Monitoring Tool - Connecticut Department of Labor Interim Monitoring Tool.pdf · monitoring tool...
Transcript of Monitoring Tool - Connecticut Department of Labor Interim Monitoring Tool.pdf · monitoring tool...
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WORKFORCE INNOVATION AND OPPORTUNITY ACT
Monitoring Tool
PROGRAM YEAR 2016
July 1, 2016 through June 30, 2017
Rev. 5/23/2017
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Contents Background ............................................................................................................................................... 3
Why Monitor?........................................................................................................................................... 3
The Tool ................................................................................................................................................... 3
Monitoring Procedure and Scope ............................................................................................................. 7
Monitoring I- Initial Contact .................................................................................................................. 10
Program Eligibility- Adults/Dislocated Worker ..................................................................................... 13
Program Eligibility- Youth ..................................................................................................................... 15
Activities- WIOA Sec. 134(c) TEGL- 19-16 ......................................................................................... 20
Adults and Dislocated Workers .............................................................................................................. 29
Occupational Skills/Registered Apprenticeships/Pre-Apprentice/Skills Upgrading/Re-Training/Adult
Education and Literacy ........................................................................................................................... 29
On the Job Training/Customized Incumbent Worker Training .............................................................. 31
Credential Attainment ............................................................................................................................. 33
Supportive Services ................................................................................................................................ 33
Measurable Skills Gain ........................................................................................................................... 34
Youth ...................................................................................................................................................... 36
Career Pathway ....................................................................................................................................... 36
Measurable Skills Gain ........................................................................................................................... 37
Supportive Services ................................................................................................................................ 38
Credential Attainment ............................................................................................................................. 38
Work Experience .................................................................................................................................... 39
Sub-contractors/Service Providers ......................................................................................................... 41
One-Stop System Worksheet .................................................................................................................. 43
One-Stop Interview................................................................................................................................. 46
Business Services Process Management Review ................................................................................... 49
Employer Survey/Interview .................................................................................................................... 55
Governors Reserve ................................................................................................................................. 59
Governance ............................................................................................................................................. 65
Compliance Findings &Action Required ............................................................................................... 74
Area(s) of Concern ................................................................................................................................. 75
Questioned Cost:..................................................................................................................................... 76
Best/Promising Practices ........................................................................................................................ 77
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Background
On July 22, 2014, the Workforce Innovation and Opportunity Act (WIOA) was signed into law by
President Barack Obama.
With its enactment, the United States Department of Labor (USDOL) Employment and Training
Administration (ETA) has a renewed opportunity to articulate its vision for a demand-driven public
workforce development system, redefine the interactions between USDOL and its Federal partners and
modernize service delivery through the alignment and integration of programs and data systems.
Why Monitor?
The Workforce Innovation and Opportunity Act (WIOA) emphasize program performance at the State
and local area level. Monitoring at both levels will ensure that proper systems are in place, being
followed, and meet legal requirements. To accomplish this, the State has prepared this monitoring
guide which includes onsite and desktop monitoring systems, corrective-action procedures, follow-up
procedures, and other items.
The reason for emphasizing monitoring is to help reduce possible audit exceptions, sanctions, and
unallowable costs (which may need to be reimbursed to the Federal government). Through the use of
established monitoring procedures, both State and local areas may minimize such problems through
early detection and correction.
The Tool
The Workforce Innovation and Opportunity Act (WIOA) was The Workforce Innovation and Opportunity Act (WIOA) was created to provide state and local areas
the flexibility to collaborate across systems in an effort to better address the employment and skills
needs of current employees, jobseekers, and employers. WIOA accomplishes this by prescribing:
1. A stronger alignment of the workforce, education, and economic development systems; and
2. Improving the structure and delivery in the system to assist America’s workers in achieving a
family-sustaining wage while providing America’s employers with the skilled workers they need to
compete on a global level.
To successfully monitor the State’s efforts in achieving the above goals, CTDOL has developed a
monitoring tool which focuses on the most important aspect of WIOA, its participants.
The following tool has been designed to view each of Connecticut’s five Workforce Development
Boards from the perspective of jobseekers, and employers. We have selected random participants
from each of the Title I programs including Adult, Dislocated Worker and Youth. In addition one
employer was selected in an effort to determine quality of service and compliance with business
engagement. Under WIOA, Core Services are provided to not only participants but those who require
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our services which do not rise to level of participation. As such two additional random participants
who meet this criterion were selected for review.
Each selected random participant in the monitoring sample will be followed from their first contact
with the American Job Center through their current status and will include the following compliance
components:
For participants:
I- Initial Contact –
Referral to AJC
Customer Flow
Universal Access
Customer Choice
II - Career Services
Career Services, as identified in sec. 134(c)(2) of WIOA and Federal Regulations §678.430, consist of
three types: basic career services, individualized career services, and follow-up services including:
1. Program Eligibility
Eligibility for program in inclusion in Adult, Dislocated or Youth program
Registration/Participation Dates
Verification of required elements
Documentation of required verification elements
2. Outreach, intake and orientation to information and other services available through
The one stop system.
3. Initial assessment of skill levels
4. Labor exchange services
5. Provision of performance information
6. Assistance in filing of Unemployment Claims
7. Referral to other programs as appropriate
IV - Individualized Services
1. Comprehensive and Individualized Assessments
2. Development of IEP plan.
3. Group Counseling
4. Individual Counseling
5. Career Planning
6. Short-term prevocational services
7. Internships/Work-Experiences
8. Workforce Preparation Activities
9. Financial literacy services as described in sec. 129(b)(2)(D) of WIOA and §681.500 of that
chapter.
10. Out-of-area job search assistance and relocation assistance.
11. English language acquisition and integrated education and training programs.
12. Follow-Up Services must be provided, as appropriate, including; counseling, regarding the
workplace, for participants in adult or dislocated worker workforce investment activities who
are placed in unsubsidized employment, for up to 12 months after the first day of employment.
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V -Training Services
Training services, as described in WIOA sec. 134(b)(2)(A)(3) and §680.200-230. Training services
may be made available to adults and dislocated workers:
Who, after an interview, evaluation, or assessment, and career planning, have been determined
by a one-stop operator or one-stop partner, as appropriate, to –
a. be 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 the career services described above;
b. be in need of training services to obtain or retain employment that leads to economic self-
sufficiency or wages comparable to or higher than wages from previous employment; and
c. have the skills and qualifications to successfully participate in the selected program of
training services;
Who select programs of training services that are directly linked to the employment
opportunities in the local area or the planning region, or in another area to which the adults or
dislocated workers are willing to commute or relocate;
Are unable to obtain grant assistance from other sources to pay the cost of such training,
including such sources as state-funded training funds, Trade Adjustment Assistance, and
Federal Pell Grants established under title IV of the Higher education Act of 1965, or require
WIOA assistance in addition to other sources of grant assistance, including Federal Pell Grants;
and
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).
For Employers:
As provided in WIOA sec. 107(d), the Local WDB must:
Lead efforts to engage with a diverse range of employers and other entities in the
region in order to:
(1) Promote business representation (particularly representatives with optimum
policy- making or hiring authority from employers whose employment opportunities
reflect existing and emerging employment opportunities in the region) on the Local
WDB;
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(2) Develop effective linkages (including the use of intermediaries) with employers in
the region to support employer utilization of the local workforce development system
and to support local workforce investment activities;
(3) Ensure that workforce investment activities meet the needs of employers and
support economic growth in the region by enhancing communication, coordination, and
collaboration among employers, economic development entities, and service providers;
and
(4) Develop and implement proven or promising strategies for meeting the
employment and skill needs of workers and employers (such as the establishment of
industry and sector partnerships), that provide the skilled workforce needed by
employers in the region, and that expand employment and career advancement
opportunities for workforce development system participants in in-demand industry
sectors or occupations.
