Attachment 1
WIA/WAGNER-PEYSER COMPLIANCE REVIEW
LOCAL CERTIFICATION OF COMPLIANCE
DATE: ______REVIEW PERIOD: ______
SITE: ______
DIRECTOR: ______PHONE/FAX: ______
1. Designation of the local workforce investment region (WIA Sec. 116)
Designation of the one-stop operator: (WIA Sec. 117 and 121)
Confirm no change: ____yes ____no
If ‘no,’ explain the change and provide copies of documents designating the new regional
boundaries or one-stop operator.
2. Local Workforce Investment Board: (WIA Sec. 117) Is the board in compliance with:
a. Majority business membership? ____yes ____no
b. Chairperson from the business sector? ____yes ____no
c. Meetings open to the public? ____yes ____no
d. No member voting on any matter that involves services
provided by the member’s organization or direct finan-
cial benefit to the member or his family? ____yes ____no
e. Board certification is current? ____yes ____no
f. Exercises its oversight and policy-making
responsibilities? ____yes ____no
Explain any ‘no’ answers:
(Copies of latest membership roster, by-laws, minutes of last meeting, and listing of subcommittee structure should be provided to the SFR with this form. Any significant changes in board structure or function should be noted to the SFR as well.)
3. Youth Council: (WIA Sec. 117) Is the council in compliance with:
a. Membership requirements of WIA? ____yes ____no
b. Meetings open to the public? ____yes ____no
c. Exercises its responsibilities to recommend eligible
providers of youth services, conduct oversight of youth
services, and coordinate youth activities? ____yes ____no
Explain any ‘no’ answers:
(Copies of latest membership roster, by-laws, minutes of last meeting, and listing of subcommittee structure should be provided to the SFR with this form. Any significant changes in council structure or function should be noted to the SFR as well.)
4. Memoranda of Understanding (MOU): (WIA Sec. 121) Is the region in compliance with:
a. A signed MOU with the following required partners:
1. CDLE – UI and Vets ____yes ____no
2. Jobs Corps ____yes ____no
3. Adult Education ____yes ____no
4. Vocational Rehabilitation ____yes ____no
5. Carl Perkins postsecondary vocational education ____yes ____no
6. Community Services Block Grant emp. & trg. ____yes ____no
7. HUD employment and training programs ____yes ____no
8. Title V Older Americans Act programs ____yes ____no
(Note: all other required partners are covered in the grant agreement with CDLE)
b. Do the MOUs describe the services to be provided through the one-stop system; how the
costs of those services will be funded; methods for referring individuals between the one-
stop and the partner; duration of the MOU; and procedures for amending the MOU? ____yes ____no Explain a ‘no’ answer:
(Copies of any new or revised MOUs should be provided to the SFR with this form.)
5. Internal/Subcontractor Monitoring: (WIA Sec. 184; PGL 01-09-WIA1) Is the region in compliance with:
a. Conducting at least annual internal and subcontractor
monitoring ____yes ____no
b. The monitoring demonstrates compliance with WIA State
and Federal requirements, both program and fiscal ____yes ____no
c. On an annual basis, a written monitoring report is
provided to the one-stop Director, the workforce board
chair, the local elected official, and the SFR. ____yes ____no
d. The report contains a review of issues raised by the States’
annual compliance monitoring ____yes ____no
e. The report contains corrective action plans for resolution
of issues that have been identified ____yes ____no
Explain any ‘no’ answers:
(Copies of internal/subcontractor monitoring policies, procedures, and instruments; and
the latest annual monitoring report, should be provided to the SFR with this form.)
6. MIS: Is the region in compliance with:
a. All staff have been informed of data confidentiality
requirements (PGL 98-02-M1) ____yes ____no
b. Procedures are in place to ensure that WIA clients are
receiving a service at least every 90 days (TEGL 7-99) ____yes ____no
c. Procedures are in place to ensure that eligibility is
determined in a consistent manner (PGL 01-03-WIA1) ____yes ____no
d. Staff have been informed of eligibility and case file
documentation requirements (PGL 01-03-WIA1) ____yes ____no
Explain any ‘no’ answers:
(Copies of any relevant policies & procedures should be provided to the SFR
with this form.)
