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PY17 WIOA ADULT PROGRAM MONITORING PARTICIPANT FILE CHECKLIST

LWDB: ETO ID: Monitor(s): Date:Provider: Co-enrolled? ☐ Yes ☐ No

Program(s):Date(s) Enrolled: Date of Program Completion

and/or System Exit: Reason for Program Completion or Exit:

ELEMENT EVIDENCE & INDICATORS OBSERVATIONS & COMMENTS ITEMS TO ADDRESS

1. ELIGIBILITY1-A. AGE/ DATE OF BIRTH

Age 18 or older

Verification of Age was in the file:

☐ Yes: ☐ Driver’s License or ID

☐ Birth Certificate

☐ Passport

☐ Other:

☐ No, Could Not Locate

REPORTING: Date of Birth is accurately recorded in ETO:

☐ Yes ☐ No

☐ No Issues Identified

☐ Items to Address

☐ Questioned Cost

☐ Data Validation Issues

Comments:

☐ No Action Required

☐ Notify the ESD Monitoring Unit when the following items are addressed:

1-B. SELECTIVE SERVICE REGISTRATION

All males (U.S. citizens and aliens living in the U.S.) born after January 1, 1960 must be registered with Selective Service.

☐ N/A- ☐ Female☐ Born before Jan. 1, 1960☐ Entered US after age 26

Verification of Selective Service Registration or waiver was in the file:

☐ Yes: ☐ DD-214

☐ Screen printout of SS Verification

☐ SS Acknowledgement letter

☐ Other:


REPORTING: Selective Service Registration is recorded in ETO:

☐ Yes ☐ No



☐ Questioned Cost


Comments:



1-C. LEGALLY ENTITLED TO WORK IN THE U.S. Citizens; Nationals; Lawfully admitted permanent resident aliens; Refugees; Asylees; Parolees; and 0ther immigrants authorized by the Attorney

General to work in the United States.

Verification of Eligibility to Work in the U.S. was in the file: ☐ Yes:

☐ ID & SS card

☐ Other:


REPORTING: Eligibility to work in the U.S. is recorded in ETO:

☐ Yes ☐ No



☐ Questioned Cost


Comments:



2. PRIORITY OF SERVICEPriority 1-Coverd Persons (veterans and eligible spouses) who are low-income, recipients of public assistance, or basic skills deficient

Priority 2 - Individuals (non-covered persons) who are low-income, recipients of public assistance, or basic skills deficient.

Priority 3- Covered persons (veterans and eligible spouses) who are not low income and not basic skills deficient.

P riority 4 - Optional, LWDB Defined

WIOA Priority of Service category of enrollment is documented: ☐ Yes:

☐ WIOA Registration Form/Application

☐ Case Notes

☐ Other:




☐ Questioned Cost


Comments:



ESD PY17 WIOA Adult Program Monitoring Participant File Checklist of 17Revised August 1, 2017






2-A. VETERANS & ELIGIBLE SPOUSES Priority of Service 1 & 3

☐ N/A

Verification of participant’s veteran/eligible spouse status was located in the file:☐ Yes:

☐ DD-214

☐ Letter from the Veteran’s Admin.

☐ Letter from any branch of the military

☐ Other:


REPORTING: Veteran status is recorded in ETO:

☐ YES ☐ NO




Comments:



2-B. LOW INCOME Priority of Service 1 & 2

LOW INCOME IS NOT AN ELIGIBILITY CRITERIA FOR THE ADULT PROGRAM

WIOA Final Rule, Department’s response, pages 56113 and 56147:

oRather, it is a statutory emphasis on providing individualized career services and training services to public assistance recipients, low income individuals or individuals who are BSD.

☐ N/A

Verification of participant’s low-income status was located in the file: ☐ Yes:

☐ TANF ☐ Other Public Assistance

☐ Food Stamps ☐ Pay Stubs

☐ Applicant Statement ☐ Other:


REPORTING: Low income status is recorded in ETO:

☐ Yes ☐ No




Comments:



2-C. BASIC SKILLS DEFICIENT (BSD) Priority of Service 1 & 2

(CASAS below 236)

☐ N/A

Verification of participant’s BSD status was located in the file: ☐ Yes:

☐ CASAS assessment test

☐ Official school records

☐ Signed and dated WIOA Registration

☐ Case notes ☐ Other:


REPORTING: BSD status is recorded in ETO:

☐ Yes ☐ No




Comments:



2-D. OTHER PRIORITY- OPTIONAL Priority of Service 4 or more

☐ N/A

Eligibility for LWDB “Other Priority of Service” is documented in the file: ☐ Yes





Comments:









3. PROGRAM ENROLLMENT, SERVICES AND OUTCOMES3-A. DATE OF PROGRAM ENTRY, PARTICIPATION

PARTICIPANT

20 CFR 680.110:(a) Individuals are considered participants when they have received a WIOA service other than self-service or information-only activities and have satisfied all applicable programmatic requirements for the provision of services, such as eligibility determination.

(b) Adults who receive services funded under Title I other than self-service or information-only activities must be registered and must be a participant.

WS System Policy 1020 Handbook:O Date of participation is initiated by the first

program-funded qualifying service.

