Attachment 1
WIA/WAGNER-PEYSER ADMINISTRATIVE REVIEW
DATE: ______REVIEW PERIOD: ______
SITE: ______
DIRECTOR: ______PHONE/FAX: ______
MONITOR(S): ______
STAFF INTERVIEWED: ______
______
Prior to the on-site review, Workforce System Specialists will request copies of the latest versions of the following documents: Board and youth council membership rosters, by-laws, subcommittee structure, strategic plan; and board certification Internal/subcontractor monitoring procedures and instruments; and the latest annual internal/subcontractor monitoring reports Local MIS and data security policies and procedures Twelve required local policies: o Supportive Services o Priority of Services for Adults o Individual Training Accounts o Sequential Delivery of Services o Eligible Training Provider List o WIA Eligibility o Wagner-Peyser Job Orders and Employer Services o OJT and Customized Training o Internal Monitoring o WIA Grievance Procedure o Credential/Certification o Veterans Priority of Service Sample MOU with partner agency; sample cost sharing agreement Organizational chart as well as names and addresses of service delivery sites or subcontractors.
1. Have you requested or do you anticipate requesting any changes to the geographical makeup of your designated local workforce investment region? If so, describe: 2. Who is the one-stop operator? Have any changes been made or are any changes expected regarding the designation of the one-stop operator(s)? If yes, describe:
3. Local Workforce Investment Board: a. Is board certification current? If not, explain:
b. What is the status of board membership? How many current vacancies are there and from what sectors? Do business members comprise 51%? Is the Chairperson from the business sector?
c. How often does the board meet? Is the agenda published? Are minutes provided?
d. What is the subcommittee structure? What are the primary responsibilities of each subcommittee?
e. Describe the process the board utilizes to review and/or initiate new policies, and set agency priorities:
f. Describe how the board exercises its oversight responsibility:
g. Describe other activities or accomplishments of the board:
h. Is your board a 501c3? If so, describe its activities or accomplishments as a non-profit:
2 4. Youth Council : a. What is the status of youth council membership? How many vacancies are there and from what sectors?
b. How often does the council meet? Is the agenda published? Are minutes provided?
c. Describe how the youth council fulfills it responsibilities to recommend eligible providers of youth services, conduct oversight of youth services, and coordinate youth activities; and how the council obtains board approval for these activities:
d. Describe other activities or accomplishments of the council:
5. Memoranda of Understanding (MOU): a. Does the region have a signed MOU for each of the required partners? 1) CDLE – UI and Vets ____yes ____no 2) Jobs Corps ____yes ____no 3) Adult Education ____yes ____no 4) Vocational Rehabilitation ____yes ____no 5) Carl Perkins postsecondary vocational education ____yes ____no 6) Community Services Block Grant emp. & trg. ____yes ____no 7) HUD employment and training programs ____yes ____no 8) Title V Older Americans Act programs ____yes ____no
b. What is the status of any MOU not signed and in place?
c. Does the sample MOU describe the services to be provided through the one-stop system; how the costs of those services will be funded; methods for referring individuals between the one-stop and the partner; duration of the MOU; and procedures for amending the MOU?
3 c. Describe any problems that may be occurring with a partner MOU; or identify partnerships that are examples of best practices:
6. One-Stop System : a. Identify all full-service and satellite sites you directly operate and describe whether they are full-service, partial service, or targeted to particular client groups. Indicate what partner agencies are co-located and how their services are integrated into the one-stop system. What specific financial or in-kind contributions do the co-located partners make to the operation of the one-stop?
b. Identify any subcontractors and what programs and services they provide:
c. Describe any services that are offered on a fee basis. How are the fees determined?
e. Describe any reorganization of staff that occurred during the review period. Is any further reorganization anticipated?
4 7. Internal/Subcontractor Monitoring: a. What is the region’s process for internal monitoring? How often? Who conducts the monitoring?
b. Describe the internal file review process. How many files are reviewed from each WIA and Wagner-Peyser program? How often? Who conducts the file review?
c. Describe the monitoring process for subcontractors. Who conducts the monitoring? What technical assistance is provided? How are corrective actions or contract terminations handled? Any issues at this time?
d. How are the co-enrolled clients of partner agencies monitored?
e. Who reviews monitoring reports? Are monitoring reports given to the local workforce board for review?
8. MIS : a. Describe your security measures to ensure that participant records are confidential as required by state and federal guidelines.
5 b. Describe the policies and procedures for assigning user Ids and levels of access to JobLink. Do staff sign a data confidentiality and data release document agreeing to comply with your policies?
c. What procedures do you have in place to ensure that data entry occurs in a timely manner? What deadlines have been set for data entry? Who enters the data?
d. What policies and procedures does the region have to ensure a consistent process for determination of program eligibility? Do the policies and procedures address the necessity to obtain written documentation? How is self-attestation addressed?
e. What is the region’s policy on co-enrollments both within WIA programs and with partner programs?
g. What procedures do you have in place to ensure that WIA clients are receiving a service at least every 90 days?
