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Workforce Innovation and Opportunity Act

Adult Monitoring E-GUIDE

Minnesota Department ofEmployment and Economic Development

Workforce Development Division

Revised July 1, 2015

Adult Monitoring Guide Page

Table of ContentsTable of Contents.........................................................................................................................3Introduction.................................................................................................................................4References...................................................................................................................................4E-Guide Information....................................................................................................................5

Major Revisions:.....................................................................................................................5Acronyms.....................................................................................................................................5Notes............................................................................................................................................6

General Information................................................................................................................6Reporting................................................................................................................................6Persons Interviewed................................................................................................................7

Career Services............................................................................................................................8References...............................................................................................................................8

Desk Review................................................................................................................................8Onsite Review..............................................................................................................................9

Career Services.......................................................................................................................9Eligibility/Enrollment...........................................................................................................10Training Services..................................................................................................................10Eligible Training Providers...................................................................................................12Priority and Special Populations...........................................................................................13Support Services...................................................................................................................14

Lists of Allowable Career Services...........................................................................................14Required Services.................................................................................................................14Training Services..................................................................................................................17

Reporting and Data Management..............................................................................................18References.............................................................................................................................18

Onsite Review............................................................................................................................18Staff Training........................................................................................................................18Data Control..........................................................................................................................19Holding, Planned Extended Leave, and Partnering..............................................................19

Performance Accountability......................................................................................................21References.............................................................................................................................21

Desk Review..............................................................................................................................22Onsite Review............................................................................................................................22

Performance – WF1..............................................................................................................22Performance – MN Performs................................................................................................23Supplemental Data................................................................................................................24

Financial Management..............................................................................................................24Desk Review.........................................................................................................................24Financial Reconciliation.......................................................................................................25

Equal Opportunity/Affirmative Action/Grievance Compliance................................................26Participant File Review.............................................................................................................27

References.............................................................................................................................27Participant File Review Check List WIOA ADULT PROGRAM.........................................28

Adult Monitoring Guide

IntroductionThis Guide is designed to determine whether the Grantee and/or its subrecipient(s) have developed and implemented a comprehensive set of plans, policies and procedures to ensure that the criteria established for participants in the various Workforce Innovation and Opportunity Act (WIOA) activities are met and that administrative management requirements are met. This responsibility should be found at the Grantee and the subrecipient/contractor level. The local Unified Plan (LUP)/Annual Assessment and previous monitoring reports (if applicable) will be reviewed as they relate to the various sections of this Guide.

Each Grantee/Subrecipient visit will be preceded by a desk review of all pertinent material available at the Workforce Development Division (WDD). The onsite portions of this review will obtain the needed information by using the discussion questions listed in that portion and a review of any related Grantee policies. The file review will verify that activities are appropriate and comply with Federal law and regulation and State policies.

The entrance conference will include:Scope of the visit

subject matter method of review

Review of applicable sections of the law, regulations and State and/or local policiesResults

exit conference (establish date and time, if possible) written report

At the exit conference, the Field Representative will present all tentative findings. Any additional information the Grantee Director or designee can provide should be incorporated at this point. Grantee and subrecipient requests for technical assistance should be noted and raised later at the WDD for resolution.

Findings may include: a corrective action plan a deadline for corrective action completion follow-up on completed corrective action to verify its implementation

A report and cover letter will be prepared within sixty (60) days of the completion of the onsite review.

ReferencesThis guide contains questions based on local policies, which you may want to refer to prior to the on-site visit. The monitor will need copies of.

Follow Up Services Policy Priority of Services Policy Supportive Services Policy Holding, Planned Extended Leave, and Partnering (If more restrictive than DEED Policy) Data Control Policy (If more restrictive than DEED Policy) Supplemental Data Policy Credential Verification Policy Sub Contract Financial Reconciliations


E-Guide InformationTo avoid loss of input data, save this guide to your computer before entering information. Narrative fields will expand to accommodate input.

Major Revisions:July 1, 2015

Changes made from WIA to WIOA law. Please note: Final Regulations not in place at the time of this update; links to law/policy will be updated when final regulations are in place.

