LWDB: / Completed by (Name and Title): / Date Completed:
Purpose of this questionnaire/Overview: For the PY 16 monitoring visits, the ESD Monitoring unit has worked with the Washington Workforce Association (WWA) Workgroup on Monitoring to develop the tools that will be used during, and the questions to be answered in advance of, each monitoring visit. The items listed below are some of the programmatic elementsthat willbe monitored during this monitoring round. Since there is no specific federal or state guidance around how each of these elementsare to be implemented or documented, the WWA Workgroup on Monitoring and the ESD Monitoring Unit agreed that it is better to ask each Local Workforce Development Board (LWDB) to describe, 1. What their policy or procedures are for each of theseelements and, 2. How the LWDB ensuresthe service providers are following the prescribed policiesand/or procedures.
If your policy or procedure for the specificelement is online, you may direct us to your website, but please make sure that if you do so, that the policy or procedure includes the documentation requirements that are noted in the questions below.
1. Priority of Services (WIOA Adult)
1-A.Please describe the LWDB’s policy and/or procedure for ensuring compliance with, and documentation of, the
priority of service requirements as described below:Click here to enter text.
1-B. Please describe how the LWDB ensures WIOA Adult service providersremain in compliance with LWDB policies and/or procedures for the implementation of Priority of Services: Click here to enter text.
References, WIOA AdultPriority of Services:
- 20 CFR 680.600: WIOA sec. 134(c)(3)(E) states that priority for individualized career services and training services must be given to recipients of public assistance, other low-income individuals, and individuals who are basic skills deficient.
- ESD WS System Policy 1019, Rev. 2: Priority requirements for the WIOA Adult Program are as follows:
- Covered persons (veterans and eligible spouses) who are low income, recipients of public assistance, or basic skills deficient.
- Individuals (non-covered persons) who are low-income, recipients of public assistance, or basic skills deficient.
- Covered persons (veterans and eligible spouses) who are not low income and not basic skills deficient.
- (Optional) LWDBs may establish additional priority groups for priority of services beyond minimum adult eligibility
- NOTE: The priority of service in the adult program for individuals who are public assistance recipients, other low-income individuals and for individuals who are basic skills deficient exists at all times, not just when funds are limited. (WIOA Final Rule, Executive Summary, page 56075 and Department responses on pages 56146 and 56147).
2.Work Experience (WEX)(WIOA Youth):
2-A.Please describe the LWDB’s policy and/or procedure for ensuring WEXs include an academic and occupational
education component as described in 20 CFR 681.600(b) and 20 CFR 681.630, below: Click here to enter text.
2-B.Please describe how the LWDB ensures WIOA Youth service providers remain in compliance with LWDB policies
and/or procedures for the provision of WEXs: Click here to enter text.
References, WIOA Youth Work Experience:
- 20 CFR 681.600(b):Work experiences must include academic and occupational education. The educational component may occur concurrently or sequentially with the work experience. Further academic and occupational education may occur inside or outside the work site.
- 20 CFR 681.630: Education offered Concurrently and in the same context as workforce preparation activities and training for a specific occupation or occupation cluster:This program element reflects an integrated education and training model and describes how workforce preparation activities, basic academic skills, and hands-on occupational skills training are to be taught within the same time frame and connected to training in a specific occupation, occupational cluster, or career pathway.
3. Exception to Low Income Eligibility Requirement (WIOA Youth)
3-A. Please describe the LWDB’s policy and/or procedure for determining and documenting a youth’s qualification for the “exception to low income” requirement?Click here to enter text.
3-B. Please describe how the LWDB ensures WIOA Youth service providers remain in compliance with LWDB policies and/or procedures for determining and documenting a youth’s qualification for the “exception to low income” requirement.Click here to enter text.
References, WIOA Youth “Exception to Low Income” Eligibility Requirement:
- 20 CFR 681.250(c): WIOA allows a low-income exception where 5% of WIOA youth may be participants who ordinarily would be required to be low-income for eligibility purposes and meet all other eligibility criteria for WIOA youth except the low-income criteria. A program must calculate the 5% based on the percent of newly enrolled youth in the local area’s WIOA youth program in a given year who would ordinarily be required to meet the low-income criteria.
Youth who must meet the low income requirement include:
- All In-school youth, and
- Out-of-school youth who meet the following eligibility criteria:
- A recipient of a secondary school diploma or its recognized equivalent who is either basic skills deficient or an English language learner; or
- Requires additional assistance to enter or complete an educational program or to secure o hold employment.
