Workforce Investment Act - Connecticut · Workforce Investment Act Program Monitoring Tool & Guide...

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WIA Administration Unit

WIAWorkforce Investment Act

ProgramMonitoring Tool

&Guide

State of ConnecticutDepartment of Labor

April 9, 2014


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 ToolWorkforce Investment Board: Identification of Region CTDOL Monitoring Team WIB Staff

6

Entrance Interview / List of Attendees and General Notes 7Monitoring Tool Components:1. Board of Directors 8 - 162. American Job Center Operator

A. Memorandum of Understanding (MOU) 17B. Priority of Service and Customer Choice 18C. Eligibility 19D. Core, Intensive, and Training Services

Core 20 - 22Dislocated Workers and Displaced Homemaker

Intensive 23 - 25Training Services & Individual Training Accounts (ITAs) 26 - 29Eligible Training Providers (ETPL) 30 - 32

E. Priority and Special Populations 33 - 34F. On-The-Job (OJT) and Customized-Job-Training (CJT) 35 - 37G. Supportive Services and Needs-Related Payments 38 - 39H. Youth Activities 40 - 48

Out-of-School Youth 49 - 50Concurrent Enrollment of Youth with Adult/Dislocated Worker 51Training Services for Youth 52Youth Summer Employment 53

3. Participant File Review FormsInstructions 55Form A Adult / Dislocated Worker Monitoring Instrument: 56 - 62Form B Youth Monitoring Instrument 63 - 68


Welcometo the State of Connecticut Department of Labor’s

Workforce Investment AdministrationProgram 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 ando 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 Programmonitoring 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’sdiscretion, some reviews may be conducted at CTDOL, e.g. desk reviews, etc.The monitoring components that follow include the applicable WIA and corresponding Code ofFederal Regulation (CFR) cross-references.Results of monitoring shall be shared during the process of such on-site reviews and will also beshared annually during a statewide de-briefing.


Reference resources:

The Workforce Investment Act (WIA) http://www.doleta.gov/usworkforce/wia/wialaw.txtWIA Regulations http://www.doleta.gov/usworkforce/wia/finalrule.pdf

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 (atminimum) 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 MeetingThe CTDOL review team and the local WIB staff discuss the monitoringprocess and purpose as well as introduce all interested parties who will beinvolved in the review.

2. Interviews CTDOL interviews key program staff and partners including member(s) ofthe WIB’s Board and WIA participants.

3.

Review of local areapolicy and programdesign /implementation

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

4. Participant case filereview

WIB files are selected by CTDOL either randomly or deliberately.

5. Exit Meeting The CTDOL review team and the local WIB staff discuss the results of themonitoring process, best practices and improvements to be made.

6. Narrative Report andStatistical Analysis

CTDOL prepares:Narrative Report summarizing and detailing its findings, andStatistical Analysis of data and trends

as well as corresponding required corrective action(s), areas of concern andrecommendations, suggestions for improvement, and “best practices.”

7. Closing InterviewCTDOL and the local board discuss findings and corrective action issues (ifany).

8.

CTDOL Notice of Needfor WIB to do CorrectiveAction Plan and WIBResponse

As needed, CTDOL will advise the local board of any issues requiringcorrective action, and in response the local board will submit a CorrectiveAction Plan for CTDOL review and approval.


The five (5) key programmatic areas subject to review include the following:

1. Governance Evaluation of each local area’s governance and program design in thecontext of a demand-driven system.

2. Grant ManagementEvaluation of the capacity of the local boards and CTDOL as ProgramAdministrator to perform the broad management functions requiredwhen operating federally-funded workforce development grants.

3. Program ServiceDelivery

Evaluation of the local area’s capacity and effectiveness in deliveringservices to participants and employers, including a “Process Review”of:a. Operating systemsb. Participant filesc. Training opportunitiesd. Business services

4. Review of Follow-upservices

a. Evaluation of the effectiveness of service delivery toparticipants and employers.

b. Assessment of services designed to engage job-seekers inactivities that increase employment and job retention

5.

Performance andAccountabilityTo be added in a futureupdate of this Tool

Evaluation of sub-recipient’s meeting operational goals, including:a. Planned service targetsb. Planned expenditure targetsc. Negotiated performance outcome goals


WIA Monitoring ToolFill out one of these for each Board for each time Monitoring is conducted.

Workforce Investment Board R E G I O NCheck Acronym Board

E WIB Eastern Connecticut Workforce Investment BoardNC WIB Capital Workforce PartnersNW WIB Northwest Regional Workforce Investment BoardSC WIB Workforce AllianceSW WIB The WorkPlace, Inc.

Monitoring Review Dates:through

Insert start date Insert end date

CTDOL Monitoring Team:Name Title

WIB Staff:(Please provide a copy of your organizational chart if available)

Name Title


Entrance Interview/List of Attendees and General Notes:


WIA Monitoring ToolMonitoring 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.

1. 661.307 Sunshine Provision

How does the Local Board meet its requirement to make available tothe public, on a regular basis, through open meetings, informationabout its activities, including information about membership,information about the Local Plan, development of significant policiesand guidelines and, if requested, minutes of formal Board meetings?

2. 661.315WIA § 117 (b)(2)

Does the Local Board meet all membership requirements?

Members who represent organizations, agencies or other entities musthave optimum policy-making or hiring authority within the entities theyrepresent.

Members may be appointed as a representative of more than 1 entity ifthat individual meets all the criteria for such representation, for each suchentity

Confirm that a majority (51%) of the members are from localbusinesses in the local area:

Local Area Businesses:Owner of businesses, CEOs or officers of businesses, business executivesor employers with optimum policy-making or hiring authority 20 CFR 661.203(a), defined as a person who can reasonably be

expected to speak affirmatively on behalf of the entity he/sherepresents and to commit that entity to a chosen course of action

Persons who represent businesses with employment opportunitiesreflecting local area employment opportunitiesIndividuals nominated for appointment by local business organizationsand 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



662.200 (b)WIA § 121(b)(1)(B)

the following categories:

Local Educational Providers:Representatives of local educational entities (local school boards, localeducational agencies, adult education providers, literacy activityproviders, post-secondary institutions such as community colleges)Individuals nominated for appointment by local educationalinstitutions, organizations or associations

Local Labor Organizations:Representatives of labor organizations representing employeesIndividuals nominated for appointment by labor organizationsOther representatives of employees

Community-Based Organizations:Representatives from community-based organizationsRepresentatives from organizations representing veteransRepresentatives from organizations representing the disabled

Economic Development:Public Economic Development Agency representativesPrivate Sector Economic Development agencies

Confirm that the Local Board has at least one member from eachrequired 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

AdultsDislocated WorkersYouthJob CorpsNative American programs

Migrant and seasonal farm worker programsVeterans workforce programsPrograms authorized under the Wagner-Peyser ActAdult education and literacy activities authorized until WIA Title IIProgram authorized under Title I, Parts A & B of the Rehabilitation ActSenior community service employment (SCSEP) activities authorizedunder the Older Americans Act of 1965, Title VPost-secondary vocational educational activities under the Carl D.Perkins Vocational & Applied Technology Education ActTrade Adjustment Assistance (TAA) and NAFTA TransitionalAdjustment Assistance activities authorized under the Trade Act of 1974as amended and the Trade Adjustment Assistance Reform Act of 2002Activities authorized under 38 U.S.C. 41 (local veterans’ employmentrepresentatives and disabled veteran’ outreach programs)Employment and training activities carried out under the CommunityServices Block GrantEmployment and training activities carried out by the federal



662.210(a)-(c)WIA § 121(b)(2)

661.315 (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-Stoppartners if the Local Board and chief elected officials approve theirparticipation.

Additional One-Stop partners may include:TANF programs authorized under the Social Security Act, Title IVEmployment and training programs authorized under the Food Stamp Actof 1977Work programs authorized under the Food Stamp Act of 1977Programs authorized under the National and Community Service Act of1990Other appropriate Federal, State or local programs, including programsrelated to transportation and housing and programs in the private sector

The state may require that 1 or more of the programs identified immediatelyabove be included as a partner in all of the local One-Stop delivery systems inthe state.