Participant met all programmatic eligibility requirements: [20 CFR 680.110 and TEGL 19-16)

☐ Yes ☐ No

Documentation of services other than self-services or information-only activities on the date of enrollment is located in the file: [20 CFR 680.110) and TEGL 19-16]

☐ Yes ☐ No, Could Not Locate

Date of program enrollment is documented in the file and matches date of enrollment recorded in ETO: [20 CFR 681.320(b)]


REPORTING: A service other than self-service or information-

only activities was recorded in ETO on date of program enrollment: [20 CFR 680.110(a)]

☐ Yes ☐ No



☐ Questioned Cost


Comments:



3-B. CONCURRENT PROGRAM ENROLLMENT

TRACKING OF FUNDS

TEGL 19-16O Local program operators must identify and

track the funding streams which pay the costs of services provided to individuals who are concurrently enrolled, and

O Ensure no duplication of services.

Services and expenses funded by the separate programs are documented resulting in no duplication of services. (TEGL 19-16)


REPORTING: Program enrollments are recorded in ETO:

(20 CFR 677.160)

☐ Yes ☐ No

Services are recorded in ETO and assigned to the appropriate program: (20 CFR 677.160)

☐ Yes ☐ No




Comments:



3-D. BASIC CAREER SERVICESRECORDING SERVICES IN ETO:

WIN 0082: Effective 2-15-17:O Services must be entered at the point in

time they are delivered;O If services cannot be entered at the time

they are delivered, services must be entered within 14 calendar days of service delivery and the service date entered must always reflect the date the service was delivered.

TO MAKE CORRECTIONS TO ACTIVITY START DATES- BASIC SERVICES ONLY :

WIN 0082: Effective 2-15-17:o Designated “Department Head” for each

REPORTING: All Basic Career Services provided to the

participant are recorded in ETO: (20 CFR 677.235; WIN 0082)

☐ Yes ☐ No

Basic Career Services recorded in ETO are correct and meet the definition of the service from the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No

Services were recorded in ETO within the allotted timeframes:(WIN 0082)

☐ Yes ☐ No

Case notes support the Basic Services recorded in ETO: (WIN 0082)

☐ Yes, very detailed☐ Yes, some detail☐ No, case notes contradict service entries☐ No, could not locate case notes for service entries




Comments:









LWDB may edit Activity Start Dates for exceptions to data entry after 14 days.

o Designated “Department Head” is responsible for ensuring the appropriate documentation and data integrity of the service dates in their local area.

Case notes include an outcome of the service when applicable: (State Guidance)

☐ Yes, very detailed☐ Yes, some detail☐ No, could not locate case notes for outcomes

3-E. INDIVIDUALIZED CAREER SERVICES RECORDING SERVICES IN ETO:

WIN 0082: Effective 2-15-17:O Services must be entered at the point in

time they are delivered;O If services cannot be entered at the time


TO MAKE CORRECTIONS TO ACTIVITY START DATES- INDIVIDUAL SERVICES ONLY :

WIN 0082: Effective 2-15-17:o Editing Activity Start Dates for

Individualized/Training & Support Service TouchPoints is limited to the WIT Team.

o To make corrections, local Department Head must complete the “Request for Activity Start Date Correction” form and follow the current process for submitting Remedy Tickets.

REPORTING: All Individualized Career Services provided to the

participant are recorded in ETO: (20 CFR 677.235; WIN 0082)

☐ Yes ☐ No Individualized Career Services recorded in ETO

are correct and meet the definition of the service from the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No Services were recorded in ETO within the allotted

timeframes: (WIN 0082)

☐ Yes ☐ No Appropriate outcome for this service was

recorded in ETO: (20 CFR 677.235)

☐ N/A-still active in service☐ Yes ☐ No

Case notes support the Individualized & Training Service entries: (WIN 0082)


Case notes include an outcome of the service: (State Guidance)

☐ Yes, very detailed☐ Yes, some detail☐ No, could not locate case notes for outcome




Comments:



3-G. INTERNSHIP or WORK EXPERIENCE (WEX)DEFINITION 20 CFR 680.180: o An internship or work experience is a planned,

structured learning experience that takes place in a workplace for a limited period of time.

o Internships and other work experience may be paid or unpaid, as appropriate and consistent with other laws, such as the Fair Labor Standards Act.

o An internship or other work experience may be arranged within the private for profit sector, the non-profit sector, or the public sector.

o Labor standards apply in any work experience setting where an employee/employer relationship, as defined by the Fair Labor Standards Act, exists. Transitional jobs are a type of work experience, as described in §680.190 and 680.195.