4. Supportive Services & Needs-Related Payments (WIOA Adult and Dislocated Worker):
4-A. Please describe the LWDB’s policy and/or procedure for ensuring compliance with, and documentation of, the
supportive service and needs-related payment requirements as described below:Click here to enter text.
4-B.Please describe how the LWDB ensures WIOA Adult and Dislocated Worker service providers remain in
compliance with LWDB policies and/or procedures for the provision of supportive services and needs-related
payments: Click here to enter text.
References, WIOA Adult and Dislocated Worker Supportive Services:
- WIOA Final Rule, Department’s response, page 56157-58: Local WDBs must develop policies and procedures to ensure coordination with other entities to ensure non-duplication of resources and services and to establish limits on the amount and duration of such services. Local WDBs are encouraged to develop policies and procedures that ensure that supportive services are WIOA funded only when these services are not available through other agencies and that the services are necessary for the individual to participate in title I activities.
- ESD Policy 5602: LWDBs must establish internal controls that result in equitable treatment, documentation requirements and assurance of coordination with other community resources.
- 20 CFR 680.910:
(a) Supportive services may only be provided to individuals who are:
(1) Participating in career or training services as defined in WIOA secs 134(c)(2) and (3); and
(2) Unable to obtain supportive services through other programs providing such services.
(b) Supportive services may only be provided when they are necessary to enable individuals to participate in career services
or training services.
References, WIOA Adult and Dislocated Worker Needs-Related Payments:
- 20 CFR 680.930: Needs-related payments provide financial assistance to participants for them to participate in training and are a supportive service; unlike other supportive services, in order to qualify for needs-related payments, a participant must be enrolled in training.
- 20CFR 680.940: Adults must be: unemployed; not qualify for or have ceased qualifying for UI; and be enrolled in a program of training services under WIOA sec. 134(c)(3).
- 20 CFR 680.960: Payments may be provided if the participant has been accepted in a training program that will begin within 30 calendar days.
- 20 CFR 680.970: The payment level for adults must be established by the Local WDB.
5. Supportive Services, Needs-Related Payments and Incentives (WIOA Youth):
5-A. Please describe the LWDB’s policy and/or procedure for ensuring compliance with, and documentation of, the
supportive service, needs-related payments, and incentive requirements as described below:
Click here to enter text.
5-B.Please describe how the LWDB ensures WIOA Youth service providersremain incompliance with LWDB policies
and/or procedures for the provision of supportive services, needs-related payments and incentives:
Click here to enter text.
References, WIOA Youth Supportive Services, Needs-related Payments and Incentives
Supportive Services:
- WIOA Final Rule, Department’s response, page 56157-58: Local WDBs must develop policies and procedures to ensure coordination with other entities to ensure non-duplication of resources and services and to establish limits on the amount and duration of such services. Local WDBs are encouraged to develop policies and procedures that ensure that supportive services are WIOA funded only when these services are not available through other agencies and that the services are necessary for the individual to participate in title I activities.
- ESD Policy 5602: LWDBs must establish internal controls that result in equitable treatment, documentation requirements and assurance of coordination with other community resources.
Needs-Related Payments:
- WIOA Final Rule, Department’s Response, page 56182: Needs-related payments are allowed for youth ages 18-24 enrolled in WIOA youth services.
- 20 CFR 680.930: Needs-related payments provide financial assistance to participants for them to participate in training and are a supportive service; unlike other supportive services, in order to qualify for needs-related payments, a participant must be enrolled in training.
- 20.CFR 680.940: Adults must be: unemployed; not qualify for or have ceased qualifying for UI; and be enrolled in a program of training services under WIOA sec. 134(c)(3).
- 20 CFR 680.960: Payments may be provided if the participant has been accepted in a training program that will begin within 30 calendar days.
- 20 CFR 680.970: The payment level for adults must be established by the Local WDB.
Incentives:
- 20 CFR 681.640: Incentive payments to youth participants are permitted for recognition and achievement directly tied to training activities and work experiences. The local program must have written policies and procedures in place governing the award of incentives and must ensure that such incentive payments are:
a)Tied to the goals of the specific program;
b)Outlined in writing before the commencement of the program that may provide incentive payments;
c)Align with the local program’s organizational policies; and
d)Accord with the requirements in 2 CFR 200.
- WIOA Final Rule, Department’s Response, page 56185: While incentive payments are allowable, Federal funds may not be spent on entertainment costs. Therefore, incentives may not include entertainment, such as movie or sporting event tickets or gift cards to movie theaters or other venues whose sole purpose is entertainment.
