<p> Attachment 1</p><p>WIA/WAGNER-PEYSER ADMINISTRATIVE REVIEW</p><p>DATE: ______REVIEW PERIOD: ______</p><p>SITE: ______</p><p>DIRECTOR: ______PHONE/FAX: ______</p><p>MONITOR(S): ______</p><p>STAFF INTERVIEWED: ______</p><p>______</p><p>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.</p><p>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:</p><p>3. Local Workforce Investment Board: a. Is board certification current? If not, explain:</p><p> 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?</p><p> c. How often does the board meet? Is the agenda published? Are minutes provided?</p><p> d. What is the subcommittee structure? What are the primary responsibilities of each subcommittee?</p><p> e. Describe the process the board utilizes to review and/or initiate new policies, and set agency priorities:</p><p> f. Describe how the board exercises its oversight responsibility:</p><p> g. Describe other activities or accomplishments of the board:</p><p> h. Is your board a 501c3? If so, describe its activities or accomplishments as a non-profit:</p><p>2 4. Youth Council : a. What is the status of youth council membership? How many vacancies are there and from what sectors?</p><p> b. How often does the council meet? Is the agenda published? Are minutes provided?</p><p> 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:</p><p> d. Describe other activities or accomplishments of the council:</p><p>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</p><p> b. What is the status of any MOU not signed and in place?</p><p> 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?</p><p>3 c. Describe any problems that may be occurring with a partner MOU; or identify partnerships that are examples of best practices:</p><p>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?</p><p> b. Identify any subcontractors and what programs and services they provide: </p><p> c. Describe any services that are offered on a fee basis. How are the fees determined?</p><p> e. Describe any reorganization of staff that occurred during the review period. Is any further reorganization anticipated?</p><p>4 7. Internal/Subcontractor Monitoring: a. What is the region’s process for internal monitoring? How often? Who conducts the monitoring?</p><p> 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?</p><p> 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?</p><p> d. How are the co-enrolled clients of partner agencies monitored? </p><p> e. Who reviews monitoring reports? Are monitoring reports given to the local workforce board for review?</p><p>8. MIS : a. Describe your security measures to ensure that participant records are confidential as required by state and federal guidelines. </p><p>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?</p><p> 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?</p><p> 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?</p><p> e. What is the region’s policy on co-enrollments both within WIA programs and with partner programs?</p><p> g. What procedures do you have in place to ensure that WIA clients are receiving a service at least every 90 days?</p><p>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</p><p>(3) Date of the most recent version of this policy ______</p><p>______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 ______</p><p>______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 ______</p><p>______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</p><p>7 (4) Date of the most recent version of this policy ______</p><p>______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 ______</p><p>______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 ______</p><p>______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 ______</p><p>______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 ______</p><p>______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</p><p>8 chief-elected official. ____yes ____no (4) Date of the most recent version of this policy ______</p><p>______</p><p> 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 ______</p><p>______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 ______</p><p>______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</p><p>______</p><p>8. Additional WIA Policies and Procedures:</p><p> a. Adult and Dislocated Worker (1) Is self-sufficiency for adult and dislocated workers defined in local policy? </p><p> b. Youth: For eligibility purposes, does your region have a local policy defining and indicating required documentation for: (1) “Deficient in basic literacy skills?” </p><p>9 (2) “Requires additional assistance to complete an educational program, or to secure and hold employment?”</p><p>10 c. Eligible Training Provider (ETP) List: (1) Describe your region’s process for determining eligibility of local training providers </p><p>(2) Describe any marketing that is done to encourage participation of training providers</p><p>(3) What process does the region have to recommend removal of training providers from the ETP list?</p><p> d. WIA Complaint Procedures: (1) Who is responsible for handling formal complaints?</p><p>(2) How and when are customers informed of the complaint process?</p><p>(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?</p><p>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?</p><p> b. Describe the region’s plan for program evaluation and continuous improvement, including customer satisfaction surveys and staff surveys. </p><p> c. What technical assistance and training needs does the region have? In what way can the State provide assistance?</p><p>11</p>