DIFFERENCE BETWEEN TRANSITIONAL JOBS AND WEX s : WIOA Final Rule, Department’s response page 56116:o Transitional jobs are subject to certain eligibility criteria

along with comprehensive career and supportive service requirements; WEXs do not require comprehensive career or supportive services.

o Transitional jobs are subject to funding caps; there are

Contracts, time sheets, performance evaluations, and similar documentation supporting the WEX was on file for the participant: (DOL, State guidance)

☐ Yes ☐ No, Could Not Locate Labor Standards were met: [20 CFR 681.600(a)]

☐ Yes ☐ No, Could Not Validate REPORTING: Service is recorded in ETO: (TEGL 21-16; WIN 0082)

☐ Yes ☐ No Service recorded in ETO is accurate and meets

the definition of the service from the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No Service was recorded in ETO within the allotted

timeframes: (WIN 0082)

☐ Yes ☐ No Appropriate outcome for this service was



Case notes support the service entries: (WIN 0082)



☐ Questioned Cost


Comments:









no funding caps for WEXs.o WEXs may be paid or unpaid; transitional jobs must be

paid.o The Department has set no minimum or maximum

duration requirements for work experience. WIOA Final Rule, Department’s response page 56118: o The Department considers transitional jobs to be a

targeted service that includes comprehensive career and supportive services.

o Non-transitional job work experience have no requirement that they must be paid or unpaid, and they do not have the same requirements for comprehensive career and supportive services.


Case notes document the start, progress and outcome of the Internship/WEX: (DOL, State guidance)

☐ Yes, very detailed☐ Yes, some detail☐ Could not locate case notes for start, progress and/or outcome of WEX

3-H. SUPPORTIVE SERVICES & NEEDS-RELATED PAYMENTS

ELIGIBILITY TO RECEIVE SUPPORTIVE SERVICES 20 CFR 680.910: (a) Supportive services may only be provided to

individuals who are:(1) Participating in career or training services as defined in WIOA secs 134(c)(2) and (3); and(2) Unable to obtain supportive services through other programs providing such services.

(b) Supportive services may only be provided when they are necessary to enable individuals to participate in career services or training services.

NOT ALLOWED DURING FOLLOW-UP ESD WIN 0078, Rev. 1: o Supportive services are not allowed for

adults and dislocated workers during follow-up and after exit.

NEEDS-RELATED PAYMENTS: 20 CFR 680.930: o Needs-related payments provide financial

assistance to participants for them to participate in training and are a supportive service.

20.CFR 680.940: Adults must be: o Unemployed; o Not qualify for or have ceased qualifying for

UI; and o Be enrolled in a program of training

services under WIOA sec. 134(c)(3).

POLICY REQUIREMENT ESD Policy 5602:o LWDBs must establish internal controls that

result in equitable treatment, documentation requirements and assurance of coordination with other community resources.

☐ N/A

Supportive services were provided only if necessary to participate in services: (20 CFR 680.910; TEGL 19-16)

☐ Yes ☐ No, Unable to Validate

Supportive services were provided with WIOA funds only when the participant was unable to obtain supportive services through other programs: [20 CFR 680.910(a)(2)]


Documentation of supportive services was on file and met local policy requirements: (ESD WIOA Policy 5602)


NEEDS-RELATED PAYMENTS- ☐ N/A Participant was unemployed, did not qualify for UI (or

ceased to qualify ) and was enrolled in training: (20 CFR 680.930)


For participants who have ceased to qualify for UI, the participant was enrolled in training by the end of the 13th week after the most recent layoff, or enrolled by the end of the 8th week after the worker was informed that a short-term layoff would exceed 8 weeks, whichever is applicable? [WIOA Sec. 134(d)(3)(B)]

☐ N/A☐ Yes☐ No, Unable to Validate

Is the level of NRP equal to or less than the applicable level of UI or the poverty line as described in WIOA Sec. 134(d)(3)(C)? ☐ Yes ☐ No, Unable to Validate

REPORTING: All Supportive Services provided to the participant were

recorded in ETO: (TEGL 21-16; WIN 0082)

☐ Yes ☐ No

The Supportive Service recorded in ETO was correct and met the definition in the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No

The participant received a qualifying service in concurrence of the Supportive Service: (ESD WIN 0078, Rev. 1)

☐ Yes ☐ No

Services were recorded in ETO within the allotted timeframes: (WIN 0082)

☐ Yes ☐ No

Policy was followed and Supportive services were NOT provided during Follow-up:(ESD WIN 0078, Rev. 1)

☐ Yes ☐ No ☐ N/A Case notes support the service entries: (WIN 0082)

☐ Yes, very detailed☐ Yes, some detail☐ No, case notes contradict service entries



☐ Questioned Cost


Comments:









☐ No, could not locate case notes for service entries

Case notes describe the supportive service provided and document an outcome of the service, if applicable: (WIN 0082)

☐ Yes, very detailed☐ Yes, some detail

☐ No, could not locate case notes describing the supportive service and/or the outcome, if applicable

3-I. TRAINING SERVICES







a) Occupational skills trainingb) OJTc) Incumbent worker trainingd) Programs that combine workplace training

with related instructione) Training programs operated by the private

sectorf) Skills upgrade and retrainingg) Entrepreneurial trainingh) Transitional jobs in accordance with

680.190 and 680.195i) Job readiness training provided in

combination with services listed in paragraphs (a) through (b) of this section

j) Adult education and literacy activities, including activities of English language acquisition and integrated education and training programs, provided concurrently or in combination with training services listed in paragraphs (a) through (g) of this section

k) Customized training conducted with a commitment by an employer or group of employers to employ an individual upon successful completion

ELIGIBILITY 20 CFR 680.210: Training services may be

made available to employed and unemployed adults who:(a) A one-stop center or one-stop partner determines, after an interview, evaluation or assessment, and career planning, are:1) 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;

2) In need of training services to obtain or retain employment leading to economic self-sufficiency or wages comparable to or higher than wages from previous employment through career services;

3) Have the skills and qualifications to participate successfully in training services;

(b) Select a program of training services that is directly linked to the employment opportunities in the local area or the planning region, or in another area to which the individuals are willing to commute or relocate;(c) Are unable to obtain grant assistance from other sources to pay the costs of such training, including such sources as State-funded training funds, TAA, and Federal Pell Grants, or require WIOA assistance in addition to other sources of grant assistance, including Pell Grants.