6. training services (WIOA Adult and Dislocated Worker)
6-A. Please describe the LWDB’s policy and/or procedure for ensuring compliance with, and documentation of,
training services as described in 20 CFR 680.210 and 20 CFR 680.220, below: Click here to enter text.
6-B. Please describe how the LWDB ensures service providersremain in compliance with LWDB policies and/or
procedures for the provision of training services: Click here to enter text.
References, WIOA Adult and Dislocated Worker Training Services:
- 20 CFR 680.210: Training services may be made available to employed and unemployed adults who:
(a) A one-stop center or one-stop partner determines, after an interview, evaluation or assessment, and career planning, are:
1. Unlikely or unable to obtain or retain employment that leads to economic self-sufficiency or wages comparable to or
higher than wages from previous employment through career services;
2. In need of training services to obtain or retain employment leading to economic self-sufficiency or wages comparable
to or higher than wages from previous employment through career services;
3. Have the skills and qualifications to participate successfully in training services;
(b) Select a program of training services that is directly linked to the employment opportunities in the local area or the planning region, or in another area to which the individuals are willing to commute or relocate;
(c) Are unable to obtain grant assistance from other sources to pay the costs of such training, including such sources as State-funded training funds, TAA, and Federal Pell Grants, or require WIOA assistance in addition to other sources of grant assistance, including Pell Grants.
(d) If training services are provided through the adult funding stream, are determined eligible in accordance with the State and local priority system in effect for adults under WIOA sec. 134(c)(3)(E) and 680.600.
- 20 CFR 680.220:
(a) An individual must at a minimum receive either an interview, evaluation, or assessment, and career planning or any other method through with the one-stop operator or partner can obtain enough information to make an eligibility determination to be determined eligible for training services.
(b) The case file must contain a determination of need for training servicesas determined through the interview, evaluation, or assessment, and career planninginformed by local labor market information and training provider performance information, or through any other career service received. There is no requirement that career services be provided as a condition to receipt of training services; however, if career services are not provided before training, the Local WDB must document the circumstances that justified its determination to provide training without first providing the services described in paragraph (a) of this section.
(c) There is no Federally required minimum time period for participation in career services before receiving training services.
7. training-financial aid and other grant assistance (Adult and Dislocated Worker)
7-A.Please describe the LWDB’s policy and/or procedure for ensuring compliance with, and documentation of,
20 CFR 680.230, below: Click here to enter text.
7-B.Please describe how the LWDB ensures service providersremain incompliance with LWDB policies and/or
proceduresfor financial aid and other grant assistance: Click here to enter text.
Reference, Training-Financial Aid and Other Grant Assistance (Adult and Dislocated Worker)
20 CFR 680.230:
(a) WIOA funding for training is limited to participants who:
1)Are unable to obtain grant assistance from other sources to pay the cost of their training; or
2)Require assistance beyond that available under grant assistance from other sources to pay the costs of such training. In making the determination, one-stop centers may take into account the full cost of participating in training services, including the cost of supportive services and other appropriate costs.
(b) One-stop centers must consider the availability of other sources of grants to pay for training costs such as TANF, State-funded training funds (e.g., Worker Retraining, WorkFirst, BFET), and Federal Pell Grants, so that WIOA funds supplement other sources of training grants.
(c) A WIOA participant may enroll in WIOA funded training while his/her application for a Pell Grant is pending as long as the one-stop center has made arrangements with the training provider and the WIOA participant regarding allocation of the Pell Grant, if it is subsequently awarded.
8. Case Notes-Adult, Dislocated Worker and Youth Programs
8-A. Please describe the LWDB’s policy and/or procedure for documenting case notes: Click here to enter text.
8-B.Please describe how the LWDB ensures service providers remain in compliance with LWDB policies and/or
procedures for documenting case notes: Click here to enter text.
References, Case Notes:
- TEGL 6-14: Paper or electronic statements by the case manager that identifies, at a minimum, the following: a participant’s status for a specific data element, the date on which the information was obtained and the case manager who obtained the information.
- ESD Policy 1020: Case notes should support and not contradict service entries. Case notes should not be entered to represent service delivery without also entering a qualifying service from the Services Catalog.
- ESD WIN 0023: Any case notes containing confidential information, such as medical information, must be kept in a separate file and in a secure location apart from the participant’s regular program file.
PY16 WIOA Program Monitoring Questionnaire requested in advance of onsite monitoring visitPage 1 of 7