Other:Persons or representatives of entities as the local areas’ chief elected officialdeems appropriate and as determined by the chief elected official, including:

entities representing persons with multiple barriers to employmententities 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 theirrespective affiliation per WIA criteria.

3. 661.325WIA § 117 (c)(2)

The Governor shall, once every 2 years, certify 1 Local Board for each local area inthe 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.



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.

5. 661.335WIA § 117 (h)(2)

Does the WIB have a Youth Council?

Yes:No:

Obtain a copy of Youth Council members. Confirm that the YouthCouncil is comprised of the following required members with specialinterest or expertise in youth policy:

Local Area Businesses:Owner of businesses, CEOs or officers of businesses, business executivesor employers with optimum policy-making or hiring authorityPersons who represent businesses with employment opportunitiesreflecting local area employment opportunitiesIndividuals nominated for appointment by local business organizationsand business trade associations

Local Educational Providers:Representatives of local educational entities (local school boards, localeducational agencies, adult education providers, literacy activityproviders, post-secondary institutions such as community colleges)Individuals nominated for appointment by local educationalinstitutions, organizations or associations

Local Labor Organizations:Representatives of labor organizations representing employeesIndividuals nominated for appointment by labor organizationsOther representatives of employees

Community-Based Organizations:Representatives from community-based organizationsRepresentatives from organizations representing veterans



Representatives from organizations representing the disabledEconomic Development:

Public Economic Development Agency representativesPrivate 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 officialdeems appropriate and as determined by the chief elected official, including:

entities representing persons with multiple barriers to employmententities representing persons of other special populations

Additionally, does the Youth Council have the following requiredmembers?

Representatives of youth service agencies, including juvenile justice andlocal law enforcement agenciesRepresentatives of local public housing authoriitesParents of eligible youth seeking assistance under this SubTitleIndividuals, including former participants, and representatives oforganizations, who have experience relating to youth activitiesRepresentatives 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 theirrespective affiliation per WIA criteria.

6. 661.340 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



664.110WIA §117(d)+(h)(4)

Carrying out other duties, as authorized by the chairperson of the LocalBoard, such as establishing linkages with educational agencies and otheryouth entities.

The Local Board, working with the youth council, is responsible forconducting oversight of local youth programs operated under the Act, toensure both fiscal and programmatic accountability.

Local program oversight is conducted in consultation with the local area'schief elected official.

The Local Board may, after consultation with the CEO, delegate itsresponsibility for oversight of eligible youth providers, as well as other youthprogram oversight responsibilities, to the youth council, recognizing theadvantage of delegating such responsibilities to the youth council whosemembers have expertise in youth issues.

Describe the LWIB’s process and procedure to conduct oversight of theYouth Council.

7. 661.350

661.355

WIA § 118(b)

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):ApprovedModified

Obtain a copy of the WIB’s most recent Local Area Plan.

Review Plan for compliance with WIA § 118(b) – on next page -- andindicate issues of non-compliance here:



An identification of the workforce investment needs of businesses, job-seekers, andworkers in the local areaAn identification of current and projected employment opportunities and job skillsnecessary to obtain such opportunitiesA description of the One-Stop delivery system to be established or designated inthe local area, including:

How the Local Board will ensure continuous improvement of eligibleproviders of services and ensure that such providers meet the employmentneeds of local employers and participantsA copy of the local Memorandum(s) of Understanding between the LocalBoard and each of the One-Stop partners concerning the operation of thelocal One-Stop delivery system

A description of the local levels of performance negotiated with the Governor andthe chief elected official(s) to be used by the Local Board for measuring theperformance of the local fiscal agent (where appropriate), eligible providers, andthe local One-Stop delivery systemA description and assessment of the type and availability of adult and dislocatedworker employment and training activities in the local area, including adescription of the local ITA system and the procedures for ensuring that exceptionsto the use of ITA's, if any, are justified under WIA section 134(d)(4)(G)(ii) and 20CFR 663.430A description of how the Local Board will coordinate local activities withStatewide rapid response activitiesA description and assessment of the type and availability of youth activities in thelocal area, including an identification of successful providers of such activitiesA description of the process used by the Local Board to provide opportunity forpublic comment, including comment by representatives of business and labororganizations, and input into the development of the local plan, prior to thesubmission of the planAn identification of the fiscal agent, or entity responsible for the disbursal of grantfundsA description of the competitive process to be used to award grants and contractsfor activities carried out under this subtitle I of WIA, including the process to beused to procure training services that are made as exceptions to the IndividualTraining Account process (WIA section 134(d)(4)(G))A description of the criteria to be used by the Governor and the Local Board, under20 CFR 663.600, to determine whether funds allocated to a local area for adultemployment and training activities under WIA sections 133(b)(2)(A) or (3) arelimited, and the process by which any priority will be applied by the One-StopoperatorIn cases where an alternate entity functions as the Local Board, the informationrequired at §661.330(b),Such other information as the Governor may require


1. WIB BOARD OF DIRECTORS# 20 CFR § _______ Monitoring Component8. 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 WIBpolicies:

9. 667.410(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 andcontractors 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 inthis part;

o Determine whether or not there is compliance with other provisions ofthe Act and the WIA regulations and other applicable laws andregulations; 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 administrativerequirements, as required by WIA and the appropriate administrativerequirements for sub-recipients and the applicable cost principles indicatedat §667.200 for all entities receiving WIA title I funds.

Obtain a copy of and review the LWIB’s policies regardingoversight and monitoring of its sub-recipients and contractorsregarding program service delivery, costs, provision of technicalassistance to sub-recipients and contractors, follow-up andresolution process.

Note any issues of concern or areas to correct.



10. 667.600 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 grievancesand complaints according to the requirements of this section. The grievanceprocedure requirements applicable to Job Corps are set forth at 20 CFR670.990.

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 interestedparties affected by the local Workforce Investment System, includingOne-Stop partners and service providers;

o Require that every entity to which it awards Title I funds must providethe information referred to in paragraph (b)(1) of this section toparticipants receiving Title I-funded services from such entities; and

o Must make reasonable efforts to assure that the information referred toin paragraph (b)(1) of this section will be understood by affectedparticipants and other individuals, including youth and those who arelimited-English speaking individuals. Such efforts must comply with thelanguage requirements of 29 CFR 37.35 regarding the provision of servicesand 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 InvestmentSystem, including One-Stop partners and service providers;

o An opportunity for an informal resolution and a hearing to be completedwithin 60 days of the filing of the grievance or complaint;

o A process which allows an individual alleging a labor standardsviolation to submit the grievance to a binding arbitration procedure, if acollective bargaining agreement covering the parties to the grievance soprovides; 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 WorkforceInvestment Act programs; and

o An opportunity for an informal resolution and a hearing to be completedwithin 60 days of the filing of the grievance or complaint.

The remedies that may be imposed under local, State and direct recipientgrievance procedures are enumerated at WIA §181(c)(3).


2. AMERICAN JOB CENTER (AJC) OPERATOR (formerly One-Stop, now AJC)# 20 CFR § _______ Evaluation Component

A. MEMORANDUM OF UNDERSTANDING (MOU)1. 662.230(c)

662.300WIA § 121(c)(2)WIA § 121(d)(1)

Does the WIB have a Memorandum of Understanding (MOU) with theOne-Stop operator?

MOU Yes No

Competitive Bid Yes NoConsortium Agreementw/ at least 3 or more of therequired One-Stop partners listedat 662.200 (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 systemHow the costs of such services and the operating costs of thesystem will be fundedMethods for referral of individuals between the one-stop operatorand the one-stop partners, for the appropriate services andactivitiesThe duration of the MOU and the procedures for amending theMOU 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:



B. PRIORITY OF SERVICE AND CUSTOMER CHOICE1. 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, eligiblespouses of Veterans, etc.

In the event that funds allocated to the local area for adult and dislocated workeremployment and training activities are limited, priority shall be given to recipients ofpublic assistance and other low-income individuals for intensive and training services.

Obtain a copy of the written:Priority of Service policy andCustomer Flow policy.

