who have low levels of literacy, and individuals facing substantial cultural barriers; (10) Eligible migrant and seasonal farmworkers, defined in WIOA sec. 167(i); (11) Individuals within 2 years of exhausting lifetime eligibility under TANF; (12) Single-parents (including single pregnant women); (13) Long-term unemployed individuals; (14) Other groups determined by the Governor to have barriers to employment.


WIN 0082: Effective 2-15-17: O Services must be entered at the point in time

they are delivered; O If services cannot be entered at the time they

are delivered, services must be entered within 14 calendar days of service delivery and the service date entered must always reflect the date the service was delivered.


Enrollment. ESD Policy 1020 Data Integrity and Performance

Policy and Handbook: o Services within the WorkSource Service Catalog

are the source data for performance and outcome measurements across the WorkSource system.



Participant met the definition of “individual with barrier to employment” as described in WIOA Sec. 3(24) and was chronically unemployed or had inconsistent work history as determined by the LWDB: (20 CFR 680.190)


The Transition Job was combined with comprehensive career services and supportive services: (20 CFR 680.190 and TEGL 19-16)


The service provider confirmed the employer had not relocated less than 120 days prior to the training and did not lay off employees at the prior location: [WIOA Sec. 181(d)]


REPORTING: Services provided to the participant (as documented in

case notes or other documentation in the file) are





























☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


5. OUTCOMES

5-A. DATE OF MOST RECENT MEASURABLE SKILL GAINS -In-Program Performance Measure

DEFINITIONS 20 CFR 677.155(c)(5): In addition to entering in MIS and case notes, verification of the most recent date of any one of the following is required:

(i) Documented achievement of at least one educational functioning level of a participant who is receiving instruction below the postsecondary education level;

(ii) Documented attainment of a secondary school diploma or its recognized equivalent;

(iii) Secondary or postsecondary transcript or *report card for a sufficient number of credit hours that shows a participant is achieving the State unit’s academic standards; * Note: Evan Rosenberg, Division of Youth Services, DOL

ETA, “WIOA Youth Eligibility Live Q&A Session” on WorkforceGPS October 24, 2017: DOL does not require any specific information be documented on report cards. As long as there is sufficient information to convey the participant is making satisfactory progress, LWDBs can decide what, if anything specific must be on the report card.

(iv) Satisfactory or better *progress report, towards established milestones, such as completion of OJT or completion of 1 year of an apprenticeship program or similar milestones, from an employer or training provider who is providing training; *Note- Evan Rosenberg, Division of Youth Services, DOL ETA, “WIOA Youth Eligibility Live Q&A Session” on WorkforceGPS October 24, 2017: “Progress” is determine at the local level. or

(v) Successful passage of an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade-related benchmarks such as knowledge-based exams.

TRAINING PAID BY OTHER

ESD POLICY UNIT Guidance via email to ESD Monitoring Unit 1-10-18: Documentation of Measurable Skills Gain should be recorded even if the training is “Paid by Other”

☐ N/A, participant not BSD, or not participating in applicable services, or no measurable skill gained at the time of monitoring

Documentation of Measurable Skill Gain was located in the file: (20 CFR 677.155(c)(5) and TEGL 10-16, Change 1)

☐ BSD: ☐ N/A

☐ Comparison of participant’s initial EFL as measured by a (CASAS) pre-test with the participant’s EFL as measured by a (CASAS) post-test; OR

☐ Credits earned while earning HS diploma or equivalent; OR

☐ Participants who exit a program below the postsecondary level and enroll in postsecondary education and training during the program year. (A program below the postsecondary level applies to participants enrolled in a basic education program)



☐ DIPLOMA or GED: ☐ N/A

☐ Certification of attainment of passing scores on all parts of a State-recognized high school equivalency test (GED), OR

☐ Copy of HS diploma.



☐ HS or COLLEGE PASSING GRADES: ☐ N/A

☐ Secondary education (only for youth attending high school): Transcript or report card for one semester showing the participant is achieving the State’s policies for academic standards.

☐ Post-secondary education: Sufficient number of credit hours, at least 12 hours per semester, or for part-time students, a total of at least 12 hours over the course of two completed consecutive semesters during the program year-that shows a participant is achieving the State unit’s academic standards.



