Overview 4
Scope 5
Procedures 5
Pre-Review Checklist 8
WIA Programmatic Review Entrance Conference Form 9
Structure of the Local Area 10
Administrative Review Section 11
WIA Programs 11
One-Stop System 12
Employers 14
Rapid Response 15
Limited Funds and Priority of Services for Adults 17
Self-Sufficiency 18
Supportive Services/Needs-Related Payments 19
Serving Family, Friends, and Stakeholders 21
Adult and Dislocated Program Review Section 22
Core and Intensive Services 22
Training Services 24
Individual Training Account 26
On-the-Job Training 26
Customized Training 28
Incumbent Worker Training 29
Follow-Up Services for Adults and Dislocated Workers 30
Youth Program Review Section 31
Youth Program Elements 31
Objective Assessment 33
Individual Service Strategy (ISS) 33
Youth Program Follow-Up Services 35
File Checklists and Forms 36
Adult and Dislocated Worker File Checklist 36
Youth File Checklist 44
Program Review Exit Conference Form 46
STATE RESPONSIBILITIES
The Workforce Investment Act (WIA) and Regulations require that states develop a monitoring system and monitor grant supported activities of Local Boards annually for compliance with applicable laws and regulations. (20 CFR Section 667.400)
GOAL
The purpose of the WIA review is to ensure the integrity of the WIA system and WIA funds, to review performance, assess compliance with applicable laws and regulations, and identify successful methods and practices that serve to enhance the system as a whole, through continuous improvement.
OBJECTIVES
The state’s Program Review Guide is designed to achieve three objectives:
1. To determine if local WIA activities comply with the Act, federal and state
regulations, directives and state procedures, guidance letters and other applicable guidelines and goals.
2. To provide program guidance and direction to local programs in order to assist in providing quality workforce development services to customers.
3. To provide a framework for continuous improvement efforts under the WIA.
SOURCE DOCUMENTS
Workforce Investment Act (WIA), dated August 7, 1998
Workforce Investment Act – Federal Regulations, dated August 11, 2000 Workforce Investment Act Policy, Guidance, and Transmittal Letters Department of Labor Training and Employment Guidance Letters (TEGLs) Department of Labor Training and Information Notice (TEINs)
Department of Labor Training and Employment Notice (TENs)
Workforce Investment Act Standardized Record Data (WIASRD) Reports WIA Participant Management Information Guide (PMIG)
USE OF THE GUIDE ON-SITE
The Comprehensive Program Review Guide is used to provide a consistent framework for conducting on-site programmatic reviews of local Areas throughout Michigan. The guide ensures that the Workforce Development Agency, State of Michigan’s (WDASOM’s) oversight and program review practices reinforce federal law and regulations as well as Michigan’s guidance and policies as it pertains to
administrating workforce development at the local level.
All 25 Michigan Works! Agencies (MWAs) are subject to annual WIA programmatic reviews. Prior to the on-site review, WDASOM staff will review local policies and procedures, program enrollment, performance, data validation, and financial management information to address during the review process.
Each review will include the following components:
MWA Administrative Review
Adult and Dislocated Worker Program Review Youth Program Review
Each component contains a series of questions regarding implementation of policies, procedures, and program eligibility. The guide also contains file checklists to be used while reviewing participant files.
The guide will be continually reviewed and updated based on experience, practice, and changing regulations and policies.
The WIA programmatic reviews will not include a comprehensive fiscal component.
Fiscal monitoring will continue to be provided by the WDASOM Office of Audit and Financial Compliance.
Procedures
Notification of Review
The MWAs will be notified of an upcoming, on-site programmatic review by their assigned WIA Coordinator. Included in the notification will be possible review dates.
The WDASOM and the MWA will jointly finalize a date(s) for the review.
The WDASOM reserves the right to conduct unannounced or unscheduled reviews.
Process
Programmatic reviews will be conducted through a combination of file reviews, policy and procedure evaluations, staff interviews, and on-site observations. Additional sources may be utilized during the review, as necessary.
Each review will include the evaluation of 16 (four from each funding source) participant files, randomly selected from the One Stop Management Information System (OSMIS).
A list of the selected files will be provided electronically to the MWA 48 hours prior to the review. The WDASOM may request additional participant files during the on-site
review.
Entrance Interview: Reviews will commence with an entrance interview. The interview will include:
Introduction of the individual(s) conducting the review
Estimated timeframe for completion of the review
Designation of representative(s) to serve as points of contact for questions during the review
Questions, comments, or clarifications regarding the review
Exit Conference: Reviews will conclude with an exit conference. The conference will include:
A summary of the review
The identification of observations, if applicable The identification of findings, if applicable
Questions, comments, or clarifications regarding the review
Summary Report: Once the review has been completed, information obtained during the review will be used to develop a report. The WDASOM will issue the formal report within 45 days of the completion of the review. The report will include the following:
Scope of the Review Summary of the Review
Observations (Suggestions or recommendations for process improvement), if applicable
Findings (Issues of compliance with the Act, Regulations, or other applicable laws or regulations), if applicable
Corrective Action, if applicable Best Practices
Summary reports will be provided to:
Chief Elected Official(s)
Workforce Development Board Chair MWA Director
WDASOM Executive Leadership
WDASOM Office of Audit and Financial Compliance
If corrective action is required, MWA officials must submit a corrective action plan addressing the finding(s) and the specific steps that will be taken to help ensure the finding(s) is resolved. The MWA may wish to address program design, goals, or service strategies that may inhibit programmatic operation and/or performance including
reporting issues, and appropriate technical assistance (if needed). A timeline outlining the steps to be taken must be included.
Once the WDASOM has received the corrective action plan, it will make a determination within 30 days regarding the effectiveness of the response. If the corrective action response is deemed acceptable and appropriate, the MWA will be notified to proceed with the indicated action. If the corrective action plan is not deemed acceptable, the WDASOM will require additional information.
listed below within 45 days from the date of the Summary Report to:
Ms. Stephanie Beckhorn, WIA Manager Office of Talent Development Services
Victor Office Center, 5th Floor 201 N. Washington Square
Lansing, Michigan 48913
Or electronically at: [email protected]
If your corrective action plan does not effectively identify and address the finding(s) in a manner that ensures future success, or a response is not submitted within the required timeframe, MWA officials will be notified and further corrective action may be required.
Programs and/or procedures included in corrective action will be reviewed during subsequent programmatic reviews.
The pre-review checklist should be completed prior to conducting an onsite review.
Collecting this information will help to ensure accuracy and efficiency during the review. All data should be for the current Program Year, through the most recent completed quarter.
Performance
Program PY Award Percent Allocated to
MWA: Date:
Location: Time:
State Staff Present:
Local Area Staff Present:
State Comments:
Local Area Comments:
MWA Area:
Counties Covered:
Grant Recipient:
Fiscal Agent (if different):
Administrative Entity:
One-Stop Operator(s):
Service Center Location(s):
Satellite Service Center Location(s):
Additional Comments:
*This information should be collected prior to the review and verified during the review process.