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. ELIGIBILITY

1-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 SSVerification
☐SS Acknowledgement letter
☐ Other:
☐ No, Could Not Locate
Reporting:
  • Selective Service Registration is 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-c. Legally Entitled toWork in
theU.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:
☐ No, Could Not Locate
Reporting:
  • Eligibility to work in the U.S. is 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:
2. PRIORITY OF SERVICE
Priority 1-Coverd Persons (veterans and eligible spouses) who are low-income, recipients of public assistance, or basic skills deficient
Priority2-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.
Priority 4- Optional, LWDB Defined /
  • WIOA Priority of Service category of enrollment is documented:
☐ Yes:
☐ WIOA Registration Form/Application
☐ Case Notes
☐ Other:
☐ No, Could Not Locate / ☐ 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:
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:
☐ No, Could Not Locate
Reporting:
  • Veteran status is recorded in ETO:
☐ Yes ☐ No / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
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:
  • Rather, 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:
☐ No, Could Not Locate
Reporting:
  • Low income status is recorded in ETO:
☐ Yes ☐ No / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
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:
☐ No, Could Not Locate
Reporting:
  • BSD status is recorded in ETO:
☐ Yes ☐ No / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
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
☐ No, Could Not Locate / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
3.program enrollment, services and outcomes
3-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:
  • 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)]
☐ Yes ☐ No, Could Not Locate
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 / ☐ 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:
3-b. Concurrent Program
Enrollment
TRACKING OF FUNDS
  • TEGL 19-16
  • Local program operators mustidentify and track the funding streamswhich pay the costs of services provided to individuals who are concurrently enrolled, and
  • Ensure no duplication of services.
/
  • Services and expenses funded by the separate programs are documented resulting in no duplication of services.(TEGL 19-16)
☐ Yes ☐ No, Could Not Locate
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 / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
3-D.BASIC CAREER SERVICES
Recording Services in ETO:
  • WIN 0082: Effective 2-15-17:
  • Services must be entered at the point in time they are delivered;
  • 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 reflectthe date the service was delivered.
To Make Corrections to Activity Start Dates-BASIC SERVICES ONLY:
  • WIN 0082: Effective 2-15-17:
  • Designated “Department Head” for each LWDB may edit Activity Start Dates for exceptions to data entry after 14 days.
  • Designated “Department Head” is responsible for ensuring the appropriate documentation and data integrity of the service dates in their local area.
/ 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
  • 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 / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
3-E.INDIVIDUALIZED CAREER SERVICES
Recording Services in ETO:
  • WIN 0082: Effective 2-15-17:
  • Services must be entered at the point in time they are delivered;
  • 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 reflectthe date the service was delivered.
TO MAKE CORRECTIONS TO ACTIVITY START DATES-INDIVIDUAL SERVICES ONLY:
  • WIN 0082: Effective 2-15-17:
  • Editing Activity Start Dates for Individualized/Training & Support Service TouchPoints is limited to the WIT Team.
  • 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)
☐ Yes, very detailed
☐ Yes, some detail
☐ No, case notes contradict service entries
☐ No, could not locate case notes for service
entries
  • Case notes include an outcome of the service: (State Guidance)
☐ Yes, very detailed
☐ Yes, some detail
☐ No, could not locate case notes for outcome / ☐ No Issues Identified
☐ Items to Address
☐ Data Validation Issues
Comments: / ☐ No Action Required
☐ Notify the ESD Monitoring
Unit when the following
items are addressed:
3-G. Internship or Work
Experience (WEX)
definition
  • 20 CFR 680.180:
  • An internship or work experience is a planned, structured learning experience that takes place in a workplace for a limited period of time.
  • Internships and other work experience may be paid or unpaid, as appropriate and consistent with other laws, such as the Fair Labor Standards Act.
  • An internship or other work experience may be arranged within the private for profit sector, the non-profit sector, or the public sector.
  • 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 WEXs:
  • WIOA Final Rule, Department’s response page 56116:
  • 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.
  • Transitional jobs are subject to funding caps; there are no funding caps for WEXs.
  • WEXs may be paid or unpaid; transitional jobs must be paid.
  • The Department has set no minimum or maximum duration requirements for work experience.
  • WIOA Final Rule, Department’s response page 56118:
  • The Department considers transitional jobs to be a targeted service that includes comprehensive career and supportive services.
  • 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.
/
  • 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 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 Internship/WEX: (DOL, State guidance)
☐ Yes, very detailed
☐ Yes, some detail
☐ Could not locate case notes for start, progress
and/or outcome of WEX / ☐ 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:
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:
  • Supportive services are not allowed for adults and dislocated workers during follow-up and after exit.
NEEDS-RELATED PAYMENTS:
  • 20 CFR 680.930:
  • 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:
  • Unemployed;
  • Not qualify for or have ceased qualifying for UI; and
  • Be enrolled in a program of training services under WIOA sec. 134(c)(3).
Policy Requirement
  • ESD Policy 5602:
  • 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)]
☐ Yes ☐ No, Unable to Validate
  • Documentation of supportive services was on file and met local policy requirements:
(ESD WIOA Policy 5602)
☐ Yes ☐ No, Could Not Locate
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)
☐ Yes ☐ No, Unable to Validate
  • 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
☐ 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 / ☐ 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:
3-I.training services
a)Occupational skills training
b)OJT
c)Incumbent worker training
d)Programs that combine workplace training with related instruction
e)Training programs operated by the private sector
f)Skills upgrade and retraining
g)Entrepreneurial training
h)Transitional jobs in accordance with 680.190 and 680.195
i)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;