Lead efforts in the local area to identify and promote proven and promising strategies
and initiatives for meeting the needs of employers, workers and job seekers, and identify and
disseminate information on proven and promising practices carried out in other local areas for
meeting such needs.
Lead efforts to engage with a diverse range of employers and other entities in the
region in order to:
(1) Promote business representation (particularly representatives with optimum
policy- making or hiring authority from employers whose employment opportunities
reflect existing and emerging employment opportunities in the region) on the Local
WDB;
(2) Develop effective linkages (including the use of intermediaries) with employers in
the region to support employer utilization of the local workforce development system
and to support local workforce investment activities;
(3) Ensure that workforce investment activities meet the needs of employers and
support economic growth in the region by enhancing communication, coordination, and
collaboration among employers, economic development entities, and service providers;
and
(4) Develop and implement proven or promising strategies for meeting the
employment and skill needs of workers and employers (such as the establishment of
industry and sector partnerships), that provide the skilled workforce needed by
employers in the region, and that expand employment and career advancement
opportunities for workforce development system participants in in-demand industry
sectors or occupations.
Lead efforts in the local area to identify and promote proven and promising strategies
and initiatives for meeting the needs of employers, workers and job seekers, and identify and
disseminate information on proven and promising practices carried out in other local areas for meeting
such needs.
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Monitoring Procedure and Scope
Monitoring will either be full or done as a desk audit depending on the year and circumstances. All
WDB’s will be fully monitored bi-annually.
Three weeks per Workforce Development Board
Random Selection of Customers- Using CTHires Reports CTDOL WIOA Administration will run a
report for each of the WDB’s to select the following random participants.
Random Selection of 10 customers- The monitoring team will select 10 random customers including
the following:
2 Participants from WIOA Title I Adult
2 Participants from WIOA Title I Dislocated Worker
3 Participants from WIOA Title I Youth (1 In School 2 Out of School)
2 Participants who applied but were not approved for Title I programs- This will include a review of
CTHires information only.
1 Employer who received services for Review
Week 1
Week 2
Monitoring Team review of selections- The monitoring team will review selections to determine what
materials/documentation the Workforce Development Board (WDB) will be required to submit based
on the following:
Participants
Initial Contact
One Stop Operations
Pre-participation services including application for Title I programs
Activities
Assessments
Support Services
Credential Attainment
Measurable Skills Gains
Career Pathways
Work Experience
Contract and Programmatic Review with WDB’s boards, sub-contractors and Providers
including:
o Budgets
o Mou’s
o RFP’s
Employers
Initial Contact
One Stop Operations
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Business Service Integration
Activities
Support Services
Expectations and Results
Week 3 Submission and review of WDB materials including case files. The monitoring team will
prepare and submit any required additional information to the WDB based on its review.
Week 4
4. On-site visit will consist of the following:
A. Entrance Meeting
B Review/tour of facility where each selected customer received services.
C. Interview with staff and customer/employer (if possible) who received services including
any sub-contractor(s) who worked with customer.
D. Exit Meeting
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WIOA Participant Monitoring Tool
WIOA Title I
Participant State ID:
Reportable _______
Participant________
Program_________________________________
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Monitoring I- Initial Contact Referral
Service providers shall provide information to eligible applicants, whether enrolled in WIOA or
not, of the services available through WIOA service providers, including information regarding the
opportunities for nontraditional training and employment. Determination may be made prior to
enrollment in WIOA to refer an eligible applicant to another service agency or training and
education program deemed more suitable for the individual. Each service provider shall ensure
that an eligible applicant who cannot be served by its particular program is referred to appropriate
agencies, both within and outside the WIOA system that may be able to better serve the applicant.
For Monitoring Team
WIOA -Sec. 121
Referrals
How was the customer referred to the AJC
for services?
Was the referral appropriate for the
program selected?
Were referrals made to other partner or
non-partner programs?
Did the customer receive informational only
activities prior to participation if they
eventually received services in a program?
What types of staff worked with the
individual?
Documents Requested:
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For Monitoring Team
One Stop Operation
Was the customer provided with Universal
Access under 20 CFR 678.415 (see Joint WIOA Final
Rule).
Was the range of services delivered
integrated into a seamless delivery? As
defined: Smoothly continuous or uniform in
quality; combined in an inconspicuous way.
§ 680.340 Was the customer offered consumer
choice in selecting the services offered?
Establishment of a One Stop Delivery
System
(WIOA 121 and 29 USC 3151)
The requirements of a One-Stop Delivery
Systems include: (1) a One-Stop in each local
area with access to the six core programs; (2)
the services must be provided at least one
physical center in each local area and may
make the services available through a network
of affiliated sites or through a network of
eligible One-Stop partners; (3) collocation of
employment service offices under Wagner-
Peyser Act; and (4) should have a common
system identifier, such as logo or phrase.
Was the customer provided with career
information prior to participation?
Should the customer have been enrolled in a
program if they were not?
Documents Requested: Current WDB plan
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For Monitoring Team
Pre-Participation Services – WIOA Sec. 134(c) TEGL- 19-16
The following services do not trigger participation under WIOA but do count in making the customer
a reportable individual. What services if any did the customer receive prior to participation? Were the
services correctly documented?
Did the customer receive Provision of info.
on job vacancies?
Did the customer receive info. On job skills
necessary to fill vacancies?
Did the customer receive provision of info.
on local demand occupations, with earnings,
skill requirements, and opportunities for
advancement for those jobs?
Did the customer receive provision of
performance and cost info. for providers of
education and training?
Did the customer receive provision of local
performance?
Did the customer receive information on
availability of supportive services or
assistance?
Did the customer receive a referral to
supportive services?
Did the customer attend any workshops that
were self-service or did not require staff
assistance?
Was the customer’s eligibility for Title I
WIOA services completed?
Documents Requested:
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Program Eligibility- Adults/Dislocated Worker Evaluate the following for each category below:
1. Was the information provided accurate?
2. Does the hard copy information in the file match the information referenced in CTHires?
3. Were any discrepancies noted in case files?
WIOA Sec. 3(2), Sec. 3(15)
Indicate whether the participant is an Adult (A) or Dislocated Worker (DW).
CTHires or Paper Case File Supporting Documentation.
20 CFR Part 675, 20 CFR 680.600,and 640, WIOA Sec. 3(36), Local Workforce Service Plan and Resource Guide
If an Adult, was the Adult determined low income as described in the local plan and was there documentation in the file to support the low income determination? (Low income was not applicable to the participant , participant was a Dislocated Worker or an Employed/Incumbent Worker referred by the employer).
CTHires or Paper Case File Supporting Documentation.
20 CFR Sec. 680.130, WIOA Sec.3(15), Local Workforce Service Plan
If a Dislocated Worker, did the case file contain documentation of lay-off, termination, plant closure, recently separated veteran or spouse of a recently separated veteran, spouse of a veteran on active duty or other eligible Dislocated Worker criteria?
CTHires or Paper Case File Supporting Documentation.
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WIOA Sec.188 (a)(5), 29 USC 2938(a)(5)
Was documentation in the case file of U.S. citizenship or authorization to work in the U.S.?
CTHires or Paper Case File Supporting Documentation.
29 USC 2939(h), 50 U.S.C. App. 453 WIOA Sec.189(h), and Local Workforce Service Plan
If required, was documentation in the case file of Selective Service Registration or an allowable exemption? (Note: Federal requirement for males born on or after January 1, 1960).