2. 663.440 andWIA § 134(d)(4)(F)

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 theselection of an eligible provider of such services. The One-Stop provider shall provide tocustomers the State list of eligible training providers including a description of suchprograms, including OJT and CJT as well as performance and cost information. Personsdetermined eligible for training may select a provider after consultation with a casemanager. Unless training funds for a program year have been exhausted, the One-Stopoperator must refer the person to the selected provider and establish an ITA to pay for thetraining from the applicable Adult or DW program funding. A referral may be conducted byproviding a voucher or certificate to the person to obtain the training.

Obtain a copy of the written policy, if any.



C. ELIGIBILITY1. 663.105 (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 ofeligibility.

Adults and Dislocated Workers receiving WIA Title I services other than self-service orinformational activities must be registered and determined eligible.

Obtain all forms (and corresponding instructions) used by the WIB tocollect 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 applicantso checklists to document collection of documentationo forms to calculate low incomeo releases to provide permission to obtain PII (personally-identifiable

information)o Information regarding a WIB’s grievance processo forms that document literacy/ numeracy testing resultso Equal Opportunity notices and forms

Confirm WIB compliance with CTDOL Policy regarding registration.



D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES1. 663.100 (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 orspecialized centers (e.g. centers established to serve dislocatedworkers from a particular industry or employer, or to serveresidents of public housing?Yes:No:

If YES, where are services made available other than at the One-Stop?

2. 663.110663.115WIA § 101(9)-(10)

Obtain all forms (and corresponding instructions) and local policy usedby the WIB to determine WIA Adult and DW eligibility for Coreservices.

Using the state’s MIS, Case Notes and other documentation in theparticipant’s file [See Participant File Review forms included under thisMonitoring Tool], confirm the WIB’s enforcement of WIA criteriaregarding eligibility for Core services for Adults and Dislocated Workers(DW).

Adults: 18 years of age or olderDislocated Workers: Must meet the definition at WIA § 101(9): WIBs usually use the CTDOL WIA-5 form9. The term ``dislocated worker'' means an individual who—

A. (i) has been terminated or laid off, or who has received a notice oftermination or layoff, from employment;

(ii):( I ) is eligible for or has exhausted entitlement to unemployment



D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES

663.155

compensation, or(II) has been employed for a duration sufficient to demonstrate, to

the appropriate entity at a one stop center referred to in section134(c), attachment to the workforce, but is not eligible forunemployment compensation due to insufficient earnings orhaving performed services for an employer that were notcovered under a State unemployment compensation law; and

(iii) is unlikely to return to a previous industry oroccupation;

B. (i) has been terminated or laid off, or has received a notice oftermination or layoff, from employment as a result of anypermanent 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 generalannouncement that such facility will close within 180 days; or

(iii) for purposes of eligibility to receive services other than trainingservices described in section 134(d)(4), intensive services describedin section 134(d)(3), or supportive services, is employed at a facilityat which the employer has made a general announcement that suchfacility will close;

C. was self-employed (including employment as a farmer, arancher, or a fisherman) but is unemployed as a result ofgeneral economic conditions in the community in which theindividual resides or because of natural disasters; or

D. is a displaced homemaker.------------------------10. 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 Coreservices for Adults and Dislocated Workers.



D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES3. 663.150

662.240WIA § 134(d)(2)

Identify the Core services made available by the WIB to eligible Adultand Dislocated Workers:

Determinations of eligibility to receive assistance under WIAOutreach, intake and orientation to information and servicesavailable through the One-Stop delivery systemInitial assessment of skill levels, aptitudes, abilities, and supportiveservice needsJob search, placement assistance and career counselingProvision of employment statistics information about local, regionaland 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 ando the earnings and skill requirements for such occupations

Provision of performance information and program cost informationon: 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-outsProviders of Vocational Rehabilitation program activitiesProvision of information regarding how the local area is performingon local performance measures including local area One-Stop deliverysystem performanceInformation regarding the availability of supportive services,including child care and transportation available in the local areaand referral to such services as neededProvision of information regarding filing claims for unemploymentcompensationAssistance 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 thelocal area

Follow-Up services, including counseling regarding the workplace, for12 months after any WIA participant is placed into un-subsidizedemployment

Obtain any written local policy used by the WIB regarding Core servicesin their respective local area.



D. CORE, INTENSIVE AND TRAINING SERVICES CORE SERVICES

2. AMERICAN JOB CENTER (AJC) OPERATOR (formerly One-Stop, now AJC)

# 20 CFR § _______ Evaluation ComponentD. CORE, INTENSIVE AND TRAINING SERVICES

INTENSIVE SERVICES1. 663.100 (a)(2) What entity provides Intensive services to Adults and Dislocated

workers in the local area?

Provided directly by the One-Stop operatorProvided through contracts with service providers who are approvedby the local area WIB.If this is the method used by the WIB, obtain copies of suchcontracts.

2. 663.200 andWIA § 134(d)(3)(C)

Identify the Intensive services provided by the WIB to eligible Adultand Dislocated Workers:

Comprehensive and specialized assessments of skill levels and serviceneeds, including: Diagnostic testing and other assessment tools In-depth interviewing and evaluation to identify:

o Barriers to employmento 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 goalsGroup counselingIndividual counseling and career planningCase management for participants seeking training servicesShort-term pre-vocational services, including development of: Learning skills Communication skills




INTENSIVE SERVICES Interviewing skills Punctuality, personal maintenance and professional conductto prepare them for unsubsidized employment or training

Describe any issues or areas of concern regarding IntensiveServices provided by the WIB.

3. 663.220

663.210

Obtain all forms (and corresponding instructions) and local policy usedby the WIB to determine WIA Adult and DW eligibility for Intensiveservices.

Using the state’s MIS, Case Notes and other documentation in theparticipant’s file [See Participant File Review forms included under thisMonitoring Tool], confirm the WIB’s enforcement of WIA criteriaregarding eligibility for Intensive services for Adult and DislocatedWorker (DW).

Criteria to Receive Intensive Services

663.220 (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 employment663.220(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 IntensiveServices for Adults and Dislocated Workers.




INTENSIVE SERVICES4. 663.230 What is the LWIB’s criteria for determining whether an employed

worker needs intensive services to obtain or retain employmentleading to self-sufficiency (LLSIL)? Obtain a copy of the policy.

State Boards or Local Boards must set the criteria for determining whether anemployed worker needs intensive services to obtain or retain employment leadingto “self-sufficiency”. At a minimum, such criteria must provide that self-sufficiency means employment that pays at least the lower living standard incomelevel, as defined in WIA 101(24). Self-sufficiency for a dislocated worker may bedefined in relation to a percentage of the layoff wage. The special needs ofindividuals with disabilities or other barriers to employment should be taken intoaccount when setting criteria to determine self-sufficiency.



D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs)1. 663.240

663.310663.320

Obtain all forms (and corresponding instructions) and local policy usedby the WIB to determine WIA Adult and DW eligibility for Trainingservices.

Using the state’s MIS, Case Notes and other documentation in theparticipant’s file [See Participant File Review forms included under thisMonitoring Tool], confirm the WIB’s enforcement of WIA criteriaregarding eligibility for Training services for Adult and DislocatedWorker (DW).

Criteria to Receive Training Services

663.240(a) At a minimum, an individual must receive at least 1 Intensiveservice (e.g. Individual Employment Plan (IEP) with a casemanager, or counseling and career planning) before receivingtraining services

663.240(b) The case file must contain a determination of need for trainingservices under 20 CFR 663.310 see below as identified in the IEP,comprehensive assessment or any other intensive service received.

20 CFR 663.310: Training services may be made available to employed orunemployed Adults and Dislocated Workers who:663.310(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 services663.310(b) after an:

o interview,o evaluation, oro assessmentand case management

have been determined by a:o One-Stop operator oro One-Stop partnerto

1. be in need of training services and2. have the skills and qualifications to successfully

complete the selected training program663.310(c) select a program of training services directly linked to

employment opportunities in the local area or in another areato which the individual is willing to relocate

663.310(d) are unable to obtain grant assistance from other sources to paythe costs of such training (e.g. Welfare to Work, State-fundedtraining programs, Trade Adjustment Assistance and FederalPell Grants)or



D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs)

663.310

require WIA assistance in addition to other sources of grantassistance, including Federal Pell Grants

663.310(e) 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 CFR663.600 (low income adults and public assistance recipients)

663.320(c) A WIA participant may enroll in WIA-funded training while theirPell Grant application is pending if the One-Stop operator hasmade arrangements with the training provider and WIAparticipant re allocation of the Pell Grant, if the Pell Grant issubsequently awarded – in which case, the training provider mustreimburse the WIA-funds used for the training to the amountcovered by the Pell Grant. Reimbursement is not required from theportion of the Pell Grant assistance disbursed to the WIAparticipant for education-related expenses.

