Registration, Enrollment & Data Entry Policy...enrollment for Adult, Dislocated Worker and Youth...

Northeastern Arizona LWDA Subject Registration, Enrollment & Data Entry Policy

Original Issue Date: November 1, 2017

Registration, Enrollment & Data Entry Policy

Purpose: To provide guidance to the Northeastern Arizona Innovative Workforce Solutions Local Workforce Development Area (LWDA) on the distinction between registration and enrollment for Adult, Dislocated Worker and Youth Programs.

Individualized career services must be made available to eligible Adults and Dislocated Workers accessing the one-stop delivery system in each LWDA when a LWDA determines additional services beyond basic career services are required to obtain or retain employment; however, not all individuals will receive all services. Adults and Dislocated Workers must be enrolled in order to receive individualized career services, and LWDAs must collect documentation for priority of service for adults enrolled in the WIOA Adult program.

In order to receive Youth Program services, all applicants must be registered in AJC. The LWDA must dedicate at least 75 percent of WIOA Title 1-B Youth Program funds to provide services for out of school youth. The LWDA must ensure that not more than 5% of in-school youth enrolled in the program year are eligible only based on the “required additional assistance to complete an educational program or to secure and hold employment” criteria. The LWDA must not serve more than 5% of youth who do not meet the income and barrier criteria. POLICY:

Adult:

As described in the WIOA Policy Manual, Chapter 2, Section 105, program enrollment will depend on the participant’s eligibility. It is not acceptable to delay registration or enrollment into AJC until individualized career services or training services are provided or determined necessary. The LWDA must verify income related documents for adults receiving individualized career or training services.

Enrollment must occur when an individual requires services beyond self-service, or services beyond simply providing the individual information, and WIOA Title I-B funds are used. In order to receive Adult and Dislocated Worker services, all applicants must be registered. The registration process includes creating an account, as well as completing data demographics and work history questions in AJC. Adherence to the policy requirements is essential in maintaining

data integrity and ensuring compliance with the reporting requirements.

1. Registration in AJC must occur when an individual is seeking only information or self-services with minimal assistance from staff. A registration occurs when an individual creates an account that includes complete data demographics and work history. However, documentation or verification of income is not required.

2. Enrollments are pending in AJC until they are approved by a designated supervisor. Pending enrollments must be approved no later than 30 calendar days from the eligibility determination date.

3. Pending enrollments not approved within 30 days calendar days are considered not enrolled and the LWDA must re-determine eligibility. This includes collecting new/updated documentation.

4. Transactions relating to WIOA Adult and Dislocated Worker program provided activities and services must be entered or updated in AJC within 15 calendar days from the date an activity or service is provided.

5. LWDA staff will run the reports on a monthly basis to ensure timely follow- ups and accurate data recording.

6. Enrollment requires answering all low income questions on the Low Income page. Use the Lower Living Standard Income Levels (LLSIL) chart to assist in determining low income and completing the Needs and Barriers page. Answer all questions that apply to the applicant.

Youth:

The Youth must be at the time of eligibility determination an out-of-school-youth or an in-school youth. In order to receive Youth Program services, all applicants must be registered in AJC.

l. Registration in AJC occurs when an individual creates an account that includes complete data

demographics and work history. 2. Enrollment occurs when a determination is made that the individual requires those beyond

self-service or simply informational and WIOA Title 1-B formula funds. Enrollment in the WIOA Youth program includes:

a. The collection of documentation to support eligibility determination and; b. Participation in any of the 14 WIOA Youth program elements.

3. Enrollments are pending in AJC until they are approved by a designated

supervisor no later than 30 calendar days. Pending enrollments approved on or after 30 calendar days will be considered untimely.

4. Pending enrollments not approved within 30 calendar days are considered not enrolled and the LWDA must re-determine eligibility. This includes collecting new/updated documentation.

5. Transactions relating to WIOA Youth program provided activities and services must be entered or updated in AJC within 15 calendar days from the date an activity or service is provided.

6. LWDA staff will run the reports on a monthly basis to ensure timely follow- ups and accurate data recording.

7. Youth 18 years or older may be co-enrolled in the Adult Program and may be enrolled into the Dislocated Worker program without age limitations. Priority of Service is in effect when

a youth is co-enrolled into the Adult program. Co-enrollment:

Co-enrollment for an adult or dislocated worker occurs when a participant is simultaneously enrolled in more than one training program. Co-enrolled Youth must be 18 years and older. Youth may be co-enrolled in the Dislocated Worker program without age limitations.

Additionally, youth who have continued to be co-enrolled in WIOA Adult or Dislocated Worker programs or have been adopted and are now adults must remain eligible for WIOA Adult or Dislocated Worker services and do not require re-determination of eligibility. Priority of Service is in effect when a youth is co-enrolled into the Adult program.

Timely Entry of Staff Assisted Services:

All staff-assisted services and activities must be entered into AJC within 15 calendar days. Staff- assisted program services include basic career services, individualized career services and training services.

Program Exits:

The date of exit is the last date a service was provided to an Adult, Dislocated Worker or Youth participant. An exit may occur sooner than 90 consecutive days if the LWDA staff know the participant will not be receiving any additional services funded by the program or partner program. When the participant receives services from multiple programs, the most recent service end date is the date of exit. Follow-up services provided to clients do not extend the exit date.

Staff may manually exit the individual for the following reasons:

1. Deceased-participant died during participation in the Adult or Dislocated Worker program.

2. Institutionalized- participant is residing in an institution or facility providing 24-hour support, such as a prison or hospital, and is expected to remain institutionalized for at least 90 days.

3. Health/Medical- participant is receiving medical treatment that precludes entry into unsubsidized employment or continued participation in a WIOA program. This does not include temporary conditions expected to last for less than 90 days.

4. Family Care-participant is responsible for the care of a family member that is expected to last for more than 90 days.

5. Reservists Called to Active Duty- participant who is in the military reserves and has been called to active duty, which prevents continued participation in either the WIOA Adult, Dislocated Worker or Youth program.

6. Employed-participant is placed in employment after participation in either the WIOA Adult or Dislocated Worker program including entry into Peace Corps, Volunteers in Service to America (Vista), AmeriCorps and other National Service programs funded by the Federal Corporation for national and Community Service under the National and Community Service Trust Act of

1993; 7. Self -Employed – participant becomes self-employed in a full-time, permanent

job that pays a wage defined by the LWDA as self-sufficient. 8. Voluntary Exit- participant elects to no longer continue participation in either

the WIOA Adult or Dislocated Worker program. 9. Involuntary Exit- participant refuses to comply with WIOA program

requirements, per LWDA policy; 10. Found Ineligible after Registration-participant is determined ineligible to

participate in either WIOA Adult or Dislocated Worker program. 11. Apprenticeship-participant enters a qualified apprenticeship program while

enrolled in either the WIOA Adult or Dislocated Worker program. 12. Military- participant enlists and reports for active duty while enrolled in either

the WIOA Adult or Dislocated Worker program. 13. Relocated to Mandated Residential Program – Youth participant only, the

Participant is in the foster care system or any other mandated residential Mandated program and has moved from the area as part of such a program.