CTHires or Paper Case File
Supporting Documentation
Veterans
WIOA Sec.3(63)(A) and (B), 38 U.S.C. 101, 20 CFR 1010.110 TEGL 03-15 and Local Workforce Service Plan
If the participant was a veteran, did the file contain documentation to verify veteran status?
CTHires or Paper Case File
Supporting Documentation
WIOA Sec.3(63)(A), 38 U.S.C. 101, 20 CFR 1010.110 TEGL 03-15 and Local Workforce Service Plan
If the participant was an eligible spouse of a veteran, did the file contain documentation to verify eligible spouse of a veteran status?
CTHires or Paper Case File
Supporting Documentation
Documents Requested:
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Grievance Complaint Form
CFR 683.600, 20 CFR 181(c )
Was a signed and dated Grievance/Complaint and EEO/Discrimination Form in the participant's case file? (Y, N).
CTHires or Paper Case File
Supporting Documentation
Documents Requested: The local WDB signed and dated grievance policy.
Program Eligibility- Youth
WIOA sec. 129 (a)(1)(B), WIOA sec. 129 (a)(1)(C), WIOA Rules Subpart B Section 681.210, 681.220, 681.230, 681.320, 681.250, 681.240, 681.260, 681.280
Indicate whether the youth is an Out-of-School Youth (OSY) or an In-School Youth (ISY).
CTHires or Paper Case File
Supporting Documentation
WIOA sec. 129 (a)(1)(B), WIOA sec. 129 (a)(1)(C), 20 CFR 681.230
Was documentation in the case file to verify school status? Applicable if participant enrolled on or after 7/1/2015.
CTHires or Paper Case File
Supporting Documentation
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Documents Requested:
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WIOA sec. 129 (a)(1)(B) and (C), WIOA SEC. 129(A)(2), WIOA Final Rules Subpart B Section 681.210, 20 CFR 681.260, WIOA sec. 3(36)
Was documentation in the case file that the youth was determined eligible based on the total family income calculation, receipt of cash assistance, Supplemental Social Security Income, Social Security Disability Insurance, Food Stamps, or was disabled, living in a high poverty rate area, receives or is eligible for free or reduced lunch, a homeless/runaway or a foster child? Note: Low income determination is not required if the participant is an OSY and meets one or more of the barriers listed in WIOA Sec. 129 (a)(1)(B) .
CTHires or Paper Case File
Supporting Documentation
WIOA sec. 129 (a)(1)(B) and (C), WIOA SEC. 129(A)(2), WIOA Final Rules Subpart B Section 681.210, 20 CFR 681.260, WIOA sec. 3(36)
What barriers if any were
identified?
How was the barrier verified?
WIOA Sec. 129(c) (5), Local Workforce Services Plan, 20 CFR 681.250
If the participant did not qualify under any category was the participant determined eligible under the 5% exception criteria and was documentation in the case file to support this program eligibility
List the exception reason used
and was documentation
contained in CTHires or Paper
Case File Supporting
Documentation
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WIOA sec. 129 (a)(1)(B), WIOA sec. 129 (a)(1)(C)
Was documentation of age in the case file? (Note: In-School youth must be 14-21 and Out-Of-School youth must be 16-24 years of age).
CTHires or Paper Case File
Supporting Documentation
WIOA Sec.188 (a)(5), 29 USC 2938(a)(5), and Special Project Contract
Was documentation in the case file of U.S. citizenship or authorization to work in the U.S.?
CTHires or Paper Case File
Supporting Documentation
29 USC 2939(h), and Special Project Contract, and Local Workforce Services Plan
Was selective service verification documentation in the case file at the time of registration or during participation? (Applicable to males over the age of 18 years at registration).
CTHires or Paper Case File
Supporting Documentation
WIOA Resource Guide; Special Project Contract; and Local Workforce Services Plan, WIOA sec. 3(24)(I)
Was documentation in the case file to support the federal or local barrier(s) entered in the CTHires ?(Note: A barrier is required for all youth).
CTHires or Paper Case File
Supporting Documentation
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If the applicant is a non-emancipated youth under 18 years of age, or 18 years of age and older with a legal guardian due to disability, did the application include the signature of a parent or legal guardian or was there a self-attestation from a parent or legal guardian in the case file?
CTHires or Paper Case File
Supporting Documentation
Grievance Complaint Form
CFR 683.600, 20 CFR 181(c )
Was a signed and dated Grievance/Complaint and EEO/Discrimination Form in the participant's case file? (Y, N).
CTHires or Paper Case File
Supporting Documentation
CFR 683.600, 20 CFR 181(c )
If yes to, did the Grievance/Complaint and EEO/Discrimination Form include the correct name and addresses for filing a grievance or EEO complaint?
CTHires or Paper Case File
Supporting Documentation
Documents Requested:
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For Monitoring Team
Activities- WIOA Sec. 134(c) TEGL- 19-16
The following activities trigger participation and are divided between Basic Career Services, Individualized
Career Services and Training. Note these services do not have to be delivered in any sequence under WIOA,
however a justification for each service provided should be noted in case notes.
It is not required that all participants receive all activities. For each category below determine the following:
1. Were the activities selected allowable under program guidelines?
2. Were the activities selected justified based on client assessment, IEP and customer choice?
3. Were the activities properly entered into CTHires and do they match and paper file?
4. Are there corresponding case notes for each activity?
5. Are the dates for the activity entered accurate to when the activity took place including beginning date and
ending date? Adult/Dislocated Workers
Basic Career Services
Did the customer receive a provision of
information on filing for Unemployment
Benefits?
Did the customer receive assistance in
establishing financial aid?
Individualized Services
Did the customer receive an initial
assessment?
What assessment was used?
Does the WDB have a policy in place for the
assessment used?
Was the assessment recorded in CTHires
and the results placed in the file or scanned
into CTHires?
Did the customer receive an IEP?
Was the IEP recorded in CTHires and the
results placed in the file or scanned into
CTHires?
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Did the participant receive any group
counseling?
Was the group counseling entered into the
CTHires and noted in the Case Notes
Did the customer receive individual
counseling?
Was the individual counseling entered into
the CTHires and noted in the Case Notes?
Did the customer receive career planning?
Was the career planning entered into the
CTHires and noted in the Case Notes?
Did the customer receive short-term
prevocational services?
Were the services entered into the CTHires
and noted in the Case Notes?
Did the customer receive any internships or
work experiences? (including transitional
jobs)
Was the internship/work experience entered
into the CTHires and noted in the Case
Notes?
Did the customer receive any workforce
preparation activities?
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Were the activities entered into the CTHires
and noted in the Case Notes?
Did the customer receive any financial
literacy services?
Were the activities entered into the CTHires
and noted in the Case Notes?
Did the customer receive any out-of-area
job search assistance and relocation
assistance?
Was the assistance entered into the CTHires
and noted in the Case Notes?
Did the customer receive any English-
language acquisition and integrated
education services or trainings
Was the assistance entered into the CTHires
and noted in the Case Notes?
Documents Requested:
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Training Services
Did the customer receive training services as
described in Sec. 134(c)(3)(D)with the
exception of incumbent worker training?
Was the training service appropriate based
on career pathways and reasonable goals of
earning or working towards a living wage?
Was the training entered into the CTHires
and noted in the Case Notes?
Do case notes indicate one on one contact
with the customer?
Documents Requested
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Youth- 129(c)(2)
Career Services
Did the youth receive an IEP, Objective
Assessment and one of the 14 core activities
prior to participation?
Was this correctly documented in the
CTHires system?
Did the youth receive tutoring, study skills
training, or drop-out prevention?
Was the assistance entered into the CTHires
and noted in the Case Notes?
Did the youth receive Alternative Secondary
School Services
Was the assistance entered into the CTHires
and noted in the Case Notes?