Describe the process for providing and documenting TrainingServices for Adults and Dislocated Workers.

2. 663.300 andWIA § 134(d)(4)(D)

Identify the Training services provided by the WIB to eligible Adult andDislocated Workers:

Occupational skills training, including training for non-traditionalemploymentOn-the-Job Training (OJT)Programs combining workplace training with related instruction,which may involve cooperative education programsTraining programs operated by the private sectorSkill upgrading and retrainingEntrepreneurial trainingJob Readiness trainingAdult education and literacy activities combined with servicesdescribed aboveCustomized-Job-Training (CJT) conducted with a commitment by anemployer or group of employers to employ the participant uponsuccessful completion of the training

Does the WIB provide any training opportunities not listed above?663.300(a): The list of training services in the WIA is not all-inclusive andadditional training services may be provided.If yes, please list below:



D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs)3. 661.310,

663.400 andWIA § 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.

4. 663.400,663.430 andWIA§ 134(d)(4)(G)(ii)

Does the WIB utilize any of the following exceptions allowed underWIA, to provide WIA-authorized training services in lieu of anIndividual 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 anemployerSuch training services are Customized-Job-Training (CJT) trainingprovided by an employerThe local Board determined there are an insufficient number of trainingservices in their respective local area (e.g. rural location) to accomplish thepurpose of an ITA systemThe local Board determined there is a training program of demonstratedeffectiveness offered in the local area by a CBO (community-basedorganization) or another private entity, to serve special participantpopulations 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



D. CORE, INTENSIVE AND TRAINING SERVICES TRAINING SERVICES and INDIVIDUAL TRAINING ACCOUNTS (ITAs)5. 663.420 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 theneeds identified in the individual employment plan; or

o There may be a policy decision by the State Board or Local Board toestablish a range of amounts and/or a maximum amount applicable to allITA's.

Limitations established by State or Local Board policies must be describedin the State or Local Plan, respectively, but should not be implemented in amanner that undermines the Act's requirement that training services areprovided in a manner that maximizes customer choice in the selection of aneligible training provider. ITA limitations may provide for exceptions to thelimitations in individual cases.

An individual may select training that costs more than the maximum amountavailable for ITAs under a State or local policy when other sources of fundsare available to supplement the ITA. These other sources may include: PellGrants; 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:



D. CORE, INTENSIVE AND TRAINING SERVICES ELIGIBLE TRAINING PROVIDERS (ETPL)1. 663.410 What process does the local area use to provide Case Management

consultation services to Adult and DW participants for theselection of training from eligible training providers?

Obtain copies of any local policy, protocol, procedures and formsused by the local area in this process.

How does the One-Stop process ITA payments?

Electronic transfer of funds through financial institutionsVouchersIncremental (“benchmark”) payments at intervals during the trainingcourse period

Obtain copies of any forms used by the local area in this process.



D. CORE, INTENSIVE AND TRAINING SERVICES ELIGIBLE TRAINING PROVIDERS (ETPL)2. 663.420 What are the local area’s limitations on the duration and/or amount

of ITAs?

Limitations on dollar amountExplain:

Limitations on durationExplain:

Limitations based on needs identified in the IEP (IndividualEmployment Plan)Explain:

Local policy to establish a range of amounts or a maximum amountapplicable to all ITAsExplain:

Such limitations are included in the State and/or Local planExplain:

Exception(s) are allowed to the limitations on ITAsExplain:

A participant is allowed to select training that costs more than themaximum ITA amount when other sources (e.g. Pell Grants,scholarships, severance pay, etc.) are available to supplement the ITAExplain:

3. 663.555(c) How does the local area / One-Stop operator share the Eligible TrainingProvider List (ETPL) with:

Individuals who have been determined eligible for training servicesExplain:

Customers whose training is supported by other One-Stop partnersExplain:

4. 663.575 Does the local area / One-Stop operator supplement theinformation available from the state’s ETPL?

Information on programs of training services linked to occupations indemandPerformance and cost information including program-specificperformance and cost for the local outlet(s) or multi-site eligibleproviders



D. CORE, INTENSIVE AND TRAINING SERVICES ELIGIBLE TRAINING PROVIDERS (ETPL)

663.570 Other appropriate information related to WIA objectives which mayinclude information in 663.570, the “Customer Reports System” akaperformance information, regarding the performance of trainingproviders in the local areaExplain:

Obtain copies of any hand-outs or other information shared by thelocal area with WIA participants regarding supplementalinformation on eligible training providers.



E. PRIORITY AND SPECIAL POPULATIONS1. 663.600

663.610WIA § 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 663.610, this provision does not apply to Dislocated Workerfunds, which are not subject to this requirement.Has the local area established any criteria and/or process regardingservice priority for such persons?

Yes:No:

If yes, address:o if the local area uses other (non-WIA) fundso needs of specific groups in the local areao other appropriate factorso serving other individuals meeting eligibility requirements

2. 663.630665.210(f)WIA §101(10)WIA§134(a)(3)(vi)(I)

Does the One-Stop operator offer assistance to eligible DisplacedHomemakers (as defined on page 30 above) in the following ways:

Core services provided by One-Stop partners through the One-Stopdelivery systemIntensive or training services for which the Displaced Homemaker wouldqualify or is eligibleStatewide employment and training projects conducted with fundsreserved by the State, if any, for:

innovative programs for Displaced Homemakers who may alsoinclude persons receiving public assistance and is within 2 years ofexhausting lifetime eligibility for Social Security Title IV, Part APrograms to increase the number of individuals training for andplaced in non-traditional employment

Obtain a copy of the local policy and indicate any areas of concern here:



E. PRIORITY AND SPECIAL POPULATIONS3. 663.640

WIA §101(25)(B)WIA §101(25)(F)

If the family of a person with a disability does not meet income eligibilitycriteria, the disabled individual is considered “low income” if the disabledperson’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 programo Old-age and survivor’s insurance benefits under the Social Security

Actthat does NOT exceed the HIGHER of:o the Federal Poverty Level ( FPL), oro 70% of the Lower Living Standard Income Level (LLSIL)which is in effect for that period of 6 months prior to application

oro 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 butwho 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 individualswhose family does not meet “low income” criteria?

4. CTDOL What is the WIB’s local policy regarding priority-of-service to Veteransand their spouses?



F. ON-THE-JOB (OJT) AND CUSTOMIZED-JOB-TRAINING (CJT)1. 663.700 (a)

663.710WIA §101(31)(B)

OJT is provided under a contract with an employer in the public, private non-profit, or non-profit sector/s, under which the employer provides occupationaltraining to the WIA participant, in exchange for reimbursement of up to 50% ofthe wage rate, to compensate for the employer’s extraordinary costs of providingtraining and additional supervision relating to the training as associated with thelower productivity of the trainee. Employers are not required to document suchextraordinary costs..

What are the terms and conditions of the local WIB’s OJT contracts?

2. 663.700 (b);defined @ WIA§101(31)

The WIB’s local OJT program must not contract with employers who have receivepayments under previously contracts and exhibiting failure to provide OJTparticipants with continued long-term employment with wages, employmentbenefits (including health benefits), and working conditions equal to thoseprovided to regular employees who have worked a similar length of time and aredoing the same type of work

What is the WIB’s local policy regarding monitoring OJT employers sothat this requirement is not violated?



F. ON-THE-JOB (OJT) AND CUSTOMIZED-JOB-TRAINING (CJT)3. 663.700 ©

663.705WIA §101(31)(A)

OJT contracts:o must provide knowledge or skills essential to the full, adequate and

productive performance of the job, ando must be limited to the period of time required for a participant to become

proficient in the occupation for which training is being provided, withconsideration given to: skill requirements of the occupation academic and occupational skill level of the participant prior work experience of the participant participant’s IEP (Individual Employment Plan) and service strategy

o may be written for eligible employed workers when: the employee is not earning a self-sufficient wage as determined by local

WIB policy, all requirements cited directly above are met, and 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 other appropriate purposes identified by the LWIB

What is the WIB’s local policy and process regarding development ofOJT contracts between employers and WIA participants, particularlywith regard to meeting criteria cited above (time limitations, skills, etc.)?