☐ OJT COMPLETION/APPRENTICESHIP MILESTONES: ☐ N/A

☐ Satisfactory or better progress report towards established milestones from an employer/training provider who is providing training (e.g., completion of OJT, completion of one year of a registered apprenticeship program, etc.); OR

☐ Increases in pay resulting from newly acquired skills or increased performance also can be used to document progress.



☐ INDUSTRY REQUIRED EXAMS: ☐ N/A

☐ Passage of a component exam in a Registered Apprenticeship program,

☐ Employer-required knowledge-based exam; OR

☐ Satisfactory attainment of an element on an industry or occupational competency-based assessment; OR

☐ Other completion test necessary to obtain a credential.






☐ Observation

Comments: _______________________

REPORTING:

Date received and type of Measurable Skill Gain is recorded in MIS: (20 CFR 677.160)

☐ YES ☐ NO

Type of Measurable Skill Gain recorded in MIS is correct meets the definition in the WS Services Catalog: (WIN 0082)

☐ YES ☐ NO

Case notes document the date achieved and type of the Measurable Skill Gain: (WIN 0088)



☐ Could not locate case notes for:

☐ Date Measurable Skill Gain achieved

☐ Type of Measurable Skill Gain



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


5-B. DATE ATTAINED & TYPE OF RECOGNIZED CREDENTIAL

In-Program and Exit-Based Performance Indicator

TYPES OF ACCEPTABLE CREDENTIALS:

TEGL 10-16, Change 1: The following are acceptable types of credentials that count toward the credential attainment indicator: o Secondary school diploma or recognized

equivalent o Associate’s degree o Bachelor’s degree o Graduate degree for purposes of the VR

program o Occupational licensure o Occupational certificate, including

Registered Apprenticeship and Career and Technical Education educational certificates

o Occupational certification o Other recognized certificates of

industry/occupational skills completion sufficient to qualify for entry-level or advancement in employment.

CERTIFICATES/CREDENTIALS NOT INCLUDED

ESD Policy 1020 Data Integrity and Performance Policy and Handbook: Credentials that do not count include, but are not limited to: o First aid cards o Food handler’s card o Non-commercial driver’s license o Completion of WEXs

Evan Rosenberg, Division of Youth Services, DOL ETA, “WIOA Youth Eligibility Live Q&A Session” on WorkforceGPS October 24, 2017: o Even though DOL will not define what

counts as a credential, Evan did state the following common trainings do not count as a credential or occupational skills training: CPR OSHA 10 Work readiness Completion of assistive technology

training program (screen reading software)

Certificates related to hygiene and safety that are broadly required for entry level employment

☐ N/A, not participating in applicable services or no credential earned at time of monitoring

Documentation of Credential Earned was located in the file: (TEGL 22-15; TEGL 10-16, Change 1)

☐ YES:

☐ Secondary school diploma or recognized equivalent

☐ Associate’s degree

☐ Bachelor’s degree

☐ Occupational licensure

☐ Occupational certificate, including Registered Apprenticeship and Career and Technical Education educational certificates

☐ Occupational certification

☐ Other recognized certificates of industry/ occupational skills completion sufficient to qualify for entry-level or advancement in employment.


REPORTING:

Type of Credential Earned is recorded in MIS:

(20 CFR 677.160)

☐ YES ☐ NO

The correct Credential Earned is recorded in MIS (WIN 0082) ☐ YES ☐ NO

Case notes document the date achieved, type of the Credential Earned and are aligned with data recorded in MIS: (WIN 0082; WIN 0088)



☐ NO, case notes did not align with MIS


☐ Date credential earned

☐ Type of credential achieved




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


6. PROGRAM COMPLETION

6-A. DATE AND REASON FOR PROGRAM COMPLETION

PROGRAM COMPLETION:

ESD Policy 1020 Handbook: o The date of program completion is the

date of the final program-funded qualifying service. In this sense, it is unlike the exit date, which is common across all programs rather than specific to a particular program. The program completion date may or may not be the same as the exit date. The program completion date will be equal to or less than the exit date.

PROGRAM COMPLETION vs SYSTEM EXIT

ESD Policy 1020 Handbook: O Exit dates are not the same as program

completion dates. O A system exit date is the same as a

program completion date only when participants do not receive a qualifying service from another program within 90 days.

SYSTEM EXIT:

ESD Policy 1020 Handbook: o “Exit” refers to a participant who has not

received a qualifying service funded by any qualifying program in the WorkSource system for 90 consecutive calendar days and is not scheduled to receive future qualifying services.