Gaps in Service:

A participant in the WIOA Adult, Dislocated Worker or Youth program may be placed in a “gap in service” when a situation arises that will temporarily prevent program participation. The gap extends a participants exit date for 90 calendar days from the time he or she is placed in the gap. Gaps must be related to:

1. A delay before the beginning of training; 2. A health/medical condition, or providing family care for a family member with a

health/medical condition; or 3. A temporary move from the area that prevents the individual from participation

in services, including National Guard or other related military service. Gaps may be extended for an additional 90 consecutive days and must be related to:

1. A health/medical condition, or providing family care for a family member with

a health or medical condition; or 2. A temporary move from the area that prevents the individual from participation

in services, including the National Guard or other related military service.

Follow-up:

Follow-up is provided to Adults and Dislocated Workers who have obtained unsubsidized employment and exit the WIOA program to promote job retention, wage gains and career progress and will vary on a case-by-case basis. Adult and Dislocated workers may decline follow-up services, however, the case file should contain information that follow-up services were offered. A minimum of three attempts should be made to contact the participant.

All Youth must be provided a minimum of 12 months of follow-up services after the completion of participation.

1. Follow-up services must be recorded in case notes and in AJC with 15

calendar days from the date of services are provided. 2. The type and duration of follow-up services must be determined based on the

needs of the youth participant and may vary among participants.

AJC Service Dictionary:

A list of services can be found in the AJC Service Dictionary. To locate the AJC Service Dictionary, follow the steps below:

1. Click on the https://www.azdes.gov/wia/ link; 2. In the lower right hand corner, click on the “Resources” link; 3. In the Resources section, click on the “AJC Service Dictionary” link; and 4. Review the “Reporting Category” column to determine which services are

WIOA basic career services, individualized career services and training services.

Required Determination:

All gaps in service must be referenced on the IEP/ISS and in AJC case notes detailing the reason for the gap in service.

.

http://www.azdes.gov/wia/

Northeastern Arizona LWDA Subject Youth Requiring Additional Assistance


Youth Requiring Additional Assistance Purpose Each Local Workforce Development Area is required to define the parameters under which a youth is deemed to “require additional assistance to complete an educational program or secure or hold employment” per the Arizona Department of Economic Security Workforce Innovation and Opportunity Act Policy Section 200 (Youth Policy) and WIOA sections 129(a)(1)(B)(iii)(VII) and (a)(C)(iv)(VII).

Policy ARIZONA@WORK Northeastern Arizona defines the “youth who requires additional assistance” as an individual who needs additional assistance to complete an educational program, or to secure and hold employment. Not more than five percent of all In-school Youth enrolled in the program each year are eligible only based on the “requires additional assistance” criterion.

Out of School Youth (OSY) In addition to meeting the low-income eligibility criteria, a youth who needs additional assistance may be eligible for WIOA Youth Services if one of the following criteria is met under this category:

Section Policy Provision Documentation Needed

Poor Work History/Underemployed

Has poor, limited or no work history and/or sporadic employment and is no longer employed or is seeking employment for the last 2 months, but remains unemployed or underemployed.

Work History Form Case notes

Has Incarcerated Parent(s) One or both parents is incarcerated Legal Document Self-Attestation Case Note

Occupational Skills/ Further Education Deficiency

Lack of educational, occupational and/or technical training that reduces opportunities for gainful employment and causes income poverty; poor access to quality education and job opportunities

Work History Form Self-Attestation Case Note

Counseling Services Is receiving or has received additional services through a licensed Counseling/Rehabilitation Agency.

Referral/Letter from Agency

In School Youth (ISY) In addition to meeting the low-income eligibility criteria, a youth who needs additional assistance may be eligible for WIOA Youth Services if one of the following criteria is met under this category:

Section Policy Provision Documentation Needed

Poor School Attendance Has displayed chronic poor attendance within the last school quarter and/or has an attendance rate of less than 85%.

School Record

Alternative Schooling Is currently attending an alternative school/education program that leads to a High School Diploma or High School Equivalency.

School Record

At Risk of Drop Out Is currently at risk of dropping out of school, as determined by referral from a school staff person, probation officer, or other responsible person with proper documentation and/or possesses unsatisfactory grades, GPA, and/or amount of credits.

School Record

School Disciplinary Has received or is receiving continuous disciplinary actions and/or is under a type of academic probation.

School Record

Counseling Services Is receiving or has received additional services through a licensed Counseling/Rehabilitation Agency.

Referral/Letter from Agency

Northeastern Arizona LWDA Subject Selective Service Registration Requirements


Selective Service Registration Requirements Purpose: To clarify the implementation of the Selective Service registration requirements for the receipt of WIOA Title 1 funded services prior to enrollment. Only those male job seekers in compliance with the registration requirement of the Military Selective Service Act as amended, are eligible to participate in WIOA funded activities and services. These requirements apply to both formula and discretionary grants awarded under WIOA by the U.S Department of Labor. Policy

Ensuring Selective Service Compliance in the Public Workforce System: In order to participate in a program established by or receiving assistance under Title I of WIOA, all males born on or after January 1, 1960 must present documentation showing compliance with the Selective Service registration requirement. Registration Requirements for Males Under 26: Before being enrolled in WIOA Title I- funded services, all males who are not registered with the Selective Service and have not reached their 26th birthday must register through the Selective Service website at www.sss.gov. If a male turns 18 while participating in any applicable services, registration with Selective Service must be completed no later than 30 days after he becomes 18 in order to continue to receive WIOA Title I-funded services. Staff is required to obtain proof of registration and uploaded into AJC and document in AJC case notes. If a man under the age of 26 refuses to register with the Selective Service, WIOA Title I-funded services must be suspended until he registers. Registration Requirements for Males 26 Years and Over: Before enrolling in WIOA Title I-funded services, all males, 26 years of age or older, must provide documentation of compliance with the Selective Service registration requirement. Individuals who did not register for the Selective Service or who cannot provide any of the documentation listed in Section 3 must obtain a Status Information Letter from Selective Service indicating whether he was required to register. The Request for Status Information Letter form can be accessed at http://www.sss.gov/PDFs/infoform.pdf and the instructions can be accessed at

http://www.sss.gov/

http://www.sss.gov/PDFs/infoform.pdf

http://www.sss.gov/PDFs/instructions.pdf. The individual will need to describe, in detail, the circumstances that prevented him from registering (e.g., hospitalization, institutionalization, incarceration, military service) and provide documentation of those circumstances. The documentation should be specific as to the dates of the circumstances. If the Status Information Letter indicates that an individual was not required to register for the Selective Service, then he is eligible to enroll in services authorized or funded by Title I of WIOA. If the Status Information Letter indicates that the individual was required to register and now cannot because he is 26 or older, he is presumed to be disqualified from participation in WIOA Title I-funded activities and services until it can be determined that his failure to register was not knowing and willful. All costs associated with grant-funded services provided to non-eligible individuals may be disallowed. Determining Knowing and Willful Failure to Register: If the individual was required but failed to register with the Selective Service, the individual may only receive services if they establish by a preponderance of the evidence that the failure to register was not knowing and willful. The grantee, subgrantee, or contractor that enrolls individuals in WIOA Title I-funded activities, and is thereby authorized to approve the use of WIOA Title I grant funds, is the entity responsible for evaluating the evidence presented by the individual and determining whether the failure to register was a knowing and willful failure. Evidence presented may include the individual’s written explanation and supporting documentation of his circumstances at the time of the required registration and the reasons for failure to register. The individual should be encouraged to offer as much evidence and in as much detail as possible to support his case. The following are examples of documentation that may be of assistance in making a determination in these cases: 1. Service in Armed Forces. Evidence that a man has served honorably in the U.S. Armed Forces such as DD Form 214 or his Honorable Discharge Certificate. Such documents may be considered sufficient evidence that his failure to register was not willful or knowing. 2. Third Party Affidavits. Affidavits from parents, teachers, employers, doctors, etc. concerning reasons for not registering, may also be helpful to grantees in making determinations in cases regarding willful and knowing failure to register. In order to establish consistency regarding the implementation of the requirement, grantees should consider the following questions when determining whether a failure to register is knowing and willful. In determining whether the failure was “knowing,” the authorized organization should consider:

• Was the individual aware of the requirement to register? • If the individual knew about the requirement to register, was he misinformed about the applicability of the requirement to him (e.g., veterans who were discharged before their 26th birthday was occasionally told that they did not need to register)?

http://www.sss.gov/PDFs/instructions.pdf

• On which date did the individual first learn that he was required to register? • Where did the individual live when he was between the ages of 18 and 26? • Does the status information letter indicate that Selective Service sent letters to the individual at that address and did not receive a response? In determining whether the failure was “willful”, the authorized organization should consider: • Was the failure to register done deliberately and intentionally? • Did the individual have the mental capacity to choose whether or not to register and decided not to register? • What actions, if any, did the individual take when he learned of the requirement to register? If an authorized organization determines it was not a knowing and willful failure and the individual is otherwise eligible, WIOA services may be provided. If the authorized organization determines that evidence shows that the individual’s failure to register was knowing and willful, WIOA services must be denied. Individuals denied services must be advised of available WIOA grievance procedures. Authorized organizations must keep documentation related to evidence presented in determinations related to Selective Service. Northeastern Arizona Innovative Workforce Solutions will request a Status Information Letter from a potential participant before making a determination as to whether the participant knowingly and willfully failed to register for selective services. prior to enrolling the participant into a Title 1 program. The Status Information letter in conjunction with the TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 11-11, Change 2, will assist in evaluating the evidence presented by the individual.

Northeastern Arizona LWDA Subject Adult Priority of Service


Adult Priority of Service

Purpose: To clarify the implementation of a priority of service for applicants seeking WIOA Title I funded individualized career services.

Policy

Northeastern Arizona Innovative Workforce Solutions Local Workforce Development Area observes the priority of service provision for all Adult program formula funds for individualized career and training activities.

Priority of service is determined, in order, by the following priority groups:

A. A Veteran or an eligible spouse of a veteran who: 1. Is currently receiving public assistance, or has received public assistance in the last

six months. 2. Is low-income, defined as:

a. Currently receiving or has received public assistance in the last six months, either solely or as a member of a family

b. A member of a family whose total family income does not exceed the higher of either the poverty line or 70 percent of the Lower Living Standard (LLSIL)

c. A homeless individual d. Or an individual with a disability who’s own income meets low income

standards. 3. Is basic skills deficient defined as

a. An adult who is unable computer or solve problems b. An adult who is unable to read, write, or speak English at a level necessary to

function on the job, in his or her family, or in society. 4. Eligible Spouse means the spouse of any of the following:

a. A person who died of a service-connected disability.

b. Any member of the Armed Forces serving on active duty who at the time of application for the priority is listed, as one of the following;

i. Missing in action ii. Captured in line of duty by hostile force

iii. Forcibly detained or interned in line of duty by foreign government or power.

c. Any veteran who has a total disability resulting from a service-connected disability.

d. Any veteran who died while a disability as evaluated was in existence. B. A non-veteran who:

1. Is currently receiving public assistance, or has received public assistance in the last six months.

2. Is low-income, defined as: a. Currently receiving or has received public assistance in the last six months, either

solely or as a member of a family b. A member of a family whose total family income does not exceed the higher of

either the poverty line or 70 percent of the Lower Living Standard (LLSIL) c. A homeless individual d. Or an individual with a disability who’s own income meets low income standards.

3. Is basic skills deficient defined as a. An adult who is unable computer or solve problems b. An adult who is unable to read, write, or speak English at a level necessary to

function on the job, in his or her family, or in society. C. A veteran or an eligible spouse of a veteran who is not included in WIOA priority groups

listed above but family income does not exceed 125 percent of the LLSIL. These adults are considered by the local area to be eligible for individualized services under WIOA funding and will be tracked through the Arizona Job Connection System.

D. A non-veteran who is not included in WIOA priority groups listed above but family income does not exceed 125 percent of the LLSIL. These adults are considered by the local area to be eligible for individualized services under WIOA funding and will be tracked through the Arizona Job Connection System.

Northeastern Arizona LWDA Subject Conflict of Interest/Nepotism Policy


Conflict of Interest/Nepotism Policy

Purpose: To clarify the procedure for avoiding any conflict of interest and/or nepotism.

Policy

Northeastern Arizona staff is required to acknowledge if they have a family relationship with participants. The staff member with the relationship will not provide services for the participant nor will they make decisions regarding expending program funding on the participant. The participant will be case managed by a case manager with no family relationship.

Northeastern Arizona LWDA Subject Individual Employment Plan/Individual Service Strategy


Individual Employment Plan/Individual Service Strategy The Workforce Specialist and Adult or Dislocated Worker participant are to develop and Individual Employment Plan (IEP) and the Workforce Specialist and Youth participant are to develop an Individual Service Strategy (ISS). Both the IEP and the ISS identify employment goals, appropriate achievement objectives, and the combination of services which will best assist the participant in reaching those goals and objectives. The IEP or ISS should be based on the assessment results and should reflect the expressed interests and needs of the participant. The goals identified must be mutually agreed upon between the case manager and the participant to ensure positive performance. The IEP or ISS is a form and a continual process. The IEP or ISS is based on assessment results for the program participant and is an ongoing strategy jointly developed by the participant and the case manager. IEP for Adults and Dislocated Workers Basic career services are available to all adult, dislocated workers, and youth accessing services. Individualized career services are made available to eligible adults and dislocated workers when it is determined that additional services beyond basic career services are required to obtain employment. The IEP serves as the basis for the entire case management strategy and is to be updated, at least monthly, through case notes entered into the Arizona Job Connection. Individual Service Strategy for Youth

The Individual Service Strategy (ISS) is based on the objective assessment that is directly linked to the 14 youth program elements. These are needed to assist the participant in meeting their educational and career goals. The ISS must include identification of appropriate career pathways including: educational goals, employment goals, appropriate achievement objectives and services for the participant.

An effective ISS plays a critical role in ensuring that the participant stays engaged and is retained in the program until completion of goals.

Northeastern Arizona LWDA Subject Adult/ Dislocated Worker/ Youth Training Policy


Adult –Dislocated Worker-Youth Training Policy

Purpose: To provide guidance to the Northeastern Arizona Local Workforce Development Area (LWDA) on providing Training Services to Adult, Dislocated Worker and Youth under the Workforce Innovation and Opportunity Act (WIOA). Individuals provided training services funded by WIOA Title 1 must be registered and determined eligible and in need of additional assistance beyond career services to obtain or retain employment.

Policy: There is no sequence of service requirement for “career services” and training. One-stop WIOA Title IB 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 staff determine, after an interview, evaluation or assessment and career planning that the individual is:

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 alone.

