Adult Monitoring Guide Page 1
Adult Monitoring Guide Page 1
Table of Contents
Table of Contents
Introduction
References
E-Guide Information
Major Revisions:
Acronyms
Notes
General Information
Reporting
Persons Interviewed
Career Services
References
Desk Review
Onsite Review
Career Services
Eligibility/Enrollment
Training Services
Eligible Training Providers
Priority and Special Populations
Support Services
Lists of Allowable Career Services
Required Services
Training Services
Reporting and Data Management
References
Onsite Review
Staff Training
Data Control
Holding, Planned Extended Leave, and Partnering
Performance Accountability
References
Desk Review
Onsite Review
Performance – WF1
Performance – MN Performs
Supplemental Data
Financial Management
Desk Review
Financial Reconciliation
Equal Opportunity/Affirmative Action/Grievance Compliance
Participant File Review
References
Participant File Review Check ListWIOA ADULT PROGRAM
Adult Monitoring Guide Page 1
Introduction
This Guide is designed to determine whether the Grantee and/or its subrecipient(s) have developed and implemented a comprehensive set of plans, policies and procedures to ensure that the criteria established for participants in the various Workforce Innovation and Opportunity Act (WIOA) activities are met and that administrative management requirements are met. This responsibility should be found at the Grantee and the subrecipient/contractor level. The local Unified Plan (LUP)/Annual Assessment and previous monitoring reports (if applicable) will be reviewed as they relate to the various sections of this Guide.
Each Grantee/Subrecipient visit will be preceded by a desk review of all pertinent material available at the Workforce Development Division (WDD). The onsite portions of this review will obtain the needed information by using the discussion questions listed in that portion and a review of any related Grantee policies. The file review will verify that activities are appropriate and comply with Federal law and regulation and State policies.
The entrance conference will include:
Scope of the visit
- subject matter
- method of review
Review of applicable sections of the law, regulations and State and/or local policies
Results
- exit conference (establish date and time, if possible)
- written report
At the exit conference, the Field Representative will present all tentative findings. Any additional information the Grantee Director or designee can provide should be incorporated at this point. Grantee and subrecipient requests for technical assistance should be noted and raised later at the WDD for resolution.
Findings may include:
- a corrective action plan
- a deadline for corrective action completion
- follow-up on completed corrective action to verify its implementation
A report and cover letter will be prepared within sixty (60) days of the completion of the onsite review.
References
This guide contains questions based on local policies, which you may want to refer to prior to the on-site visit. The monitor will need copies of.
- Follow Up Services Policy
- Priority of Services Policy
- Supportive Services Policy
- Holding, Planned Extended Leave, and Partnering (If more restrictive than DEED Policy)
- Data Control Policy (If more restrictive than DEED Policy)
- Supplemental Data Policy
- Credential Verification Policy
- Sub Contract Financial Reconciliations
E-Guide Information
To avoid loss of input data, save this guide to your computer before entering information.Narrative fields will expand to accommodate input.
Major Revisions:
July 1, 2015
Changes made from WIA to WIOA law.Please note: Final Regulations not in place at the time of this update; links to law/policy will be updated when final regulations are in place.
Acronyms
AAAffirmative action
ADAAmericans with Disabilities Act
CBOCommunity Based Organization
CFDACatalogue of Federal Domestic Assistance
CFRCode of Federal Regulation
DEEDDepartment of Employment and Economic Development
DHPDisplaced Homemaker Program
DOTDictionary of Occupational Titles
EEOEqual employment opportunity
EOEqual opportunity
FDICFederal Deposit Insurance Corporation
FICAFederal Insurance Contribution Act
FSLICFederal Savings & Loan Insurance Corporation
FSRFinancial Status Report
HUDHousing and Urban Development
IRCAImmigration Reform and Control Act
ITAIndividual Training Account
LUPLocal Unified Plan
LWIBLocal Workforce Investment Board
MISManagement information system
MOUMemorandum of Understanding
NAFTANorth America Free Trade Act
OJTOn-the-job training
OMBOffice of Management and Budget
PAUProgram Audit Unit
RFPRequest for proposal
RPRReimbursement Payment Request
SAASingle Audit Act
SNAPSupplemental Nutrition Assistance Program
TAATrade Assistance Act
TANFTemporary Assistance for Needy Families
WDDWorkforce Development Division
WF1Workforce One
WFCWorkForce Center
WIAWorkforce Investment Act
WIOAWorkforce Innovation and Opportunity Act
WSAWorkforce Service Area
Minnesota Department of Employment and Economic Development
Adult Monitoring Guide Page 1
Notes
General Information
Grantee: / Click here to enter text. /Grant Number: / Click here to enter text. /
Start/End Dates: / Click here to enter text. /
Date(s) of Visit: / Click here to enter text. /
Monitored by: / Click here to enter text. /
Funding Level: / $ Click here to enter text.