☐ N/A Participant was 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: [20 CFR 680.210(a)(1)]

☐ Yes ☐ No, Unable to Validate The participant was in need of training to obtain

or retain employment leading to economic self-sufficiency or wages comparable to or higher than wages from previous employment: [20 CFR 680.210(a)(2)]


The participant had the skills and qualifications to participate successfully in training: [20 CFR 680.210(a)(3)]


Training is linked to in-demand employment opportunities in local area or area in which they are willing to commute or relocate: [20 CFR 680.210(b)]


Evidence of participant’s satisfactory progress in training was located in the file: (WIOA Final Rule, narrative page 56177; ESD Policy 5601, Rev. 1)

☐ N/A-training not started/progress not yet provided ☐ Yes☐ No, Could Not Locate

Evidence of training outcome is in the file:(i.e., certificate, diploma; 20 CFR 677.235)

☐ N/A-still active in service☐ Yes☐ No, Could Not Locate

REPORTING: Training start date and type of training is recorded in

ETO and supported by case notes: (TEGL 21-16; TEGL 22-15; WIN 0082)

☐ N/A-training has not yet started☐ Yes ☐ No, Unable to Validate if the participant started training, type of training, and/or the date training started ☐ No, date training started is not recorded in ETO and/or not supported by case notes

Training service recorded in ETO is correct and meets the definition of the service from the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No Training service was recorded in ETO within the

allotted timeframes: (WIN 0082)

☐ Yes ☐ No Date withdrew/completed training is recorded in ETO

and supported by case notes: (TEGL 22-15)

☐ N/A-still active in service☐ Yes ☐ No, Unable to Validate if the participant is still in training ☐ No, date completed training is not recorded in ETO and/or not supported by case notes



☐ Questioned Cost


Comments:

If the participant withdrew from training, the reason for withdrawing and the revision to the participant’s employment and training plan is documented: (DOL, State guidance)

☐ N/A, participant did not withdraw from training☐ Yes, very detailed☐ Yes, some detail☐ No, could not locate documentation for reason for withdrawing from training and/or revision to plan

Appropriate outcome for this Service was recorded in ETO: (20 CFR 677.235)




Case notes document the start, progress and outcome of the training: (DOL, State guidance)


☐ Could not locate case notes for start, progress and/or outcome of training



3-J. CONSUMER CHOICE 20 CFR 680.340:

(a) Training services, whether under ITAs or under contract, must be provided in a

☐ N/A Eligible Training Provider List (ETPL) was made

available to the participant: (20 CFR 680.340(b)




☐ Questioned Cost









manner that maximizes informed consumer choice in selecting an eligible provider.(b) Each Local WDB, through the one-stop center, must make available to customers the State list of eligible training providers required in WIOA sec. 122(d).

Training was outside of WA State and met the requirements of local policy and ESD WIOA Policy 5611, Rev. 1:☐ N/A ☐ Yes☐ No, Unable to Validate


Comments:

3-K. FINANCIAL AID; OTHER GRANT ASSISTANCE ESD Policy 5601: o Local areas must consider the availability

of other sources of grants, excluding loans, to pay for training costs so that WIOA funds are used to supplement but not supplant other sources.

o WIOA funds are intended to provide training services in instances when there is no grant assistance (or insufficient assistance) from other sources (i.e., TANF, BFET, Title IV Programs and State-funded grants) to pay for those costs.

O The use of WIOA funds to pay down a loan of an otherwise eligible participant is prohibited; however, the mere existence of a federal loan must not impact eligibility determinations.

☐ N/A

Availability of non-WIOA funds, excluding loans, was explored and outcome of efforts was documented: (20 CFR 680.230)


Dept. of Veterans Affairs training funds were exempt from the “other sources of training grants” requirement: (WIOA Final Rules)

☐ N/A☐ Yes☐ No, Unable to Validate



☐ Questioned Cost


Comments:



3-N. ADULT EDUCATION & LITERACY ACTIVITIES

TRAINING REQUIREMENTWIOA Final Rule, Department’s response page

56115:o The Department notes that if Title I adult and

dislocated worker funds are used for these activities, they must be done concurrently or in coordination with any training activities in WIOA sec. 134(c)(3)(D)(i)–(vii).

20 CFR 680.350: o WIOA funds may provide adult education

and literacy activities if they are provided concurrently or in combination with one or more of the following training services:(a) Occupational skills training, including

training for nontraditional employment;(b) OJT;(c) Incumbent worker training;(d) Programs that combine workplace

training and related instruction, which may include cooperative education programs;

(e) Training programs operated by the private sector;

(f) Skill upgrading and retraining; or(g) Entrepreneurial training.