2. 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

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

Individuals interested in receiving training services will be scheduled to attend one-on-one interview with a workforce specialist after attending an ARIZONA@WORK overview and completing a full registration in the Arizona Job Connection. The workforce specialist will provide detailed information on the process for being approved for training under the WIOA guidelines. It also encourages the participant to take an active role in managing their employment future by researching their career and training options. The workshop specialist will cover the following topics;

1. Completing a Federal Pell Grant Application 2. Selecting training that is in an in-demand occupation for the local area 3. Learning to navigate and research occupational information 4. Testing and placement requirements for training 5. Priority of service information 6. Commitment and follow-through 7. Consumer choice in the selection of training 8. Identification of program pre-requisites

After attending the appointment, individuals interested in receiving job search and/or training are scheduled for an appointment to complete eligibility. After individuals are enrolled into WIOA they will meet with the Workforce Specialist to attend workshops, identify career choices and begin active job search.

ITA guidelines Individual Training Account vouchers will be utilized for all adult and Dislocated worker participants receiving training services through Title I B of the Workforce Innovation and Opportunity Act. Individual Training Account vouchers will not be utilized for in-school youth participants who require training. Individual Training Account vouchers may be used for out of school youth if they will be participating in an approved local area training program. All training services provided with the use of an Individual Training Account Voucher must be listed in Arizona Job Connection on the Eligible Training Provider list. The printout for the approved program of study must be printed from Arizona Job Connection and placed in the participant file. To receive tuition and book funds, participant must have applied for and exhausted or not meet eligibility criteria for all federal pell grant funding. Documentation of this must be placed in the participant file.

Northeastern Arizona LWDA Subject Supportive Services


Supportive Services Purpose The purpose of supportive services is to enable an individual to participate in Title I-B Adult, Youth, and DW training and career services in an effort to enhance their ability to successfully secure permanent employment and economic self-sufficiency. All supportive services must be necessary and reasonable. Supportive Services will include transportation assistance, training and work related items, and relocation expense. Policy 1. All supportive services are based on needs of participant and the availability of program funding. 2. The program year (July – June) expenditure limit for supportive services is $1,500.00. Exceptions to the limit must be approved by the program supervisor. 3. Services must be necessary and reasonable per the cost and in the item being purchased. Expenditures on supportive service exceeding $200.00 must be approved by the program supervisor. 4. Incentives may be given to Youth participants when certain goals and/or activities are completed. Incentives must be reasonable. 5. Classroom stipends may be provided to youth participants in the amount of $5.00 per hour for GED training, Instructor must verify attendance. Program supervisor must pre-approve the provision of classroom stipends. 6. Due to limited funding no Needs Related Payments will be provided in the Northeastern Arizona local workforce area. 7. Workforce Specialist must establish need for supportive services and document in case notes prior to any expenditures. 8. Electronic devices such as laptop computers, desktop computers, and tablets will be purchased only for participants whose instructors require the use of the device to successfully complete the training and instructors must require all students participating in the training program to obtain the electronic device. In addition, the requirement of the device must be listed in the synopsis section of the training program description and must include the cost of the item in the cost breakdown on the Eligible Training Provider List (ETPL).

a. The purchase price for the device must be reasonable and not exceed the amount of $400.00 for computers and $200.00 for tablets. b. Upon completion of training, the participant will retain ownership of the purchased device due to continual advances in technology and maintenance of the device. c. The participant and case manager will review the requirements of the program regarding the device. A determination will be made whether the purchase of a new device is necessary or if the participant already has access to resources necessary to complete the training program. If the participant requires the device during classroom training or outside of ARIZONA@WORK resource room hours and the participant does not already own a required device, the device will be purchased for the participant to ensure their success in their training program.

Supportive Service Prohibitions:

Support Services must not be provided after the WIOA Title1-B or Adult or Dislocated Worker program participant exits the program, if the individual is in need of supportive services the individual must be re-enrolled into the WIOA Title1-B Adult or Dislocated Worker Program. Supportive services, with exception of needs-related payment, may be provided as a follow-up service for WIOA 1-B youth participants

Expenditures that are not considered allowable and do not meet the conditions of supportive services include, but are not limited to:

1. Payment toward goods or services incurred or received prior to the

participant’s enrollment; 2. Fines and penalties, such as parking or moving violations, but

excluding fines such as for late utility payments, if specified by LWDA policy;

3. Taxes; 4. Child support; 5. Legal fees, such as bail and restitution but excluding fees for legal aid

as specified in LWIA policy; 6. Debts that have been turned over to a collection agency; 7. The purchase of goods or services that is illegal under any federal,

state, local, or municipal law or statute; 8. The purchase of cigarettes, alcoholic beverages or firearms; and 9. Union dues.

Northeastern Arizona LWDA Subject Youth Work Experience Policy


Youth Work Experience

Policy

Work experience is a valuable service that can provide youth participants with skills that make them employable and also provide career exploration tools. Youth participants who are placed in a work experience will receive minimum wage for no more than 40 hours per week for paid work experience. Participants may also participate in non-paid work experience. The work experience should be listed on the participant Individual Service Strategy as a step toward their employment goal. Work experience must contain an academic component during or after the work experience training that is directly related to the occupation that the youth is participating in for the work experience. The academic component will be detailed in the work experience contract and should occur prior to or concurrently with the work experience. Work experience should last no less than 8 weeks and can be extended up to twelve weeks with supervisor approval.

Northeastern Arizona LWDA Subject Adult/Dislocated Worker/Youth Exit Policy


Adult/Dislocated Worker/Youth Exit Policy

Policy

Adults and Dislocated Workers: Adults and Dislocated Workers who have completed training and employment goals listed on their Individual employment plan should have services closed within sixty days of completing their goals. Adult and Dislocated Worker participants who have not utilized Title IB services within a 90 day period will have all services closed in the Arizona Job Connection System. An exit case note will be entered as of the date the last service was closed and will include the following: Date of exit, program exited from, initial employment goal, successful or unsuccessful completion of the goal, training goal (if applicable), successful or unsuccessful completion of training goal (if applicable), employment type, employer name, and rate of pay.

Youth: Youth participants who obtain their career goals should be exited from the program no later than ninety days after meeting their employment goal. Youth who are not participating in a service for a period greater than 90 days should have services closed and exit from the program. An exit case note should be created in Arizona Job Connection to reflect the program, exit date, goal at enrollment, goal completion information, employment information, training information, and if the goals set at enrollment were met.

Northeastern Arizona LWDA Subject Follow-Up Services Policy


Follow-Up Services Policy

Purpose: This provides policy for the Northeastern Arizona Innovative Workforce Solutions Local Workforce Development Area (LWDA). Follow-up Services are provided to clients who have obtained unsubsidized employment and exit the WIOA Adult, Dislocated Worker and Youth program to promote job retention, wage gains, and career progress. The goal of follow-up services is to provide services beyond a monthly contact but rather services that keep participants’ engaged and ensure that a participant’s employment gains, job retention and credential attainments are identified and documented accurately. Additionally, job search services are offered for those individuals exited not employed. Follow-up services is a systematic approach for collecting, reporting and monitoring employment retention and exit data for the purpose of meeting Federal and State performance standards and guidelines.