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Did the youth receive education
concurrently with workforce preparation?
Was the assistance entered into the CTHires
and noted in the Case Notes?
Did the youth receive leadership
development?
Was the assistance entered into the CTHires
and noted in the Case Notes?
Did the youth receive supportive services,
what kind?
Does the supportive service match the local
WDB policy for such services?
Was the service entered into the CTHires
and noted in the Case Notes?
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Did the youth receive adult mentoring?
Was the service entered into the CTHires
and noted in the Case Notes?
Did the youth receive comprehensive
guidance and counseling?
Was the service entered into the CTHires
and noted in the Case Notes?
Did the youth receive financial literacy
education, describe the type?
Was the service entered into the CTHires
and noted in the Case Notes?
Did the youth receive Entrepreneurial
training, describe the type?
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Was the service entered into the CTHires
and noted in the Case Notes?
Did the youth receive services that provide
labor market information?
Was the service entered into the CTHires
and noted in the Case Notes?
Did the youth receive Postsecondary
preparation and transition activities?
Was the service entered into the CTHires
and noted in the Case Notes?
Training Services
Did the youth receive Occupational Skills
Training, where?
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Was the service entered into the CTHires
and noted in the Case Notes?
Documents Requested:
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For Monitoring Team
Adults and Dislocated Workers
Occupational Skills/Registered Apprenticeships/Pre-Apprentice/Skills Upgrading/Re-Training/Adult Education and Literacy
Was an Occupational Skills,
Registered Apprenticeship, Pre-
Apprenticeship, Skills Upgrade
and Retraining, or Adult
Education and Literacy activity
entered in CTHires
20 CFR 680.210 and 680.220, WIOA Sec. 134(c)(3)(A)(bb), WIOASec.134(c)(2)
If yes, was documentation in the case file of a determination of need for training services after an interview, evaluation, or assessment and career planning?
20 CFR 680.410-420, WIOA Sec. 122 (b)(1)(D), WIOA Sec. 122 (b)(4)(A), WIOA Sec. 122 (a)(3),
Was the training activity provided, in a local/state demand occupation?
20 CFR 680.410-420, WIOA Sec. 122 (b)(1)(D), WIOA Sec. 122 (b)(4)(A), WIOA Sec. 122 (a)(3),
Was the training provider on the local/state approved eligible training provider list (ETPL)?
20 CFR 680.300, WIOA sec. 134 (c)(3)(F)(iii) and (G)
If an Individual Training Account (ITA) was utilized, were ITA costs recorded including costs for books, supplies and financial assistance?
20 CFR 680.330 and 680.470 , WIOA Sec. 122(a)(2)(B), WIOA Sec. 134(d)(1)(A)(IX)(II)(bb)
If a Registered Apprentice activity was provided, was an OJT activity entered in the CTHires or was the RA training not funded using OJT funds?
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Documents Requested:
20. CFR 680.350, WIOA Sec. 134(c)(3)(D)(X)
If an Adult Education Literacy activity was provided and Title I Adult and Dislocated Worker funds were used, was the AEL activity done concurrently or in coordination with an allowable training activity?
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For Monitoring Team
On the Job Training/Customized Incumbent Worker Training WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Was On-The-Job (OJT), Customized Training (CT) or Incumbent Worker Training (IWT) provided to the participant?
WIOA Sec.122 (h), 20 CRF 680.770, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Was it (OJT, CT or IWT).
WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
If IWT, was there documentation of an established employment history with the employer of six months or more or was the participant part of a training group where the majority of the group meet the six months requirement?
WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Was an OJT, CT or IWT agreement executed between the employer or a RA program sponsor and the Region for the participant's training position?. (Note: An agreement between the registered apprenticeship program sponsor and the region can only be executed if the participant was placed in a RA program).
WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Does the job title on the referral match the occupation listed on the participant's IEP or case notes?
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WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Is documentation in the case file that the participant's OJT/CT/IWT start date was on or after the employer's OJT/CT/IWT contract effective date?
WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Did the file contain details of the skills to be attained, the duration of the training and the wage rate or the established non-federal reimbursement share?
WIOA Sec.122 (h), 20 CRF 680.770-840, WIOA sec. 134(c)(3)(A), and Local Workforce Service Plan
Was the training provided as described in the OJT/CT/IWT agreement?
Documents Requested: Copy of WDB OJT/CJT policy
33
For Monitoring Team
Credential Attainment TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-09
Was a credential attainment entered into CTHires?
TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-10
Was documentation in the participant's case file to support the credential?
TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-11
Does the credential attainment date and type match the credential attainment information entered in CTHires
Does the credential meet the definition of a Credential as indicated in CT’s WIOA Policy Manual?
Documents Requested:
For Monitoring Team
Supportive Services 20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract
Was a supportive service activity entered in CTHires?
20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract
Was there documentation in the participant case file to verify the supportive service provided?
34
20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract.
Did the supportive service activity documented in the case file match the supportive service activity entered in the CTHires?
20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract
Was documentation in the case file to show that the supportive services were issued in accordance with local policy?
Documents Requested: Copy of Supportive Services Policy
For Monitoring Team
Measurable Skills Gain
TEGL 17-05
Were basic skills pre-test assessment results maintained in the participant's case file?
WIOA sec 3(5)(a)(b), 20 CFR 681.290
Was the participant determined to be basic skills deficient?
TEGL 17-05, Federal Data Validation Requirements, WIOA
Was the participant pre-tested and post-tested? Was there a skill gain reported and
35
sec. 116 (b) (2)
documented in the file or CTHires?
TEGL 17-05, Federal Data Validation Requirements, WIOA sec. 116 (b) (2)
Was the original test documentation in the case file?
TEGL 21-16
For purposes of skill gain Which CASAS test was utilized ?
Life Skills Math 50
Life and Work Math 80
Life and Work Reading 80
CASAS Electronic Testing Math
102
CASAS Electronic Testing
Reading 101
TEGL 21-16
If the Measurable skills gain reported was other than an approved NRS test, indicate the type of skill gain and was there documentation in the file or CTHires of the gain?
36
For Monitoring Team
Youth
Career Pathway 20 CFR 681.320, and Special Project Contract. WIOA sec. 129(c)(1)(A)
Was documentation in the case file of an objective assessment?
WIOA sec. 129 (c)(1)(A), WIOA Sec 136 (A)(ii), 20 CFR 681.420
If yes, does the Objective Assessment include an assessment of the academic level, occupational skill level, as well as the service needs and strengths of the participant?
WIOA sec. 129 (c) (A), 20 CFR 681.460
Was documentation in the case file of an ISS that was created jointly by the participant and the career manager created ISS , and had at least one of the 14 program elements listed?
WIOA sec. 129 (c) (1) (B), 20 CFR 681.460
Does the ISS directly link to one or more of the performance indicators and does the ISS list the activities and services the youth will be or has been engaged in during participation in the WIOA program?
WIOA sec. 129 (c) (1) (B), 20 CFR 681
Was the ISS in the case file updated as activities were completed, benchmarks reached, goals achieved and/or the youth's needs changed?
Documents Requested: WDB Career Pathway Policy
37
For Monitoring Team
Measurable Skills Gain
TEGL 17-05
Were basic skills pre-test assessment results maintained in the participant's case file?
WIOA sec 3(5)(a)(b), 20 CFR 681.290
Was the participant determined to be basic skills deficient?
TEGL 17-05, Federal Data Validation Requirements, WIOA sec. 116 (b) (2)
Was the participant pre-tested and post-tested? Was there a skill gain reported and documented in the file or CTHires?
TEGL 17-05, Federal Data Validation Requirements, WIOA sec. 116 (b) (2)
Was the original test documentation in the case file?