F. ON-THE-JOB (OJT) AND CUSTOMIZED-JOB-TRAINING (CJT)4. 663.715

663.720663.730defined @ WIA§101(8)

CJT is training:o designed to meet special requirements of an employer or group of employerso conducted with a commitment by the employer to employ – or in the case of

Incumbent Workers, continue to employ – the person upon successfulcompletion of the training, and

o for which the employer pays for at least (not less than) 50% of the cost of thetraining.

The WIB’s local CJT program may be provided for an employer or group ofemployers when:o the employee is not earning a self-sufficient wage as determined by local WIB

policy (see 663.230 under Intensive Training)o the requirements cited directly above are meto the customized training relates to the purposes described @ 663.705 (see OJT

contract requirements above) or other appropriate purposes identified by thelocal WIB

CJT funds cannot be used to assist, promote or deter union organizing.

What is the WIB’s local policy and process regarding development ofCJT contracts between employers and WIA participants?



G. SUPPPORTIVE SERVICES AND NEEDS-RELATED PAYMENTS1. 663.800

663.805663.810defined @ WIA§101(46);WIA§134(e)(2)

(See 664.440 forSupportive Servicesfor Youth)

663.820663.830WIA§134(d)(4)

663.840WIA§134(e)(3)(C)

Using WIA funds allocated to Adult and Dislocated Worker programs:

Supportive Services:o means services such as:

transportation, child care, dependent care, housing and needs-related payments;

o may only be provided to persons who are: participating in Core, Intensive, or Training services, and are unable to obtain such supportive services through other programs

providing such services;o may only be provided when they are necessary to enable participation in WIA

Title I activities; ando may be limited as to amount and/or duration by local WIB policy, ando the WIB or One Stop operator may establish procedures to grant exceptions to

such limits

Needs-Related Payments:o are one of the Supportive Services authorized by WIA;o provide financial assistance to participants for the purpose of enabling them

to participate in training programs operated by the private sector;o are made to adults who meet the following eligibility criteria:

are unemployed and do not (or have ceased to) qualify for unemployment compensation, and be enrolled in a program of WIA-funded training services;

o are made to dislocated workers who meet the following eligibility criteria: are unemployed and have ceased to qualify for unemployment compensation or trade

adjustment allowance (TAA or NAFTA-TAA), and be enrolled in a program of WIA-funded training services: by the end of the 13th week after the most recent layoff that resulted in

the determination of the worker’s eligibility as a dislocated worker, or if later, by the end of the 8th week after the worker is informed that a

short-term layoff will exceed 6 months, or be unemployed and did not qualify for unemployment compensation or

trade adjustment assistance (TAA or NAFTA-TAA);o may be provided while a participant is awaiting start of a training program

if the participant has been accepted in a training program that will beginwithin 30 calendar days; The Governor may authorize LWIBs to extend the30-day period to address appropriate circumstances;

o regarding the level of needs-related payments: for Adults, the level is established by the LWIB; for Dislocated Workers, payments must not exceed the greater of

EITHER: if eligible for unemployment compensation as a result of the


qualifying dislocation; OR if not qualifying for unemployment compensation as a result of the

qualifying layoff, the weekly payment cannot exceed the PovertyLevel for an equivalent period and the weekly payment level must beadjusted to reflect changes in total family income as determined byLWIB policies.

LWIBs are required to develop local policy in consultation with One Stopoperators and other community service providers, regarding resource and servicecoordination in the local area, specifically addressing:o procedures for referral to such serviceso how such services will be funded when they are not otherwise available from

other sourceso Core Service provision of accurate information about the availability of

supportive services in the local area (must be made available through the OneStop delivery system)

Obtain and review the LWIB’s local policy as to: Support Services Needs-Related Payments

Describe any issues of either policy not meeting the federalrequirements:



H. YOUTH ACTIVITIES (WIA – Chapter 4)1. WIA §129 (a)

WIA §129 (c)

664.405

Obtain copy of WIB’s local policy for delivery of services to Youth,aka Program Design for the WIB’s WIA Youth Program.

Does the local policy address all of the following WIA Youth Programpurposes:

A variety of options for improving educational and skill competencieseffective connections to employersOn-going mentoring opportunities, with adults committed to providingmentoringTraining opportunitiesSupportive ServicesIncentives for recognition and achievementOpportunities related to leadership, development, decision-making,citizenship and community service

Does the local WIA Youth Program design include all of the following:

Provide an objective Assessment of the: academic levels, skill levels and service needs of each participant

Assessment must include a review of:basic skills,occupational skills,prior work experience,employability,interests and aptitudes (including interests and aptitudes fornon-traditional jobs),supportive service needs,developmental needs

Note: A new assessment is not required if the WIA service providerdetermines it is appropriate to use a recent assessment conductedper another education or training program.

What is the WIB’s policy in determining “recent” as it pertains toobjective assessment?



H. YOUTH ACTIVITIES (WIA – Chapter 4)

WIA §129 (c)(2)WIA §129 (c)(3)664.410

664.410(a)

Develop individual service strategies for each participant,appropriate:

Employment goal (including, as appropriate, non-traditionalemployment)Achievement objectivesServices, as indicated by the Assessment

Note: A new service strategy is not required if the WIA serviceprovider determines it is appropriate to use a recent service strategyconducted per another education or training program.

What is the WIB’s policy in determining “recent” as it pertains toservice strategy?

Provide:Preparation for post-secondary educational opportunitiesStrong linkages between academic and occupational learningPreparation for unsubsidized employment opportunitiesEffective connections to intermediaries with strong links to:

the job market, andlocal and regional employers

Does the WIA Youth Program design include all the following ten (10)required elements, pursuant to local area discretion in determining whatspecific program services are appropriate for the participant:

1. Tutoring, study skills training, and instruction, leading tocompletion of secondary school, including strategies to preventdropping out of school2. Alternative secondary school services3. Summer employment opportunities directly linked toacademic and occupational learning4, Paid and unpaid work experience including internships, job-shadowing, etc. See 664.460 and 664.4705. Occupational skill training6. Leadership development opportunities, which may includecommunity service and peer-centered activities, encouragingresponsibility and other positive social behaviors during non-school hours7. Supportive Services8. Adult mentoring during the period of participation and asubsequent period, for a total of not less than 12 months



H. YOUTH ACTIVITIES (WIA – Chapter 4)

WIA§129 (c)(3)(A)

WIA§129 (c)(3)(B)

WIA§129 (c)(3)(C)

9. Follow-up services, for not less than 12 months aftercompletion of participation See 664.45010. Comprehensive guidance and counseling, which may includedrug and alcohol abuse counseling and referralFor each applicant or participant who meets the minimumincome criteria to be considered an eligible Youth, provide:

Information on the full array of applicable or appropriateservices available through the LWIB or other eligibleproviders or One-Stop partners, including WIA-fundedentitiesReferral to appropriate training and education programsthat have the capacity to serve the applicant or participanteither on a concurrent or sequential basis

For each applicant or participant who does not meet theenrollment requirements of the program or who cannot be served,shall be referred:

for further assessment, as necessary andto appropriate programs per (A) above to meet the basicskills and training needs of the applicant

Parents, participants and other members of the community withexperience relating to programs for youth must be involved inthe design & implementation of the local WIA Youth Program?

2. WIA §129(c)(6)(C) No Youth allocation funds shall be used to provide an activity for eligible youthwho are not school drop-outs if participation in the activity would interfere withor replace the regular academic requirements of the Youth.

How does the WIB avoid violating this Prohibition?



H. YOUTH ACTIVITIES (WIA – Chapter 4)3. 663.200

WIA §101(13)WIA §101(25)

Does the LWIB include the WIA definition of Youth in its local policies?