Policy:

Individuals that have obtained un-subsidized employment and exit the WIOA Adult and Dislocated Worker program are eligible to begin receiving follow-up services for a minimum of 12 months following the first day of exit. A minimum of three attempts to offer the individual follow-up services should be documented in AJC and the participant file. Note: Support Services must not be provided after the WIOA Title1-B or Adult or Dislocated Worker program participant exits the program, if the individual is in need of supportive services the individual must be re-enrolled into the WIOA Title1-B Adult or Dislocated Worker Program. Supportive services, with exception of needs-related payment, may be provided as a follow-up service for WIOA 1-B youth participants.

Additionally, the LWDA will provide a minimum of 12 months of follow-up services to individuals who exit the program unemployed. Adults and Dislocated Workers may decline follow-up services if they chose to do so. Requests for cessation to follow-up services will be documented in AJC. Follow-up services should not extend the date of exit in performance reporting. Follow-up services are utilized to promote job retention wage gains and to monitor career goals and may include the following;

1. Additional career planning and counseling; 2. Contact with the participant’s employer, including assistance with work

related problems that may arise; 3. Peer support groups; 4. Information pertaining to additional educational opportunities; and 5. Referral to supportive services available in the participant’s community 6. Attempts to contact the individual may include; but are not limited to sending

a letter, an e-mail, a social media post; a self-attestation form submission via the website and/or a case note based on a phone or face to face conversation and must be documented in AJC.

7. The Follow-up services activity/code must be recorded in case notes and in AJC within 15 calendar days from the date services are provided to ensure timely follow-ups and accurate data recording.

8. Re-enrollment may become necessary during follow-up if WIOA services beyond those available in follow-up are required.

9. Financial assistance such as needs related payment is not allowable in follow-up.

10. Referral for support service assistance. 11. Job referrals. 12. Assistance in securing better paying jobs, career development and further

education; All youth participants must be provided a minimum of 12 months of follow-up services after the completion of participation. Follow-up services may be provided beyond the 12 months at the discretion of the LWDA.

1. The type of and duration of follow-up services must be determined based on

the needs of the youth participant and may vary among participants 2. Follow-up Services may include:

a. Leadership development and supportive service activities b. Regular contact with a youth’s employer, including assistance with

work related problems that may arise; c. Assistance in securing better paying jobs, career development and

further education; d. Work related peer support groups; e. Adult mentoring; and f. Tracking of process of youth in employment after training

3. The scope of the follow-up services may be less intensive for youth who have only participated in summer youth employment opportunities.

4. The Follow-up services activity/code must be recorded in case notes and in AJC within 15 calendar days from the date services are provided to ensure timely follow-ups and accurate data recording.

5. Re-enrollment may become necessary during follow-up if WIOA services beyond those available in follow-up are required.

6. Financial assistance such as needs related payment is not allowable in follow-up.

7. The youth participant’s file must contain case notes and documentation substantiating follow-up contact with the youth including follow-up attempts on a monthly basis for a 12 month period.

8. Attempts to contact the youth may include; but are not limited to sending a letter, an e-mail, a social media post, a self-attestation form submission via the website and/or a case note based on a phone or face to face conversation and must be documented in AJC.

9. Referral for support service assistance 10. Job referrals 11. Assistance in securing better paying jobs, career development and further

education; 12. Work-related peer Support groups 13. Adult Mentoring 14. Tracking of process of youth in employment after training 15. Services necessary to ensure the success of youth participants in

employment and/or post-secondary education. Process Description: Participants becoming employed and/or exited from the program will be transferred to the assigned follow-up case manager for follow-up services. An introductory contact letter is mailed out to the participant’s most recent address containing pertinent follow-up information. The letter requests that the participant select the preferred method of follow- up contact and mail in the selection chosen. (self addressed envelope is included for the participant’s convenience).

Follow-up contact is made for the 1st, 2nd, 3rd and 4th quarter after exit and documented into AJC case notes. Follow-up staff ensures that the participant is offered any variation of the follow-up services listed in this policy. Supplemental data is collected and filed to substantiate employment retention. Participant employment information is verified by the UI wage inquiry system. The Follow-up services activity/code must be recorded in case notes and in AJC within 15 calendar days from the date services are provided to ensure timely follow-ups and accurate data recording. Each contact must be documented into the AJC case notes and filed in the participant file.

• Employer verification (affidavit of placement) • Employee check stubs • Employer verbal verification; case note to file • Self -verification (monthly letter/surveys/contacts) • Self-attestation form from website

The monthly Contact Letters provide detailed information and instructions for initiating immediate contact with follow-up personnel for additional assistance. A schedule of current workshops, job fairs and community based employment events are also included in the monthly contact letter envelope.

Exclusions to the Follow-Up Process – Participants exited from the program for the following reasons;

• Medical/Health • Family Care • Incarceration/Institutionalized • Deceased • Reservist • Relocated to Mandated Residential Program (youth)

No contact will be performed for the aforementioned exits as they are considered exclusions to performance. These types of exits will be verified and documented accordingly in AJC. Customer Choice- All participants will be provided the option of selecting a preferred contact method. The method selected is documented in AJC and the participant file. Clients may decline follow-up services if they choose to.

Northeastern Arizona LWDA Subject Confidentiality of Medical Records


Confidentiality of Medical Records

Purpose: To clarify the procedure for maintaining confidentiality of medical records.

Policy

In compliance with Equal Opportunity Policy, all confidential medical records will be stored in a sealed envelope marked confidential and will be kept separate from the participant file in the possession of the Local Area’s Equal Opportunity Policy.

Northeastern Arizona LWDA Subject Reporting Fraud and Abuse – Policy and Procedure


Reporting Fraud and Abuse Northeastern Arizona Innovative Workforce Solutions staff must follow procedures outlined in this policy to ensure reports are filed timely and with the appropriate administrative staff.

1. When fraud, waste, abuse, or other criminal activity is suspected it should be reported through the local incident reporting system to the Operations Manager.

2. The Operations Manager will inform the Director of alleged criminal fraud, waste, abuse,

or other criminal abuse.

3. The Director will file a DOL Incident Report form (OIG 1-156) with the Office of Inspector General (OIG), the Arizona State Attorney General Office, and the Department of Economic Security Workforce Administration, Office of Finance and Budget. The report will be sent to the departments per the following contact information:

U.S. DOL/Office of Inspector General Attention: Office of Investigations Room S5506 200 Constitution Avenue NW Washington D.C. 20210 Hotline Number 1-800-347-3756 www.oig.dol.gov/contact.htm Arizona Attorney General 1275 W. Washington Street Phoenix, AZ 85007 Phone number (602) 542-5025 E-mail: [email protected]

http://www.oig.dol.gov/contact.htm

mailto:[email protected]

Department of Economic Security, Workforce Administration, Office of Finance and Budget Attention: Financial Manager 1789 W. Jefferson Street, Site Code 920Z Phoenix, AZ 85007 Phone number (602) 542-2957

4. All individuals have the right to report any Fraud or Abuse and other criminal activity directly to information listed.

Equal Opportunity Employer/Program Auxiliary aids and services are available upon request to individuals with disabilities.

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Northeastern Arizona LWDA Subject Equal Opportunity is the Law – Policy and Procedure


Equal Opportunity Is the Law It is against the law for the State of Arizona, as a recipient of Federal financial assistance, to discriminate on the following bases:

• Against any individual in the United States, on the basis of race, color, religion, sex (including pregnancy, child birth or related medical condition, sex stereotyping, transgender status, and gender identity), national origin (including Limited English Proficiency), age, disability, political affiliation or belief; and

• Against any beneficiary of programs financially assisted under Title I of the Workforce Innovation and Opportunity Act of 2014 (WIOA), on the basis of the beneficiary's citizenship/status as a lawfully admitted immigrant authorized to work in the United States, or his or her participation in any WIOA Title I-financially assisted program or activity.