TEGL 21-16
For purposes of skill gain Was the CASAS test utilized one of the following approved tests?
Life Skills Math 50
Life and Work Math 80
Life and Work Reading 80
CASAS Electronic Testing Math
102
CASAS Electronic Testing
Reading 101
TEGL 21-16
If the Measurable skills gain reported was other than an approved NRS test, indicate the type of skill gain and was there documentation in the file or CTHires of the gain?
Documents Requested:
38
For Monitoring Team
Supportive Services 20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract
Was a supportive service activity entered in CTHires?
20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract
Was there documentation in the participant case file to verify the supportive service provided?
20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract.
Did the supportive service activity documented in the case file match the supportive service activity entered in the CTHires?
20 CFR 680.900-970, WIOA Sec. 3 (59) and Sec. 134(d)(2) and Special Project Contract
Was documentation in the case file to show that the supportive services were issued in accordance with local policy?
Documents Requested: WDB Supportive Services Policy
For Monitoring Team
Credential Attainment TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-09
Was a credential attainment entered into CTHires?
39
TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-10
Was documentation in the participant's case file to support the credential?
TEGL17-05, TEGL 14-08, TEGL15-10, TEGL17-11
Does the credential attainment date and type match the credential attainment information entered in CTHires
Does the credential meet the definition of a Credential as indicated in CT’s WIOA Policy Manual?
Documents Requested:
For Monitoring Team
Work Experience Local Workforce Service Plan, WIOA sec. 129(c)(2)(C), 20 CFR 681.600-681.630, 20 CFR 680.700, 20 CFR 681.480
Was a WE activity entered in CTHires?
Local Workforce Service Plan, WIOA sec. 129(c) (2)(c), 20 CFR 681.600
Was a WE activity agreement executed between the employer and the LWDB for the participant's training?
Local Workforce Service Plan and WE contract agreement, WIOA sec. 129(c) (2)(C), 20 CFR 681.600
Was documentation in the case file that the WE start date was on or after the employer's WE activity agreement effective date?
40
Fair Labor Standards Act, Local Workforce Service Plan, Special Project Contract, WIOA sec. 129(c) (2)(C), 20 CFR 681.600
Was this a paid WE?
Fair Labor Standards Act, Local Workforce Service Plan, Special Project Contract, WIOA sec. 129(c) (2)(C) , 20 CFR 681.600
Was the participant paid the wage stated in the agreement and were FLSA requirements met?
Local Workforce Service Plan and WE contract agreement, WIOA sec. 129(c) (2)(C)
Was the WE training provided as described in the WE Training Plan?
WIOA sec. 129(c) (2)(C) 20 CFR 681.600
Did the participant complete the WE activity?
Local Workforce Service Plan, Special Project Contract, WIOA sec. 129(c) (2)(C), 20 CFR 681.600
Did the employer provide a copy of the training completion information?
Documents Requested: WDB WEX Policy
41
For Monitoring Team
Sub-contractors/Service Providers List the Contractor(s) Sub-Contracter(s) that worked with the participant:
2CFR § 00.319, State WIOA Procurement Policy Were the contracts procured through competitive bidding?
Describe the process Does the WDB have a procurement policy?
2CFR §200.20
Did the services rendered to the
participant match the service
deliverables in the contract?
2CFR §200.303
Was the contractor/sub-contractor
monitored by the local WDB?
Were there any significant findings?
What corrective Action steps did the
WDB take to ensure the provider
remained in compliance?
42
Documents Requested: Copy of Contract/Copy of WDB Monitoring Policy/Most recent monitoring
report
43
Characteristics of an American Job Center (AJC) (TEGL 4-15) FEDERAL VISION
1. Is How management a shared responsibility of States, local workforce development boards (WDBs), elected officials, core partners, other mandated partners, and one-stop center operators? Please explain how ?
AJC: Explain how your AJC meets the following expectations
1. Reflect welcoming environment to all customers?
2. Is staff sensitive to the unique needs of individuals with disabilities and are prepared to provide necessary accommodations?
3. Develop, offer and deliver quality business services?
a. Development and offering of service to specific businesses, staff able to identify industry skill needs, appropriate strategies for assisting employers and coordinating service across partner programs?
b. Speak with one voice when communicating with employers?
4. Offer access to job seeker and worker customers for education and training leading to industry-recognized credentials?
5. Create opportunities by providing customers timely labor market, job- driven information and choice as possible related to education/training, career and service delivery options, while offering customers the opportunity to receive skill-development and job placement service?
a. Does the AJC ensure opportunities are available to those with disabilities?
6. Provide career services that motivate, support and employer customers?
7. Assess individual's skill development and improving basic, occupational and employability skills?
Service Design (TEGL 4-15) FEDERAL VISION
1. Are frontline staff familiar with functions and basic eligibility of partner programs to make referrals?
2. Design and implement practices that actively engage industry sectors and use economic and labor market information, sector strategies, career pathways, Registered Apprenticeships, and competency models to help drive skill-based initiatives.
3. Balance traditional labor exchange services with strategic talent development within a regional economy. This includes use of market- driven principles and labor market information that help to define a regional economy, its demographics, its workforce and its assets and gaps in skills and resources.
4. Balance traditional labor exchange services with strategic talent development?
5. Does the AJC ensure physical and programmatic access to everyone including those with disabilities and language barriers?
6. Has the WDB assessed programmatic and physical accessibility of
To be completed by WDB
One-Stop System Worksheet Local Workforce Development Area (WDA): Please provide specific examples, attach any documents/policy developed in relation to the questions. Date:
I. Vision
44
1. Has the WDB been named as the one-stop operator with the
agreement of the local CEO and the Governor? (20CFR §679.410).
If yes, the State must ensure certification in accord with §678.800; if not
completed by NDOL Office of Employment & Training monitor must
include in this review.
2. Has the WDB in agreement with CEO designated and certified a one-stop operator?
3. Was the certification awarded through a competitive process? 4. Is the entity eligible to receive funds(may be entity or consortium of
entities that includes 3 or more partners): An entity of demonstrated
effectiveness, located in the WDA which may be:
Institution of higher education
State Employment Services on behalf of local office of the agency
Community-based organization, nonprofit organization or intermediary
Private for-profit entity
Government agency
Other interested origination or entity (local chamber or business
organization, labor organization
Elementary and secondary schools are not eligible except nontraditional public secondary schools and area career/technical education schools.
5. Did the WDB require that one-stop operators disclose any potential conflicts of interest arising from relationships of the
1. Does the AJC operator facilitate an integrated, co-located partnership that seamlessly incorporates services of partners?
2. Does the AJC organize and integrate services by function (rather than program) when program allows?
a. Are one-stop center who perform similar tasks serving on relevant functional teams, e.g. Skills Development, Business Services)
4. Does the AJC maintain integrated case managements systems through customer’s interaction with integrated system and allow information collected from customers at intake to be captured once?
a. Is it in accord with Personal Identifiable Information guidelines?
5. Does the AJC reflect integrated systems of performance, communication and case management, and use technology to achieve integration and expanded service offerings?
6. Are AJC staff trained to understand importance of data validation, collection processes, and the importance of accurate reporting?
7. Are center staff routinely cross training: knowledge, skills and motivation to provide service to job seekers, including those with disabilities, and business in an integrated, regionally focused framework of service delivery?
8. Does the AJC have highly trained career counselors, skilled in advising job seekers of their options, knowledgeable about local labor market dynamics, services available and skill in developing customer’s skills for employment successes?
II: Partners WIOA Sec. 121 (b) 1. Does each partner provide access through the one-stop system to programs/activities they carry out, (career services applicable to the program or activities available at the one stop in addition to any other locations?