20 CFR 677.150(c)(1): o Exit is the last day of service.

REPORTING

ESD Policy 1020 Handbook: o (In MIS), the fields “Completion Outcome”

and “Program Completion Date” should reflect when and why program services have ended. However, on 9-25-18, ESD Policy clarified to the ESD Monitoring Unit that while Policy 1020 Handbook encourages the recording of the “Completion Outcome” and “Program Completion Date” in MIS, it is not a requirement for DOL reporting purposes.

☐ N/A, there is evidence the participant has not completed the program

Case notes document the date and reason for program completion: (TEGL22-15; WIN 0088)




☐ Date of program completion

☐ Reason for program completion REPORTING:

All durational services recorded in MIS are closed: (20 CFR 677.160)

☐ YES ☐ NO




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


7. FOLLOW-UP SERVICES MIS: Follow-Up, Follow-Up Services

WHEN TO PROVIDE FOLLOW-UP SERVICES

ESD WIOA Policy 5620: o As instructed in TEGL 10-16, follow-up

services can only be provided to WIOA Adult and DW participants who are placed in unsubsidized employment and have system exited.

o Follow-up services, if requested by the exited individual and determined by staff to be appropriate, must be provided for a period of up to 12 months.

☐ N/A, participant has not yet exited REPORTING:

Service (as documented in case notes or other

documentation in the file) is correctly recorded in MIS: (20 CFR 677.235; WIN 0082)




Services were attached to the appropriate program: (ESD Policy 1023) ☐ YES, No Issues Identified











Case notes support the services recorded in MIS, including services not funded by WIOA: (WIN 0088; WIN 0089) ☐ YES, very detailed






☐ No, could not locate case notes for:



☐ outcome of service



☐ Questioned Cost


☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


8. DATA VALIDATION, DATA INTEGRITY

10-A. SELF-ATTESTATION

DEFINITION:

ESD WS System Policy 1019, Rev.3- Self-

attestation occurs when a participant

(applicant) states his or her status for a

particular data element, such as pregnant or

parenting youth, and then signs and dates a

form acknowledging this status. The key

elements for self-attestation are:

o A participant (applicant) identifying his or

her status for a permitted data element;

and

o Signing and dating a form attesting to this self-identification.

DOCUMENTATION:

ESD WS System Policy 1019, Rev.3- o To ensure proper documented customer

self-attestation, ESD strongly encourages LWDBs to use the self-attestation forms provided in Section 7 of the ESD WS System Policy 1019, Rev. 3 Handbook or local versions that are substantially similar.

o Improperly documented self-attestation or self-attestation on eligibility elements not permitted under federal law, or guidance, or this policy, may result in disallowed costs.

o DOL further recommends that staff document the reason for using self-attestation in case notes

ISD CO-ENROLLMENT BASIC CAREER SERVICES ONLY:

ESD WS System Policy 1019, Rev.3: o Local areas formally implementing

Integrated Service Delivery with co-enrollment can utilize self-attestation to document, for Basic Career Services only, that participants are:

Age (18 years or older),

Legally entitled to work in the U.S., and

Registered with the Selective Service (as applicable)

o If those participants subsequently pursue individualized career services or training services, full eligibility documentation is required.

EXCEPTION:

ESD WS System Policy 1023, Rev. 1: o Job seekers do not need to complete a full

eligibility determination to receive Individualized Career Services that are delivered in a workshop or group settings.

O These workshops will be recorded as “miscellaneous workshops” and each local area will develop guidance to help service providers identify which, if any, Individualized Career Services will be provided as Basic Career Services in workshop settings.

☐ N/A, no self-attestation in file

Self-attestation(s) was the version in ESD Policy 1019, Rev. 3 or a substantially similar version:


☐ NO, one or more issues identified

Self-attestation(s) was signed and dated by the participant (applicant):

(ESD WS System Policy 1019, Rev.3)



Self-attestation(s) was used for the appropriate eligibility criteria:

(ESD WS System Policy 1019, Rev.3)



The reason for using self-attestation was documented in case notes as recommended by DOL and ESD Policy 1019, Rev. 3:


☐ NO, Could not Locate




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


8-B. MIS

MIS DATA ENTRY REQUIREMENTS:

WIN 0082: Effective 2-15-17, the minimal WIT data entry requirements are as follows: o Services must be entered at the point in

time they are delivered; o If services cannot be entered at the time


o When a service is provided, the appropriate qualifying service must be identified, even if case notes are entered.

o Qualifying services are identified in the WorkSource Service Catalog.

o Services should only be entered when delivered to a participant and only actual services should be entered

o Case notes should support, not contradict service entries.

o Case notes should not be entered to represent service delivery without also entering a qualifying service from the WorkSource Service Catalog.

o Services should not be recorded if only a voice message was left or an email delivered as they only represent the intent to provide service as opposed to the actual provision of services.