Modification Summaries / 1: Click here to enter text.
2: Click here to enter text.
Are any (additional) modifications in process or anticipated? / ☐ / Yes / ☐ / No
If yes, please summarize:
Click here to enter text. /WF1 Reporting
Please indicate where data for this grant is captured in WF1:
Scope:
COFFR level
Funding:
☐Program level
Choose an item.
☐Other – enter other and/or additional programs here
☐Other – enter other and/or additional programs here
☐Other – enter other and/or additional programs here
☐Other – enter other and/or additional programs here
☐Funding Stream Category level
Choose an item.
☐Other – enter other and/or additional programs here
☐Other – enter other and/or additional programs here
☐Other – enter other and/or additional programs here
☐Other – enter other and/or additional programs here
☒Funding Stream level
WIOA AD formula
☐Custom Program level
Enter name of custom program exactly as it appears on WF1
Persons Interviewed
Name / Position/Title / OrganizationClick here to enter text. / Click here to enter text. / Click here to enter text.
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CareerServices
This section is designed to review the delivery of adult services.
References
WIOA Public Law No:Final Regulations Pending
IRS and Tax Law
FICA
Policies
DEEDEligibility Determination
Performance Standards
Support Services
Training Services(Policy update pending.)
WIOA Certification for Training Programs(Policy update pending.)
Supplemental Wage Information
Public Law
P.L. 99-603Immigration Reform and Control
WIOA Federal Regulations
20 CFR Sections:
680.100Career ServicesFinal Regulations Pending
680Individual Training AccountsFinal Regulations Pending
Needs Related PaymentsFinal Regulations Pending
Priority and Special PopulationsFinal Regulations Pending
Provision of Supportive ServicesFinal Regulations Pending
WIOA LawFinal Regulations Pending
Sections:
134(2)Required Employment and Training Activities
Final Regulations Pending
134(d)Permissible Employment and Training Activities
Final Regulations Pending
Desk Review
Review the GranteeBudget and Activities Plan for providing career and training services.
Onsite Review
Career Services
Are careerservicesprovided at one or more WorkForce Centers (WFC) in your local area? / ☐ / Yes / ☐ / NoIf yes, where are theWorkForce Centers located?
Click here to enter text. /Have subcontract agreements been entered into for any or all career services?
☐ / Yes / ☐ / No
If yes, with whom and for how much?
Click here to enter text. /Monitor will obtain a copy of sub-grant agreements.
If yes, is there an annual review conducted of the financial and program services
provided?
Monitor will obtain financial and program service review reports. / ☐ / Yes / ☐ / No
Are there other affiliated sites or specialized centers providingcareer services?
☐ / Yes / ☐ / No
If yes, where are they located?
Click here to enter text. /Are all required career services being provided? (Ref: WIOA Law sec.#131(B)(2)), and
(Ref: WIOA 20 CFR reg. sec.#680.120, and sec.#680.130) / ☐ / Yes / ☐ / No
Do you provide follow up services for a minimum of 12 months following the first day
after exit?(Ref: WIOA 20 CFR reg. sec. #680.150) / ☐ / Yes / ☐ / No
If yes, what services are provided?
Click here to enter text. /If yes, Do you have an internal Follow Up Services policy? / ☐ / Yes / ☐ / No
Monitor will obtain a copy of Grantee’s FollowUp Services policy.