2. Does every partner use of portion of the funds available to maintain the one-stop? (See partner worksheet)
3. Did every partner enter into a MOU? (See partner worksheet) III. One Stop Operator WIOA Sec. 121(d)
45
operators with training service providers or other service provider?
6. Did the WDB take action to ensure that practices are not established that create disincentives for providing long-term
services to individuals with barriers (participation time limits)?
7. Did the WDB require that operators comply with Federal regulations, and procurement policies, relating to the calculation
and use of profits?
8. Is there an agreement clearly identifying roles and responsibilities?
III. One Stop System WIOA Sec. 121 (e) 1. Are Career Services available at the AJC? (Who and How). 2. Are training services available at the Is the AJC, is it a point of
access for training services (Sec. 134( c)(3) & (3)(G))
3. Does the one-stop disseminate information on training service providers? Does it include performance and cost information?
(§679.380(a)). Was it observable in the one-stop?
4. Does the one-stop dissemination of information on supportive
services? Does it include performance and cost information?
(20CFR §679.900) Was it observable in the one-stop?
5. Does the one-stop disseminate information on the full array of
applicable and appropriate services available through the WDBs or other eligible providers, or one-stop partners? Does it include
performance and cost information? (20CFR§681.420) Was it
observable in the one-stop?
6. Does the AJC provide access to partner programs and activities?
7. Are all Wagner-Peyser sites co-located in a center? 8. Is there at least on physical center in the region? 9. Are services also available through:
A network of affiliate sites Network of eligible one-stop partners
(See WIOA Sec. 121(e)(20(B)(i) & (ii) for requirements)
10. Does the WDB region have any specialized centers? (WIOA
sec. 121 (e)(2)(C) for requirements)
11. Are programs, services and activities accessible through electronic means in a manner that improves efficiency, coordination and quality in delivery of partner services?
12. Does the one-stop system include the common one-stop identifier (American Job Center) in products, programs, activities, services, facilities and related property and materials?
13. Does the one-stop take part in any income generating activities? (20 CFR §683.295, 2 CFR §200.323)
46
One-Stop Interview
(Some areas are more appropriately answered by the One-Stop Operator, an interview with the
operator is required)
In person interview or complete for Desk Audit Local Workforce Development Area (WDA): One-Stop Operator Interviewed: Local Workforce Development Board (WDB) Administrative Entity: Date:
Local Workforce Development Board (WDB)
1. What strategies has the WDB developed for using technology to maximize the accessibility and
effectiveness of the workforce development system for employers? AJC partner case management and intake system connections Access to services in remote areas Strategies for meeting needs of individuals Leveraging resources and capacity
2. Has the WDB conducted oversight of the American Job Center and one-stop system including the vendors and subrecipients the WDB contract with?
Assessed physical and programmatic accessibility of all one-stop centers
3. Has the WDB, with the agreement of the CEO: Selected a one-stop operator Designated and certified one-stop Operator Selected a provider for Career Services Certified the one-stop
4. Does the one stop operator provide career services, if no has the WDB identified eligible
providers of career services? If the WDB is delivering career services or certified as the one stop operator – was it with
the agreement of the CEO and the Governor?
If the contract in place, signed as required? Ask to see contract…
5. How does the WDB facilitate access to services provided through the one-stop delivery system,
including remote areas, through the use of technology and other means?
6. Has the WDB entered into MOUs with all partners?
7. Does the WDB have a standing committee to provide information and assist with operational and other issues relating to the one-stop delivery system?
Membership Examples of actions
8. Does the WDB have a standing committee to provide information and assist with operational
and other issues relating to the provision of services to individuals with disabilities? Programmatic access Staff training on providing supports for accommodation
47
Membership Examples of actions
9. Has the WDA established a comprehensive one-stop center?
provides career services access to training services section 134(c)(3) point of access to training services for participants section 134(c)(3)(G) provides access to data, information, and analysis; job search, placement, recruitment,
and other labor exchange services (Wagner Peyser) PARTNERS
1. Are all required partners co-located at the AJC?
If no, how is access provided?
2. What other entities are co-located at the AJC?
3. Have MOUs been entered into with all partners including the use of funds to support the one-stop system?
4. How do partners take part in the operation of the one-stop? 5. What cost sharing agreements are currently in place regarding the operation of the one-stop?
One Stop Delivery System
1. Where is/are the physical center(s) in the workforce development area?
2. Are there affiliate sites?
3. How are programs, services and activities made accessible through electronic means?
Improves efficiency, coordination and quality
4. How is information disseminated through the one-stop to both individuals and employers: Career Services Training Services Supportive Services Youth Services Eligible Training Providers Eligible OJT Employers Grievances and Complaint process
48
WIOA Business Engagement Employer Tool
WIOA Title I
Selected Employer:
49
For WDB completion
Business Services Process Management Review
BUSINESS SERVICES YES NO
COMMENTS
Does the WDB promote recruiting
agreements? If yes, what is the
process?
Does the WDB conduct or participate
in job fairs? If yes, what is the
process?
Does the WDB market/communicate,
internally and externally the workforce
business proposition? If yes, how is
this done?
Does the WDB evaluate its Business
Services? If yes, how is this done?
Does the WDB institutionalize and
replicate proven outreach tactics (i.e.,
outreach tactics, core processes,
performance metrics? If yes, how was
this done?
Did the WDB build on an existing or
establish a local industry-specific
workforce business consortium in
partnership with economic
development organizations? If yes,
what organizations were included?
Does the WDB prioritize target
industry clusters? If yes, how is this
done?
Does the WDB provide a platform for
the creation of or technical input for
industry specific training programs? If
yes, how is this done?
Did the WDB institutionalize local,
regional and statewide “voice of the
customer” business forums to keep
abreast of current and emerging
workforce needs (e.g. business-led
initiatives)? If yes, how was this
accomplished?
50
Did the WDB try to increase workforce
awareness via visibility at target
industry specific events? If yes, how
was this accomplished?
Did the WDB showcase successful
workforce/business partnerships at
local economic development business
events? If yes, how was this
accomplished?
Does the WDB promote recruiting
agreements? If yes, what is the
process?
How does the WDB track their
penetration rate and repeat touches?
What outreach materials do you use?
How do you target both large and small
employers?
51
For Monitoring Team
What staff worked with the employer?
Was there follow-up services delivered to the
employer? Please be sure to cover the
following:
1. How often do BSR’s follow up?
2. What type of follow-up services did the
employer receive?
Were employer services documented in
CTHires?
52
How was the employer referred to the AJC
for services?
What services was the employer offered?
Were referrals made to other partner or
non-partner programs? How are referrals
made?
What specific steps are BSR’s employing to
build employer relationships?
53
What services were listed in CTHires?
Did the employer receive the
information/opportunity to complete a
customer service survey?
WIOA sec.116(b)(2)(A)(i)(VI)
Retention with the same employer?
54
WIOA sec.116(b)(2)(A)(i)(VI)
Repeat Business Customers? Has the
employer used our services in the last three
years, in addition to the current services they
are receiving?
55
For Monitoring Team
Employer Survey/Interview
Employer Selected:
The survey contains Modules that cover four basic areas of employer services:
Worker Recruitment
Business Services
(Labor Market) Information
WORKER RECRUITMENT Response
1 Have you posted one or more job
openings on the CTHires web site in the
last 6 months?
2 [In the last 6 months have you talked with
any CT AJC staff about posting job
openings or recruiting workers?
3 If yes, how satisfied are you with the help
that was provided? Are you very satisfied,
satisfied, dissatisfied, or very dissatisfied?
4 Did you post the job opening(s) by
contacting the AJC and having them do
it,or by listing it yourself on the internet
with CTHires,
5 Did you fill the last position that you
posted on CTHires?