An eligible youth is a person who: Is not less than age 14 and not more than age 21 Is a low-income individual per WIA §101(25) and Is within 1 or more of the following categories:

o Deficient in basic literacy skillso School drop-outo Homeless, runaway or foster childo Pregnant or parentingo Offendero Requires Additional Assistance to complete an education program or

secure and hold employment (includes youth with disability)

Yes:No:

4. 663.205 Does the WIB determination of “deficient in basic literacy skills”include the following considerations?

Computes or solves problems, reads, writes, or speaks English at orbelow the 8th grade level on a generally-accepted standardized test or acomparable score on a criterion-referenced testIs unable to compute or solve problems, reads, writes, or speaks Englishat a level necessary to function on the job, in the individual’s family, orin societyIn cases and for criterion as may be indicated in the State’s policy

How does the WIB document “deficient in basic literacy skills”?

5. 663.200663.210

How does the WIB define and document “requires AdditionalAssistance” in participant’s file?




WIA §129 (c)(5)Up to 5% of Youth participants served by Youth programs in a local areacan be persons who do not meet income criterion for eligible youth who arein 1 or more of the following exceptions

Does the WIB utilize the (5%) window for youth?

Yes:No:

If yes, how is the 5% window utilized?School drop-outsBasic-skills deficient as defined in WIA§101(4)Educational attainment that is 1 or more grade levels below the gradelevel appropriate to the person’s agePregnant or parentingOne or more disabilities, including learning disabilitiesHomeless or runaway youthOffenderSerious barrier/s to employment as determined by the LWIBSee 664.220(h) below

7. 664.220(h)WIA§129 (c)(5)(H)

What is the WIB’s local policy regarding serious barrier(s) toemployment, as it pertains to the youth that qualify under the 5%window?

Obtain and review a copy of the LWIB’s local policy regarding SeriousBarriers to Employment.

8. 664.240 The criteria for income eligibility under the National School Lunch Program arenot the same as the Act's income eligibility criteria. Therefore, the school lunchlist may not be used as a substitute for income eligibility to determine who iseligible for services under the Act.

Is the WIB using eligibility for free lunches under the National SchoolLunch Program as a substitute for the income eligibility criteria undertitle I of WIA?

Yes:No:



H. YOUTH ACTIVITIES (WIA – Chapter 4)9. 663.250 Even if the family of a disabled youth does not meet the income eligibility criteria,

the disabled youth may be considered a low-income individual if the youth's ownincome: meets the income criteria established in WIA section 101(25)(B); or meets the income eligibility criteria for cash payments under any Federal,

State or local public assistance program. (WIA sec. 101(25)(F).)

Does the LWIB’s local policy have a provision to allow disabled Youth tobe considered Low Income to meet these WIA criteria?

Yes:No:

10. 664.420 Do leadership development opportunities provided to Youth meet WIAregulation criteria?

Opportunities that encourage responsibility, employability and other “positivesocial behaviors” (see 664.430) such as: Exposure to postsecondary educational opportunities; Community and service learning projects; Peer-centered activities, including peer mentoring and tutoring; Organizational and team work training, including team leadership training; Training in decision-making, including determining priorities; and Citizenship training, including life skills training such as parenting, work

behavior training, and budgeting of resources. See WIA sec. 129(c)(2)(F)

Yes:No:



H. YOUTH ACTIVITIES (WIA – Chapter 4)11. 664.430 Do leadership development opportunities provided to Youth meet WIA

regulation criteria for positive social behaviors?

Positive social behaviors are outcomes of leadership opportunities, often referredto as soft skills, which are incorporated by many local programs as part of theirmenu of services. Positive social behaviors focus on areas that may include thefollowing: Positive attitudinal development; Self esteem building; Openness to working with individuals from diverse racial and ethnic

backgrounds; Maintaining healthy lifestyles, including being alcohol and drug free; Maintaining positive relationships with responsible adults and peers, and

contributing to the well being of one's community, including voting; Maintaining a commitment to learning and academic success; Avoiding delinquency; Postponed and responsible parenting; and Positive job attitudes and work skills. See WIA sec. 129(c)(2)(F)

Yes:No:

12. 664.440 Are supportive services provided to Youth?Obtain and review a copy of the LWIB’s Supportive Services policy forYouth.

Supportive services for youth, as defined in WIA section 101(46), may include thefollowing: Linkages to community services; Assistance with transportation; Assistance with child care and dependent care; Assistance with housing; Referrals to medical services; and Assistance with uniforms or other appropriate work attire and work-related

tools, including such items as eye glasses and protective eye gear. (WIA sec.129(c)(2)(G).)

Yes:No:




664.450(b)

Are follow-up services provided to Youth?

Follow-up services for youth may include: The leadership development and supportive service activities listed in 664.420

and 664.440; Regular contact with a youth participant's employer, including assistance in

addressing work-related problems that arise; Assistance in securing better paying jobs, career development and further

education; Work-related peer support groups; Adult mentoring; and Tracking the progress of youth in employment after training.All youth participants must receive some form of follow-up services for aminimum duration of 12 months. Follow-up services may be provided beyondtwelve (12) months at the State or Local Board's discretion. The types of servicesprovided and the duration of services must be determined based on the needs of theindividual. The scope of these follow-up services may be less intensive for youthwho have only participated in summer youth employment opportunities. See WIA129(c)(2)(I)

Yes:No:

How does the WIB track the required 12 month follow-up services forYouth?



H. YOUTH ACTIVITIES (WIA – Chapter 4)14. 664.460 Are Work Experiences provided to Youth?

Work experiences are planned, structured learning experiences that take placein a workplace for a limited period of time. As provided in WIA section129(c)(2)(D) and §664.470, work experiences may be paid or unpaid.

Work experience workplaces may be in the private, for-profit sector; the non-profit sector; or the public sector.

Work experiences are designed to enable youth to gain exposure to the workingworld and its requirements. Work experiences are appropriate and desirableactivities for many youth throughout the year. Work experiences should helpyouth acquire the personal attributes, knowledge, and skills needed to obtain ajob and advance in employment. The purpose is to provide the youthparticipant with the opportunities for career exploration and skilldevelopment and is not to benefit the employer, although the employer may, infact, benefit from the activities performed by the youth. Work experiences maybe subsidized or unsubsidized and may include the following elements:o Instruction in employability skills or generic workplace skills such as

those identified by the Secretary's Commission on Achieving NecessarySkills (SCANS);

o Exposure to various aspects of an industry;o Progressively more complex tasks;o Internships and job shadowing;o The integration of basic academic skills into work activities;o Supported work, work adjustment, and other transition activities;o Entrepreneurship;o Service learning;o Paid and unpaid community service; ando Other elements designed to achieve the goals of work experiences.

In most cases, on-the-job training is not an appropriate work experiencesactivity for youth participants under age 18. Local program operators maychoose, however, to use this service strategy for eligible youth when it isappropriate based on the needs identified by the objective assessment of anindividual youth participant. See WIA sec. 129(c)(2)(D)

Yes:No:

15. 664.470 Are Paid Work Experiences provided to Youth?

Funds under the Act may be used to pay wages and related benefits for workexperiences in the public; private, for-profit or non-profit sectors where theobjective assessment and individual service strategy indicate that workexperiences are appropriate. (WIA sec. 129(c)(2)(D).)

Yes:No:



I. YOUTH ACTIVITIES (WIA – Chapter 4)

OUT-OF-SCHOOL YOUTH:1. 664.300 An out-of-school youth is an individual who:

Is an eligible youth who is a school dropout; or Is an eligible youth who has either graduated from high school or holds a GED,

but is basic skills deficient, unemployed, or under-employed per WIA101(33)

Is this definition of out-of-school youth in the LWIB’s local policyregarding serving Out-of-School Youth?

Yes:No:

2. 664.310WIA § 101(39)

A school dropout, particularly for youth attending alternative schools, is definedas an individual who: is no longer attending any school and has not received a secondary school diploma or its recognized equivalent.A youth's dropout status is determined at the time of registration (the periodduring which data is collected to determine eligibility).A youth attending an alternative school at the time of registration is not adropout.An individual who is out-of school at the time of registration and subsequentlyplaced in an alternative school, may be considered an out-of-school youth for thepurposes of the 30 % expenditure requirement for out-of-school youth.

Is this definition of school drop-out in the LWIB’s local policy regardingserving Out-of-School Youth?

