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2017-18 MONITORING GUIDE—PROGRAM INTERVIEW GUIDE FOR SERVICE PROVIDER STAFF

WDA: Date of Review:

DET Reviewer(s):

Staff Interviewed:

**Target Duration: 90 minutes**Format: In-person or Conference Call

PURPOSE: Oversight and monitoring of the Workforce Development Board's Adult, Dislocated Worker, and Youth programs is conducted annually to:

Ensure compliance with the Workforce Innovation and Opportunity Act (WIOA), its regulations, other applicable federal and state laws, administrative provisions, and local policies;

Review continued changes made toward the goal of full WIOA implementation;

Review successes and opportunities for improvement;

Identify positive practices, and share positive practices from other areas; and

Identify technical assistance needs.

Career planners, and their immediate supervisors, play a key role in ensuring the quality of service delivery, documentation, and ASSET data entry. As frontline staff with the most frequent interaction with participants, career planners' insights are vital to the monitoring process.

It is also important that service provider staff members demonstrate an in-depth understanding of the federal, state, and local policies governing WIOA programming, and how their actions in the field affect performance outcomes.

2017-18 Monitoring Guide—Service Provider InterviewFinal 5/30/2017

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ELIGIBILITY

STANDARD: Adult, Dislocated Worker, and Youth eligibility must comply with WIOA Federal Regulations and DWD's Guide to WIOA Title 1B Eligibility Determination and Documentation. Failure to meet eligibility requirements could result in disallowed costs. Career planners must also ensure that eligibility criteria recorded in the participant file is consistent with the data entered in ASSET.

REFERENCES: WIOA Final Regulation 680.120-680.130 (Adult and Dislocated Worker eligibility) WIOA Final Regulation 681.200-681.320 (Youth eligibility) Training and Employment Guidance Letter (TEGL) 19-16: Guidance on Services provided through

the Adult and Dislocated Worker Programs under the Workforce Innovation and Opportunity Act (WIOA) and the Wagner-Peyser Act Employment Service (ES), as amended by title III of WIOA, and for Implementation of the WIOA Final Rules

TEGL 21-16: Third Workforce Innovation and Opportunity Act (WIOA) Title I Youth Formula Program Guidance

DWD's WIOA Program Guidance for Adult, Dislocated Worker, and Youth Programs (3/18/2016) DWD's Guide to WIOA Title 1B Eligibility Determination and Documentation (7/2015) DWD's Adult and Dislocated Worker Programs Guide to Participant Case File Documentation

(7/2015) DWD's Youth Program Guide to Participant Case File Documentation (7/2015)


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1. How do career planners ensure the information provided on the WIOA application form is accurate at the time of intake? What is the process for correcting inaccurate information to ensure that data entered in ASSET is accurate, and matches information contained in the participant file?

Indicator(s) WDB Response Interview techniques Timeliness of data entry Knowledge of ASSET data

fields

Finding Area of Concern Acceptable Positive Practice

Explanation/Comments:


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2. Has the WDB established additional Priority of Service categories? What procedures are used to determine whether a participant falls into a POS category? What process is used to notify the WDB of a POS participant?

Indicator(s) WDB Response Knowledge of federal, state,

and local policies Service provider level

tracking vs. WDB level tracking

Formal/informal process




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TRAININGSTANDARD: Job upskilling and retraining is a crucial component of WIOA programming for Adults, Dislocated Workers, and Youth. WIOA places significant emphasis on the use of work-based learning opportunities, including the integration of Registered Apprenticeship, authorization of transitional jobs, and added emphasis on paid and unpaid work experiences for youth.

REFERENCES: WIOA Section 134(c)(3) (Training Services) WIOA Section 129 (c)(1)(c) (ITAs for Youth) WIOA Final Regulation 680.190 (Transitional Jobs) WIOA Final Regulation 680.200-680.230 (Subpart B—Training Services) WIOA Final Regulation 681.460 (Youth Program Elements), 681.480 (Pre-apprenticeship),

681.540 (Occupational Skills Training), 681.550 (Youth ITAs), 681.560 (Entrepreneurial Skills Training), 681.590-681.600 (Work Experience)

TEGL 19-16: Guidance on Services provided through the Adult and Dislocated Worker Programs under the Workforce Innovation and Opportunity Act (WIOA) and the Wagner-Peyser Act Employment Service (ES), as amended by title III of WIOA, and for Implementation of the WIOA Final Rules





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3. How is it determined that an individual is eligible for training services? What tools are used to determine that an individual needs WIOA assistance for training? How are these things documented?

Indicator(s) WDB Response Use of assessments IEP/ISS development process ASSET case notes Knowledge of local policies Use of ITAs for youth Coordination of funds Budget review FAFSA/other financial aid




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4. What tools are used to show that a training program is directly linked to employment opportunities in the local area? How is this documented?

Indicator(s) WDB Response LMI data (JCW, WorkNet,

O*Net, etc.) IEP/ISS development process ASSET case notes Knowledge of local policy




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5. What strategies are in place to encourage the use of work-based learning opportunities with enrolled participants? (OJT, work experience, transitional jobs, registered apprenticeship, etc.) For youth, include the process used to ensure that at least 20% of WIOA youth funds will be used to provide work experience.

Indicator(s) WDB Response Knowledge of work-based

learning types Coordination with WDA

business services Knowledge of Youth and

Registered Apprenticeship resources

LMI data Knowledge of local policy Local tracking mechanism

for 20%




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ASSESSMENTS & IEP/ISSSTANDARD: The success of a participant is dependent upon a solid foundation of comprehensive qualitative and quantitative assessments and development of strong Individual Employment Plans (IEPs) for Adult and Dislocated Worker participants, and Individual Service Strategies (ISSs) for Youth participants. In the absence of strong assessment and IEP/ISS development processes, and quality documentation of those processes, participant outcomes and local and state performance outcomes are likely to suffer.

REFERENCES: WIOA Final Regulation 680.170 (Individual Employment Plans) WIOA Final Regulation 680.420(a)(2) (Individual Service Strategy) TEGL 19-16: Guidance on Services provided through the Adult and Dislocated Worker Programs

under the Workforce Innovation and Opportunity Act (WIOA) and the Wagner-Peyser Act Employment Service (ES), as amended by title III of WIOA, and for Implementation of the WIOA Final Rules





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6. Describe the process used to develop the IEP/ISS. How are assessments used in the development of the IEP/ISS? What specific role(s) do participants serve in the development of their IEP/ISS? How do career planners ensure that appropriate information/services are included in

the IEP/ISS? How do career planners track timeframes for required updates to ensure compliance

with state and local policies?

Indicator(s) WDB Response Knowledge of various

assessment tools, and areas of assessment

Participant involvement in IEP/ISS development

ASSET data entry Internal tracking

mechanisms Knowledge of local IEP/ISS

policy Local Plan, Section VI.H.3 Process for avoiding

redundant assessments




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SERVICE PROVISION & CAREER PLANNINGSTANDARDS: WIOA requires strong collaboration between required partners within American Job Centers, and encourages co-enrollment among required and additional One-Stop partners when beneficial to meet the client's needs. WIOA strengthens the performance accountability system to ensure Federal investments in employment and training programs are accountable to job seekers, employers, customers, and tax payers. WIOA legislation aligns programs by placing responsibility for a State's performance success upon all the core partners. WIOA also places emphasis on business involvement in the workforce system by adding new information collection requirements for the business services indicator(s) of performance.

WIOA shifted the emphasis of the Youth program from in-school-youth to out-of-school-youth, requiring that at least 75% of the annual youth allotment be spent on eligible OSY.

WDBs must ensure that case management and ASSET entry comply with federal, state, and local policies. Key indicators of success include participant files that demonstrate compliant participant contact and IEP/ISS updates, correspond with ASSET data entry, show strong use of assessment tools in the career planning process, demonstrate detailed management of services in ASSET, and are exited in a timely manner and based on allowable criteria. WIOA requires that participants exit as of the last date of service, determined when 90 days have passed without the participant receiving additional service(s) and there are no plans to provide the participant with future services. (Self-Services, Information-only services or activities, or follow-up services do not apply as additional services.)

REFERENCES: WIOA Final Regulation 678.435-678.440 (Business Services) WIOA 129(a)(4) (Out-of-School Priority) WIOA Final Regulation 677.150(c) (Exits) TEGL 19-16: Guidance on Services provided through the Adult and Dislocated Worker Programs

under the Workforce Innovation and Opportunity Act (WIOA) and the Wagner-Peyser Act Employment Service (ES), as amended by title III of WIOA, and for Implementation of the WIOA Final Rules



(7/2015) DWD's Youth Program Guide to Participant Case File Documentation (7/2015) ASSET User Guide


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7. Describe the ways you work with WIOA core program partners, and other One-Stop system partners (other Title I programming and Titles II, III, and IV):

To serve participants. To serve local area businesses.

Provide examples of collaborative Business Service efforts.What are the benefits of partnering? Challenges?

Indicator(s) WDB Response Knowledge of Job Center

partners Examples of partnership and

co-enrollment Knowledge of allowable Title

I assistance with ABE services

Services for youth available through One-Stop System

Establishment of functional teams

Knowledge of system-wide events

Dissemination of partner information to participants, including business service information

LMI data Party to MOU




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8. Describe strategies in place to ensure that at least 75% of WIOA Youth funds will be used to serve Out-of-School Youth. What barriers are you facing in recruiting OSY, and how are you addressing them?

Indicator(s) WDB Response Creative recruitment

techniques Knowledge of the local OSY

population Coordination with

Independent Living/Foster care agencies, social service/public assistance agencies, local secondary and post-secondary training institutions, etc.




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9. Describe strategies used to keep participants engaged and active in WIOA programming.How do career planners track participant contacts to ensure compliance with the local plan's participant contact requirements (i.e. maintain monthly contact)?

Indicator(s) WDB Response Workshop offerings Employer events Participant events Participant contact

methods/strategies (i.e. use of social media, texting, etc.)

ASSET Internal tracking

mechanisms IEP/ISS development process




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10. What criteria are used to determine when it is appropriate to exit a participant? How is this tracked?

Indicator(s) WDB Response Knowledge of federal, state,

and local exit policy Knowledge of ASSET system-

generated exit process Knowledge of exclusionary

exits and required documentation

ASSET data entry—what triggers an exit

Positive vs. Negative outcomes

ASSET System Reports




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INTERNAL MONITORING

STANDARD: It is expected that both service providers, and local WDBs, will take an active role in ensuring the integrity of service provision to participants, file maintenance, and ASSET data entry. This can be measured by the frequency and quality of professional development opportunities and program monitoring.

Career planners cannot be effective in their roles if they do not receive adequate training on federal, state, and local policies, data systems, effective assessment tools, partner agency offerings, and other related information; or if they are not notified of policy changes. DET expects that both service provider agencies and local WDBs will actively seek out, provide, and encourage participation in professional development activities for all service provider staff.

REFERENCES: WIOA Section 116 TEGL 22-15: Program Year (PY) 2015/Fiscal Year (FY) 2016 and PY 2014/FY 2015 Data Validation

and Performance Reporting Requirements and Associated Timelines Local policies

11. What roles do the local WDB and your agency serve in providing career planner training, program oversight, quality assurance, file monitoring, etc.?

Indicator(s) WDB Response Local training offered within

the past 12-months State-sponsored and other

trainings attended within the past 12-months

Frequency of service provider and WDB monitoring

Additional monitoring processes (i.e. all files reviewed prior to exit, etc.)




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