☐ N/A If WIOA funds were used for the Adult Education &

Literacy Activities, they were provided in concurrence with any of the training activities in WIOA sec. 134(c)(3)(D)(i)–(vii) and 20 CFR 680.350.☐ Yes ☐ No, Unable to Validate

REPORTING: Service is recorded in ETO: (TEGL 21-16; WIN 0082)

☐ Yes ☐ No

Service recorded in ETO is correct and meets the definition of the service from the Seeker Services Catalog: (WIN 0082)

☒ Yes ☐ No

Service was recorded in ETO within the allotted timeframes: (WIN 0082)

☐ Yes ☐ No


☐ Yes ☐ No☐ N/A-still active in service



Case notes document the start, progress and outcome of the service: (DOL, State guidance)


☐ No, could not locate case notes for start, progress and/or outcome of service



☐ Questioned Cost


Comments:



WORK-BASED TRAINING3-O. ON-THE-JOB TRAINING (OJT)

OJT DEFINITION & DESIGN WIOA Sec. 3(44): The term “on-the-job training”

means training by an employer that is provided to a paid participant while engaged in productive work in

☐ N/A The participant’s work experience and existing knowledge and

skills were considered when developing the OJT: [WIOA Sec. 3(44)]

☐ Yes ☐ No, Unable to Validate Contracts, time sheets, performance evaluations, and similar



☐ Questioned Cost









a job that-(A) Provides knowledge or skills essential to the full

and adequate performance of the job;(B) Is made available through a program that

provides reimbursement to the employer of up to 50% of the wage rate of the participant, except as provided in section 134(c)(3)(H), for the extraordinary costs of providing the training and additional supervision related to the training; and

(C) Is limited in duration as appropriate to the occupation for which the participant is being trained, taking into account the content of the training, the prior work experience of the participant, and the service strategy of the participant.

WIOA Final Rules, page 56149:oOJT is primarily designed to first hire the

participant and provide them with the knowledge and skills necessary for the full performance of the job.

WIOA Final Rules, page 56150: oThe Department is not requiring specific OJT

duration limitations.

OJT WAGES & BENEFITS 20 CFR 683.275:

(a) Individual in OJT must be compensated at the same rates, including periodic increase, as trainees or employees who are similarly situated in similar occupations by the same employer and who have similar training, experience, and skills. (c) Individuals in OJT must be provided benefits and working conditions at the same level and to the same extent as other trainees or employees working a similar length of time and doing the same type of work.

OJT CONTRACTS 20 CFR 680.710: OJT contracts may be written for

eligible employed workers when:(a) The employee is not earning a self-sufficient wage or wages comparable to or higher than wages from previous employment;(b) The requirements of sec. 680.700 are met; and(c) The OJT relates to the introduction of new technologies, introduction to new production or service procedures, upgrading to new jobs that require additional skills, workplace literacy, or other appropriate purposes identified by the Local WDB.

WIOA Final Rules, page 56149:oOJT contracts must be continually monitored so

that WIOA funds provided through OJT contracts are providing participants the training to retain employment successfully.

75% REIMBURSEMENT 20 CFR 680.730(b) and TEGL 19-16:

oLWDBs must document the factors used when deciding to increase the wage reimbursement levels above 50% up to 75%.

documentation supporting the OJT was on file for the participant: (DOL, State guidance)

☐ Yes ☐ No, Could Not Locate Knowledge and skills essential to the full and adequate

performance of the job was documented: [WIOA Sec. 3(44)]

☐ Yes ☐ No, Could Not Locate The length of the OJT was appropriate to the occupation for

which the participant was trained. [WIOA Sec. 3(44)]

☐ Yes ☐ No, Unable to Validate The participant was compensated at the same rate and provided

benefits and working conditions as other employees in similar occupations by the same employer: (20 CFR 683.275)


The OJT did not displace or partially displace other employees of the employer: [WIOA Sec. 181(b)]


Written concurrence of the labor organization and employer was obtained, if applicable: [WIOA Sec. 181(b)]

☐ N/A☐ Yes ☐ No, Unable to Validate

The OJT was developed with an employer who does not continuously fail to provide long-term employment with equal benefits and wages: (WIOA Sec. 194(4)

☐ Yes ☐ No, Unable to Validate The service provider confirmed the employer had not relocated

less than 120 days prior to the OJT and did not lay off employees at the prior location: [WIOA Sec. 181(d)]


Factors were documented if employer was reimbursed above 50% and up to 75%: [20 CFR 680.730(b); TEGL 19-16]


OJT contract was regularly monitored:(WIOA Final Rules, page 56149)

☐ Yes ☐ No, Unable to ValidateREPORTING: Service is recorded in ETO: (TEGL 21-16; WIN 0082)

☐ Yes ☐ No

Service recorded in ETO is correct and meets the definition of the service from the Seeker Services Catalog: (WIN 0082)☐ Yes ☐ No

Service was recorded in ETO within the allotted timeframes: (WIN 0082)☐ Yes ☐ No

Appropriate outcome for this Service was recorded in ETO: (20 CFR 677.235)☐ N/A-still active in service☐ Yes ☐ No

Case notes support the service entries: (WIN 0082)☐ Yes, very detailed☐ Yes, some detail☐ No, case notes contradict service entries☐ No, could not locate case notes for service entries

Case notes document the start, progress and outcome of the training: (DOL, State guidance)☐ Yes, very detailed☐ Yes, some detail

☐ No, could not locate case notes for start, progress and/or outcome of training, if applicable


Comments:







3-P. CUSTOMIZED TRAINING

ELIGIBILITY, DEFINITION & DESIGN ESD WIOA Policy 5616, Rev. 1: O Individuals considered for customized

training must meet eligibility requirements for Adult and Dislocated Worker programs.