Yes:No:




OUT-OF-SCHOOL YOUTH:3. 664.320

667.210(a)(2)WIA § 128(b)(2)(A)and (b)(3)WIA §129(c)(4)

Regarding the requirement that at least 30 % of youth funds be used to provideactivities to out-of-school youth: The 30 percent requirement applies to the total amount of all funds allocated

to a local area under WIA § 128(b)(2)(A) or (b)(3), except for local areaexpenditures for administrative purposes under 667.210(a)(2).

Although it is not necessary to ensure that 30 percent of such funds spent onsummer employment opportunities (or any other particular element of theyouth program) are spent on out-of-school youth, the funds spent on theseactivities are included in the total to which the 30 percent requirement applies.

There is a limited exception, at WIA section 129(c)(4)(B), under which certainsmall States may apply to the Secretary to reduce the minimum amount thatmust be spent on out-of-school youth. (WIA sec. 129(c)(4)

The 30% of Youth funds must consider additional factors relating to excess youthpoverty and excess unemployment above the State average in urban, rural andsuburban local areas.

Does the WIB budget 30% of allocated WIA Youth funds to provideactivities to out-of-school Youth?

Yes:No:

How does the WIB track the 30% expenditures for Out-of-School Youth?




CONCURRENT ENROLLMENT YOUTH + ADULT/DISLOCATED WORKER1. 664.500

664.500(b) and (c)

Does the WIB concurrently enroll Youth as Adults or DislocatedWorkers?

Youth may participate in both youth and adult/dislocated worker programsconcurrently: Eligible youth are 14 through 21 years of age. Adults are defined in the Act as

individuals age 18 and older. Thus, individuals ages 18 through 21 may beeligible for both adult and youth programs. There is no specified age for thedislocated worker program.

Individuals who meet the respective eligibility requirements may participate inadult and youth programs concurrently. Concurrent enrollment is allowablefor youth served in programs under WIA titles I or II. Such individuals must beeligible under the youth or adult/dislocated worker eligibility criteriaapplicable to the services received. Local program operators may determine, forindividuals in this age group, the appropriate level and balance of servicesunder the youth, adult, dislocated worker, or other services.

Local program operators must identify and track the funding streams whichpay the costs of services provided to individuals who are participating inyouth and adult/dislocated worker programs concurrently, and ensure thatservices are not duplicated.

Yes:No:

If yes, how does the LWIB: track funding and the provision of services to concurrently

enrolled YouthAdults / Dislocated Workers determine appropriate levels of youth, adult and dislocated

worker services for the concurrently enrolled




TRAINING SERVICES FOR YOUTH:1. 664.510 What is the process by which training services are provided to Youth?

Individual Training Accounts are not allowed for youth participants: However, individuals age 18 and above, who are eligible for training services

under the adult and dislocated worker programs, may receive IndividualTraining Accounts through those programs.

Requirements for concurrent participation requirements are set forth in664.500.

To the extent possible, in order to enhance youth participant choice, youthparticipants should be involved in the selection of educational and trainingactivities.




YOUTH SUMMER EMPLOYMENT1. 664.600 What is the policy and process by which summer employment

opportunities are provided to Youth?

Local Boards are required to offer summer employment opportunities in the localyouth program: Local Boards are required to offer summer youth employment opportunities

that link academic and occupational learning as part of the menu of servicesrequired in 664.410(a).

Summer youth employment must provide direct linkages to academic andoccupational learning, and may provide other elements and strategies asappropriate to serve the needs and goals of the participants.

Local Boards may determine how much of available youth funds will be usedfor summer and for year-round youth activities.

The summer youth employment opportunities element is not intended to be astand-alone program. Local programs should integrate a youth's participationin that element into a comprehensive strategy for addressing the youth'semployment and training needs. Youths who participate in summeremployment opportunities must be provided with a minimum of twelvemonths of follow-up services, as required in §664.450. See WIA sec. 129(c)(2)(C)




YOUTH SUMMER EMPLOYMENT2. 664.610

WIA §129(c)(2)(C)What is the policy and process by which summer Youth employmentproviders are selected?

In the administration of the summer employment opportunities element of thelocal youth program, if providers other than the grant recipient/fiscal agent,are used to provide summer youth employment opportunities, these providersmust be selected by awarding a grant or contract on a competitive basis, basedon the recommendation of the youth council and on criteria contained in theState Plan.

However, the selection of employers who are providing unsubsidizedemployment opportunities may be excluded from the competitive process.


Participant File Review Forms

Form A Adult/Dislocated Worker Monitoring Instrument

Form B Youth Monitoring Instrument

Instructions:

1. Pull a number of Participant Files randomly for the WIA program being monitored (Adult,Dislocated Worker, Youth).

Sample size shall be determined by Monitor in order to achieve goal of particular monitoringpurpose.

2. Access State MIS in order to cross-match with hard copy paper file documentation.

3. When conducting monitoring, utilize the following references:

CTDOL Administrative Policies on subject matter topics pertinent to the review (FederalPoverty Level, LLSIL, etc.)

WIA ELIGIBILITY DOCUMENTATION GUIDE – REVISED 7/10/07 ,

See https://www.ctdol.state.ct.us/wia/EligibilityGuide.pdf

CTDOL Monitoring Tool (WIA and CFR criteria and requirements)

USDOL ETA guidance for the Source Documentation for Program Year which was/is ineffect for files being reviewed, to confirm proper documentation was collected for itemscited in the following forms

Local Area policies, as applicable

4. Apply determinations consistently across all files across entire sample size selected.

5. After completion of Participant File Reviews:

conduct Exit Interview with WIB to advise of preliminary findings

then write up narrative report of:

o finding(s) and corrective action(s) (as needed and applicable)

o best practices

o area(s) of concern and suggestion(s)


Form A

WIA Title IBAdult/Dislocated Worker

Monitoring Instrument

Attach additional sheets as needed

Selectone: Date of Review:

Adult Monitor Name:

Dislocated Worker (DW) WIB / Region:

Participant Information:

Participant Name

Unique Identifier

Program Eligibility Documentation Review

Category Question to answer Yes, No or otherdata

Documentationfound or missing

Adults Age 18 & over?Age and howdocumented

DW Age 18 & over?Age and howdocumented

US Citizen / Legally Authorize to WorkSelective ServiceLow Income Documented and VerifiedIntake completed, signed and dated by bothApplicant and Case ManagerComplaint and Grievance Form signed and datedEqual Opportunity Form signed and datedApplicant entered into State MISCo-EnrolledRegistration process prior to WIA servicesIssues with documentation for Eligibility?


Dislocated Workers ONLYCategory of Dislocation per CTDOL WIA-5 form:See http://www.ctdol.state.ct.us/wia/WIA-5.doc

CHECKCategory Used

Details / Comments

Category AMust meet all 3criteria

Terminated or Laid Off orRecv’d a Notice of Terminationor LayoffIs eligible for or exhausted UI,or ineligible for UI due toinsufficient earnings orservices performed foremployer were not covered byUIUnlikely to return to previousindustry or occupation

Category BAny one of thefollowing

Terminated or laid off orrec’vd notice of termination orlayoff as a result of plantclosure or substantial plantlayoffEmployer has announcedclosure of facility within 180days(for non-WIA training, intensiveor supportive services): Employermade general announcementof facility closure

Category C Self-employed (including farmer,rancher or fisherman) butunemployed due to economicconditions in the community ofresidence OR due to naturaldisaster/s

Category D Displaced Homemaker: has beenproviding unpaid services to family inthe home and is dependent on anotherfamily member’s income but is nolonger supported by that income, andis un- or under-employed and isexperiencing difficulty in obtaining orupgrading employment

CTDOL WIA-5 signed and dated by DWApplicant and CTDOL

MD-20 printed and dated same day asCertification


Core Services Must receive 1 Core service prior to receiving Intensive serviceJob Search / Placement AssistanceCareer CounselingJob ReferralsJob DevelopmentWorkshopsJob ClubsOther Core Service:

Intensive Services Must receive 1 Intensive service prior to receiving Training ServiceAssessmentDevelopment of IEP (Individual EmploymentPlan)See belowGroup CounselingIndividual Counseling and Career PlanningCase ManagementShort-Term Pre-Vocational ServicesOut-of-Area Job Search AssistanceLiteracy ActRelocation AssistanceInternship/sWork Experience ProgramOther Intensive Service:

Training Services Must receive 1 Intensive service prior to receiving Training ServiceOccupational Skill TrainingOn-the-Job (OJT) TrainingCustomized-Job-Training (CJT)Private Sector Training ProgramSkill Upgrading & Re-TrainingEntrepreneurial TrainingJob Readiness TrainingAdult Education, Basic Skills and/or Literacy incombination with any other trainingCo-operative TrainingOther training activity:


Comments about Core, Intensive and/or Training Services for this Participant:

Participation Date

Date of first service (per TEGL 17-05 and CTDOL APs)(aka Participation Date)

Participation Date is: (check one) Correct: Incorrect:

If INCORRECT, Participation Date should be:(insert correct Participation Date)

If INCORRECT, describe reason to support correct date:

Exit Date

Exit date (per TEGL 17-05 and CTDOL APs)

Exit Date is: (check one) Correct: Incorrect:If INCORRECT, Exit Date should be:(insert correct Exit Date)

If INCORRECT, describe reason to support correct date:


Priority of Services

Obtain Local Policy for:Priority of ServiceCustomer Flow in the American Job Center

TEGL 10-09 (11/10/09), see http://wdr.doleta.gov/directives/corr_doc.cfm?docn=2816#contentVeterans and Eligible Spouses who meet:

criteria in TEGL 10-09 (11/10/09)Individuals who are:

Low income per :o Federal Poverty Guidelines ORo 70% of the Lower Living Standard Income

Level (LLSIL)which were in effect for the period of 6 monthsprior to application/Registration

Requires paystubs for prior 6 monthsRecipient of Public Assistance (SNAP, TANF,Social Security)

Comments about Priority of Service for this Participant:

Review of IEPParticipant Needs / Barriers to EmploymentEmployment / Education GoalsStrategy to Overcome Barriers and Achieve GoalsAssessment ResultsPlanned services are appropriate for individualIEP complete, signed , datedIEP updated as neededComments about IEP for this Participant:


Review of Individual Training Account/s (ITAs)

NAME OF TRAINING PROVIDER:

Duration of training for this Participant(years, months, days):$ Amount of ITA:Type of Training:

ITA is completed and authorized prior to startdate of trainingTraining is in an in-demand occupation per LMI(Labor Market Information) research in fileDocumented Need for TrainingTraining Provider is on authorized ETPL ListGrant Assistance from other sources (e.g. Pellgrant)Attendance is documented in the file;Attendance sheets are dated and signed by bothParticipant and Training Provider designeeTraining Provider provided progress reportsand/or benchmark reports

OJT / CJT:Need for OJT/CJT documented + based onAssessmentContract signed prior to start date of OJTOJT is in an in-demand occupation per LMI(Labor Market Information) research in fileSite visits conducted and reported by WIBEmployer reimbursements do not exceedcontracted amount and start/end datesTimesheets contain:

dates + hours workedParticipant progressSignatures of both employer/supervisorand Participant

Comments about OJT/CJT for this Participant:


Review of Supportive Services and Needs-related PaymentsNecessary to participate in WIA activitiesNeed / justification documentedNo other community resources available (WIA islast resort)Request authorized prior to purchaseIf gift/gas cards and/or bus passes/tickets, viewlogs, safe storage and policy for purchase,distribution and reconciliationComments about Supportive Services / Needs-Related Payments for this Participant:

Follow-Up ServicesYouth provided with follow-up services for at least 12 monthsComments about Follow-Up Services for this Participant:

Review of Case NotesCase notes are up-to-date and currentCase notes are dated, detailed and completeCase notes support planned and provided servicesCase notes explain gaps in service or change/s inservice planConfidential case notes are secured from privacybreachCase notes document ongoing contact with CaseManager, indicate direct 2-way communication(cannot be emails or phone messages)Comments about Case Notes for this Participant:


Form B

WIA Title IBYouth

Monitoring Instrument

Attach additional sheets as needed

Date of Review:

√ youthMonitor Name:

WIB / Region:

Participant Information:

Participant Name

Unique Identifier

Program Eligibility Documentation Review

Category Question to answer Yes, No or otherdata

Documentationfound or missing

Youth Age and how documented

US Citizen / Legally Authorize to WorkSelective Service

Low Income Documented and Verifiedo Requires paystubs for prior 6 monthsRecipient of Public Assistance (SNAP, TANF, SocialSecurity)Is the Youth disabled?(= Family of One = Low Income if within LLSIL)HomelessFoster Child

Is Youth concurrently enrolled as an Adult?Youth is aged 18 - 21Youth meets eligibility criteria under Youth or AdultYouth age 18 – 21 meeting Adult criteria allowed touse ITA system

5% WINDOW EXCEPTION:Not low income but has one or more of the following barriersto employment:

School drop-outBasic Skills Deficient as defined by state or LocalWIB1 or more grade levels below level appropriate to agePregnant or ParentingHomeless or Runaway


Offender1 or more disabilities, including learning disabledSerious barriers to employment (single parenthousehold, non-English speaking, etc.) as defined byLocal WIBRequires Additional Assistance as defined by stateor Local WIB

OUT OF SCHOOL YOUTH:Drop out

Graduated from High School ORhas a GED AND is Basic Skills Deficient,unemployed OR underemployed

NOTE: If attending an Alternative School, Youth isNOT considered Out of School Youth

Intake completed, signed and dated by:ApplicantParent or Legal Guardian (if applicable)Case Manager

Complaint and Grievance Form signed and datedEqual Opportunity Form signed and datedApplicant entered into State MISCo-EnrolledRegistration process prior to WIA servicesIssues with documentation for Eligibility?

Participation DateDate of first service (per TEGL 17-05 and CTDOL APs)(aka Participation Date)Participation Date is: (check one) Correct: Incorrect:If INCORRECT, Participation Date should be:(insert correct Participation Date)If INCORRECT, describe reason to support correct date:


Exit DateExit date (per TEGL 17-05 and CTDOL APs)Exit Date is: (check one) Correct: Incorrect:If INCORRECT, Exit Date should be:(insert correct Exit Date)If INCORRECT, describe reason to support correct date:

Review of ISSIdentifies career goal/sIndicates results of objective assessment including:

Review of academic skill levelReview of occupational skill levelReview of service needs

Consideration of post-secondary educationalopportunitiesLinkages between occupational and academic learningPreparation for employmentConnections to organizations that provide strong linksto the job market and employersComments about ISS for this Participant:


Work-Related ServicesPaid and Unpaid WEP (Work Experience Program)Occupational Skills TrainingAdult MentoringGuidance / CounselingComments about Work-Related Services for this Participant:

Academic ServicesTutoringAlternative SchoolLeadership DevelopmentAdult MentoringGuidance CounselingComments about Academic Services for this Participant:

Summer-Related ServicesSummer EmploymentComments about Summer Employment Services for this Participant:

Follow-Up ServicesYouth provided with follow-up services for at least 12monthsComments about Follow-Up Services for this Participant:


Has Youth been in WIA for 90 days or more and hasNOT received services?Explain:

Review of Youth Service Provider

NAME OF YOUTH SERVICE PROVIDER:

Duration of services for this Participant(years, months, days):Type of Service:Comments about OJT/CJT for this Participant:

Review of Supportive Services and Needs-related PaymentsNecessary to participate in WIA activitiesNeed / justification documentedNo other community resources available (WIA is lastresort)Request authorized prior to purchaseIf gift/gas cards and/or bus passes/tickets, view logs, safestorage and policy for purchase, distribution andreconciliationComments about Supportive Services / Needs-Related Payments for this Participant:


Review of Case NotesCase notes are up-to-date and currentCase notes are dated, detailed and completeCase notes support planned and provided servicesCase notes explain gaps in service or change/s in serviceplanConfidential case notes are secured from privacy breachCase notes document ongoing contact with CaseManager, indicate direct 2-way communication (cannotbe emails or phone messages)Comments about Case Notes for this Participant:

Workforce Investment Act - Connecticut · Workforce Investment Act Program Monitoring Tool & Guide...

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