• Recipients of federal financial assistance must take reasonable steps to ensure that communications with individuals with disabilities are as effective as communications with others. This means that, upon request and at no cost to the individual, recipients are required to provide appropriate auxiliary aids and services to qualified individuals with disabilities

The State of Arizona must not discriminate in any of the following areas:

• Deciding who will be admitted, or have access, to any WIOA Title I-financially assisted program or activity; • Providing opportunities in, or treating any person with regard to, such a program or activity; or • Making employment decisions in the administration of, or in connection with, such a program or activity.

What to Do If You Believe You Have Experienced Discrimination If you think that you have been subjected to discrimination under a WIOA Title I-financially assisted program or activity, you may file a complaint within 180 days from the date of the alleged violation with either:

• If you file your complaint with the State of Arizona, you must wait either until the State of Arizona issues a written Notice of Final Action, or until 90 days have passed, (whichever is sooner), before filing a complaint with the Civil Rights Center (see address above).

• If the State of Arizona does not give you a written Notice of Final Action within 90 days of the day on which you filed your complaint, you do not have to wait for the State of Arizona to issue that Notice before filing a complaint with CRC. However, you must file your CRC complaint within 30 days of the 90-day deadline (in other words, within 120 days after the day on which you filed your complaint with the State of Arizona).

• If the State of Arizona does gives you a written Notice of Final Action on your complaint, but you are dissatisfied with the decision or resolution, you may file a complaint with CRC. You must file your CRC complaint within 30 days of the date on which you received the Notice of Final Action.

The Local Office

Or

State of Arizona

Or

Civil Rights Center Carla Fails Local Area EO Officer 180 N. 9th Street Show Low, AZ 85901 Phone: 928-524-4327 [email protected] TTY/TTD: 7-1-1

Kerry Bernard State WIOA EO Officer Office of Equal Opportunity Department of Economic Security 1789 W. Jefferson Ave. MD 51H3 Phoenix, Arizona 85007 Phone: (602) 364 - 3976 Fax: (602) 364 - 3982 TTY/TDD: 7-1-1 Email:[email protected]

Naomi M. Barry-Perez Director Civil Rights Center (CRC) U.S. Department of Labor 200 Constitution Avenue NW Room N-4123 Washington, DC 20210 Phone: (202) 693-6500 Fax: (202) 693-6505 TTY: (202) 693-6516

Equal Opportunity Employer/Program

Auxiliary aids and services are available upon request to individuals with disabilities.

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Northeastern Arizona LWDA

Subject

Limited English Proficiency

Policy

Original Issue Date:

November 1, 2017

Limited English Proficiency Policy

1. A person who does not speak English as their primary language and who has a

limited ability to read, write, speak or understand English may be an English Language Learner and may be entitled to language assistance with respect to WIOA program and activities.

2. Northeastern Arizona Workforce Development staff will take reasonable steps to provide the opportunity for meaningful access to ELL clients who have difficulty communicating in English. If a client asks for language assistance and Northeastern Arizona Workforce Development staff determines the client is an LEP person and language assistance is necessary to provide meaningful access, Northeastern Arizona Workforce Development will make reasonable efforts to provide free language assistance. If reasonable/possible, Northeastern Arizona Workforce Development will provide the language assistance in the LEP client’s preferred language.

3. Language assistance includes interpretation, which means oral or spoken transfer of a message from language into another language and/or translation, which means the written transfer of a message from one language into another language. Northeastern Arizona Workforce Development will determine when interpretation and/or translation is needed and/ or reasonable. The need for an interpreter may be identified on the LEP person’s behalf by any Northeastern Arizona Workforce Development staff. The need for an interpreter also may be made known at the time of the registration process. The One Stop staff will display “I Speak” identification flashcards to determine the LEP person’s primary language.

4. Informal interpreters may include the family member, friend, legal guardians, service representatives or advocates of the LEP client. Northeastern Arizona Workforce Development staff will determine whether it is appropriate to rely on informal interpreters, depending upon the circumstances and subject matter of the communication. However, in many circumstances, informal interpreters, especially children, are not competent to provide quality and accurate interpretations. There may be issues of confidentiality, competency or conflict of interest. If an LEP client prefers an informal interpreter after Northeastern Arizona



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Workforce Development has offered free interpreter services, the informal interpreter may interpret.

5. To facilitate communication between LEP individuals and staff, Northeastern Arizona Workforce Development uses the following resources to the degree that the resources are available:

• Bilingual employees to communicate in Spanish; • Telephone Translation Assistance; and, • “I Speak” translation cards, to identify the individual’s primary language

Translation of Documents

Northeastern Arizona Workforce Development understands the importance of translating forms and documents so the LEP individuals have greater access to service. Northeastern Arizona Workforce Development materials are translated into Spanish; these translated forms are available internally and to the customers. Northeastern Arizona Workforce Development vital documents include, but are not limited to, the following for any services, benefit and program:

• Intake, Registration and eligibility documentation • Equal Opportunity is the Law form • Grievance and Complaint forms • Any other document deemed vital to the importance of the program,

information, or services involved and the consequences to the LEP person, on an as-needed basis.

• Marketing materials, Northeastern Arizona Workforce Development brochures and flyers

Northeastern Arizona Workforce Development will ensure all LEP customers’ case files are noted as LEP customers and identify the LEP’s person’s primary language. The staff shall interact with the individual in a manner consistent with the LEP’s plan unless the customer indicates otherwise.

Staff Training Northeastern Arizona Workforce Development are committed to providing LEP training opportunities for all staff members. The staff should be aware of their obligations to provide meaningful access for LEP persons to services, benefits and activities. While individuals with little or no contact with LEP persons may only have to be aware of the LEP policy, management staff should be fully aware of and understand the policy so they can reinforce its importance and endure implementation by staff.

• New Employee orientation training; and • LEP plan training



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Public Outreach and Notifications

Northeastern Arizona Workforce Development’s LEP policy will be provided to the public on request and make notification at the first point of contact. Notification includes signs in intake areas or other customer entry points, outreach documentation such as posters, and written documentation such as flyers or posters intended to be used to notify persons of language assistance. Flyers, posters and written documentation shall be maintained in locations in which direct service to customers is provided and shall be readily available to customers without the need of staff intervention.