6 If yes, was the new hire a job applicant
from CTHires?
7 In general, do you feel that you had too
many, about the right number, or too few
applicants as a result of your CTHires job
posting(s)?
8 Over the last 6 months, about how often
have you logged on to CTHires to review
job seeker resumes to find applicants for a
56
job opening? Would you say 1 or more
times a week, 1 to 3 times a month, less
than once a month, or not at all?
9 If you reviewed resumes how satisfied are
you that the resumes you reviewed on
CTHires gave you useful information
about the job seekers?
10 Have you used the matching feature that
lets you find resumes posted on CTHires
that match the qualifications in your job
posting?
11 How satisfied are you that the resumes
were a good match to your job posting?
12 If you had a colleague who needed to post
a job opening, would you recommend
using CTHires?
13 Now I'd like to ask about labor market
data or statistics, such as salary or wage
information, workforce demographics, or
unemployment data. In the last 12 months,
have you received this type of information
from Business Services Staff?
14 Have you obtained any labor market data
or statistics from CTHires or Research
through the internet, through a
publication, or by another method?
15 How satisfied are you with the time it took
to respond to your telephone call or email?
16 How easy was it to find the data or
statistics you needed?
17 What kinds of labor market data or
statistics did you receive?
57
18 How satisfied are you that the information
was presented in a clear and
understandable manner?
19 Did you use this information to make
decisions about wages and salaries, for
workforce or business planning, for
preparing a report, or for some other
purpose?
20 [If not what were the reasons you were not
able to use the information?
21 How well did the information meet your
needs? Very well, well, not very well, or
not at all?
22
In the last six months have you talked
with a representative from AJC about your
business needs and concerns? This person
may have visited you or contacted you by
phone. Topics you might have discussed
include worker recruitment; retention,
skills, or training; general HR issues;
economic development issues; financing
issues; solutions for modifying tasks or
equipment to accommodate an employee;
or government regulations
23 What was the general topic area of the
conversation?
24 Did the representative talk with you about
using CTHires for recruiting purposes?
25 Have you used CTHires since that time?
58
26 How satisfied are you that this
representative understood your business
needs and concerns? Are you very
satisfied, satisfied, dissatisfied, or very
dissatisfied?
27 How satisfied are you with the time it
took the representative to respond when
you had a question or needed
information?
28 How well did the overall result meet your
needs? Was it ... very well, somewhat
well, not very well, or not at all?
29 Are you aware that CTDOL has money
available to assist employers in finding
and supporting workers in both traditional
and non-tradition apprenticeship
programs?
59
For DOL Local Office Manager
Governors Reserve
The Workforce Innovation and Opportunity Act (WIOA) reforms and modernizes workforce development and provides Governor’s Reserve Funds to support employment and training activities defined in WIOA Section 134(a)(3)(A) and youth activities defined in WIOA Section 129(b)(2). WIOA restores the statewide set-aside to 15 percent. The law sets the framework for use of these funds by describing a set of required and optional activities that the funds may support. Below are statewide allowable activities under the Governor’s Reserve.
Statewide Allowable Activities
Have 15% funds been used for the following in your region?
Has the WDB developed and implemented
innovative programs and strategies designed to
meet the needs of all employers (including
small employers) in the State, including the
programs and strategies referenced in WIOA
sec. 134(a)(3)(A)(i);
What are they?
Has the WDB developed and implemented
innovative programs and strategies designed to
meet the needs of all employers (including
small employers) in the State, including the
programs and strategies referenced in WIOA
sec. 134(a)(3)(A)(i);
What are they?
60
Has the WDB developed strategies for serving
individuals with barriers to employment, and
for coordinating programs and services among
one-stop partners; Please describe:
Has the WDB Developed or identified
education and training programs that have the
characteristics referenced in WIOA sec.
134(a)(3)(A)(iii);
Please describe:
Has the WDB implemented programs to increase the number of individuals training for and placed in non-traditional employment; Please describe:
Has the WDB conducted research and
demonstrations related to meeting the
employment and education needs of youth,
adults and dislocated workers;
Please describe:
61
Has the WDB supported the development of alternative, evidence-based programs, and other activities that enhance the choices available to eligible youth and which encourage youth to reenter and complete secondary education, enroll in postsecondary education and advanced training, progress through a career pathway, and enter into unsubsidized employment that leads to economic self-sufficiency; Please describe:
Has the WDB supported the provision of career
services in the one-stop delivery system in the
State as described in § 678.430 of this chapter
and WIOA secs. 129(b)(2)(C) and 134(c)(2);
Has the WDB supported financial literacy activities as described in § 681.500 of this chapter and WIOA sec. 129(b)(2)(D);
Has CTDOL provided incentive grants to local
areas for performance by the local areas on
local performance accountability measures;
Please describe:
62
Has CTDOL provided technical assistance to Local Workforce Development Boards (WDBs), chief elected officials, one-stop operators, one-stop partners, and eligible providers in local areas on the development of exemplary program activities and on the provision of technology to facilitate remote access to services provided through the one-stop delivery system in the State; Please describe
Has CTDOL provided technical assistance to
local areas that are implementing WIOA Pay-
for-Performance contract strategies and
conducting evaluations of such strategies.
Technical assistance may include providing
assistance with data collections, meeting data
entry requirements, and identifying level of
performance;
Please describe
Has CTDOL or your WDB provided activities to
facilitate remote access to training services
provided through the one-stop delivery system;
Please describe:
63
Activities that include:
Activities to improve coordination of workforce
investment activities, with economic
development activities; and
Activities to improve coordination of
employment and training activities with child
support services and activities, cooperative
extension programs carried out by the
Department of Agriculture, programs carried
out by local areas for individuals with
disabilities (including the programs identified in
WIOA sec. 134(a)(3)(A)(viii)(II)(cc)), adult
education and literacy activities including those
provided by public libraries, activities in the
correction systems to assist ex-offenders in
reentering the workforce and financial literacy
activities; and
Developing and disseminating workforce and
labor market information
Implementation of promising practices for
workers and businesses as described in WIOA
sec. 134(a)(3)(A)(x);
Adopting, calculating, or commissioning for
approval an economic self-sufficiency standard
for the State that specifies the income needs of
64
families, by family size, the number and ages of
children in the family, and sub-State
geographical considerations
Developing and disseminating common intake
procedures and related items, including
registration processes, across core and partner
programs; and
Coordinating activities with the child welfare
system to facilitate provision of services for
children and youth who are eligible for
assistance under sec. 477 of the Social Security
Act.
How many (FTE) positions are funded in your
local WDB?
Please describe their duties and the percentage
of time spent on each duty?
Please provide a signed copy of the MOU for
5% staff in region
The onsite review may include interviewing 15% Governor Funded Staff regarding their knowledge, training and the services they provide to customers?
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For WDB Completion
Governance
WIOA Section 107 (a) ESTABLISHMENT.—Except as provided in subsection (c) (2) (A), there shall be established, and certified by the Governor of the State, a WDB in each local workforce development area (WDA) of a State to carry out the functions described in subsection (d) (and any functions specified for the local board under this Act or the provisions establishing a core program) for such area.