SUMMARY OF MIS OBSERVATIONS:

Participant’s demographic information was accurately recorded in MIS: (20 CFR 677.235)


☐ NO, One or Two Issues Identified

☐ NO, Several or More Issues Identified

All services provided to the participant (as identified in case notes or other documentation in the file) were recorded in MIS:

(20 CFR 677.240; WIN 0082)




Services were attached to the appropriate programs: (ESD Policy 1023)




Services recorded in MIS were correct as defined in the WS Catalog: (20 CFR 677.240; WIN 0082)




Services recorded in MIS were recorded within the allotted timeframes: (WIN 0082)




Appropriate outcomes were recorded for the services in MIS: (20 CFR 677.240; WIN 0082)

☐ N/A



☐ NO Several or More Issues Identified




☐ Observation

Comments:



☐ Recommendation:




Date(s) Enrolled:





RECOMMENDATIONS


10-C. CASE NOTES

DOL DEFINITION

TEGL 22-15: Paper or electronic statements by the case manager that identifies, at a minimum, the following: o A participant’s status for a specific data element, o The date on which the information was obtained

and o The case manager who obtained the

information. REPORTING

ESD Policy 1020: o Case notes should support and not contradict

service entries. o Case notes should not be entered to represent

service delivery without also entering a qualifying service from the Services Catalog.

WIN 0088: o Recording case notes is critical because it weaves

each service element into a comprehensive service plan.

o Individualized case notes provide a complete, accurate, and concise explanation of frequency and type of contact with participants, including the types of services provided and the outcomes associated with those services.

o Case notes are a tool to help service providers organize and analyze the information gathered on participants and to plan case management strategies.

o It is imperative that Local Workforce Development Boards (LWDBs), their Title I sub-contractors, one-stop system partners, and federal and state monitors/auditors, be able to recognize and discern each service and expenditure provided to, and made on behalf of, a one-stop system customer.

o Case notes should not be entered to represent service delivery without also entering a qualifying service from the WorkSource Services Catalog (see WIN 0082).

CONFIDENTIAL INFORMATION

WIN 0023; WIN 0088: O Any case notes containing confidential

information, such as medical information, must be kept in a separate file and in a secure location apart from the participant’s regular program file.

SUMMARY OF CASE NOTE OBSERVATIONS:

Eligibility and justification for enrollment:



☐ NO, could not locate case notes describing the participant’s eligibility for services and justification for enrollment

Planned services: (WIN 0088; WIN 0089)



☐ NO, could not locate case notes describing the planning of services

Actual delivery of services, even for services not funded with WIOA: (WIN 0082; WIN 0088; WIN 0089)



☐ NO, on one or more occasions, could not locate case notes describing the delivery of services recorded in MIS

Progress of services/activities, even for services not funded with WIOA: (WIN 0088; WIN 0089)



☐ NO, could not locate case notes describing the progress of services

Outcomes of services even for services not funded with WIOA: (WIN 0088; WIN 0089)



☐ NO, could not locate case notes describing the outcome of one or more services

Case management services:



☐ NO, could not locate case notes describing on-going provision of case management

Significant gaps in case notes (more than 60 days):

☐ NO

☐ YES, gaps occurred on one or two occasions

☐ YES, gaps occurred on more than three occasions

Documentation of case notes was in compliance with local policy, if applicable:

☐ N/A, No local policy or procedure


☐ NO, one or two issues identified

☐ NO, three or more issues identified




☐ Observation

Comments:



☐ Recommendation:

9. MISCELLANEOUS OBSERVATIONS DETERMINATION & COMMENTS ACTION REQUIRED/ RECOMMENDATIONS

This element covers all other observations not accounted for on this tool. Examples of “miscellaneous observations” may include, but are not limited to:

Loose, unattached documents located in a hard file

Medical references in the file

Names of other program participants located in the file

Other “miscellaneous observations”

☐ N/A Comments:



☐ Recommendation:

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