Monitoring and Evaluation The LWDB will review the LEP plan no less than every 12 months. The review will include data collection and record keeping as an effective method of monitoring and compliance system. Data collection also allows an overview of how the services are provided. The review will include:

• Number of LEP persons requesting language assistance; • Assessment of current language needs to determine if additional services or

translated materials should be provided ; • Assessment of whether staff adequately understands LEP policies and

procedures and how to carry them out; • Review of feedback from employee training sessions; • Customer satisfaction feedback;

Technical Assistance

The Northeastern Arizona Workforce Development LEP contact shall be available to coordinate efforts toward compliance with the LEP Plan. Staff shall elevate LEP questions to the LEP contact. Staff shall also include a timeframe for the LEP contact to respond or to elevate the question to the State of Arizona Equal Opportunity officer. Carla Fails Northeastern Arizona Workforce 180 N. 9th Street Show Low, AZ 85901 (928) 524-4327 [email protected] TDD: 1-800-367-8939 TTY: 1-800-347-1695 The State of Arizona Kerry Bernard State WIOA EO Officer Office of Equal Opportunity

mailto:[email protected]



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Arizona Department of Economic Security 1789 West Jefferson Ave. MD 51H3 Phoenix, AZ 85007 (602) 364-3976 (602) 364-3982 Fax TTY/TDD: 7-1-1 [email protected]

Plan Distribution

• Distribute to all Northeastern Arizona Workforce Development staff • Reviewed in orientation and training sessions for supervisors and other staff

who need to communicate with LEP clients • Available at the LWDB Administration office at:

180 N. 9th Street Show Low, AZ 85901



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Subject

Complaint Procedures


Complaint Procedures The Workforce Innovation and Opportunity Act provides that applicants, participants, sub-grantees, subcontractors and other interested parties may file a complaint if they believe that the Act, regulations, grant and/or other agreements under the Act have been violated. Should an individual or organization wish to file a complaint, the following procedures shall be followed:

A. Complaint alleging discrimination (on the basis of race, color, religion, sex, national

origin, or disability, or age and sex discrimination in payment of wages) must be

filed with the U.S. Equal Employment Opportunity Commission (EEOC). All

complaints must be in writing and filed within 180 days of the date of the alleged

violation. Complaints should be addressed to:

U.S. Equal Employment Opportunity Commission 1801 L Street, NW Washington, DC 20507 1-800-669-4000

B. Complaints other than discrimination, which allege a VIOLATION OF THE WORKFORCE INNOVATION AND OPPORTUNITY ACT, GRANT, AND/OR OTHER AGREEMENTS UNDER THE ACT shall be filed with the Navajo County WIA Administration.

1. Contact the EO Officer for Northeastern Arizona Local Workforce Development Board, 180 N. 9th Street, Show Low, AZ 85901, (928) 524-4327. Non-criminal complaints, other than those alleging handicap discrimination, must be filed within one year of the alleged violation.

2. The EO Officer will set up an appointment with the complaint to discuss the problem. The intent of this appointment is to solve the problem at this level, if at all possible.



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3. A complaint must be in writing and filed within five (5) days of the informal appointment. The EO Officer will offer assistance in filing the complaint, if necessary.

4. Upon receiving the complaint, the EO Officer will date-stamp the complaint as received and schedule a hearing with the LWDB Chairperson and Hearing Officer within 30 days of the date of the complaint. Written notice will be provided to both parties of hearing which shall include notice of the complainant’s right to provide evidence and witnesses at the hearing.

5. A written decision by the LWDB Chairperson and Hearing Officer will be issued within 60 days of the hearing. The complainant will be informed at that time of his or her right to appeal the decision to the Executive Board of the LWDB. This appeal must be filed in writing within 10 days of the LWDB Chairperson and Hearing Officer’s decision. The Executive Board shall issue a written decision within 60 days from receipt of the appeal.

6. If the complainant does not receive a decision within 60 days, or receives a decision that he/she finds unsatisfactory, the complainant may request a review by the EEO Officer of the Office of Equal Opportunity, Arizona Department of Economic Security, 1789 West Jefferson Street, MD51H3, Phoenix, AZ 85077. Such requests must be submitted in writing within 10 days of receipt of the final decision by the LWDB or the decision of the LWDB will become final.

C. In the event of Administrative Enforcements and Lawsuits, please contact:

The Director of the Civil Rights Center U.S. Department of Labor 200 Constitution Avenue, NW Washington, DC 20210

D. Individuals who file a complaint, oppose a practice prohibited by the nondiscrimination and equal opportunity provisions of the Workforce Innovation and Opportunity Act or participated in any manner in an investigation will be protected from discharge, intimidation, retaliation, threat or coercion.

E. Complaint Procedure

Customers who believe they have been subjected to discrimination under a WIOA Title 1 financially assisted program activity may file a complaint within 180 days from the date of the alleged violation with the service provider, the local Northeastern Arizona Workforce Development Board EO Officer, the State EO Officer and/or directly with the Director of Civil Rights Center, U.S. Department of Labor (CRC/USDOL). In the event of Administrative Enforcements and Lawsuits, Northeastern Arizona Workforce Development Board and contracted partners must contact the CRC/USDOL.



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Subject

Reasonable Accommodation

Procedure

Original Issue Date:

November 1, 2017

Reasonable Accommodation Procedure

With regard to aid, benefits, services, and training, the Northeastern Workforce Development Board and contracted partners will provide reasonable accommodations to applicants, registrants, eligible participants, applicants for employment, current employees, and qualified individuals with disabilities who are applicants, registrants, or participants unless providing the accommodation would cause undue hardship. Northeastern Arizona Workforce Development Board and contracted partners will also make reasonable modification in policies, practices and procedures when the modifications are necessary to avoid discrimination on the basis of disability unless making the modifications would fundamentally alter the nature of the service, program, or activity. The need for an accommodation/modification shall not adversely affect the consideration of a qualified individual with a disability for aid, benefits, service and/or training. In those situations where a recipient believes that the proposed accommodation/ modification would cause undue hardship/fundamental alteration in the nature of the program, the recipient has the burden of proving hardship/fundamental alteration. If an accommodation/modification would result in undue hardship/fundamental alteration, the recipient will take any other action that would not result in undue hardship/fundamental alteration, but would nevertheless ensure that to the maximum extent possible, individuals with disabilities receive the aid, benefits, services and training provided by the recipient. If an accommodation would result in undue hardship, the recipient will give the individual with a disability the option of providing the accommodation or paying the portion of the cost that would be considered an undue hardship. Filing a Request for Reasonable Accommodation

Any qualified individual such as the applicant, registrant, eligible participant, applicant for

employment, current employee, or individual with a disability seeking to participate in a



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program or activity may request reasonable accommodation. The applicable department

shall provide any person requesting accommodations a Reasonable Accommodation

Request form. It is the responsibility of the requester to complete in full and provide

verification of the disability by the requester’s physician, medical provider or vocational

rehabilitation counselor and submit the form to the department representative,

Northeastern Arizona Workforce Development Board EO Officer or Human Resource

Manager for employment or program activity.

An individual with a disability is not required to accept an accommodation, aid benefit,

service, training, or opportunity. Although the responsibility for requesting the reasonable

accommodation rests primarily with the qualified individual, the department

representative, EO Officer or Human Resource manager are available as resources in the

preparation, explanation and dissemination of reasonable accommodation information or

technical assistance.

1. Northeastern Arizona Workforce Development Board and contracted partners are

to provide the qualified individual with the Reasonable Accommodation Request

Form when asking for an accommodation/modification.

2. If the qualified individual has chosen to opt out of receiving an accommodation,

he/she will do so by completing and signing the Reasonable Accommodation

Request Form. The applicable department is to place the form in the individual case

file and/or generate case notes indicating the choice not to accept an

accommodation. If the qualified individual is unable to complete the

accommodation form. He/she can verbally accept to opt out of receiving an

accommodation. The department will be required to document this information in

an individual’s confidential medical information maintained separate from the

regular case file for program participants and in personnel files for employees.

If the department representative approves the request for accommodation, the

accommodation shall be provided without undue delay.

Examples of Reasonable Accommodations/Modification

• Making existing facilities readily accessible to and usable by individuals with

disabilities as outlined in ADA,

• Restructuring a service or the way in which aid, benefits, services or training is

provided.

• Modified training schedules within normal hours of operation.

• Acquisition or modification of equipment or devices.

• Appropriate adjustment or modification of examinations, training, materials or

policies,



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• Providing readers or interpreters, and

• Other similar accommodations/modifications for individual with disabilities

Northeastern Arizona Workforce Development Board and/or contracted partners are not required to furnish personal services such as assistance in toileting and eating. Complaint Procedure

Customers who believe they have been subjected to discrimination under a WIOA Title 1 –

financially assisted program activity, may file a complaint within 180 days from the date of

the alleged violation with the service provider, the local Northeastern Arizona Innovative

Workforce Solutions EO Officer, the State EO Officer and /or directly with the Director of

the Civil Rights Center, U.S., Department of Labor (CRC/USDOL). In the event of

Administrative Enforcements and Lawsuits, Northeastern Arizona Workforce Development

Board and contracted partners must contact the CRC/USDOL.



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Subject

Equal Opportunity (EO)

and Nondiscrimination

Corrective Actions and

Sanctions Procedures


PROCEDURES

Corrective and Remedial Action

1) The LWDA is provided notification of identified deficiencies and recommendations for a corrective

action plan through periodic EO and Nondiscrimination Technical Assistance monitoring reviews.

The LWDA will received an EO and Nondiscrimination Technical Assistance Monitoring report

within 20 days of the on-site review that list and findings, either discrimination violations or

technical violations, found during the monitoring review.

2) Corrective action plans are to be submitted to the State WIOA EO Officer within 20 days of receipt

of the monitoring report. Findings require a written assurance. Corrections to the findings must

be made within 45 days of the initial report. If findings involve discrimination, a conciliation

agreement is required. A LWDA that prefers to complete all corrective actions with the 45-day

limit rather than sign a conciliation agreement may do so provided that the finding does not involve

discrimination and the LWDA must submit a written assurance that the finding has been corrected

and will not recur.

3) On-site follow-up visits and/or desk reviews may occur by the State WIOA EO Officer upon receipt

and review of the corrective action plan. The on-site follow-up visit may be done without prior

notification to the LWDA.

4) If all attempt to provide assistance and correction of deficiencies fall, the imposition of a sanction

will begin as described below.

Notification of Breach of Conciliation Agreement

When it becomes known to the State WIOA EO Officer that a Conciliation Agreement has been breached,

he or she will issue a Notification of Breach of Conciliation Agreement to the recipient and any other parties

to the agreement. The Notification must:

• Specify any efforts made to achieve voluntary compliance and indicate and those efforts have been

unsuccessful;

• Identify the specific provision of the Conciliation Agreement violated;

• Determine liability for the violation and the extent of the liability; and

• Indicate that failure of the violating party to come into compliance within 10 days of the receipt of

the Notification of Breach of Conciliation Agreement may result in the termination or denial of the

grant, discontinuation of assistance, or recoupment of funds, as appropriate, or in referral to the



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Arizona Attorney General or the United States Department of Justice with a request to file suit

against the recipient.

When to Impose Sanction

After all attempts or provide technical assistance and correction of deficiencies, fail, the imposition of

sanctions will be considered. If the State WIOA EO Officer concludes that compliance cannot be secured

by voluntary means, he or she must issue a final determination in writing and take other such actions(s) as

allowable by law.

Final Determination

The final determination must contain the following information:

• A statement of the efforts made to achieve voluntary compliance, and a statement that those efforts

have been unsuccessful;

• A statement of those matters upon which the recipient and the State WIOA EO Officer continue to

disagree;

• A list of any modifications to the findings of fact or conclusions that were set forth in the Initial

Determination

• As statement of the recipient’s liability and, if appropriate, the extent of that liability;

• A description of the corrective or remedial actions that the LWDA or recipient must take to come

into compliance;

• A notice that if the recipient fails to come into compliance within 10 days of the date on which it

receives the final determination, one or more of the following consequences may result;

o WIOA funds may be withheld in whole or in part;

o Applications for Set-Aside funds may be denied when the LWDA is determined to be

noncompliant with EO requirements;

o The Arizona Department of Economic Security may refer the case to the Arizona State

Attorney General or the U.S. Department of Justice with a request to file suit against the

recipient; or

o DES may take any other action against the recipient allowable by law.

Appeal of Final Determination

A Recipient has the right to appeal a final determination to the Director of the Civil Rights Center, U.S.

Department of Labor, 200 Constitution Avenue, NW, Room N-4123, Washington, D.C. 20210. The appeal

must be in writing and made within 20 days after the mailing of the final determination. Such an appeal,

however, will not forestall the initiation of sanctions unless the Director extends the deadline.

DEFINITIONS

Corrective Actions – Plans that are designed to end the discrimination and/or redress the specific

violations(s) with an established timeframe to correct.

Conciliation Agreement – A conciliation agreement must be in writing and include:

• An introduction describing who the agreement is between;

• The event(s) that brought about the conciliation agreement, and the legal authority by which EO

Officer conducted the investigation and calls for corrective action;

• A section describing each deficiency and the actions(s) required to correct it;

• An enforcement section that identifies the individual responsible to ensure that the actions(s)

specified are carried out in the time allotted;



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• Requires that reports be prepared and forwarded to the State WIOA EO Officer on a periodic or

incident basis; and

• Describes the consequences of a breach of the agreement.

Discrimination Violations – Discrimination violations involve any complaint where discrimination is

alleged and cannot be resolved within 45 days. Discrimination violations may include, but are not limited

to: findings of disparate treatment, disparate impact, and failure to provide reasonable accommodation.

These findings always require a conciliation agreement. Provisions will include making whole relief, to

include where appropriate; retroactive relief (e.g. back pay, from pay, retroactive benefits, training, any

service discriminatorily denied, etc) or prospective relief (e.g. change of policy, training, development of

new policy, training on policy communication, etc.). Monetary relief, such as back pay, may not be paid

from federal funds. The recipient is obliged to find another financial source, such as local tax dollars, to

compensate the victim.

Remedial Action – A corrective action that applies to discrimination is often called remedial action.

Technical Violations – Technical violations do not involve discrimination and must be corrected by the

Local Workforce Investment Act (LWDA) within 45 days. Technical violations require written assurance

from the LWDA certifying that the violation has been corrected. Technical violations may include, but are

not limited to: findings of failure to post the required “Equal Opportunity is the Law” notice, failure to

include assurance in service plans, agreements, contracts or similar documentation, failure to include a

signed “Equal Opportunity is the Law” notice in a WIOA participant file, a signed statement confirming

participant knowledge of Compliant Procedures and Grievance Procedures, etc.

Sanctions – A sanction is any official action implemented to penalize or censure a non-complying recipient.

When voluntary compliance to correct a violation cannot or will not be achieved, imposition of sanctions

will be considered for the non-complying recipient.

Written Assurance – A written assurance certifies that the deficiency has been corrected. It must:

• List the deficiency and corrective actions as specified in the written notification;

• Describe the corrective actions taken to correct the finding, and include the date those corrective

actions were taken and any supporting documentation required to close the finding;

• State that the LWDA is taking and will continue to take steps to assure that the deficiency does not

recur; and

• be signed by the official signatory of the LWDA.

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