AcronymsAA Affirmative actionADA Americans with Disabilities ActCBO Community Based OrganizationCFDA Catalogue of Federal Domestic AssistanceCFR Code of Federal RegulationDEED Department of Employment and Economic DevelopmentDHP Displaced Homemaker ProgramDOT Dictionary of Occupational TitlesEEO Equal employment opportunityEO Equal opportunityFDIC Federal Deposit Insurance CorporationFICA Federal Insurance Contribution ActFSLIC Federal Savings & Loan Insurance CorporationFSR Financial Status ReportHUD Housing and Urban DevelopmentIRCA Immigration Reform and Control ActITA Individual Training AccountLUP Local Unified PlanLWIB Local Workforce Investment BoardMIS Management information systemMOU Memorandum of UnderstandingNAFTA North America Free Trade ActOJT On-the-job trainingOMB Office of Management and BudgetPAU Program Audit UnitRFP Request for proposalRPR Reimbursement Payment RequestSAA Single Audit ActSNAP Supplemental Nutrition Assistance ProgramTAA Trade Assistance ActTANF Temporary Assistance for Needy FamiliesWDD Workforce Development DivisionWF1 Workforce OneWFC WorkForce CenterWIA Workforce Investment ActWIOA Workforce Innovation and Opportunity ActWSA Workforce Service Area

Minnesota Department of Employment and Economic Development


NotesGeneral Information

Grantee: Click here to enter text.

Grant Number: Click here to enter text.

Start/End Dates: Click here to enter text.

Date(s) of Visit: Click here to enter text.

Monitored by: Click here to enter text.

Funding Level: $ Click here to enter text.

Modification Summaries 1: Click here to enter text.

2: Click here to enter text.

Are any (additional) modifications in process or anticipated? ☐ Yes ☐ No

If yes, please summarize:

Click here to enter text.

WF1 ReportingPlease indicate where data for this grant is captured in WF1:

Scope:COFFR levelState levelFunding:☐ Program level

Choose an item.Adult☐ Other – enter other and/or additional programs here☐ Other – enter other and/or additional programs here☐ Other – enter other and/or additional programs here☐ Other – enter other and/or additional programs here

☐ Funding Stream Category levelChoose an item.Adult Projects☐ Other – enter other and/or additional programs here☐ Other – enter other and/or additional programs here☐ Other – enter other and/or additional programs here☐ Other – enter other and/or additional programs here

☒ Funding Stream levelWIOA AD formula

☐ Custom Program levelEnter name of custom program exactly as it appears on WF1


Persons Interviewed

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Career ServicesThis section is designed to review the delivery of adult services.

References

WIOA Public Law No: Final Regulations Pending

IRS and Tax LawFICA

PoliciesDEED Eligibility Determination

Performance StandardsSupport ServicesTraining Services (Policy update pending.)WIOA Certification for Training Programs (Policy update pending.)Supplemental Wage Information

Public LawP.L. 99-603 Immigration Reform and Control

WIOA Federal Regulations20 CFR Sections:680.100 Career Services Final Regulations Pending680 Individual Training Accounts Final Regulations Pending

Needs Related Payments Final Regulations PendingPriority and Special Populations Final Regulations PendingProvision of Supportive Services Final Regulations Pending

WIOA Law Final Regulations PendingSections:134(2) Required Employment and Training Activities

Final Regulations Pending134(d) Permissible Employment and Training Activities


http://www.doleta.gov/wioa/







http://www.uscis.gov/sites/default/files/ilink/docView/PUBLAW/HTML/PUBLAW/0-0-0-15.html

https://apps.deed.state.mn.us/ddp/PolicyDetail.aspx?pol=271





http://www.irs.gov/taxtopics/tc756.html



Final Regulations Pending

Desk ReviewReview the Grantee Budget and Activities Plan for providing career and training services.

Onsite ReviewCareer Services

Are career services provided at one or more WorkForce Centers (WFC) in your local area? ☐ Yes ☐ No

If yes, where are the WorkForce Centers located?


Have subcontract agreements been entered into for any or all career services?☐ Yes ☐ No

If yes, with whom and for how much?

Click here to enter text.Monitor will obtain a copy of sub-grant agreements.

If yes, is there an annual review conducted of the financial and program servicesprovided?Monitor will obtain financial and program service review reports.

☐ Yes ☐ No

Are there other affiliated sites or specialized centers providing career services?☐ Yes ☐ No

If yes, where are they located?


Are all required career services being provided? (Ref: WIOA Law sec.#131(B)(2)), and(Ref: WIOA 20 CFR reg. sec.#680.120, and sec.#680.130) ☐ Yes ☐ No

Do you provide follow up services for a minimum of 12 months following the first dayafter exit? (Ref: WIOA 20 CFR reg. sec. #680.150) ☐ Yes ☐ No

If yes, what services are provided?


If yes, Do you have an internal Follow Up Services policy? ☐ Yes ☐ NoMonitor will obtain a copy of Grantee’s Follow Up Services policy.