WIOA Sec. 107 (b)(2); 20CFR
§679.320-.350- Composition of Board
Does the WDB maintain a Membership list with designation; Nomination and appointment procedures; nominations, minutes? Please provide a copy
WIOA sec. 107(d); 20CFR
§679.370 -.390-Functions
Is there a WDA plan, written policies, regional planning activities, research and labor market analysis documentation, meeting agendas/products, Career Pathways, budget for the activities of the WDB; accessibility
assessment, certification of one- stop? Please provide
WIOA Sec. 107 (c)(1)(B)(i),
20CFR §679.310(e) & .430 Written Agreements
Does the WDB include MOUS agreements with CETC, WDB’s and Local Chief Elected Officials Please Provide
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WIOA sec. 107(b)(4); 20CFR
§679.360 Standing Committees and Board
Does the WDB maintain Bylaws, minutes for the board and all standing committees? Please Provide
WIOA Section 107(c)(2); 20CFR
§679.350,
Have the WDB’s been certified with Governor CETC as required under WIOA? Bi-annual Please Provide
20CFR §679.390 WIOA Sec. 107(e) Sunshine Provision
Are Public Notices, agendas, minutes, bylaws, awards, roster, website, meeting schedules, posted on the WDB website and in newspapers?
WIOA sec. 107(d)(10)(A); 20CFR
§679.410(a), .430 Sole Source?
Has the WDB obtained a Sole Source procurement, agreement of the Chief Elected Official and the Governor, One-Stop certification by State
WIOA §679.360(a) &.370(i) Monitoring
Please provide the WDB monitoring policies for sub-
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contractors, including a schedule and copy of the last monitoring performed?
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For Monitoring Team- However the WDB needs to provide membership list with
representation Board Membership Compliance
LOCAL WORKFORCE DEVELOPMENT BOARD (WDB) WORKSHEET
WDB NAME CONTACT PERSON TELEPHONE DATE Governor’s Criteria for appointments: (WIOA Sec. 107(a)(2)
Total Seats (20CFR§ 679.320) Required % Required Number Actual % or Meets Number
I. Business Majority 51% Small Business (20CFR§679.320(b) 2
II. Representatives of Workforce 3-5 20% III. Education & Training 2-3 IV. Government & Econ. Develop. 3-5 V. CEO Addition
I. BUSINESS (WIOA Sec. 107 (b)(2)(A), (3), (5))
NAME
(Business Chair
)
TITLE ENTITY NOMINATED BY BUSINESS(LOCA
L BUSINESS ORG AND BUSINESS TRADE ASSOCIATONS)
APPOINTED TERM START
TERM END
OPTIMUM POLICY
PROVIDE EMPLOYMENT – HIGH QUALITY
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
II. Representatives of the Workforce (WIOA Sec. 107(b)(2)(B))
Shall Include NAME TITLE ENTITY OPTIMUM POLICY AUTHORITY
NOMINATED BY (Labor Federations)
APPOINTED TERM START
TERM END
1 Representative of Labor Organizations
2 Representative of Labor Organizations
No Labor Organizations - how determined? 1A Other Representatives
of Employees
2A Other Representatives
of Employees
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3 Representative of
Joint Labor- Management Apprenticeship Program
No joint Labor-Management Apprenticeship Program - how determined?
3a Representative of Apprenticeship Program
May Include:
4 CBO 5 Organizations
III. Education and Training (WIOA Sec. 107(b)(2)(C))
SHALL INCLUDE NAME TITLE ENTITY OPTIMUM
POLICY NOMINATED BY
APPOINTED TERM START
TERM END
1 Eligible Provider administering Adult Education & Literacy
2 Institution of Higher Education providing workforce investment activities (incl. community colleges)
MAY INCLUDE: 3 Local
Educational agencies, CBO demonstrated . . . education or training needs of individuals with barriers to employment
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IV. Governmental and Economic Development (WIOA Sec. 107(b)(2)(D))
SHALL INCLUDE NAME TITLE ENTITY OPTIMUM POLICY
NOMINATED BY
APPOINTED TERM START
TERM END
1 Economic and Community Development Entity
2 Wagner-Peyser 3 Voc Rehab MAY INCLUDE: 4 Agencies or
entities – transportation, housing, public assistances
5 Philanthropic Organizations
V. CEO Addition’s (WIOA Sec. 107(b)(2)(E))
MAY INCLUDE
NAME TITLE ENTITY OPTIMUM POLICY
NOMINATED BY
APPOINTED TERM START
TERM END
1 2 3
VI. Standing Committees (WIOA Sec. 107(b)(4)
1. Has the WDB named standing committees? If No – does the board direct activities directly? If yes:
Committee Name Members (*indicates WDB member) Duties
VII. Certification
Most Recent Certification
Certified Date of Certification Timely Request of Certification (if due)
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For Onsite Interview or to completed by WDB for Desk Audit
Workforce Development Board (WDB) Interview/Questionnaire
Local Workforce Development Area (WDA): Date:
1. Has the Workforce Development Board (WDB) establishing any standing committees (§679.360)? If
yes name and describe.
Committees?
Chaired by a WDB Member? Other WDB members? Other committee members appointed by?
Demonstrated experience and expertise?
2. Has the WDB developed an approved 4-year WIOA plan (§679.370)? If yes how were stakeholders involved in development and identifying and leverage resources?
3. What efforts have been made to engage with employers and other entities in your WDA?
4. Has the WDB conducted workforce research and labor market analysis? If yes, describe:
5. Developed and implemented career pathways within the WDA aligning the employment, training,
education and supportive services available? If yes, describe:
6. Identified proven and promising strategies and initiates for meeting the needs of employers, workers and job seekers and disseminating information on proven and promising practices carried out in other WDAs for meeting such needs?
7. Have strategies been implemented to maximize the accessibility and effectiveness of the local system
through use of technology? If yes, describe:
Have strategies increased service:
To remote areas? Meeting needs of individuals with barriers to employment? Leveraged resources and capacity of the workforce development system?
8. Has the WDB conducted oversight of WIOA activities, the one-stop delivery system and the appropriate
use and management of WIOA funds in conjunction with the CEO?
Developed an oversight policy/procedures Developed an oversight schedule Identified actions to be taken when deficiencies are identified
Completed any oversight activities in the last 12 months? If yes reports must be submitted with questionnaire.
9. Has the WDB developed and implemented a certification process for the one-stop center(s)?
When was most recent certification completed? Affiliate sites?
10. Has the WDB negotiated funding for the infrastructure costs of one-stop centers in your WDA? If no
describe attempts, progress, status. If yes, describe arrangements.
11. Has the WDB developed a system for receiving applications, evaluating and approved service providers?
Youth Eligible Training Providers
One-Stop Operators
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12. Has the WDB developed a line item budget for the activities of the board?
13. Has the WDB developed a system for assessment of the physical and programmatic accessibility of the
one-stop center(s) in accord with WIOA sec. 188?
Are there written procedures?
Is there a written assessment? Provide most recent.
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Monitoring
Report
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Compliance Findings &Action Required When the monitor finds a practice that appears to be in violation of law, rule, or policy.
Any time documentation is missing for enrollment, eligibility, data validation, etc. this
would be a compliance finding. The Compliance Finding would be immediately followed
by Action Required. The compliance finding will reference the law, regulation, or policy
that is not being followed.
Action Required: The action the provider must take to resolve the Compliance Finding.
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Area(s) of Concern When the monitor finds a practice that might lead to non-compliance of law, rule, or
policy. This would be used for a questionable practice but not a practice that is definitely
out of compliance. In the report the monitor would word this as a matter of technical
assistance or chance for improvement. Depending on the concern, the provider may or may
not respond to these on the report. The Area of Concern should be followed by a
recommendation.
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Questioned Cost:
Used when monitors find unallowable purchases and/or incorrect or documentation is
missing for activities, services or payments that were made with program dollars. The
payment is questioned until the provider has a chance to respond and resolve the
discrepancy.
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Best/Promising Practices
Best Practice: Analysis of outcome data indicates that exceptional programming or service
delivery is being produced by the provider.
Promising practice: Work that is recognized by the monitor during or after the monitoring
process as promising but not yet sufficiently substantiated through data collection and outcome
measures