WIOA Final Rules, page 56156: o Customized training is used to train

individuals who are not employed with the participating employer at the start of participation.

20 CFR 680.760:(a) Training designed to meet the special

requirements of an employer(s);(b) Conducted with a commitment by the

employer to employ an individual upon successful completion of the training; and

(c) Employer pays for the significant cost of the training.

☐ N/A

Participant met the eligibility of the Adult program: (ESD WIOA Policy 5616, Rev. 1)


Participant met the unemployed or employed status: (WIOA Final Rules, page 56156 and 20 CFR 680.770)


The service provider confirmed the employer had not relocated less than 120 days prior to the training and did not lay off employees at the prior location: [WIOA Sec. 181(d)]


Training met the special needs of the employer: [(20 CFR 680.760(a)]


Employer’s commitment to employ the participant was met: [(20 CFR 680.760(b)]


Employer is committed to pay or did pay a significant cost of training: [(20 CFR 680.760(c)]


REPORTING: Service is recorded in ETO: (TEGL 21-16; WN 0082)

☐ Yes ☐ No


☐ Yes ☐ No


☐ Yes ☐ No










☐ Questioned Cost


Comments:









3-Q. INCUMBENT WORKER TRAININGDEFINITION & DESIGN 20 CFR 680.790: o Incumbent worker training must increase

the competitiveness of the employee or employer.

o Incumbent worker training is training conducted with the commitment by the employer to retain or avert the layoffs of the incumbent worker(s) trained.

INCUMBENT WORKER ELIGIBILITY 20 CFR 680.780: To qualify as an incumbent

worker, the incumbent worker needs to be:o Employed,o Meet the Fair Labor Standards Act

requirements for an employer-employee relationship, and

o Have an established employment history with the employer for 6 months or more (with the exception that in the event the incumbent worker training is being provided to a cohort of employees, not every employee in the cohort must have an established employment history with the employer for 6 months or more as long as the *majority of those employees being trained do meet the employment history requirement. (*ESD WIOA Policy 5607, Rev. 3 defines “majority” as meaning 51% or more)

o An incumbent worker does not have to meet the eligibility requirements for career and training services for adults and dislocated workers under WIOA, unless they also are enrolled as a participant in the WIOA adult or dislocated worker program.

☐ N/A

Incumbent workers met the eligibility criteria of 20 CFR 680.780: ☐ Yes ☐ No, Unable to Validate



The training would increase the competitiveness of the employer or employee: (20 CFR 680.790 and TEGL 19-16)


Employer is/was committed to retain employment or avert layoffs: (20 CFR 680.790)


REPORTING: T he following is only required if the recipient of training is enrolled in the Adult Program: Service is recorded in ETO: (TEGL 21-16; WIN 0082)

☐ Yes ☐ No


☐ Yes ☐ No


☐ Yes ☐ No










☐ Questioned Cost


Comments:









3-R. REGISTERED APPRENTICESHIPR A REPORTING AND DATA VALIDATION REQUIREMENTS: TEGL 13-16: o For data validation purposes, staff are

required to flag whether or not a WIOA participant is either in a RA program at the time of program enrollment or whether they enter a RA during program participation.

POINT OF EXIT TEGL 13-16: o The point of exit should be based on when

the participant is successfully moving through the RA program and is no longer receiving services from WIOA.

o The following two factors should be considered when determining an appropriate exit policy: Wage Increases : Apprentices receive

progressive increases in pay as their skills and knowledge increase-this is a core element of all Registered Apprenticeships. A wage increase may be an appropriate point of exit from WIOA, as it means that apprentices have passed a milestone in their training, improved their skills, and increased their earnings-signaling that support through WIOA may no longer be needed.

Credential Attainment : Many RA programs offer interim occupational credentials that can be attained by apprentices during their program. The attainment of a credential is another aspect that could be factored into the determination of an appropriate exit point from WIOA, given that this marks an important milestone in the RA program. Attainment of a credential signals that apprentices have successfully advanced along a career pathway and increased their skills in the field, and potentially moved beyond the point of needing WIOA support.

☐ N/A


☐ Yes ☐ No


☐ Yes ☐ No


☐ Yes ☐ No


☐ N/A-still active in service☐ Yes☐ No








☐ Questioned Cost


Comments:









3-S. TRANSITIONAL JOBSPROGRAM DESIGN AND ELIGIBLE PARTICIPANTS20 CFR 680.190: o A transitional job is one that provides a

time-limited work experience that is wage-paid and subsidized, and is in the public, private, or not-for-profit sectors for those *individuals with barriers to employment who are chronically unemployed or have inconsistent work history , as determined by the Local WDB.

o Transitional jobs must be combined with comprehensive career services and supportive services.