At what point do you require participants to enter their résumés into Minnesota works?
Click here to enter text. /How is the need for career services determined and documented for the unemployed worker?
Click here to enter text. /Are there services available for the underemployed worker? (Ref: WIOA 20 CFR reg. sec.
#680.210) / ☐ / Yes / ☐ / No
If yes, please elaborate:
Click here to enter text. /What diagnostic assessment(s) or tool(s)do you utilize?
Click here to enter text. /To whom are these assessments administered?
Click here to enter text. /How do you determine which assessment(s) to use on each participant?
Click here to enter text. /Eligibility/Enrollment
Who determines program eligibility for participants?
Click here to enter text. /Which of the following eligibility/enrollment information/documentation is obtained from participants?
☐Birth Date verification (Age – Over 18) / ☐Math/Reading Assessment (Basic Skills)☐Citizenship/Right to Work documentation / ☐Public Assistance, verification
☐Complaint/Discrimination form, signed/dated / ☐Selective Service – verification of compliance
☐Data Privacy/Tennessen form, signed/dated / ☐Social Security Number documentation
☐DD-214, where applicable (Veteran Status) / ☐Unemployment Insurance verification
☐Income verification / ☐Wage Detail Consent form, signed/dated
☐Lay off letter/employer lay off list / ☐Click here to enter text.
☐Long-term unemployed, verification / ☐Click here to enter text.
Training Services
Has a process been developed for determining self-sufficiency standards for individualsto receive training? (Ref: WIOA 134(a)(3)(A)(xii)) / ☐ / Yes / ☐ / No
What careerservices are provided before a participant can receive training services? (Ref: WIOA 20 CFR reg. sec.#680.220)
Click here to enter text. /Are priority for WIOA training services given to veterans, recipients of public assistance,
low-income individuals, and individuals who are basic deficient? / ☐ / Yes / ☐ / No
Are training services available to employed adults? / ☐ / Yes / ☐ / No
Do you provide Work-Based Training? / ☐ / Yes / ☐ / No
How is the need for training services determined and documented? (Ref: WIOA 20 CFR reg. sec.#680.200, and sec.#680.210)
Click here to enter text. /What requirements are in place to coordinate WIOA training funds and other grant assistance? (Ref: WIOA 20 CFR reg. sec.#680.230)
Click here to enter text. /What criteria must be met prior to receiving training services? (Ref: WIOA 20 CFR reg. sec.#680.210)
Click here to enter text. /How are participants determined to have the skills and qualifications needed to complete a training program?
Click here to enter text. /How is it documented that the selected training program leads to targeted high-growth and high-wage demand-driven occupations?
Click here to enter text. /How are WIOA training funds and other sources of training funds (Title IV, State funds, loans, TAA, etc.) coordinated? (Ref: WIOA 20 CFR reg. sec.#680.230)
Describe or provide examples.
Click here to enter text. /How do you ensure that the completion/graduation date listed on the training credential matches the associated Training Activity “End Date” captured on Workforce One (WF1)?
Click here to enter text. /Do you ever require background checks on participants? / ☐ / Yes / ☐ / No
If yes, please provide details:
Click here to enter text. /Individual Training Accounts(ITA) 680.300
How are training services authorized?
Click here to enter text. /Is there a limit on the duration and amount of an ITA? (Ref: WIOA 20 CFR reg. sec.#680.310) / ☐ / Yes / ☐ / No
Under what circumstances may anything other than an ITAbe used to provide training services? (680.320)
Click here to enter text. /How are support service expenses and training authorizations documented for participants entering registered apprenticeship programs?(680.330)
Click here to enter text. /How is customer choice taken into account when selecting eligible training providers? (680.340)
Click here to enter text. /Eligible Training Providers
Do eligible providers of training services include the following:(Check if answer is yes.)
☐Institutions of higher education that provide a program which leads to a recognized post-secondary credential
☐Entities that carry out programs registered under the National Apprenticeship Act (29 U.S.C. 50 et seq.)