At what point do you require participants to enter their résumés into Minnesota works?

https://www.minnesotaworks.net/




How is the need for career services determined and documented for the unemployed worker?


Are there services available for the underemployed worker? (Ref: WIOA 20 CFR reg. sec.#680.210) ☐ Yes ☐ No

If yes, please elaborate:


What diagnostic assessment(s) or tool(s) do you utilize?


To whom are these assessments administered?


How do you determine which assessment(s) to use on each participant?


Eligibility/Enrollment

Who determines program eligibility for participants?


Which of the following eligibility/enrollment information/documentation is obtained from participants?☐ Birth Date verification (Age – Over 18) ☐ Math/Reading Assessment (Basic Skills)☐ Citizenship/Right to Work documentation ☐ Public Assistance, verification☐ Complaint/Discrimination form, signed/dated ☐ Selective Service – verification of compliance☐ Data Privacy/Tennessen form, signed/dated ☐ Social Security Number documentation☐ DD-214, where applicable (Veteran Status) ☐ Unemployment Insurance verification☐ Income verification ☐ Wage Detail Consent form, signed/dated☐ Lay off letter/employer lay off list ☐ Click here to enter text.☐ Long-term unemployed, verification ☐ Click here to enter text.

Training Services

Has a process been developed for determining self-sufficiency standards for individualsto receive training? (Ref: WIOA 134(a)(3)(A)(xii)) ☐ Yes ☐ No

What career services are provided before a participant can receive training services? (Ref: WIOA 20 CFR reg. sec.#680.220)




Are priority for WIOA training services given to veterans, recipients of public assistance,low-income individuals, and individuals who are basic deficient? ☐ Yes ☐ No

Are training services available to employed adults? ☐ Yes ☐ No

Do you provide Work-Based Training? ☐ Yes ☐ No

How is the need for training services determined and documented? (Ref: WIOA 20 CFR reg. sec.#680.200, and sec.#680.210)


What requirements are in place to coordinate WIOA training funds and other grant assistance? (Ref: WIOA 20 CFR reg. sec.#680.230)


What criteria must be met prior to receiving training services? (Ref: WIOA 20 CFR reg. sec.#680.210)


How are participants determined to have the skills and qualifications needed to complete a training program?


How is it documented that the selected training program leads to targeted high-growth and high-wage demand-driven occupations?


How are WIOA training funds and other sources of training funds (Title IV, State funds, loans, TAA, etc.) coordinated? (Ref: WIOA 20 CFR reg. sec.#680.230)Describe or provide examples.


How do you ensure that the completion/graduation date listed on the training credential matches the associated Training Activity “End Date” captured on Workforce One (WF1)?


Do you ever require background checks on participants? ☐ Yes ☐ NoIf yes, please provide details:


Individual Training Accounts (ITA) 680.300

How are training services authorized?



Is there a limit on the duration and amount of an ITA? (Ref: WIOA 20 CFR reg. sec.#680.310) ☐ Yes ☐ No

Under what circumstances may anything other than an ITA be used to provide training services? (680.320)


How are support service expenses and training authorizations documented for participants entering registered apprenticeship programs? (680.330)


How is customer choice taken into account when selecting eligible training providers? (680.340)


Eligible Training ProvidersDo eligible providers of training services include the following: (Check if answer is yes.)

☐ Institutions of higher education that provide a program which leads to a recognized post-secondary credential

☐ Entities that carry out programs registered under the National Apprenticeship Act (29 U.S.C. 50 et seq.)

☐ Other public or private providers of a program of training services, which may include joint labor-management organizations and eligible providers of adult education and literacy activities under Title II if such activities are provided in combination with occupational skills training; and

☐ Local boards, if they meet the conditions of WIOA sec. 107(g) (1) Final Regulations Pending

What is the process for determining initial eligibility for new training providers? (After 7/1/15) (680.450)


What is your process to recertify WIA training providers under WIOA?


What is the procedure for authorizing registered apprenticeship programs that seek to be included on the State’s eligible training provider list? (680.470)


What kind of performance and cost information must eligible training providers provide for each program of training1 ? (680.490)


How is the state list of eligible training providers disseminated? (680.500)


1 A program of training services, as referred to in 680.410(a), is one or more courses or classes, or a structured regimen that leads to: (a) a recognized post-secondary credential, secondary school diploma or its equivalent, (b) employment, or (c)measurable skill gains toward such a credential or employment.