TEGL 19-16: oThis service must be combined with career

and supportive services . *INDIVIDUALS WITH A BARRIER TO EMPLOYMENT: WIOA sec. 3(24):(1) Displaced homemakers; (2) Low-income individuals; (3) Indians, Alaska Natives, and Native Hawaiians; (4) Individuals with disabilities; (5) Older individuals, i.e., those aged 55 or over (6) Ex-offenders; (7) Homeless individuals; (8) Youth who are in or have aged out of the foster care system; (9) Individuals who are English language learners, individuals who have low levels of literacy, and individuals facing substantial cultural barriers; (10) Eligible migrant and seasonal farmworkers, defined in WIOA sec. 167(i); (11) Individuals within 2 years of exhausting lifetime eligibility under TANF; (12) Single-parents (including single pregnant women); (13) Long-term unemployed individuals;(14) Other groups determined by the Governor to have barriers to employment.

☐ N/A

Participant met the definition of “individual with barrier to employment” as described in WIOA Sec. 3(24) and was chronically unemployed or had inconsistent work history as determined by the LWDB: (20 CFR 680.190)


The Transition Job was combined with comprehensive career services and supportive services: (20 CFR 680.190 and TEGL 19-16)





☐ Yes ☐ No


☐ Yes ☐ No


☐ Yes ☐ No







☐ No, could not locate case notes for start, progress and/or outcome of service, if applicable



☐ Questioned Cost


Comments:









3-T. DATE OF MOST RECENT MEASURABLE SKILL GAINS-In-Program Performance Measure

DEFINITIONS 20 CFR 677.155(c)(5): (i) Documented achievement of at least one

educational functioning level of a participant who is receiving instruction below the postsecondary education level;

(ii) Documented attainment of a secondary school diploma or its recognized equivalent;

(iii) Secondary or postsecondary transcript or report card for a sufficient number of credit hours that shows a participant is achieving the State unit’s academic standards;

(iv) Satisfactory or better progress report, towards established milestones, such as completion of OJT or completion of 1 year of an apprenticeship program or similar milestones, from an employer or training provider who is providing training; or

(v) Successful passage of an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade-related benchmarks such as knowledge-based exams.

☐ N/A

Documentation of Measurable Skill Gain was located in the file: (20 CFR 677.155(c)(5) and TEGL 10-16, Change 1)


Reporting: Date received and type of Measurable Skill Gain

is recorded in ETO: (20 CFR 677.160)

☐ Yes ☐ No

Type of Measurable Skill Gain recorded in ETO is correct meets the definition in the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No

Case notes document the date achieved and type of the Measurable Skill Gain: (DOL, State Guidance)

☐ Yes, very detailed☐ Yes, some detail☐ No, could not locate case notes for date and/or type of Measurable Skill Gain achieved




Comments:



3-U. DATE ATTAINED & TYPE OF RECOGNIZED CREDENTIAL

In-Program and Exit-Based Performance Indicator

TYPES OF ACCEPTABLE CREDENTIALS: TEGL 10-16: o Secondary school diploma or recognized

equivalento Associate’s degreeo Bachelor’s degreeo Graduate degree for purposes of the VR

programo Occupational licensureo Occupational certificate, including

Registered Apprenticeship and Career and Technical Education educational certificates

o Occupational certificationo Other recognized certificates of

industry/occupational skills completion sufficient to qualify for entry-level or advancement in employment.

☐ N/A

Documentation of Credential Earned was located in the file: (TEGL 22-15)


REPORTING: Date received and type of Credential Earned is

recorded in ETO:(20 CFR 677.160)

☐ Yes ☐ No

The correct Credential Earned is recorded in ETO: (WIN 0082)

☐ Yes ☐ No

Case notes document the date achieved and type of the Credential Earned and are aligned with data recorded in ETO: (DOL, State guidance)

☐ Yes, very detailed and aligned with ETO☐ Yes, some detail and aligned with ETO☐ No, case notes did not align with ETO☐ No, could not locate case notes for date and/or type of credential achieved




Comments:









3-V. DATE AND REASON FOR PROGRAM COMPLETION

PROGRAM COMPLETION: ESD Policy 1020 Handbook:

o The date of program completion is the date of the final program-funded qualifying service. In this sense, it is unlike the exit date, which is common across all programs rather than specific to a particular program. The program completion date may or may not be the same as the exit date. The program completion date will be equal to or less than the exit date.

PROGRAM COMPLETION vs SYSTEM EXIT ESD Policy 1020 Handbook:

O Exit dates are not the same as program completion dates.

O A system exit date is the same as a program completion date only when participants do not receive a qualifying service from another program within 90 days.

SYSTEM EXIT: ESD Policy 1020 Handbook:

o “Exit” refers to a participant who has not received a qualifying service funded by any qualifying program in the WorkSource system for 90 consecutive calendar days and is not scheduled to receive future qualifying services.