7. Required Local Written Policies: Does the region have signed and board approved policies in compliance with laws, regulations, and state policies as follows:
______
a. Supportive Services (PGL 00-11-WIA1)* ____yes ____no
(1) Includes requirement for documenting that
non-WIA resources are unavailable to provide
supportive services ____yes ____no
(2) Defines types of services, any limits on services
and the approval/exception process. ____yes ____no
(3) Date of the most recent version of this policy ______
______
b. Priority of Services for Adults (PGL 00-12-WIA1)* ____yes ____no
(1) Includes public assistance and low income
individuals ____yes ____no
(2) Defines low income ____yes ____no
(3) Identifies when funds are considered to be
limited ____yes ____no
(4) Date of the most recent version of this policy ______
(5) Dates this policy was invoked during PY02 ______
______
c. Individual Training Accounts (PGL 00-15-WIA1)* ____yes ____no
(1) Addresses customer choice ____yes ____no
(2) Includes requirement to document client need
for training, demand occupation, and eligible
training provider ____yes ____no (3) Includes requirement to document how non-WIA
sources of funding were sought first ____yes ____no
(4) Defines criteria for approving and disapproving
ITAs ____yes ____no
(5) Identifies exceptions to the use of ITAs ____yes ____no
(6) Date of the most recent version of this policy ______
______
d. Sequential Delivery of Services (PGL 00-16-WIA1)* ____yes ____no
(1) Allows for universal access to core services
(non-WIA registered) ____yes ____no
(2) Identifies eligibility for WIA core, intensive, and
training services and the requirement to document
the eligibility ____yes ____no
(3) Defines “self-sufficiency” ____yes ____no
(4) Date of the most recent version of this policy ______
______
e. Eligible Training Provider List (PGL 00-23-WIA1)* ____yes ____no
(1) Identifies local board responsibilities ____yes ____no
(2) Establishes local approval process ____yes ____no
(3) Requires use of the ETP list for ITAs ____yes ____no
(4) Provides for consumer access to the ETP data ____yes ____no
(5) Date of the most recent version of this policy ______
______
f. WIA Eligibility (PGL 01-03-WIA1)* ____yes ____no
(1) Identifies requirement for ensuring consistency in
eligibility determinations ____yes ____no
(2) Includes requirement for obtaining eligibility
documentation ____yes ____no
(3) Date of the most recent version of this policy ______
______
g. Wagner-Peyser Job Orders & Employer Services
(PGL 01-04-WP1)* ____yes ____no
(1) Identifies when job orders can be accepted or
refused ____yes ____no
(2) Identifies when employer services can be discon-
tinued or refused ____yes ____no
(3) Identifies quality control procedures for job orders ____yes ____no
(4) Date of the most recent version of this policy ______
______
h. OJT and Customized Training (PGL 01-08-WIA1)* ____yes ____no
(1) Identifies criteria for developing and approving
OJT contracts ____yes ____no
(2) Identifies criteria for developing and approving
customized training contracts ____yes ____no
(3) Defines “self-sufficiency” for employed workers ____yes ____no
(4) Date of the most recent version of this policy ______
______
i. Monitoring (PGL 01-09-WIA1)* ____yes ____no
(1) Includes requirement for annual internal and
subcontractor monitoring ____yes ____no
(2) Identifies requirements for administrative, MIS,
financial, and program monitoring ____yes ____no
(3) Includes requirements for submission of annual
written reports to the director, board chair, and
chief-elected official. ____yes ____no
(4) Date of the most recent version of this policy ______
______
j. WIA Grievance Procedure (PGL 01-11-WIA1)* ____yes ____no
(1) Identifies how clients will be notified regarding
their grievance and appeal rights ____yes ____no
(2) Describes the grievance and appeals procedures ____yes ____no
(3) Date of the most recent version of this policy ______
_________
k. Credential/Certification (PGL 01-13-WIA1)* ____yes ____no
(1) Identifies types of credentials that will be
recognized by the local board ____yes ____no
(2) Describes documentation needed to support
achievement of a credential ____yes ____no
(3) Date of the most recent version of this policy ______
Explain any ‘no’ answers:
*(Copies of any revised policies and related procedures should be provided to the
SFR with this form. For PY05 regions will also be required to have policies regarding veterans priority of service and employed and incumbent workers.)
8. Adult and Dislocated Worker Program Questions:
a. Core/Intensive/Training Services
(1) Is self-sufficiency for employed Adult and ____yes _____no
Dislocated Workers defined in local policy?
(2) Are any of your region’s Core/Intensive/Training services provided by outside
contractors or partners? ____yes ____no
If yes, please list______
______
______
b. Supportive Services
(1) Does your region have a system for tracking _____yes _____no
supportive services costs per client?
(2) Does your region have a local policy requiring case _____yes _____no
file documentation that non-WIA funded supportive
services are not available?
Explain any “no” answers.
c. Eligible Training Provider (ETP) List:
(1) Does your region have a process for determining _____yes _____no
eligibility of local training providers?
(2) Does the region use eligibility factors in _____yes _____no
addition to those set by state policy?
If yes, identify: ______
(3) Does the region market participation to training providers? _____yes _____no
(4) Is the eligible training provider list made available _____yes _____no
to customers?
(5) Does the region have a process to remove training _____yes _____no
providers from the list if they fail to perform or violate the law?
(6) Do you document in the case file that the customer has _____yes _____no
made a selection from the ETP list?
Explain any “no” answers.
9. Youth Program Questions:
a. Procurement Process for Youth Program Elements
(1) Has the region procured the required youth program _____yes _____no
elements per PGL #00-25-Y1
Explain a “no” answer.
(2) Do the region’s procurement contracts have a _____yes _____no
deadline? If yes, what? ______
b. Eligibility Issues: For eligibility purposes, has your region defined
and set documentation standards for:
(1) “Deficient in basic literacy skills? _____yes _____no
(2) “Requires additional assistance to complete an _____yes _____no
educational program, or to secure and hold
employment?”
Explain any “no” answers.
10. Wagner-Peyser: Job Service Complaint System:
(1) Has the region identified who is responsible for _____yes _____no
handling complaints through the Job Service
complaint system?
(2) Are ES complaint forms available to clients and _____yes _____no
are clients advised of procedures?
Explain any “no” answers.
(3) Have any complaints been filed during the review period? _____yes _____no
If yes, please explain: ______
______
______
11. Annual Report: The region submitted its PY03 Annual Report _____yes _____no
by the August 31, 2004, deadline.
Explain a “no” answer.
12. Please identify how the State can assist your region in meeting the above compliance requirements or ensure that compliance continues to be achieved in the future:
______Date ______
Name and Signature – Individual Completing this Form
______Date ______
Name and Signature – Workforce Region Director
______Date ______
Name and Signature – Local Workforce Board Chairperson
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