6 9. Required Local Policies: The WSS will conduct a desk review of local policies to determine if they are in compliance with PGL requirements. At the on-site review, the WSS will initiate a discussion regarding any policies that he/she has identified as needing modification and that are not signed and in place. ______a. Supportive Services (PGL 00-11-WIA1) ____yes ____no (1) Includes requirement for documenting that non-WIA resources are unavailable to provide supportive services ____yes ____no (2) Defines types of services, any limits on services and the approval/exception process. ____yes ____no
(3) Date of the most recent version of this policy ______
______b. Priority of Services for Adults (PGL 00-12-WIA1) ____yes ____no (1) Includes public assistance and low income individuals ____yes ____no (2) Defines low income ____yes ____no (3) Identifies when funds are considered to be limited ____yes ____no (4) Date of the most recent version of this policy ______(5) Dates this policy was invoked during PY05 ______
______c. Individual Training Accounts (PGL 00-15-WIA1) ____yes ____no (1) Addresses customer choice ____yes ____no (2) Includes requirement to document client need for training, demand occupation, and eligible training provider ____yes ____no (3) Includes requirement to document how non-WIA sources of funding were sought first ____yes ____no (4) Defines criteria for approving and disapproving ITAs ____yes ____no (5) Identifies exceptions to use of ITAs ____yes ____no (6) Date of the most recent version of this policy ______
______d. Sequential Delivery of Services (PGL 00-16-WIA1) ____yes ____no (1) Allows for universal access to core services (non-WIA registered) ____yes ____no (2) Identifies eligibility for WIA core, intensive, and training services and the requirement to document eligibility ____yes ____no (3) Defines “self-sufficiency” ____yes ____no
7 (4) Date of the most recent version of this policy ______
______e. Eligible Training Provider List (PGL 00-23-WIA1) ____yes ____no (1) Identifies local board responsibilities ____yes ____no (2) Establishes local approval process ____yes ____no (3) Requires use of the ETP list for ITAs ____yes ____no (4) Provides for consumer access to the ETP data ____yes ____no (5) Date of the most recent version of this policy ______
______f. WIA Eligibility (PGL 01-03-WIA1) ____yes ____no (1) Identifies requirement for ensuring consistency in eligibility determinations ____yes ____no (2) Includes requirement for obtaining eligibility documentation ____yes ____no (3) Date of the most recent version of this policy ______
______g. Wagner-Peyser Job Orders & Employer Services (PGL 01-04-WP1) ____yes ____no (1) Identifies when job orders can be accepted or refused ____yes ____no (2) Identifies when employer services can be discon- tinued or refused ____yes ____no (3) Identifies quality control procedures for job orders ____yes ____no (4) Date of the most recent version of this policy ______
______h. OJT and Customized Training (PGL 01-08-WIA1) ____yes ____no (1) Identifies criteria for developing and approving OJT contracts ____yes ____no (2) Identifies criteria for developing and approving customized training contracts ____yes ____no (3) Defines “self-sufficiency” for employed workers ____yes ____no (4) Date of the most recent version of this policy ______
______i. Internal/Subcont. Monitoring (PGL 01-09-WIA1) ____yes ____no (1) Includes requirement for annual internal and subcontractor monitoring ____yes ____no (2) Identifies requirements for administrative, MIS, financial, and program monitoring ____yes ____no (3) Includes requirements for submission of annual written reports to the director, board chair, and
8 chief-elected official. ____yes ____no (4) Date of the most recent version of this policy ______
______
j. WIA Grievance Procedure (PGL 01-11-WIA1) ____yes ____no (1) Identifies how clients will be notified regarding their grievance and appeal rights ____yes ____no (2) Describes the grievance and appeals procedures ____yes ____no (3) Date of the most recent version of this policy ______
______k. Credential/Certification (PGL 01-13-WIA1) ____yes ____no (1) Identifies types of credentials that will be recognized by the local board ____yes ____no (2) Describes documentation needed to support achievement of a credential ____yes ____no (3) Date of the most recent version of this policy ______
______l. Veterans Priority of Service (PGL 04-17-V; TAN #05-1)____yes ____no (1) Identifies methods of recruitment, veteran notification, and intake and enrollment procedures ____yes ____no (2) Provides assurances regarding current or future subcontractors ____yes ____no (3) Describes measuring, tracking, and reporting procedures ____yes ____no (4) Includes a commitment to includes vets priority of services in discretionary grants ____yes ____no (5) Indicates impact on adult priority of service policy ____yes ____no
______
8. Additional WIA Policies and Procedures:
a. Adult and Dislocated Worker (1) Is self-sufficiency for adult and dislocated workers defined in local policy?
b. Youth: For eligibility purposes, does your region have a local policy defining and indicating required documentation for: (1) “Deficient in basic literacy skills?”
9 (2) “Requires additional assistance to complete an educational program, or to secure and hold employment?”
10 c. Eligible Training Provider (ETP) List: (1) Describe your region’s process for determining eligibility of local training providers
(2) Describe any marketing that is done to encourage participation of training providers
(3) What process does the region have to recommend removal of training providers from the ETP list?
d. WIA Complaint Procedures: (1) Who is responsible for handling formal complaints?
(2) How and when are customers informed of the complaint process?
(3) How many and what types of formal complaints have occurred during the review period? How does the region use these complaints to improve programs and processes?
9. Training/Continuous Improvement: a. Describe the major types of staff training that have been provided during the review period. What additional training is anticipated?
b. Describe the region’s plan for program evaluation and continuous improvement, including customer satisfaction surveys and staff surveys.
c. What technical assistance and training needs does the region have? In what way can the State provide assistance?
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