20 CFR 677.150(c)(1): o Exit is the last day of service.

REPORTING Federal Register Vol. 80, No. 140:

O Record the last date that the participant received staff assisted services.

ESD Policy 1020 Handbook: o (In ETO), the fields “Completion Outcome” and “Program

Completion Date” should reflect when and why program services have ended.

☐ N/A

☐ 90 days have passed with no qualifying service recorded in ETO, system has already exited

☐ Almost reaching 90 day mark and no new qualifying services have been recorded to extend participation

REPORTING: Date and Reason for Program Completion is


☐ Yes ☐ No

All durational services recorded in ETO are closed with appropriate outcomes: (20 CFR 677.160)

☐ Yes ☐ No

Case notes document the date and reason for program completion: (DOL, State guidance)

☐ Yes, very detailed☐ Yes, some detail☐ No, could not locate case notes for date and/or reason for program completion

The program completion date documented in case notes matches the program completion date recorded in ETO: (20 CFR 677.160)

☐ Yes ☐ No



☐ Questioned Cost


Comments:



☐ Record a program completion date and place the participant into Follow-up Services.

☐ Provide and record a qualifying service. Or, if no future services are planned, record a program completion date and place the participant into Follow-up.

☐ Other

3-X. FOLLOW-UP SERVICESWHEN TO PROVIDE FOLLOW-UP SERVICES ESD WIOA Policy 5620:o As instructed in TEGL 10-16, follow-up

services can only be provided to WIOA Adult and DW participants who are placed in unsubsidized employment and have system exited.

o Follow-up services, if requested by the exited individual and determined by staff to be appropriate, must be provided for a period of up to 12 months.

☐ N/A

REPORTING: Services are recorded in ETO: (TEGL 21-16; WIN 0082)

☐ Yes ☐ No

Services recorded in ETO are correct and meet the definition of the service from the Seeker Services Catalog: (WIN 0082)

☐ Yes ☐ No





☐ No, could not locate case notes for start, progress and/or outcome of service, if applicable



☐ Questioned Cost


Comments:









4. DATA VALIDATION, DATA INTEGRITY4-A. ETO WIN 0082: Effective 2-15-17, the minimal

WIT data entry requirements are as follows:o Services must be entered at the point in

time they are delivered;o If services cannot be entered at the time


o When a service is provided, the appropriate qualifying service must be identified, even if case notes are entered.

o Qualifying services are identified in the WorkSource Service Catalog.

o Only actual services delivered should be entered.

o Services should not be recorded if only a voice message was left or an email delivered as they only represent the intent to provide service as opposed to the actual provision of services.

SUMMARY OF ETO OBSERVATIONS: Participant’s demographic information was

accurately recorded in ETO: {20 CFR 677.235)

☐ Yes, No Issues Identified☐ No, One or Two Issues Identified☐ No, Several or More Issues Identified

Services were accurately recorded in ETO and met the definition of the service from the Seeker Services Catalog: (20 CFR 677.240; WIN 0082)


Services were recorded in ETO within the allotted timeframes: (WIN 0082)


Appropriate outcomes for the services were recorded in ETO: (20 CFR 677.240; WIN 0082)

☐ N/A☐ Yes, No Issues Identified☐ No, One or Two Issues Identified☐ No, Several or More Issues Identified




Comments:



4-B. CASE NOTESDOL DEFINITION TEGL 22-15: Paper or electronic statements

by the case manager that identifies, at a minimum, the following: o A participant’s status for a specific data

element, o The date on which the information was

obtained and o The case manager who obtained the

information.

REPORTING ESD Policy 1020: o Case notes should support and not

contradict service entries. o Case notes should not be entered to

represent service delivery without also entering a qualifying service from the Services Catalog.

CONFIDENTIAL INFORMATION WIN 0023:

o Any case notes containing confidential information, such as medical information, must be kept in a separate file and in a secure location apart from the participant’s regular program file.

SUMMARY OF CASE NOTE OBSERVATIONS: Eligibility and justification for enrollment:


☐ No, could not locate case notes describing the participant’s eligibility for services and justification for enrollment Planned services:


☐ No, could not locate case notes describing the planning of services Actual delivery of services; case notes support ETO:


☐ No, could not locate case notes describing the actual delivery of one or more services Progress of services/activities:


☐ No, could not locate case notes describing the progress of services Outcomes of services; case notes support ETO:


☐ No, could not locate case notes describing the outcome of one or more services Case management services:


☐ No, could not locate case notes describing on-going provision of case management Significant gaps in case notes (more than 60 days):☐ No☐ Yes, gaps occurred on one or two occasions☐ Yes, gaps occurred on more than three occasions




Comments:



5. MISCELLANEOUS OBSERVATIONS OBSERVATIONS & COMMENTS ITEMS TO ADDRESSThis element covers all other observations not accounted for on this tool. Examples of








“miscellaneous observations” may include, but are not limited to: Noted Practices, Loose, unattached documents located in a

hard file, Medical references in the file, Names of other program participants

located in the file, Observations identified in local policies,

procedures, or other matters that may not be directly related to the review of a participant file,

Miscellaneous recommendations, or Other “miscellaneous observations”.



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