What requirements apply to providers of on-the-job training, customized training, incumbent worker training and other training exceptions? (680.530)


Whom do you contact at DEED regarding eligible training providers? (680.430)


Priority and Special Populations

Review the WF1 Demographic Report. Are you giving priority for program services toveterans, individuals who are basic skills deficient, recipients of public assistance andother low-income individuals? (Ref: WIOA 20 CFR reg. sec. #680.600.)

☐ Yes ☐ NoMonitor will obtain a copy of Grantee’s Priority of Services policy. Locally (WIB determination) who receives priority of service and what documentation are you obtaining to support all priority of service? (WIOA 20 CFR 680.600)

Priority of Service Document Obtained to Support Priority☒ Veterans Click here to enter text.☒ Basic Skills Deficient Click here to enter text.☒ Recipients of public assistance Click here to enter text.☒ Other low income individuals Click here to enter text.☐ Click here to enter local priority Click here to enter text.☐ Click here to enter local priority Click here to enter text.☐ Click here to enter local priority Click here to enter text.☐ Click here to enter local priority Click here to enter text.

Are individuals with disabilities whose incomes are over the income guidelines eligiblefor program services? (680.640)

☐Yes ☐ No

Are individuals receiving Temporary Assistance for Needy Families referred to WIOA?(680.620) ☐ Yes ☐ No

What criteria does a displaced homemaker need to meet to qualify for services under WIOA Adult? (680.630)


Does the definition of a displaced homemaker include the dependent spouse of a member of the Armed Forces on active duty and whose family income is significantly reduced because of a deployment, a call or order to active duty under a provision of law referred to in sec. 101(a) (13) (B) of Title 10, United State Code, a permanent change of station, or the service-connected death or disability of the member?(680.660 (d)) ☐ Yes ☐ No

Is Veterans priority given to individuals with a discharge that is anything other than


http://www.gpo.gov/fdsys/pkg/CFR-2012-title20-vol4/pdf/CFR-2012-title20-vol4-sec663-600.pdf


dishonorable? ☐ Yes ☐ No

How are participants determined to be basic skills deficient?


How is public assistance and low income eligibility documented?


Support Services

What support service policy has been developed to ensure resource and service coordination in the local area?


Does the policy address procedures for referral to such services, including how services will be funded when they are not available from other resources? (Ref: WIOA20 CFR 680.900)

☐Yes ☐ No

Monitor will obtain a copy of Grantee’s Support Service policy

If yes, please explain.


Has the Grantee established limits on amounts and duration of funds for supportservices? (Ref: WIOA 20 CFR reg. sec.#680.920) ☐ Yes ☐ No

If yes, please explain:


When are participants provided support services? (WIOA 20 CFR 680.910)


Are support services entered into WF1?☐

Yes ☐ No

If yes, how do you verify that support services have been entered into WF1?


Does the Grantee provide needs-related payments? ☐ Yes ☐ No

What are the eligibility requirements to receive needs-related payments? (WIOA 20 CFR 680.940)


How is the level of payment determined? (Ref: WIOA 20 CFR 680.970)




Lists of Allowable Career ServicesRequired ServicesThe following is a list of the three types of required career services:

Career services, as identified in sec. 134(c) (2) of WIOA, consist of three types:(a) BASIC CAREER SERVICES must be made available and, at a minimum, must include the following services, as consistent with allowable program activities and Federal cost principles:

* Determinations of whether the individual is eligible to receive assistance from the adult, dislocated worker, or youth programs;* Outreach, intake (including worker profiling and Reemployment Services system of unemployment insurance (UI) claimants likely to exhaust benefits), and orientation to information and other services available through the one-stop delivery system;* Initial assessment of skill levels including literacy, numeracy, and English language proficiency, as well as aptitudes, abilities (including skills gaps), and supportive service needs;* Labor exchange services, including—

(i) Job search and placement assistance, and, when needed by an individual, career counseling, including—

(A) Provision of information on in-demand industry sectors and occupations (as defined in sec. 3(23) of WIOA); and(B) Provision of information on nontraditional employment; (as defined in sec. 3(37) of WIOA);

(ii) Appropriate recruitment and other business services on behalf of employers, including information and referrals to specialized business services other than those traditionally offered through the one-stop delivery system; not in TEGL 3-15

* Provision of referrals to and coordination of activities with other programs and services, including those within the one-stop delivery system and, when appropriate, other workforce development programs;* Provision of workforce and labor market employment statistics information, including the provision of accurate information relating to local, regional, and national labor market areas, including—

(i) Job vacancy listings in labor market areas;(ii) Information on job skills necessary to obtain the vacant jobs listed; and(iii) Information relating to local occupations in demand and theearnings, skill requirements, and opportunities for advancement for those jobs;

* Provision of performance information and program cost information on eligible providers of training services by program and type of providers;* Provision of information, in usable and understandable formats and languages, about how the local area is performing on local performance accountability measures, as well as any additional performance information relating to the area’s one-stop delivery system;* Provision of information, in usable and understandable formats and languages, relating to the availability of supportive services or assistance,


and appropriate referrals to those services and assistance, including: child care; child support; medical or child health assistance available through the State’s Medicaid program and Children’s Health Insurance Program; benefits under Supplemental Nutrition Assistance Program (SNAP); assistance through the earned income tax credit; and assistance under a State program for Temporary Assistance for Needy Families (TANF), and other supportive services and transportation provided through that program;* Assistance in establishing eligibility for programs of financial aid assistance for training and education programs not provided under WIOA. Assistance in establishing eligibility for programs of financial aid assistance for training and education programs not provided under WIOA.* Provision of information and assistance regarding filing claims for unemployment compensation, by which the one-stop must provide meaningful assistance to individuals seeking assistance in filing a claim for unemployment compensation.

(i) ‘‘Meaningful assistance’’ means providing assistance:(A) On-site using staff who are well-trained in UI claims, filing and or acceptance of information necessary to file a claim, or the rights and responsibilities of claimants; or(B) By phone or via other technology, as long as the assistance is provided by trained and available staff and within a reasonable time.

(ii) The costs associated in providing this assistance may be paid for by the State’s UI program, the WIOA Adult or Dislocated Worker programs, the Wagner-Peyser Employment Service or some combination thereof these funding sources.

(b) INDIVIDUALIZED CAREER SERVICES must be made available if one-stop center staff determine that to be appropriate in order for an individual to obtain or retain employment. These services must be available in all one-stop centers. One-stop center staff may use recent previous assessments by partner programs to determine if individualized career services would be appropriate. These services include: * Comprehensive and specialized assessments of the skill levels and service needs of adults and dislocated workers, which may include—

(i) Diagnostic testing and use of other assessment tools; and(ii) In-depth interviewing and evaluation to identify employment barriers and appropriate employment goals;

* Development of an individual employment plan, to identify the employment goals, appropriate achievement objectives, and appropriate combination of services for the participant to achieve his or her employment goals, including the list of, and information about, the eligible training providers (as described in § 680.180 of this chapter);* Group and/or individual counseling and mentoring;* Career planning (e.g. case management);* Short-term pre-vocational services including development of learning skills, communication skills, interviewing skills, punctuality, personal maintenance skills, and professional conduct to prepare individuals for unsubsidized employment or training, in some instances pre-apprenticeship programs may be considered as



short-term pre-vocational services;* Internships and work experiences that are linked to careers (as described in § 680.170 of this chapter);* Workforce preparation activities that help an individual acquire a combination of basic academic skills, critical thinking skills, digital literacy skills and self-management skills, including competencies in utilizing resources, using information, working with others, understanding systems, and obtaining skills necessary for successful transition into and completion of postsecondary education, or training, or employment;* Financial literacy services as described in sec. 129(b)(2)(D) of WIOA and § 681.500 of this chapter;* Out-of-area job search assistance and relocation assistance; and* English language acquisition and integrated education and training programs.

(c) FOLLOW UP SERVICES must be provided as appropriate for participants who are placed in unsubsidized employment, for up to 12 months after the first day of employment. Counseling about the work place is an appropriate type of follow up service. Follow-up services do not extend the date of exit in performance reporting.

Training ServicesTraining services can be critical to the employment success of many adults and dislocated workers. There is no sequence of service requirement for “career services” and training. This means that the Grantee or one-stop center staff may determine training is appropriate regardless of whether the individual has received basic or individualized career services first. Under WIOA, training services may be provided if the Grantee or one-stop center staff determine, after an interview, evaluation or assessment, and career planning, that the individual;

Is unlikely or unable to obtain or retain employment, that leads to economic self-sufficiency or wages comparable to or higher than wages from previous employment through career services alone;

Is 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, through career services alone; and

Has the skills and qualifications to successfully participate in the selected program of training services.

Training services that may be provided include: 1. Occupational skills training (does not include short term one course seminars.

See intensive services) including training for nontraditional employment;2. Programs that combine workplace training with related instruction. May include

cooperative education programs;3. Training programs operated by the private sector;4. Skill upgrading and retraining (non-credential training);5. Entrepreneurial training;6. Adult education and literacy provided in combination with any of the above; and,7. Customized training and apprenticeships with a commitment by the employer(s)

to employ the participant upon successful completion of the training

Work-Based Training1. Registered Apprenticeship


2. On-the-job training (OJT)3. Customized training (WIOA definition)4. Incumbent Worker training5. Transitional Jobs

Reporting and Data ManagementThis section is designed to review the reporting requirements of WIOA, the Grantee's MIS capability to produce required reports, data control, edit procedures, security, and record retention.

References

DOL TEGL39-11 Handling and Protection of Personally Identifiable Information

PoliciesDEED Data Entry and Timeliness

Data Management

WIOA Federal Regulations20 CFR Sections:683.300 Reporting Requirements Final Regulations Pending

29 CFR Sections:95.53 Retention and Access Requirements Final Regulations Pending

WIOA Law Final Regulations Pending.Sections:134(2) Required Employment and Training Activities184 Fiscal Controls; Sanctions185 Reports, Record Keeping, and Investigations

Onsite ReviewDescribe each step involved in data creation and entry.Click here to enter text.

Do all Grantee staff and subrecipients have access to the on-line DEED Policies or aprint copy of the policies? ☐ Yes ☐ No

If no, why not?Click here to enter text.

Do you provide data management for a subrecipient or other partners/employment andtraining organizations? ☐ Yes ☐ No

If yes, describe the service provided, for whom it is provided, and at what cost:Click here to enter text.


https://apps.deed.state.mn.us/ddp/PolicyList.aspx






http://wdr.doleta.gov/directives/attach/TEGL/TEGL_39_11_Acc.pdf


Staff TrainingHave staff received training on WIOA regulations and program definitions?

☐ Yes ☐ NoIf yes, who provided the training? Click here to enter text.

Are any subrecipients doing data entry? ☐Yes ☐ No

If yes, do you monitor the accuracy of the data entry? ☐ Yes ☐ No

If subrecipients are doing data entry, what training was provided to the subrecipients' staff?Click here to enter text.

Data ControlWho enters data into WF1?Click here to enter text.

What is the policy regarding the occurrence of a transaction (i.e. registration, activities, and exit) and the entry of that transaction into the system?

Click here to enter text.Monitor will obtain a copy of local Data Control policy if available.

Are you aware of the DEED policy regarding Data Timeliness Requirements ? ☐ Yes ☐ No

If yes, what are they?Click here to enter text.

Have there been any problems with prompt entry of new registrations or activitytransactions into the system? ☐ Yes ☐ No

If yes, please elaborate:Click here to enter text.

Holding, Planned Extended Leave, and PartneringIs the Grantee aware of the holding activity, when it may be used, and for how long? ☐ Yes ☐ No

Is the Grantee aware of the planned extended leave activity and when it may be used? ☐ Yes ☐ No

Is the Grantee aware of the partnering activity and when it may be used?

☐ Yes ☐ NoDoes the Grantee have any policy more restrictive than the state policy on these activities? ☐ Yes ☐ No



If yes, Monitor will obtain a copy of Grantee’s policy.

If yes, Please elaborate:Click here to enter text.

How is the appropriate use of these activities monitored?Click here to enter text.

What career services entered into Workforce 1 should be consistent with the number of total enrollments on the WF1 Demographic Report?☐ Career Counseling ☐ Staff Assisted Job Search in Area☐ Individual Plan Development ☐ Click here to enter text.☐ Staff Assisted Assessment ☐ Click here to enter text.

☐ Click here to enter text.



Performance AccountabilityEach locality will be responsible for meeting Statewide Performance Common Measures. Upon notification to DEED, local areas can set higher standards to which they will be held responsible.

This section is designed to review the expected levels of performance for each core indicator of performance as specified in the LUP/Annual Assessment as Local Performance Standards.

References

DOL-TEGL15-10 Attachment C

Minnesota Office of Grants Management (OGM)08-10 Policy on Grant Monitoring (Scroll down to 08-10)

PoliciesDEED Credentials and Training

Credentials, Types of Training, and Corresponding Activity in WF1Frequently Asked Questions – Definition of Credential/Certificate (Policy Update Pending)MonitoringPerformance StandardsSupplemental Wage InformationSynopsis of Credentials and Descriptions – DOL TEGL 15-10WIOA Certification for Training Programs (Policy Update Pending)

WIA Federal Regulations20 CFR Sections:677.160 Individuals Included in the Core Measures677.175 Responsibility for Quarterly Wage Information677.180 Sanction for Poor Performance - State677.160 Local Area Performance Indicators677.210 Local Area Performance Levels677.220 Sanction for Poor Performance - Local

WIOA Law Final Regulations PendingSections:116(2) Local Performance Measures116(f) Sanctions185(a) (3) Maintenance of Records


http://www.doleta.gov/usworkforce/wia/wialaw.txt


http://www.gpo.gov/fdsys/pkg/CFR-2012-title20-vol4/pdf/CFR-2012-title20-vol4-part666.pdf

http://www.gpo.gov/fdsys/pkg/CFR-2012-title20-vol4/pdf/CFR-2012-title20-vol4-part666.pdf




https://apps.deed.state.mn.us/assets/policies/pdf/attachmentcdoletasynopsis.pdf




https://apps.deed.state.mn.us/assets/policies/pdf/attachmentbcredentials.pdf

https://apps.deed.state.mn.us/assets/policies/pdf/attachmentacredentials.pdf


http://www.mn.gov/admin/government/grants/policies-statutes-forms/

https://apps.deed.state.mn.us/assets/policies/pdf/attachmentcdoletasynopsis.pdf


Desk ReviewReview the WF1 Demographic Report and the Minnesota Performs Reports (See MN Performs)

Note and discuss any variations

Onsite ReviewPerformance – WF1Date of WF1 Report: From Click to enter date. to Click to enter date.

Participant Plan Planned(Click here Qtr) WF1 Actual % Achieved

Total Enrollment(Total Served)



Click here to enter text. %

Total Terminations(Total Exiters)




Entered Employment(Total Successful Exiters)




Other(Total Terminations – Enter Employment)




Current Enrollment(Total Enrollment – Total Terminations)




Actual ÷ Plan % = % of plan achieved

Monitor’s Notes: Click here to enter text.


https://www.mnworkforceone.com/loginintro.asp

http://www.mnperforms.com/default_PMP.asp


https://www.mnworkforceone.com/

PROGRAM YEAR 2015 STATE PERFORMANCE STANDARDS (Policy Update Pending)

Adult ProgramEntered Employment Rate (Q2 post exit): Employment Retention Rate (Q4 post-exit): Employment and Credential Rate:Average Earnings (median earnings Q2 after exit only)*:Credential Rate (requires 1 year follow up)Measurable Skills Gain (real time measure, not exit based)

* The average earnings standards above reflect two quarters of earnings and apply to the State of Minnesota as a whole. DEED assigns each service provider its own average earnings standard that accounts for regional economic factors.

Performance – MN PerformsDate of MN Performs Report: Click here to enter a date.

Participant Plan Actual LWIA Plan % Achieved

Adult Entered Employment Click here to enter text. % Click here to

enter text. % Click here to enter text. %

Adult Retention Click here to enter text. % Click here to


Adult Avg Earnings Click here to enter text.



Adult Credential Click here to enter text. % Click here to


Measurable Skills Gain Click here to enter text. % Click here to



What corrective action has been taken to improve any measure that is not meeting the performance standard? Click here to enter text.

What is the involvement of the partners/subrecipients in any corrective action?Click here to enter text.

Did you meet all of the previous year’s performance measures? ☐ Yes ☐ No

If no, please elaborate. Click here to enter text.

Supplemental DataWhat is your procedure for verifying an entered employment as required by the




Supplemental Data policy? (DEED Policy, see also Data Validation Process)Click here to enter text.

What is your procedure for verifying credential (degree, diplomas, certificates, licenses, etc.) attainment? Click here to enter text.

Monitor will obtain if Grantee has policy.

Financial ManagementDesk ReviewFSR/RPR date: From Click here to enter a date. to Click here to enter a date.

Click here % Subgrant Admin

Click here % Client Career Services

Click here % Direct Customer Training

Click here % Support Services

Planned(Click here

Qtr)Actual % Achieved

Subgrant Admin(10% maximum)

Click here Click here Click here %

Client Career Services Click here Click here Click here %

Direct Customer Training(50% minimum)


Support Services(15% maximum)


TOTAL Click here Click here Click here %


Will grant be 80% expended by the end of the first year? ☐ Yes ☐ No


Is a budget modification needed? ☐ Yes ☐ No

If yes, please elaborate. Click here to enter text.

Financial Reconciliation



https://apps.deed.state.mn.us/ddp/PolicyList.aspx

Monitor will conduct a financial reconciliation with the Grantee’s fiscal staff.Minnesota’s Office of Grants Management (OGM) policy 08-10 requires one financial reconciliation (can be more than one depending on findings) for a grant award over $50,000.

Financial Reconciliation process includes but is not limited to: Selecting the Financial Status Report (FSR) or Reimbursement Payment

Request (RPR) in advance of the on-site review; Notifying the Grantee of the selected time period; Requesting the general ledger or other financial documentation that supports

total expenditures (column D- Accrued Cumulative Expenditures) for the grant; Review the total monthly expenditures and select expenditures from several cost

categories to trace back to their initial invoices; Program Monitor will obtain supporting documentation for each expenditure

traced back to initial invoices; Reviewing the Cash Advance Payment Request (CAPR) to the total monthly

expenditures for any variances; and This form will be completed by DEED Monitor or by Service Provider’s

Accounting Staff


Have Financial Reconciliations been conducted on sub contract awards of $50,000 ormore?2 ☐ N/A ☐ Yes ☐ No


Monitor will need to see sub contractor(s) Financial Reconciliations.

2 If you enter into a sub contract agreement and the amount of the award is $50,000 or more, you are required to conduct a Financial Reconciliation on sub-contractors. (OGM policy 8-10)


Equal Opportunity/Affirmative Action/Grievance ComplianceAre participants provided the Tennessen Warning (2015 revision) prior to or at the timeof enrollment into the program? ☐ Yes ☐ No

Does the Tennessen Warning include information on how to file a discriminationcomplaint? ☐ Yes ☐ No

If yes, does the information include contact information for DEEDs EqualOpportunity Officer? ☐ Yes ☐ No

Are the “Notice to Public” posters current? (Do they list DEED’s current Office of Diversity and Equal Opportunity officer, Karen Lilledahl?)

☐ Yes ☐ No


Participant File ReviewThis section is designed to review the participant file. A sample of all adult participant files will be reviewed for the following content:

References

PoliciesDEED Data Entry Timeliness Requirements

Eligibility DeterminationEligibility HandbookIndividual Employment PlanParticipant Files/Content/30 Day Review of Files/Termination Policy (Policy under construction)Right to Work (Page 8)Supplemental Wage InformationSupport ServicesSelective Service Registration

Public LawP.L. 99-603 Immigration Reform and Control

WIOA Federal Regulations20 CFR Sections:680.150 Follow up Services Final Regulations Pending680.300 Individual Training Accounts (ITA) Final Regulations Pending

Record Retention Final Regulations Pending

29 CFR Section:37.37(b)(1)(2) Responsibility to Collect and Maintain Data

Final Regulations Pending

WIOA Law Final Regulations PendingSection:185 Maintenance of Records188 Prohibition on Discrimination Against Non-Citizens189(h) Enforcement of Military Selective Service Act






http://www.uscis.gov/sites/default/files/ilink/docView/PUBLAW/HTML/PUBLAW/0-0-0-15.html




https://apps.deed.state.mn.us/assets/policies/pdf/elig_hndbk.pdf


https://apps.deed.state.mn.us/assets/policies/pdf/elig_hndbk.pdf




Participant File Review Check List WIOA ADULT PROGRAMService Provider:Participants Name: AgeFormer/Current Job Title: Wage

Workforce One: Enrollment Date:

Verification of: Complaint/Discrimination Form Birth Date (copy) Data Privacy/Tennessen Form Social Security Number (signed application) (copy) Wage Detail Consent Form Selective Service F DOB (<12/31/59) 26+ Not a Vet Veteran DD214 in file

Economic Eligibility: Family Size Food Stamps (doc req) Homeless Individual w/ a Disability Income Public Assistance (doc req) Single Parent Basic skills deficient DHP Other

Reading/Math Scores: Reading Math

Individual EmploymentPlan: Dated__________

Complete Incomplete Needs updating

WF1 Activities: Classroom Training (Academic/Occupational) Licensed School Customized Training Transitional Jobs Incumbent Worker WIOA Certified Training Individual Plan Development Program Job Search School Missing Activities Non - Credentialed Training Start Date End Date OJT Credential Training Consent for Release of Info * Other Verification of Certificate Credential Obtained Other

* Required for participants enrolled in Credentialed Training before disbursement of funds

Individual Training Account (ITA): Type used

Case Notes in File: Regular contact Gaps in contact Over 90 days? Yes No. Does file need to be closed? Yes No

Support Services Provided:

None Provided Entered in WF1

WF1 - Exit Date: Unsubsidized PWIR OtherPlacement Info: Wage New Job Title Employer

COMMENTS:


Produced by:

MINNESOTA DEPARTMENT OF EMPLOYMENT AND ECONOMIC DEVELOPMENTWorkforce Development Division

1st National Bank Building332 Minnesota Street, Suite E-200Saint Paul, Minnesota 55101-1351

table of contents · web view680.470) what kind of performance and cost information must eligible...

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