☐Other public or private providers of a program of training services, which may include joint labor-management organizations and eligible providers of adult education and literacy activities under Title II if such activities are provided in combination with occupational skills training; and
☐Local boards, if they meet the conditions of WIOA sec. 107(g) (1)Final Regulations Pending
What is the process for determining initial eligibility for newtraining providers?(After 7/1/15) (680.450)
Click here to enter text. /What is your process to recertify WIA training providers under WIOA?
Click here to enter text. /What is the procedure for authorizing registered apprenticeship programs that seek to be included on the State’s eligible training provider list? (680.470)
Click here to enter text. /What kind of performance and cost information must eligible training providers provide for each program of training[1]? (680.490)
Click here to enter text. /How is the state list of eligible training providers disseminated? (680.500)
Click here to enter text. /What requirements apply to providers of on-the-job training, customized training, incumbent worker training and other training exceptions? (680.530)
Click here to enter text. /Whom do you contact at DEED regarding eligible training providers? (680.430)
Click here to enter text. /Priority and Special Populations
Review the WF1 Demographic Report. Are you giving priority for program services toveterans, individuals who are basic skills deficient, recipients of public assistance and
other low-income individuals?(Ref: WIOA 20 CFR reg. sec. #680.600.)
☐ / Yes / ☐ / No
Monitor will obtain a copy of Grantee’s Priority of Services policy.
Locally (WIB determination) whoreceives priority of serviceand what documentation are you obtaining to support all priority of service?(WIOA 20 CFR 680.600)
Priority of Service / Document Obtained to Support Priority☒Veterans / Click here to enter text. /
☒Basic Skills Deficient / Click here to enter text. /
☒Recipients of public assistance / Click here to enter text. /
☒Other low income individuals / Click here to enter text. /
☐Click here to enter local priority / Click here to enter text. /
☐Click here to enter local priority / Click here to enter text. /
☐Click here to enter local priority / Click here to enter text. /
☐Click here to enter local priority / Click here to enter text. /
Are individuals with disabilities whose incomes are over the income guidelines eligible
for program services? (680.640) / ☐ / Yes / ☐ / No
Are individuals receiving Temporary Assistance for Needy Families referred to WIOA?
(680.620) / ☐ / Yes / ☐ / No
What criteria does a displaced homemaker need to meet to qualify for services under WIOA Adult? (680.630)
Click here to enter text. /Does the definition of a displaced homemaker include the dependent spouse of a member of the Armed Forces on active duty and whose family income is significantly reduced because of a deployment, a call or order to active duty under a provision of law referred to in sec. 101(a) (13) (B) of Title 10, United State Code, a permanent change of station, or the service-connected death or disability of the member?
(680.660 (d)) / ☐ / Yes / ☐ / NoIs Veterans priority given to individuals with a discharge that is anything other than
dishonorable? / ☐ / Yes / ☐ / No
How are participants determined to be basic skills deficient?
Click here to enter text. /How is public assistance and low income eligibility documented?
Click here to enter text. /Support Services
What support service policy has been developed to ensure resource and service coordination in the local area?
Click here to enter text. /Does the policy address procedures for referral to such services, including how services will be funded when they are not available from other resources? (Ref: WIOA
20 CFR 680.900) / ☐ / Yes / ☐ / No
Monitor will obtain a copy of Grantee’s Support Service policy
If yes, please explain.
Click here to enter text. /Has the Grantee established limits on amounts and duration offunds for support
services? (Ref: WIOA 20 CFR reg. sec.#680.920) / ☐ / Yes / ☐ / No
If yes, please explain:
Click here to enter text. /When are participants provided support services? (WIOA 20 CFR 680.910)
Click here to enter text. /Are support services entered into WF1? / ☐ / Yes / ☐ / No
If yes, how do you verify that support services have been entered into WF1?
Click here to enter text. /Does the Grantee provide needs-related payments? / ☐ / Yes / ☐ / No
What are the eligibility requirements to receive needs-related payments? (WIOA 20 CFR 680.940)
Click here to enter text. /How is the level of payment determined?(Ref: WIOA 20 CFR 680.970)
Click here to enter text. /Lists of Allowable Career Services
Required Services
The following is a list of the three types of required career services: