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Effective date: October 20, 2022
The Governor's Council on Workforce Investment (CWI) is the federally mandated state entity under WIOA1 that assists the Governor in developing innovative and dynamic approaches to further develop Wisconsin's workforce. The CWI, also referred to as the Council, is tasked with aligning Wisconsin's workforce and talent development initiatives and investment with its economic development strategies. In assisting the Governor and Legislature in carrying out their federally mandated responsibilities, the Council aids Wisconsin employers in finding the workers they need and provides resources to enable workers to access training for in-demand careers with the goal of moving Wisconsin's economy forward. Due to administrative change, the CWI was reconstituted in January 2019 under Executive Order #6.
Effective date: October 20, 2022
The Governor appoints members of the Council in accordance with the requirements enumerated in 20 CFR 679.110(b)(3) of WIOA, which includes representatives of business, local and state government, education, labor, and community-based organizations across the state. Members serve at the pleasure of the Governor and assist Wisconsin's Department of Workforce Development (DWD) in crafting a comprehensive workforce development strategy that:
The Council is currently comprised of an Executive Committee and three standing committees which provide a formalized structure for workforce members and stakeholders to actively participate in the maintenance, support, and refinement of the system's activities.
More information about the Council and its activities can be found at http://www.wi-cwi.org/default.htm.
Effective date: July 1, 2018
The State is the pass-through entity of funds awarded for WIOA Title I Adult, Dislocated Worker, and Youth programs. It is responsible for oversight of the operations of the WIOA activities. DWD-DET will monitor its activities under the Federal awards to assure compliance with applicable WIOA requirements and that performance expectations are being achieved. Monitoring by DWD-DET must cover each program, function, or activity.1
DWD-DET monitors for compliance in the areas of equal opportunity and civil rights, program delivery, and fiscal, as well as performance of local areas to ensure proper systems are not only in place, but that they are being followed and meet the requirements of the law on a yearly basis.
Effective date: July 1, 2018
The Non-Federal Entity means a State, local government, Indian Tribe, institution of higher education, or non-profit organization that carries out a Federal award as a recipient or subrecipient.1 State of Wisconsin, County of Racine, and Northwest Concentrated Employment Program (CEP), are examples of Non-Federal Entities.
The Non-Federal Entity is responsible for oversight and operations of the Federal award supported activities. The Non-Federal Entity must monitor its activities under Federal awards to assure compliance with applicable Federal requirements and performance expectations are being achieved. Monitoring by the Non-Federal Entity must cover each program, function, or activity.2
The Non-Federal Entity must submit performance reports as required by the federal awarding agency or pass through entity to best inform improvements in program outcomes and productivity. These reports will include:
Events may occur between the scheduled performance reporting dates that have significant impact upon the supported activity. In such cases, the Non-Federal Entity must inform the Federal awarding agency or pass-through entity as soon as the following types of conditions become known:
A pass-through entity is a non-Federal entity that provides a subaward to a subrecipient to carry out part of a Federal program.5 The State of Wisconsin and the Southeast Wisconsin Workforce Development Board are examples of pass-through entities.
Among its responsibilities regarding sub-recipients, a pass through entity must:
A subrecipient is a non-Federal entity that receives a subaward from a pass-through entity to carry out part of a federal program. A subrecipient may also be a recipient of other federal awards directly from a federal awarding agency.7 Workforce Resource, Inc. and ADVOCAP are examples of subrecipients, as examples of non-Federal entities that receive subawards from their local Workforce Boards.
Subrecipient oversight and monitoring requirements for the Title 1 WIOA received include:
A subaward is an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.9
A contractor is an entity that receives a legal instrument (i.e., contract) by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award. The term as used in this part does not include a legal instrument, even if the non-Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward.10 Wisconsin Indianhead Technical College and local Community Based Organizations are examples of Contractors.
The non-Federal entity may concurrently receive Federal awards as a recipient, a subrecipient, and a contractor, depending on the substance of its agreements with Federal awarding agencies and pass-through entities. Payments received for goods or services provided as a contractor are not federal awards,11 therefore, a pass-through entity must make case-by-case determinations whether each agreement it makes for the disbursement of Federal program funds casts the party receiving the funds in the role of a subrecipient or a contractor. The Federal awarding agency may supply and require recipients to comply with additional guidance to support these determinations provided such guidance does not conflict with this section. 12
Characteristics which support the classification of the non-Federal entity as a subrecipient include when the non-Federal entity:
Characteristics indicative of a procurement relationship between the non-Federal entity and a contractor are when the non-Federal entity receiving the Federal funds:
In determining whether an agreement between a pass-through entity and another non-Federal entity casts the latter as a subrecipient or a contractor, the substance of the relationship is more important that the form of the agreement. All the characteristics listed above may not be present in all cases, and the pass-through entity must use judgment in classifying each agreement as a subaward or a procurement contract.15
"The chief elected official in a local area shall serve as the local grant recipient for, and shall be liable for any misuse of, the grant funds allocated to the local area...unless the chief elected official reaches an agreement with the Governor for the Governor to act as the local grant recipient and bear such liability." [WIOA section 107(d)(12)(B)(i)(I)]
Effective date: July 1, 2022
Several key items will be reviewed and considered. Items may include, but are not limited to, the following:
The schedule of annual on-site monitoring and the monitoring guides that DWD-DET will use are available in the Resources box on this page.
DWD-DET will identify Areas of Concern and Findings that appear in two or more consecutive monitoring reports for the WDA. These issues may result in one or more of the following:
In addition to the above, if the local area monitoring report includes findings that appear in three or more consecutive years for the same item, DWD-DET may enforce additional corrective measures, to include any or all of the following:
Terms utilized will be those identified in the United States Department of Labor's (USDOL) "Ten Steps to Developing an Effective State Monitoring System," and are defined below:
Used to highlight positive aspects of programs that may be shared with other WDBs to help improve their programs.
Administrative, management, or programmatic practices that are not specific compliance violations but may have negatively impacted the program and/or could lead to a finding in the future. Area of Concerns may result in either required or recommended actions.
A violation (condition) of a specific compliance requirement contained in law, regulations, national policies, Funding Opportunity Announcements (FOAs), Uniform Guidance or OMB Circulars, the grant terms and condition, ETA policy guidance, including Training and Employment Guidance Letters (TEGLs), and/or the grant agreement that requires specific corrective (required and /or recommended) action. Findings may result in questioned cost and/or disallowed costs.
Additionally, the following terms utilized in this report are defined by DWD-DET as follows:
An aspect of local area activities that is not necessarily innovative, but indicative of high quality WIOA execution, operationalization, and/or management.
During the review, a condition was observed that was
Effective date: July 1, 2020
The local workforce development area (WDA) serves as the jurisdiction for the administration of workforce development activities, and the execution of Adult, Dislocated Worker, and Youth funds allocated by DWD-DET.
They are the areas within which local Workforce Development Boards (WDBs) oversee the functions described in Policy 1.4.3.1
Such areas may be considered a region unto themselves, or may be components of a planning region, each with its own Local Workforce Development Board (WDB).
The Governor must designate local areas in order for the state to receive Adult, Dislocated Worker, and Youth funding under Title I, subtitle B of WIOA.2
Effective date: July 1, 2020
WIOA required that within the first two years of enactment, DWD-DET, in consultation with the Governor's Council on Workforce Investment (CWI), chief elected officials (CEOs), and local WDBs, and after a public comment period, establish local workforce development areas (WDAs) within the state.1
In the state of Wisconsin, all local WDAs previously established under the Workforce Investment Act of 1998 were re-designated under WIOA on May 16, 2016 per the process outlined in Administrator's Memo 15-04.2
Date | Event |
---|---|
July 22, 2014 | Workforce Innovation and Opportunity Act (WIOA) signed into law |
March 12, 2015 | Local area designations discussed with local WDBs during WIOA state call |
March 23, 2015 | DWD Secretary Reggie Newson consulted with CWI about local area designations |
April 15, 2015 | DOL issued TEGL 27-14: Workforce Innovation and Opportunity Act Transition Authority for Immediate Implementation of Governance Provisions |
May 12, 2015 | DOL issued TEGL 27-14, Change 1. Allows Concentrated Employment Programs (CEPs) established under WIA to apply for designation |
June 2015 | State policy routed in draft form for review and comment to local WDBs and Wisconsin Workforce Development Association (WWDA) |
June 13, 2015 | State policy and comments discussed with local WDBs at WIOA state call. |
June 30, 2015 | DWD-DET issued Administrator's Memo 15-04 |
December 31, 2015 | Due date for local areas under WIA to submit "Request Form for Workforce Development Area Designation under the Workforce Innovation and Opportunity Act" to DWD-DET for review |
February 11 - March 11, 2016 | Designation requests posted to http://dwd.wisconsin.gov/wioa/doc/public_review_notice_area_designation.doc for 30-day public review |
May 2, 2016 | CWI recommended approval of local area designation requests for 11 WDAs to Governor Walker. |
May 16, 2016 | DWD Secretary Raymond Allen issued WDA designation approval letters to all 11 WDBs. |
July 1, 2016 | Local area designations in effect |
Wisconsin has identified eleven (11) local WDAs encompassing its 72 counties:
Effective date: July 1, 2020
At any time, the CEO and local WDB from any unit of local government, including local government consortia, may request to be designated as a local WDA. Requests will be reviewed by the CWI, which will make recommendations to the Governor, who will approve or deny the request in accordance with established policy.1
Designations of local WDAs will be ongoing2 as long as those areas:
Local areas that are able to demonstrate successful performance and fiscal integrity must be permitted to continue to operate and may not be re-designated without the consent of the local WDB and CEO in the local area.4
The Governor may review a local area at any time to evaluate whether that area continues to meet the requirements for subsequent designation.5
The Governor must review local area designations at least once every four years, to coincide with the four-year state planning cycle.6
The local area and CEO must be considered to have requested continued designation unless the local area and CEO notify the Governor that they no longer seek designation.7
Effective date: July 1, 2020
If a unit of local government, or a grant recipient, is denied a request to be designated as a local area they may appeal to the CWI using the appeals process outlined in Section VI.c of Wisconsin's Workforce Innovation and Opportunity Act Combined State Plan.
If the appeal is denied, the appellant may appeal to the United States Secretary of Labor. If the Secretary of Labor determines that the appeals process in the State Plan was not followed appropriately, or that the area in question meets the requirements in WIOA 106(b)(2 or 3), then he/she can require that the area be designated a local area.1
Effective date: July 1, 2020
WIOA requires that the state identify regions.2 The purpose of identifying regions is to align workforce development activities and resources with larger regional economic development areas and available resources to provide coordinated and efficient services to both job seekers and employers.3
Wisconsin has identified two planning regions based on alignment with its economic development regions and local labor market information, including commuting patterns between counties, shared labor force, and various other economic factors. These regions are:
Effective date: July 1, 2020
Each local WDA must have the following governing agreements in place:
These agreements may be standalone documents or may be combined with each other or incorporated into other documents as deemed appropriate by the local area.
Agreements may be reviewed and modified anytime deemed appropriated by the CEO or local WDB and may be reviewed by DWD-DET annually consistent with Chapter 1.2 of this policy manual.
Each local WDA must also develop a WIOA Local Plan, and if part of a planning region, must collaborate on the development of a WIOA Regional Plan.
Effective date: July 1, 2017
The Workforce Innovation and Opportunity Act (WIOA) requires the establishment of one local workforce development board (local WDB) in each local area of the State. 1 The chief elected official (CEO) in each local area is required to appoint the members of the local WDB within that area, in accordance with the criteria established in this policy. 2
Each local WDB must be certified by the State upon initial establishment, and must be recertified once every two years thereafter. 3 To become initially certified, and to gain biennial recertification, the local WDB must satisfy certain membership requirements.
Once established and certified each local WDB is required to carry out specific functions as defined in WIOA Section 107(d) and clarified in Subpart C—Local Workforce Development Boards of the WIOA Final Rule. 4 Biennial recertification is dependent upon the success of the local WDB in carrying out those functions.
Effective date: July 1, 2017
The chief elected official within a local area serves a vital role in establishing and governing the local WDB within that area.
In cases where more than one unit of local government exists within a local area, the chief elected officials of such units may execute an agreement to describe their responsibilities for carrying out roles and responsibilities, including financial liability. 1 This agreement (i.e., CEO Consortium Agreement) shall determine which official shall serve as the lead for the consortium, and therefore be the designated CEO for the local WDB.
The chief elected official (CEO) in each local area is required to appoint the members of the local WDB within that area (except those members representing the State's Department of Workforce Development (DWD)) in accordance with established local WDB by-laws and the criteria established in this policy. 2
Positions on the local WDB designated for representatives from State of Wisconsin civil service agencies (i.e., Wagner-Peyser, Vocational Rehabilitation, and Unemployment Insurance) will be appointed to two (2) year terms by the State Secretary of Workforce Development.
At the commencement of each biennial local WDB recertification process DET will issue a list of current DWD-appointed representatives, to include the name, title, contact information, and term end date of each appointee.
The CEO for each local WDB must establish by-laws, consistent with State policy, that, at minimum, address the following:
Any changes to the local WDB's By-Laws, including additions, rescissions, amendments, or revisions, must be submitted to the WDB's assigned Local Program Liaison within 20 business days.
The CEO for the local area serves as the local grant recipient. 4
The CEO collaborates with the local WDB on the following required functions:
Effective date: June 1, 2021
The primary role of the local WDB is to serve as a strategic convener to promote and broker effective relationships between the CEOs and economic, education, and workforce partners throughout the local area. The local WDB must develop strategies to continuously improve and strengthen the workforce development system through innovation in, and alignment and improvement of, employment, training, and education programs to promote economic growth. 2
Once established and certified, each local WDB must carry out specific functions as defined in WIOA Sections 107(d) and 108, and summarized as follows:
WIOA allows local WDBs to perform other functions when certain conditions apply, as outlined below. 3
A local WDB may be selected as a one-stop operator only with the agreement of the CEO in the local area and the State. The selection process must occur:
In cases where the local WDB is serving in the role of one-stop operator, then the State must ensure certification of one-stop centers.
A local WDB may act as a provider of career services for Adult and Dislocated Worker Programs only with the agreement of the CEO in the local area and the State.
The local WDB may directly provide some or all youth workforce investment activities. 4
In cases where local organizations are functioning simultaneously in a variety of roles (i.e. service provider and fiscal agent, or service provider and one-stop operator), the organization must develop a written agreement (MOU) with the local WDB and CEO to clarify how the organization will carry out its responsibilities while demonstrating compliance with WIOA and corresponding regulations, the Uniform Guidance, and the State's conflict of interest policy.
The written agreement must clearly describe how the organization and the local WDB will ensure that appropriate firewalls are in place to minimize fiscal risk and prevent a conflict of interest, or the appearance of a conflict of interest.6 The emphasis should be on duties that are incompatible or vulnerable to conflict. Some considerations are:
When adequate separation within an organization is not possible, DWD-DET requires the organization to outsource the duties that are in conflict.
Effective date: July 1, 2017
Local WDBs are not authorized to provide training services.
Local WDBs do not have authority to mandate curricula for schools.
Effective date: July 1, 2017
WIOA allows each local WDB to employ a director and other staff to assist in carrying out the required and optional functions described in this policy.
The local WDB shall establish and apply a set of objective qualifications for the position of director that ensures that the individual selected has the requisite knowledge, skills, and abilities, to meet identified benchmarks and to assist in effectively carrying out the functions of the local WDB.
Local WDBs may hire staff using funds available under sections 128(b) and 133(b) as described in section 128(b)(4). Pay rates and bonuses for these staff shall be subject to the limitations described in section 194(15).
Limitations on pay rate can be determined using the most recent Salary Table: Rates of Basic Pay for the Executive Schedule (EX).
Effective date: July 1, 2017
The local WDB may designate and direct the activities of standing committees to provide information and assist the local board in carrying out required activities. Establishment of standing committees is not required.
If established by the local WDB, each standing committee must:
Standing committees may also include other members of the local WDB.
WIOA expressly authorizes standing committees to address specific, defined needs as outlined below:
The local WDB may establish other standing committees as it determines appropriate.
Effective date: July 1, 2017
The local WDB shall make available to the public, on a regular basis through electronic means and open meetings, information regarding the activities of the local board, including:
Effective date: July 1, 2017
The chief elected officials (CEOs) in each local area shall appoint members to the local WDB in accordance with the criteria outlined below:
No less than 51% of each local WDB shall be representatives of businesses in the local area.
Local WDB members representing the Business category must be:
CEOs in each local area must solicit nominations for local WDB representatives from local business organizations and business trade associations, and make appointments to the local WDB from among the individuals nominated.
Not less than 20% of the members of each local WDB shall be representatives of the workforce within the local area.
In this category, local WDBs must include:
In local areas where no organized labor representation exists, CEOs shall ensure that at least two (2) other representatives of employees are included in the local WDB membership.
In local areas where no joint labor-management program exists, CEOs shall ensure that at least one (1) additional representative of an apprenticeship program is included in the local WDB membership.
For local WDB representatives from labor organizations and joint labor-management programs, CEOs must solicit nominations from local labor federations, and then must make appointments to the local WDB from those individuals nominated.
Within the Workforce category, CEOs may also include:
In this category, local WDBs must include:
In cases where there is more than one (1) provider of AEFLA activities, or multiple institutions of higher education providing workforce investment activities, operating within the local area, the CEO must solicit nominations from those providers and institutions, and appoint required representatives from among the individuals nominated. There is no requirement that the local WDB include a representative from each provider operating within the local area.
Within this category, CEOs may also include:
In this category, local WDBs must include:
See Special Note About Department of Workforce Development (DWD) Appointees.
In the event one or more of the DWD-appointed positions becomes vacant during the two (2) year certification period, the local WDB must follow the procedures outlined in Changes to Local WDB Membership to notify the LPL of the vacancy so the DWD Secretary can appoint a replacement.
CEOs may appoint other individuals to the local WDB at their discretion, including:
If appointing other representatives, the CEO must ensure that required percentages for Business (at least 51%) and Workforce (at least 20%) categories are maintained.
For a summary of WDB Membership Requirements, including recommendations for appropriate nominating agencies in each category, please see Attachment A, Summary of WDB Membership Requirements.
Members of a local WDB may be appointed as representatives to multiple categories if they meet all the criteria for representation in each of those categories. 4
In cases where a single individual is representing multiple categories, the individual shall only receive one (1) vote.
When no representation of multiple categories occurs, the minimum size of a local WDB will be 23 members. [Attachment A, Summary of WDB Membership Requirements, p. 3.]
CEOs in each local area shall strive to ensure that their local WDB includes adequate representation of diversity in the following areas:
Members appointed to the local WDB must be individuals with optimum policy-making authority within the entities they represent, meaning they can reasonably be expected to speak affirmatively on behalf of the entities they represent and commit those entities to a chosen course of action. 5
All required local WDB members, as outlined above, must have voting privilege. The CEO may choose whether or not to convey voting privileges to non-required members. 6
Effective date: July 1, 2017
The members of the local WDB shall elect a chairperson for the local board from among the representatives in the Business category, as described in 1.4.8. 1
Effective date: July 1, 2017
After initial establishment, each local WDB must be recertified by the State once every two (2) years.
Recertification shall be granted to one (1) local WDB in each designated local area based on the following criteria:
In cases where local WDBs fail to achieve recertification, the Governor shall appoint a compliant WDB following the process outlined in WIOA Section 107(c)(1)(B)(ii).
Local WDBs may be decertified in certain cases, including when:
If a local WDB is decertified, the Governor, in consultation with the CEO in the local area, may issue a reorganization plan and require that a new board be appointed per the criteria established in the Local WDB Membership and Criteria section 1.4.8.
When subject to reorganization, the local board and CEO for a local area have 30 days after receiving notice of the reorganization plan to appeal to the Governor to rescind or revise the plan. The Governor must provide the CEO with a ruling within 30 days of receiving the appeal. The local board and CEO have 30 days from the date of receiving the Governor's ruling to file an appeal with the Secretary of Labor. The Secretary must make a final decision with 30 days of receiving the appeal. However, the Governor's ruling will be effective at issuance, and will remain effective unless rescinded or revised by the Secretary of Labor. 3
Effective date: July 1, 2017
To ensure continuous compliance with WIOA and this policy, any changes to the membership of the local WDB must be reported in writing to the Local Program Liaison assigned to the local area within 20 business days from the date of the change.
Notification shall include:
Effective date: July 1, 2017
WIOA directs that a member of a local WDB, or a member of a standing committee, may not:
Each representative serving on the local WDB is required to have a current, signed Conflict of Interest form on record with the Board and with the State. Conflict of Interest forms shall be renewed at the beginning of each Biennial WDB Recertification Process, and shall be provided to the State at that time. For any individual joining the board between recertification periods, a signed Conflict of Interest form must be submitted to the WDB's assigned Local Program Liaison within 20 business days of the member's appointment.
Effective date: July 1, 2017
Effective date: July 1, 2020
Local Workforce Development Boards (WDBs) and Chief Elected Officials (CEOs) within local areas that are part of a planning region must engage in regional planning that results in:
Within each region, a single Regional Plan must be prepared, submitted, and granted DWD-DET approval in accordance with Section 1.5.5 of this chapter. The plan must include a description of the activities outlined above and must incorporate the Local Plans for each of the local areas in the planning region.2 At the start of each regional planning cycle, DWD-DET will issue guidance outlining Regional Plan requirements, submission deadlines, and other pertinent information.
Effective date: July 1, 2020
Each local WDB, in partnership with its CEO, must develop and submit to the DWD-DET a comprehensive four-year Local Plan that must support the strategy described in the State Plan, and otherwise be consistent with the State Plan.1 This Local Plan is an opportunity for local WDBs to identify current and future strategies and efficiencies to address the continuing modernization of the workforce system and creation of a customer-centered system where the needs of workers and businesses drive workforce solutions, where One-Stop Job Centers provide excellent customer service to all job seekers and businesses, and where the workforce system supports strong regional economies as well as alignment with updated state and local priorities. Local Plans should be based on current and projected needs of the workforce investment system, as a whole. The needs of job seekers, incumbent workers, youth, and businesses should be considered in every step of the planning process. The WDB must maintain a "big picture" view of the system-wide needs of the local Workforce Development Area (WDA) and its relationship to the state vision, rather than focusing on programmatic and operational details. To that end, the Local Plan must be developed with input from local workforce development system stakeholders.2 An atmosphere of collaboration and partnership and an emphasis on enhancing the entire system rather than categorical programs, is to be the outcome of this planning process.
At the commencement of each four-year local planning cycle and two-year modification cycle, DWD-DET will issue specific guidance detailing Local Plan requirements, submission deadlines, and other pertinent information.
Effective date: July 1, 2020
At the end of year two of the four-year planning period, each WDB, in partnership with its CEO, must review the Regional Plan and/or Local Plan to determine if a modification is necessary.1 If there are no changes as established in the modification criteria, the planning region and/or local WDB must submit a signed attestation.
Conditions that require a modification to the regional plan include:2
Conditions that require a modification to the local plan include:3
Effective date: July 1, 2020
Consistent with WIOA's Sunshine Provision, the WDB must make copies of the Regional Plan and/or Local Plan available for public comments1 in each county in the WDA. At minimum, the local WDB must:
Effective date: July 1, 2020
Each local WDB and planning region must complete the following steps:
A Regional Plan and/or Local Plan submitted to DWD-DET, including a modification to such plan, shall be considered approved upon written notice by DWD-DET at the end of the 90-day period beginning on the day DWD-DET receives the Plan(s), or modification, unless DWD-DET makes a written determination during the 90-day period that:
Effective date: July 1, 2020
Local Workforce Development Boards (WDBs), grantees, and/or subrecipients are organizations that are not a part of state government and therefore are not accountable to the state policies that govern records maintenance and retention for state agencies and employees.1 DWD's Division of Employment and Training (DWD-DET) requires that its grantees and subrecipients have local written policies in place to govern access to and retention of grant-related records compliant with WIOA, OMB's Uniform Administrative Guidance, and this WIOA Titles I-A and I-B Policy & Procedure Manual. DWD-DET recommends that its grantees and subrecipients seek assistance from their own legal counsel or records management staff for the development of these policies.2
Effective date: July 1, 2020
DWD-DET requires its grantees to maintain records related to the management and administration of the grant sufficient to:
All records within the local WDA must be standardized to ensure consistent data collection and reporting.4
All records pertaining to DWD-DET grants are subject to Wisconsin Open Records Statute.5
Individuals' records must be retained in a manner that protects the confidentiality of their Personally Identifiable Information (PII)6 and equal opportunity data and other information.7
Each local WDB must make available to DWD-DET any reports, records, plans, or any other data that is required to be submitted by law, regulation, or policy, or upon official DWD-DET request8 for as long as the records are retained.9
DWD-DET may require the transfer of certain records from the grantee or subrecipient if the organization is no longer able to maintain custody of those records.
DWD-DET requires that records must be retained and stored in a manner that will preserve their integrity and admissibility as evidence in any audit or other proceedings. The burden of production and authentication of the records is the responsibility of the custodian of the records. Electronic retention of records, including the use of cloud-based storage systems, is allowable, assuming the electronic storage meets all other retention requirements outlined in WIOA, OMB's Uniform Administrative Guidance, DWD-DET data sharing agreements, and this policy manual.
Effective date: September 4, 2020
DWD-DET has developed and maintains several electronic systems of record for the various types of records required to manage and administer WIOA Title I funded programs:
DWD-DET requires local WDBs and their subrecipients to use the appropriate systems of record to maintain WIOA grant-related data. Information entered in the electronic systems of record must be supported by all relevant documentation required throughout this policy manual. This documentation may be maintained in paper files or electronic filing systems, including the use of ASSET's document upload functionality. It is not necessary to maintain both paper and electronic records as long as the electronic record contains all required documentation. Local WDBs must have documentation, data entry, and quality assurance policies and/or procedures in place to ensure the integrity of the data provided to DWD-DET. DWD-DET will monitor data integrity and conduct data validation, at minimum, on an annual basis.1
Information entered in DWD-DET's electronic systems of record is considered part of DWD-DET's records and will be retained in accordance with ADM00013 – Grant Documentation.2 This includes participant-specific documents uploaded to ASSET using the document upload functionality.
Effective date: September 4, 2020
All records pertinent to grants and agreements funded by DWD-DET must be retained for a minimum of three years.1
This includes, but is not limited to:
Type of Record | Three-Year Retention Period Begins |
---|---|
All financial records, supporting documents, statistical records, and property records.2 | Date of submission of the final expenditure report or quarterly or annual financial report |
All records of real property and/or equipment acquired with DWD-DET administered funds3 | Date of the item's disposition |
All records pertinent to each grant agreement | Date of submission of the settlement or closeout reports |
All records for program income transactions after the period of performance | End-date of the entity's fiscal year in which the program income is earned4 |
Indirect cost rate proposals and cost allocation plans including indirect cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable | Date of submission to DWD-DET for negotiation5 or End-date of the entity's fiscal year (or other accounting period) covered by the proposal, plan, or other computation6 |
All records pertinent to each participant's enrollment in programs funded under the agreement, including the dates of entry and termination in each activity | Participant's common exit date, as determined in ASSET |
All records pertinent to applicants that have been determined eligible, but not served | Date of the eligibility determination |
All pertinent records of each applicant who is determined ineligible | Date of the ineligibility/refusal determination; the records must indicate the reason for ineligibility/refusal |
All records pertinent to complaints/grievances, appeals, and resolutions | Date the complaint/grievance is closed following final settlement of the case. |
In any case where a litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken.7 In these cases, a new three-year retention period will begin on the day the litigation, claim, or audit finding is deemed to be resolved.
In cases where the federal awarding agency (USDOL) requires an extended retention period, DWD-DET may require an extended retention period of its grantees and/or subrecipients.8
The local WDB and/or its subrecipient(s) are responsible for entering required data in the appropriate electronic systems of record, as outlined in Section 1.6.2. Information contained in DWD-DET's electronic systems of record, including participant-specific documents uploaded to ASSET using the document upload functionality, is considered part of DWD-DET's records and will be retained in accordance with ADM00013 – Grant Documentation.
Costs related to records retention are allowable costs and may be charged to the DWD-DET grant.
Effective Date: February 16, 2022
In the event that a career planner will no longer be assigned to a participant (due to staff turnover, reassignment, or change of service provider, for example), DWD-DET requires that the participant be reassigned to another career planner. That reassignment and the first attempt to contact the participant by the newly assigned career planner must take place within 10 business days of the original career planner ceasing to be responsible for the participant's case.
If the initial contact attempt is not successful, the career planner must make at least two subsequent attempts within 30 business days of being assigned to the participant. In this case, DWD-DET strongly recommends using various methods of communication (for example, email, phone call, text message). Career planners must also adhere to their local Workforce Development Board's contact policies, if applicable.
The reassignment must be documented by changing the assigned career planner in the ASSET Programs screen and entering an ASSET customer note. All contact attempts, communication methods used, and their results must also be documented in ASSET customer notes.
This practice will ensure that participants receive consistent and continuous access to services in case of staff turnover or other instances of career planner transition.
Note: DWD-DET recognizes that there may be a need to assign participants to a temporary, or interim staff person while conducting recruitment and hiring activities for a full-time, permanent replacement, and considers such temporary/interim assignments to be aligned with the expectations of this policy. Such temporary/interim assignment should still be documented in ASSET, and the temporarily assigned staff person should document contact attempts as outlined in the policy.
Effective date: August 1, 2020
As envisioned by WIOA, Wisconsin's publicly funded workforce system is quality-focused, employer-driven, customer-centered, and tailored to meet the needs of regional economies.1
DWD-DET envisions an integrated system in which all partners leverage available funding, cross-train staff, and cooperatively provide shared services to reduce duplication of services, eliminate inefficiencies, and maximize the quality of the customer experience.2
Effective date: August 1, 2020
The one-stop delivery system is comprised of a network of physical one-stop job center locations throughout the state, as well as virtual resources available through the Job Center of Wisconsin website. This one-stop delivery system includes six core programs and other required and optional partners identified in WIOA and Wisconsin's WIOA State Plan. The six core programs are:
Within the one-stop delivery system these partners work together to operate programs that provide integrated services to a shared client-base that includes both employers and job seekers. Goals of the one-stop delivery system include:
Management of the one-stop delivery system is the shared responsibility of the state, local workforce development boards (WDBs), elected officials, the core WIOA programs, other required partners, and contracted one-stop job center operators.4
Effective date: August 1, 2020
Entities that receive funding through the following programs are required to participate in the one-stop delivery system:1
NOTE: The entity is the grant recipient, administrative entity, or organization responsible for administering the funds of the specified program in the local area. This does not include the service providers that contract with, or are sub-recipients of, the local administrative entity. For programs that do not include a local administrative entity, the responsible state agency is the partner.4
If the required program or activity is not operational in a local area, the requirements relating to the required one-stop partner are not applicable to that program or activity in that local one-stop delivery system.5
With the approval of the local WDB and chief elected official (CEO), other entities may participate as optional partners in the one-stop delivery system, including:
Partners within the one-stop delivery system make services available on-site, via the use of technology, and/or via formalized referral processes. The methods partners use to provide services and coordinate with each other, including required resource sharing, are documented in the one-stop delivery system Memoranda of Understanding (MOU) (see Section 2.6 of this chapter).
All required partners must use a portion of their program funds to maintain the one-stop delivery system, including jointly funding Job Center infrastructure, based on each partner's proportionate use of and relative benefit from the one-stop delivery system. The allocation methodologies and partners' individual contributions must be documented in the One-Stop Delivery System MOU.6
The local Workforce Development Board (WDB) for each local workforce development area (WDA) is the primary convener of these partners and has responsibility to ensure that required partners are included in the one-stop delivery system.
NOTE: The local WDB is not a one-stop partner, unless it is a specific program provider as well.7
Effective date: May 3, 2021
To be considered an American Job Center within Wisconsin's one-stop delivery system a location must:
The local WDB should work with its one-stop delivery system partners to determine the number and placement of Job Center sites. In doing so, the local WDB should consider the resources available within the system, customer needs, and available methods of service delivery.5
The local WDB is responsible for assessing physical locations within the borders of its WDA to determine which sites meet the criteria to be considered Job Centers. Each location within the WDA that meets all five of these criteria must be designated as an American Job Center, be identified as an American Job Center in accordance with Section 2.5 of this chapter, be included in a one-stop delivery system MOU in accordance with Section 2.6 of this chapter, and be certified in accordance with Section 2.8 of this chapter. All certified Job Centers within the WDA must be reassessed on a regular basis, at minimum once every three years, to ensure ongoing compliance with these requirements.6
Job Centers may be identified as comprehensive, affiliate, or specialized.
A comprehensive Job Center7 must meet all the criteria in Section 2.2.2 and must make available (on-site, via the use of technology, and/or via trained staff) all the required partners/programs identified in Section 2.2.1. A comprehensive Job Center must provide career services, workforce and labor market information, as well as access to training services, other employment and training activities,8 and programs and services provided by required partners/programs.9
A comprehensive Job Center10 must provide meaningful access to all the required partners/programs by one or more of the following:
If a direct linkage is utilized, then it must occur at the comprehensive Job Center by phone or through real-time Web based communication. Providing a referral, information, or materials does not constitute a direct linkage.12
There must be at least one comprehensive job center in each WDA.13 At least one WIOA Title I funded staff person must be present when the one-stop center is open for operations.14 Title I funded partners include the WIOA Adult Program, Dislocated Worker Program, and Youth Program, Job Corps, YouthBuild, Native American Programs, and National Farmworker Jobs Program (NFJP).15
An affiliate Job Center meets the criteria identified in Section 2.2.2 but does not include all required partners. If WIOA Title III Wagner-Peyser Act services are provided at an affiliate Job Center, at least one or more other one-stop partner programs must be located in the affiliate Job Center, and there must be a physical presence of combined staff from the other program(s) over 50 percent of the time that the site is open.16
A specialized Job Center is a service location that may or may not meet the criteria listed above, but that is designed to serve as an access and/or outreach site for a specialized group of the population (i.e., youth, dislocated workers from a particular company, incarcerated individuals in a correctional facility, etc.). Specialized Job Centers may be overseen by the local WDB or by DWD-DET. Because a specialized center may be housed in an alternative location (i.e., on-site at an employer facility, in a correctional facility, etc.) hours and access may be determined by the facility, not by a One-Stop Operator or local WDB.
The local WDB and/or the One-Stop Operator (OSO) must work with one-stop delivery system partners to determine hours of operation for each Job Center site. DWD-DET encourages local areas to consider nontraditional hours of operation where driven by customer need and supported by local budgets and staffing patterns.17 Hours of operation should be negotiated as part of the one-stop delivery system MOU development process, and should be documented in the MOU.
DWD-DET acknowledges that circumstances may arise which require a Job Center to close temporarily due to public health and/or safety concerns (e.g., inclement weather, facility malfunction, etc.). For Job Centers housed in State of Wisconsin owned facilities the State of Wisconsin Executive & Agency Building Closure Policy: Inclement Weather or Emergency Situations must be applied. For Job Centers housed in facilities not owned by the State of Wisconsin, the local WDB and/or One-Stop Operator must establish policies and procedures to address temporary Job Center closures. These policies and procedures must address circumstances that warrant temporary closures, the process by which partner agency staff and the general public will be notified of the closure, and identify which entity has final authority to make the determination of closure. Local policies should take into account that each partner agency must follow its own policies regarding hours and staffing.
Effective date: August 1, 2020
The one-stop delivery system serves two primary customers – employers seeking talent and job seekers seeking employment.
Effective date: August 1, 2020
Employer Services, also known as Business Services, are provided through the one-stop delivery system1 to all interested employers, including small businesses and organizations representing businesses. In particular, employers in in-demand industry sectors or occupations should be targeted to receive services from the local one-stop delivery system.
All business services and strategies must be reflected in the Local Plan.
Effectiveness in Serving Employers is tracked as a primary indicator of performance under WIOA and must be documented in Job Center of Wisconsin Business.
Effective date: August 1, 2020
Services are provided through the one-stop delivery system to individuals seeking employment opportunities. WIOA places emphasis on serving the following populations:
Services to youth and young adults, both in-school and out-of-school, are provided through the one-stop delivery system.
WIOA Title I Youth Program staff will partner and collaborate with other core program staff including those who work in Titles II, III, and IV programs, as well as the Departments of Public Instruction, Children and Families, and Corrections to develop the materials, information, and trainings pertaining to WIOA youth that will be provided to appropriate Job Center staff. This type of cross-training will increase staff knowledge and understanding of the youth coming into the Job Center looking for programs and services, as well as create opportunities for youth participants that have different skills and experience levels.
WIOA places high priority on serving individuals with barriers to employment.1 Please see Policy 11.13 for a full definition of individuals with barriers to employment.
DWD-DET requires career planners to collect information on individuals' barriers to employment at program intake and document them appropriately in the participant file and ASSET. Barriers should be considered in determining appropriate employability plans and service strategies for one-stop delivery system customers but should not prevent customers from accessing services from any appropriate programs. Identifying barriers can help establish WIOA Title I Youth Program eligibility, WIOA Title I Adult Program priority of service, and can impact negotiated levels of performance via the Statistical Adjustment Model.
Effective date: August 1, 2020
Rarely, but in some circumstances, a person seeking Job Center Services may be asked to leave the Job Center to ensure the safety of Job Center employees and the public. These determinations should be made by the One-Stop Operator (OSO) and/or the local WDB on a case-by-case basis and must be documented by the OSO or local WDB.
Generally, Job Center employees do not have a duty to intervene to stop aggressive behavior, but the Job Center has a general duty to provide a safe place for its employees and members of the public. 1
If an employee or member of the public feels unsafe, they should contact law enforcement or 911/emergency services. Examples of when employees and/or members of the public may consider contacting law enforcement or 911/emergency services include, but are not limited to, if an individual:
In cases where a customer is asked to leave a Job Center for aggressive behavior, the customer must still be allowed to access program services. Methods of service delivery must be modified to provide continued service. Examples include provision of services via technology, meeting with the customer in an off-site public location, meeting with the customer in a controlled group setting, facilitating services through a probation, parole, or other corrections office, or other methods as determined locally.
The local WDB and/or One-Stop Operator must develop local policy and/or procedure compliant with this section to address the case-by-case circumstances when a customer may be asked to leave the Job Center and how the Job Center will provide an alternative means for the customer to access Job Center resources. Any removal of a customer must be temporary, and the local policy must address the accepted timeline(s) for the customer's return to the Job Center.
Effective date: October 1, 2020
Consistent with the requirements in WIOA Section 121(e)(4), Wisconsin's statewide one-stop delivery system has adopted the use of the common identifier "A proud partner of the American Job Center network."1 The use of this common identifier serves to unify the statewide workforce development system and increase customer awareness of the system, both state- and nation-wide. This identifier must be displayed throughout the one-stop delivery system as outlined in this policy and must be used by local Workforce Development Boards (WDBs) in conjunction with any branding pre-established or newly developed for their local one-stop delivery systems.2
The common identifier "A proud partner of the American Job Center network" must be displayed on the following:
The "A proud partner of the American Job Center network" identifier may be displayed in plain text, or using either uppercase version of the "A proud partner of the American Job Center network" logo available at https://www.dol.gov/ajc/.4 Wisconsin is opting not to use the other logos made available by DOL.5 If a logo is used, it must be used in accordance with the guidelines contained in the Graphics Style Guide for Partners, and with the terms of use for the logos established by the United States Department of Labor.6
As a component of the One-Stop Delivery System and Job Center Certification process, DWD-DET has determined that Local WDBs must ensure appropriate use of the "A proud partner of the American Job Center network" common identifier within their respective workforce development areas.7 Local WDBs may choose to assign this responsibility to their contracted one-stop operator(s) . In this case, the expectation must be clearly delineated in the one-stop operator contract(s).
Costs related to implementing and/or maintaining the use of the "A proud partner of the American Job Center network" identifier may be considered one-stop infrastructure costs, and may be included in local negotiations and cost-shared between one-stop delivery system partners as part of the One-Stop Delivery System Memoranda of Understanding (MOUs).
Effective date: August 1, 2020
The local WDB, with the agreement of the CEO, must develop and enter into a Memorandum of Understanding (MOU) between the WDB and the one-stop partners identified in Section 2.2.2 of this chapter.1 The local WDB may opt to develop an "umbrella" MOU including all Job Center locations or a group of Job Centers within its borders, or develop individual MOUs for each Job Center location. Each MOU must include the following provisions:
The MOU may include other provisions as the parties to the agreement determine to be appropriate.7
All provisions must be documented using the MOU Template developed and provided by DWD-DET.
Effective date: August 1, 2020
All one-stop partner programs must contribute to the infrastructure costs of comprehensive Job Centers based on their proportionate use of the one-stop delivery system and relative benefit received.1 In affiliate Job Centers, only the one-stop partners participating in the affiliate Job Center must contribute to the infrastructure costs for that Job Center.2 When two or more entities receive funding to carry out a required program in the local area, each entity must contribute to infrastructure costs, including costs at an affiliate Job Center.3
NOTE: Native American programs authorized under WIOA Sec. 166 are not required to contribute to Job Center infrastructure costs. Any agreement to contribute, or not contribute, must be documented in the MOU. The lack of agreement on infrastructure costs with Native American programs does not trigger the State Funding Mechanism (SFM) for the local area, and Native American programs are not subject to the SFM if it is triggered.4
The term "infrastructure funding," used with respect to a Job Center, means the non-personnel costs that are necessary for the general operation of the Job Center.5 Line items that fall into this category may include:
It is not necessary to identify in the MOU shared costs that are directly cost-allocated through an individual partner's lease agreement with the lessor (i.e., costs for Resource Room space, shared conference rooms, bathrooms, and hallways that are cost-allocated to each partner through the lease agreements). This also applies to shared maintenance, utility, and/or supply costs that are cost-allocated by the landlord through the individual lease agreements. In this case this should be clearly documented in the Infrastructure Funding Agreement (IFA).
Partners must negotiate the extent of infrastructure costs. In-kind contributions are allowable; however, partners must agree that the in-kind contribution is required in the Job Center and is an acceptable form of cost contribution among the partners.
The local WDB, CEOs, and Job Center partners in a local area may fund the costs of Job Center infrastructure through:
Local WDBs must attempt to engage partners in good-faith negotiations using locally identified costs and locally determined cost allocation methodologies agreed upon by the local WDB, CEOs, and one-stop delivery system partners.10 These costs and cost allocation methodologies comprise the Local Funding Mechanism (LFM).
In cases when local negotiations related to the funding of one-stop infrastructure cannot be successfully completed within the timeframes established in DWD-DET's annual MOU guidance, the local WDB must notify DWD-DET of the failed negotiations, which will trigger application of the State Funding Mechanism (SFM). The SFM may be triggered in any case where one or more required partners fail to reach consensus related to infrastructure costs.11 Failure to reach consensus on additional costs does not trigger the SFM.12 Failure to reach consensus on infrastructure costs with additional non-required partners does not trigger the SFM.13
The SFM looks at the covered portion of funding for a fiscal year for a program that is a required partner. In local areas where the SFM is applied, the covered portions of funding for a fiscal year shall be provided to DWD-DET from the required partner programs to assist in paying the costs of infrastructure of Job Centers in those local areas of the state not adequately funded under the local funding mechanism.
A request to invoke the SFM must be submitted by the local WDB, in writing,14 to DETWIOA@dwd.wisconsin.gov. This request must include:
Once a request is received, DWD-DET will:
Once all SFM calculations are completed, DWD-DET will notify, in writing, all required partners of their required contribution. This notification will include documentation showing the calculations completed.
Any one-stop delivery system partner may appeal the portion of infrastructure funds assigned to them under the SFM by following the appeals process outlined in the WIOA State Plan as follows:
Effective date: August 1, 2020
One-stop partners must share in additional costs, which must include applicable career services, and may include shared operating costs and shared services that are necessary for the general operation of the one-stop center.1 The costs of shared career services may include initial intake, assessment of needs, appraisal of basic skills, identification of appropriate services to meet such needs, referrals to other one-stop partners, and business services, including the personnel expenses associated with delivering these services.
The cost of the competitive procurement for a one-stop operator, and the subsequent contract issued to a one-stop operator in each Job Center or one-stop delivery system, may be negotiated as a shared delivery cost with one-stop partners assuming one-stop partners come to consensus on the shared cost and cost-allocation methodology.
Resource room costs may be included in local negotiations as shared delivery costs. This includes the cost of integrated career service provision as well as personnel costs related to shared career services and/or reception services which may or may not be included in a one-stop operator contract. For staff who split their time between resource room/reception functions and other functions, reasonable measures should be used to split their staffing costs between the functions they perform.
Partners must negotiate the extent of sharing delivery/additional costs. In-kind contributions are allowable; however, partners must agree that the in-kind contribution is required in the Job Center and is an acceptable form of cost contribution among the partners.
Effective date: August 1, 2020
Local WDBs and all WIOA-required one-stop partners must enter into good-faith negotiations to determine each provision in the MOU, including:
DWD-DET strongly recommends convening these negotiations in-person to facilitate effective communication between all parties. Local WDBs, CEOs, and/or partners may request assistance with the negotiation process from DWD-DET.
The method for determining the appropriate portion of funds and noncash resources to be provided by the one-stop delivery system partner for each program for a Job Center must be determined as part of the development of the MOU for the Job Center or one-stop delivery system and must be stated in the MOU. In cases where local negotiations stall or fail DWD-DET will implement the State Funding Mechanism (SFM) upon request.
Local areas are empowered to select the cost sharing methodologies that best suit the needs of the participating one-stop partners. While some areas might be best served by a single cost-sharing method, others may benefit by allocating different types of costs using multiple methodologies. To simplify the cost-allocation process, DWD-DET recommends that partners bundle similar costs into cost pools and allocate the pools as a whole, as opposed to allocating each line item individually. For example, a WDB may choose to bundle all infrastructure costs into one cost pool that is allocated on a square-footage basis, while the remaining costs are pooled and allocated on a per-participant basis. This allows WDBs more flexibility in determining equitable cost allocations for costs driven by use, while correctly accounting for fixed facility costs. Acceptable cost allocation methodologies may include:
Effective date: August 1, 2020
The local WDB must develop an annual budget for each certified Job Center within the WDA. Each budget should break down items into the cost allocation pools and expense types used during the negotiation process, with projected numbers.
The system of record for Job Center budgets is DWD-DET's Sharing of Local Area Resources (SOLAR). Annual budgets and any budget modifications during the MOU period must be entered into SOLAR. Budgets must also be reconciled against actual expenditures on, at minimum, a quarterly basis using SOLAR's periodic reconciliation feature.
Effective date: August 1, 2020
In order for the local WDBs' MOU(s) to be considered complete and ready for review by DWD-DET, the following must be completed:
These documents must be submitted to the assigned Local Program Liaison for DWD-DET review and approval.
Upon DWD-DET approval of the MOU documents, they will be returned to the local WDB to be routed for signatures by all relevant signatory authorities. The signatory authority for all DWD programs is the Deputy Secretary of the Department.
Completed and signed MOUs will be uploaded to the SOLAR application.
Effective date: October 1, 2020
The local WDB, with the agreement of the Chief Elected Official (CEO), must competitively procure one-stop operator(s) for its Job Center(s) or One-Stop Delivery System at least once every four years.1 Procurement activities must be compliant with local procurement policies and procedures and the principles of competitive procurement in the Uniform Guidance parts 2 CFR §§ 200.318 through 200.326.2 The competitive procurement process for the OSO must be documented in writing and must:
Consistent with Uniform Guidance, procurement methods may include:
The procurement process must clearly identify a scope of work and budget for the OSO function. The budget must include a sufficient amount of funding to account for staffing the required functions outlined in the scope of work; at minimum the budget must include at least $3500.5 The cost of the OSO contract may be cost-shared among one-stop partners through the One-Stop Delivery System Memorandum of Understanding (MOU) local negotiation process.
The local WDB may procure a single OSO to operate one or more Job Centers within the local area, or multiple OSOs to operate specific job centers within the local area.6 DWD-DET strongly encourages the procurement of a single OSO in each local area or planning region. Identifying a single OSO in each local area allows the local WDB to streamline its contracting and oversight responsibilities, while ensuring consistent integrated service delivery throughout its various locations among all required and additional one-stop partners.
Effective date: October 1, 2020
To be eligible to receive funds to operate a Job Center, an entity (which may be a consortium of entities) must:
Elementary schools and secondary schools are not eligible for designation or certification as one-stop operators, except nontraditional public secondary schools and career and technical education schools.4
A local WDB may submit a proposal to be the one-stop operator in its own local area. In cases where the local WDB wishes to compete for an OSO contract, the local WDB cannot be involved in the development or evaluation of the competitive procurement process.5 In these cases, the local WDB may contract with an outside entity, for example another local WDB or directly with DWD, to manage the procurement cycle.
If the local WDB is selected as the OSO for the local area, then it must contract with another entity to perform the required monitoring and oversight functions of the OSO contract.
The selection of the local WDB as the OSO for the local area must be authorized, in writing, by both the Chief Elected Official (CEO) and the Governor, or the Governor's authorized designee.6 An official request must be submitted in writing to the CEO and to the assigned DWD-DET Local Program Liaison by the WDB Chairperson prior to the execution of the OSO contract.7
Effective date: October 1, 2020
Each OSO must coordinate the service delivery of required one-stop partners and service providers to ensure meaningful access to all programs through the one-stop delivery system.1
Local WDBs may establish additional roles for the OSO, including, but not limited to:
OSO functions must be clearly delineated in the contract agreement between the WDB and the contracted entity and must be adequately funded.
The OSO must not:
OSOs must disclose to the local WDB, in writing, any potential conflicts of interest arising from the relationships of the operators with particular training service providers or other service providers.4
OSOs must not establish practices that create disincentives to providing services to individuals with barriers to employment who may require longer-term services, such as intensive employment, training, and education services.5
OSOs must comply with federal regulations and procurement policies relating to the calculation and use of profits.6
Effective date: June 1, 2021
Any entity serving as an OSO that also serves a different role within the one-stop delivery system may perform some or all of these functions when it is acting in its other role if it has established sufficient firewalls and conflict of interest policies and procedures in accordance with 20 CFR § 679.430.1 Any organization that has been selected to perform more than one of these functions must develop a written agreement with the local WDB and CEO that clearly describes how that organization and the local WDB will ensure that appropriate firewalls are in place to minimize fiscal risk and prevent a conflict of interest or the appearance of a conflict of interest.2 the conflict of interest agreement may be part of the OSO agreement or a separate agreement.
An OSO can be a service provider, but there must be appropriate firewalls in place regarding the competition and subsequent oversight, monitoring, and evaluation of performance of the service provider.
The OSO cannot develop, manage, or conduct the competition of a service provider in which it intends to compete.
There must also be firewalls and internal controls within the operator-service provider entity.
In cases where the local WDB is selected as the OSO, appropriate firewalls must be established to distinguish between its role as the local WDB and its role as the OSO. These firewalls should be clearly defined in the written request for authorization described in Section 2.7.2.1.
Effective date: October 1, 2020
The local WDB must develop a written policy and procedure regarding oversight, monitoring, and evaluation of performance of the OSO. At minimum, this policy must ensure that the following are reviewed annually:
Effective date: July 1, 2024
The Workforce Innovation and Opportunity Act of 2014 (WIOA) requires that each local WDB assess and certify the one-stop delivery system and the job center locations within its local area using objective criteria and procedures developed by the Governor's Council on Workforce Investment (CWI), in consultation with chief elected officials (CEOs) and local workforce development boards (WDBs).1
Certification is required for local areas to use WIOA Title I funds to pay for job center infrastructure costs.2 Any job center location that will be included in the One-Stop Delivery System Memorandum of Understanding (MOU) and/or receive WIOA Title I infrastructure funding must be certified.
The local WDB must recertify its one-stop delivery system and related comprehensive and affiliate job centers at least once every three (3) years3 by completing the following DWD-DET forms:
If the local WDB is the one-stop operator, then DWD-DET must certify the one-stop center.4
Effective date: July 1, 2024
The one-stop delivery system and job center certification criteria are developed by CWI, in consultation with CEOs and local WDBs, and are reviewed at least once every two years in conjunction with the WIOA State Plan and modification submissions.1 These criteria are outlined in the following DWD-DET forms:
The purpose of the established criteria is to evaluate the one-stop delivery system and one-stop job centers for effectiveness, including customer satisfaction, physical and programmatic accessibility, and continuous improvement2, including:
The local WDB may develop additional criteria, or set higher standards for service coordination, than those set by the State criteria. These additional criteria must be included in the WIOA Local Plan and must be reviewed and updated every two years as part of the WIOA Local Plan modification process.3
The local WDB and/or one-stop operator(s) must have an established system in place to solicit regular feedback from one-stop customers. The survey must be available in alternate formats and the feedback must be incorporated into the one-stop certification evaluation.4
Effective date: July 1, 2024
In the event that a job center has a comprehensive to affiliate status change or affiliate to comprehensive status change, the WDB must provide a minimum seven-day public notice or longer in accordance with established local policies and procedures, if applicable. The WDB must complete the following forms:
In the event that a job center moves to a new location during the certification period, the WDB must provide a minimum seven-day public notice or longer in accordance with established local policies and procedures, if applicable. The WDB must complete the following forms:
In the event that a job center permanently closes the WDB must provide a minimum seven-day public notice or longer in accordance with established local policies and procedures, if applicable. The WDB must complete the following forms:
The workforce development activities carried out in Wisconsin’s eleven Workforce Development Areas (WDAs) are federally funded through the Workforce Innovation and Opportunity Act (WIOA). WIOA funds are distributed to states based on three factors described in Sections 128 and 133 of the WIOA Act1. Funds provided through this process are considered allotments, are announced through a Department of Labor (DOL) Training and Employment Guidance Letter (TEGL) usually in March, and are provided for Youth, Adult, and Dislocated Worker programs.
The Department of Workforce Development has developed the WIOA Allocation Guide to help understand how WIOA allocations are developed for Wisconsin Workforce Development Areas.
The document contains instructions for each step of the allocation process, protocols for allocation development and a checklist to ensure that each step is completed in a timely fashion. This guide will serve as the operating instruction for the staff members who will calculate the allocations.
It is also important to note that this document represents an ongoing work in progress. After each allocation cycle, the Division of Employment and Training (DET) will review the effort and improve the process, as necessary. This guide will be revised to reflect those process improvements.
The guide and the allocation process meet the Department of Labor requirements. The guide will also be revised to reflect changes to the allocation process that must be implemented in response to changes in federal requirements.
This guide is part of the WIOA State plan2 and is located under "Other Appendices".
Effective date: May 31, 2018
A request for modification can either be initiated by the local WDB or DWD-DET.
A grant must be modified if any of the following conditions occur:
Local WDB initiated modification:
DWD-DET initiated modification:
* Transfer modification follow a separate procedure, please refer to policy section 3.3 Transfer of Funds.
Effective date: November 6, 2024
The local Workforce Development Boards (WDBs) may transfer up to 100 percent of formula funds of a program year allocation between the Adult Program and the Dislocated Worker Program.1 DWD-DET is extending the full transfer authority afforded by WIOA to the local WDBs, to ensure the WDBs have maximum flexibility to best serve participant populations with the greatest needs.
Commencing with the Program Year (PY) 24 allotments, Adult and Dislocated Worker funds can be utilized interchangeably; however, the funding source remains with the original allocation as outlined in the Department of Labor (DOL) ETA-9130 (D) - Local Adult2 and ETA-9130 (F) - Local Dislocated Worker3 guidelines. The interchangeable use of funds will not result in modified contracts however these must be reported under the line in COMET.
The local WDB initiates the transfer request by emailing a completed form to DET-BWT Financial Managers. The request must be made DWD-DET at least 30 calendar days before the end of the grant period.
The local WDB should take the following into consideration in making the request:
DWD-DET will review the request and issue a determination within 30 days.
Effective date: June 19, 2020
Termination means the ending of a federal award, in whole or in part, at any time prior to the planned end of period of performance.1
The federal award may be terminated, in whole or in part, as follows:
If the grant is terminated due to reasons outlined in section A and B under Reasons for Termination in this policy, then DWD-DET will provide a written notice to the local WDB stating that a grant termination will occur if the local WDB is not able to cure the breach of the grant within 30 calendar days of receiving this notice.
If the grant is terminated due to reasons outlined in section C and D under Reasons for Termination in this policy, then DWD-DET will provide a written notice to the local WDB stating that a grant termination will occur.
If the grant is terminated due to the local WDB's material failure to comply with federal statutes or regulations; or the terms and conditions of the Federal award, the notification of termination will state the following:2
When a federal award is terminated or partially terminated, both DWD-DET and the local WDB remain responsible for compliance with the requirements in policy section 3.5 Grant Closeout.
The grantee will be provided an opportunity to appeal any termination action. The appeal process is outlined in the Wisconsin State Plan.
Effective date: October 12, 2019
Recipients and subrecipients of DOL grant awards are responsible for developing a closeout process that will be used to close out their sub-awards and contract agreements. In accordance with the requirements of Uniform Guidance Section 200.343, this policy addresses the steps DWD-DET will take in order to close out a grant agreement. The WIOA closeout period refers to the 60-day period after a grant agreement has reached its term end date or its funding has been fully utilized.
The purpose of the financial reconciliation/closeout is to ensure allowable reportable costs and payments are equal.
To closeout a grant effectively and to avoid cost overruns and deficits, DWD-DET has established the following procedures:
The closeout packet will include:
The closeout of an award does not affect the following:
DWD-DET will not be liable for any costs the subrecipient failed to pay before the closeout date. Additionally, DWD-DET will not be liable for any late claims received by subrecipients. DWD-DET will not have funds available for those claims.
The subrecipient shall ensure that all program/grant liabilities are paid before the closeout date. No unpaid bill can be paid with the federal funds after closeout. Any such bills will have to be paid by the subrecipient from other non-federal funds.
Effective date: May 13, 2021
Local WDBs may periodically need to implement a waitlist for a WIOA Title I Program. A waitlist can be used either for program-eligible individuals waiting to enter into a program or for existing program participants waiting to receive direct cost services.
Note: Career planners may not deny an individual the opportunity to apply to a WIOA Title I Program,1 even if a waitlist is in place.
Before a local WDB may implement a waitlist for a Title I Program, DWD-DET requires the local WDB to inform its Local Program Liaison (LPL) in writing about its plan to implement a waitlist, including:
DWD-DET will review the local WDB's plan in order to assess whether other options are available. While DWD-DET may recommend other options, the decision to use a waitlist is at the discretion of the local WDB. A local WDB with a waitlist in place must notify its Local Program Liaison when the waitlist is lifted.
Effective date: May 13, 2021
There are two scenarios for individuals on waitlists:
A career planner must enter an individual into ASSET and complete an Eligibility Determination service prior to placing them on a waitlist for program entry. The career planner must check the "Reportable Individual" checkbox and check "yes" for Eligible in the Eligibility Determination service details screen. This will disable the requirement for the career planner to complete all the required fields in the ASSET Manage Program tab and allow non-participation causing services to be recorded. The career planner must indicate in an ASSET case note that the individual is on a waitlist for program entry.
If an individual remains on the waitlist for program entry and does not receive a participation-causing service for over 90 days, ASSET will close the individual's episode. If this happens, the career planner must submit a staff request to their LPL to reopen the episode when the career planner is ready to take the individual off of the waitlist. The staff request must include a new participation-causing service for the individual and information for all ASSET-required fields for the new service. The ASSET Administrator handling the staff request will input the new service at the time they reopen the episode. This is important because a new participation-causing service must be entered on the same day that the episode is reopened, otherwise ASSET will automatically close the episode again as part of the nightly system updates.
DWD-DET strongly encourages staff to contact individuals on a program entry waitlist at least once every 90 days to confirm they remain interested in the program; it may be helpful to record the results of the contact in an ASSET case note.
If a program participant is on a waitlist for specific Title I services (e.g., training), DWD-DET requires that staff provide them with an IEP or ISS Review service at least once every 90 days in order to confirm that the services the participant is waiting for are still appropriate for their needs and goals. This will also ensure that ASSET will not close the participant's episode while they are the waitlist.
Effective Date: March 1, 2022
This policy specifies the minimum requirements that must be maintained by subrecipients of WIOA Title I funds for their financial management system.
Financial systems must allow for effective fiscal and internal controls and accountability for funds, property, and other assets to ensure they are used solely for the authorized purposes. All subrecipients must maintain all data elements used in required federal reports in accordance with established program definitions contained in the Act, regulations, and state policies.1
Each grantee must ensure that the financial management systems of their subgrantees meet the above listed standards.
If the grantee's financial management system fails to meet the standards set forth in this section, DET will require corrective action by a specific date. Grantees who fail to take corrective action in the time given are subject to having costs withheld or disallowed.
Effective Date: TBD
Effective Date: TBD
Effective Date: TBD
If required reports, including the closeout report, are not accurate or are not submitted on a timely basis, DWD-DET may withhold payment of the recipient's costs incurred under the current grant or subsequent active grants until required reports are received.
Effective Date: TBD
The recipient may be required to submit additional reports requested by DWD-DET for the performance of its legal responsibilities. Reports may include:
Effective Date: August 1, 2024
There is a strong emphasis in Uniform Guidance on having a cash management system in place to accurately track the receipt, disbursement and recording of funds between the awarding agency and grant recipient.1 This policy specifies the minimum requirements for cash management and provides guidelines for the reimbursement of Workforce Innovation and Opportunity Act (WIOA) funds from the Department of Workforce Development (DWD).
The local Workforce Development Board (WDB) must have a written cash management policy and/or procedures that minimally address the following:
Cash requests are to be made on a per Purchase Order (PO) number basis. An invoice may reference more than one PO number if there is a need to correct a prior invoice payment for an open PO. The total invoice amount must be equal to or greater than $0.00. Emphasis must be placed on minimizing the time between the transfer of funds from DWD-DET and the disbursement of funds to pay allowable costs.9
To request cash, a supplier must complete the Supplier Request for Payment Invoice Form and supply documentation to substantiate their cash drawdown request. This documentation must reconcile with the total amount of cash being requested, and may include, but is not limited to the following:
All documentation must be emailed to DWDDETInvoicing@dwd.wisconsin.gov.
The following may result in delayed payment:
Invoices are typically processed by DWD Accounts Payable within 2-3 business days of approval by DWD-DET.
Effective date: TBD
This section provides principles to be applied in establishing the allowability1 of certain items of cost. The recipient shall comply with these principles whether a cost is treated as direct, joint, or indirect. Failure to mention a particular item of cost is not intended to imply that it is unallowable. Based on the principles described in Basic Considerations of cost in 2 CFR 200.402 - 200.411, treatment for similar or related items of cost determine allowability. DWD-DET may give written authorization to incur costs that would otherwise be unallowable, such as conferences or interest, provided that no violation of applicable regulations occurs. The items of cost generally refer to those incurred by the recipient as an organization, rather than incurred directly for a participant.
Effective date: TBD
The cost of establishing and maintaining accounting and other information systems required for the management of DWD-DET grants is allowable. This includes costs incurred by central service for those same purposes.
Advertising costs include the costs of media services and associated costs. Advertising media includes magazines, newspapers, radio and television programs, direct mail, convention exhibits, electronic or computer transmittals, and the like.
Costs incurred by WDBs, local boards, advisory councils, or delegate committees for functions relative to DWD-DET programs are allowable.
Costs of alcoholic beverages are unallowable.
Financial and compliance audit costs incurred by the recipient are allowable if the audit is procured and performed in accordance with grant requirements.
The cost of data processing services is allowable.
Bad debts, or debts which are uncollectible, including losses, whether actual or estimated, arising from uncollectible accounts and other claims, are unallowable.
Costs of fidelity bonding insurance for individuals involved with DWD-DET programs are allowable.
Costs incurred for the development, preparation, presentation, and execution of budgets are allowable. Identifiable and documented costs for services of a central budget office are allowable if the central budget office actively participates in the DWD-DET grant budget process.
Costs incurred by a recipient to recover improper payments are allowable as either direct or indirect costs, as appropriate.
Compensation for personal services includes all remuneration, paid currently, or accrued, for services rendered during the period of performance under the grant, including, but not necessarily limited to wages and salaries. Compensation for fringe benefits is addressed in section "Compensation - Fringe Benefits".
Fringe benefits are allowances and services provided by employers to their employees as compensation in addition to regular salaries and wages. Except as provided elsewhere in this section, the costs of fringe benefits are allowable provided that the benefits are reasonable and required by law, recipient-employee agreement, or the recipient's documented policies and procedures. Fringe benefits include, but are not limited to, the following:
Costs associated with the conduct of meetings and conferences, including the cost of renting facilities, meals, and speakers' fees, are allowable when related to the grant program.
Contributions to a contingency reserve or any similar provision made for events for which the occurrence cannot be foretold with certainty as to time, intensity, or with an assurance of their happening are unallowable. The term "contingency reserve" excludes self-insurance reserves, pension funds, and reserves for normal severance pay.
Costs incurred for any criminal, civil, or administrative proceeding commenced by the federal, state, local, tribal, or foreign government are not allowable if the proceeding relates to a violation of, or failures to comply with, a federal, state, local, tribal, or foreign government statute or regulation by the recipient, including its agents and employees.
Costs of internal publications, health or first aid clinics, recreational activities, employee counseling services, and other expenses incurred in accordance with the recipient's documented policies for the improvement of working conditions, employer-employee relations, employee morale, and employee performance are allowable.
Recipient staff costs for amusement, diversion, social activities, ceremonials, and related costs such as meals, lodging, rentals, transportation, gratuities, and alcoholic beverages are unallowable.
The following rules of allowability must apply to equipment and other capital expenditures:
Costs of fines, penalties, damages, and other settlements resulting from the recipient's violations of, or failure to comply with, federal, state, and local laws and regulations are unallowable.
Costs of salaries and other expenses of local governmental bodies, such as a county supervisors or city councils, are considered a cost of general local government and are unallowable. Costs of general types of government services normally provided to the general public, such are fire and police protection, are unallowable unless provided for as a direct cost under a program statute or regulation.
Costs of goods or services for employee personal use are unallowable, regardless of whether the cost is reported as taxable income to the employee.
The costs of idle facilities and idle capacity, including costs for maintenance, repair, housing, rent, and other related costs such as property taxes, insurance, or depreciation are allowable only with the prior written approval of DWD-DET.
Costs include insurance the recipient is required to carry, or which is approved under the terms of the grant, and any other insurance the recipient maintains in connection with the general conduct of its operations. This subsection does not apply to insurance that represents fringe benefits for the recipient's employees. This subsection applies as follows:
Costs incurred for interest, however represented, are unallowable.
Costs incurred to maintain satisfactory relations between the recipient and its employees are allowable. Costs may include publications, training, and related activities.
The costs of certain influencing activities associated with obtaining grants, contracts, cooperative agreements, or loans is unallowable.
Any excess of costs over income on any grant is unallowable as a cost of any other grant.
Costs incurred for necessary maintenance, repair, or upkeep of buildings, leasehold improvements, and equipment, including governmental property unless otherwise provided for, which neither add to the value of the property nor appreciably prolong its useful life, but keep it in an efficient operating condition, are allowable. Costs incurred for improvements that add to the value of the asset or appreciably prolong its useful life must be treated as capital expenditures in accordance with section "Equipment and Other Capital Expenditures".
Costs of materials and supplies necessary to operate a grant are allowable. Withdrawals from internal stores or stockrooms should be charged at cost under any recognized and consistently applied method of pricing. Material and supplies charged as a direct cost should include only the materials and supplies actually used for the performance of the grant.
Costs of establishing or reorganizing an agency are allowable if prior approval is obtained from DWD-DET. These costs may include legal, accounting, consulting, or other service fees. Grant implementation or plan preparation activities of an existing agency are not considered 'organization costs.'
Costs for program participants are allowable with prior approval of DWD-DET. Inclusion in any authorized plan constitutes prior approval. Costs may be paid to or on behalf of participants and include, but are not limited to, general subsistence, travel, childcare, and other training related purposes.
Costs incurred for wages and equipment for facilities protection are allowable.
Costs incurred prior to the effective date of the grant are allowable only with prior written approval of DWD-DET. Costs related to preparing program plans, applications, and budgets required by DWD-DET are not "pre-award costs."
Costs of professional and consultant services rendered by persons who are members of a particular profession or possess a special skill, and who are not officers or employees of the recipient, are allowable when reasonable in relation to the services provided. The cost of legal expenses required in the administration of grants is allowable.
Costs incurred in preparing proposals for potential grants are unallowable. Costs related to preparing program plans, applications, and budgets required by DWD-DET are not considered 'proposal costs.'
Costs for advertising, testing, evaluating, hiring, and training employees/potential employees are allowable. Costs must be reasonable for the recipient.
Costs for the relocation of employees are allowable and must be in accordance with the recipient's written policies and procedures.
Subject to the limitations described below, rental costs are allowable to the extent the rates are reasonable. Reasonableness of costs considers factors such as: rental costs of comparable property, if any; market conditions in the area; available alternatives; and the type, life expectancy, condition, and value of the leased property.
The cost of selling any product or service of the recipient's organization when necessary for the performance of the grant is allowable.
The cost of specialized, complex facilities when necessary for the performance of the grant is allowable.
In general, taxes or payments in lieu of taxes (PILOT) which the recipient is required to pay are allowable, except for:
Costs incurred for telecommunications and video surveillance services or equipment such as telephones, internet, video surveillance, cloud servers and the like are allowable, including installation of a new communications system which is necessitated by the addition or expansion of DWD-DET programs.
Termination of a grant may cause the incurrence of costs, or the need for special treatment of costs, which would not have occurred had the grant not been terminated. Cost principles covering these items are detailed below. They are to be used in conjunction with other provisions of this section in termination situations, subject to the availability of funds.
The cost of training and education for employee development, which directly or indirectly benefits grant programs, is allowable.
Costs for freight, shipping, and postage are allowable.
Travel costs for transportation, lodging, subsistence, and related incidental costs incurred by recipient employees who are in travel status on official business are allowable when they are directly attributable to specific work under a grant, subject to following:
Travel costs and per diems for trustees or directors are allowable. Costs must be in accordance with the recipient's written policies and procedures.
Effective date: December 13, 2020
Program income is gross income earned by the non-federal entity that is directly generated by a supported activity or earned as a result of the federal award during the period of performance.1
Program income does not increase the amount of the funds that were authorized for the subaward. It is considered additional revenue available for use in support of the allowable subaward activity.
Program income must be expended on allowable subaward activities. It is subject to all WIOA requirements, except for the administrative cost limitations.
Program income includes, but is not limited to, income from the following:
Program income does not include the following:
The deduction method, described at 2 CFR 200.30714 and required by Appendix A: WIOA Award Terms and Conditions , must be used for all program income earned under WIOA. Deduction method means ordinarily program income must be deducted from total allowable costs to determine the net allowable costs. Program income must be used for current costs unless the federal awarding agency authorizes otherwise. Program income that the non-federal entity did not anticipate at the time of the federal award must be used to reduce the federal award and non-federal entity contributions rather than to increase the funds committed to the project. The non-federal entity must disburse funds available from program income earned on such funds before requesting additional cash payments.15
If the program income is not utilized in the grant period, it must be returned to DWD.16
The local Workforce Development Board (WDB) must ensure that subrecipients and subcontractors are aware that all program income must be accounted for and reported to the local WDB. The local WDB must record all program income and report it to DWD on the monthly Financial Status Reports within COMET. Program income expense and revenue must be reported on separate lines in the Financial Status Report. Any cash-on-hand from program income must be liquidated before the WDB may request additional WIOA cash for any purpose.
Effective date: TBD
20 CFR §683.410 outlines the oversight roles and responsibilities of recipients and subrecipients of WIOA funds. Among those responsibilities is subrecipient monitoring which is done to ensure a subaward is used for, and in compliance with, the grant agreement.1 From a fiscal perspective, subrecipient monitoring includes activities such as reviewing the financial status and management controls of a subrecipient. The recipient must comply with the provisions of Chapter 1.2 of the WIOA Title I-A & I-B Policy & Procedure Manual and this subsection for subrecipient monitoring.
Effective date: TBD
Subrecipient monitoring is conducted to measure performance against established targets or standards, and to provide feedback on the effectiveness of processes and on areas for improvement. Monitoring activities are necessary to ensure funds are being expended as intended to carry out program objectives, in compliance with appropriate laws, regulations, DWD-DET policy, and the terms and conditions of the subaward. Subrecipient monitoring must be conducted on an annual basis and must cover each program, function, or activity.1
Effective date: TBD
The recipient must develop a monitoring plan that addresses the scope, frequency, and subrecipient performance standards. This monitoring plan must be included in the grant plan. The monitoring plan should describe the monitoring approach, the monitoring responsibilities of each party involved, the monitoring methods to be used, and the rationale for their use.
Effective date: TBD
The recipient must document findings and issues in written reports to the subrecipient.
Effective date: TBD
The recipient must comply with the following provisions for corrective action and sanctions:
Effective date: TBD
The recipient must maintain written records to verify that required monitoring, corrective action, follow-up, and resolution have occurred.
Effective date: TBD
A risk assessment of each subrecipient must be conducted on an annual basis to determine the appropriate level of monitoring. This risk assessment should rate risk based on the following factors:
This list is not exhaustive as other factors may be considered in the annual risk assessment.
The recipient should use professional judgment in evaluating risk and determining the level of monitoring needed for subrecipients; the level of monitoring should be documented. Monitoring findings must be considered in subsequent program planning and in the selection of subrecipients. Subrecipients that are deemed high-risk may be subject to additional terms and conditions in the grant agreement to help ensure success of the grant. The workforce development area (WDA) may consider imposing specific subaward conditions upon the subrecipient, if appropriate, as described in 2 CFR §200.208.
Effective date: TBD
The following standards apply to the procurement of property, facilities, supplies, equipment, professional services including consultants, and other services including the program specific services of program operators. These standards are applicable for all types of agreements including grants, contracts, and purchases of services, memos of understandings and other legally binding procurement documents.
Effective date: TBD
Effective date: TBD
All procurement transactions for the acquisition of property or services required under a federal award must be conducted in a manner providing full and open competition consistent with the standards of this section1 and section 4.8.4.
Effective date: TBD
The recipient must have and use documented procurement procedures, consistent with the standards of this section and 2 CFR 200.317, 2 CFR 200.318, and 2 CFR 200.319 for any of the following methods of procurement used for the acquisition of property or services required under a federal award or subaward.1
Effective date: TBD
The recipient must take all necessary steps to ensure that minority businesses, women's business enterprises, and labor surplus area firms are used when possible. These steps must include:1
Effective date: TBD
As appropriate and consistent with law, and to the greatest extent practicable under a federal award, the recipient should afford preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States. The requirements of this section must be included in all subawards including all contracts and purchase orders for work or products under this award.1
Effective date: TBD
Standards and Procedures. The recipient must establish standards and procedures on the performance of cost/price analysis.
Effective date: TBD
The recipient's contracts must contain the applicable provisions described in 2 CFR 200, Appendix II - Contract Provisions for Non-Federal Entity Contracts Under Federal Awards.1
Effective date: TBD
Effective date: TBD
The grant recipient, when acting as a Pass-Through Entity (PTE), must ensure that all applicable records management requirements are observed by the subrecipients as required by 2 CFR § 200.334 - 2 CFR § 200.338.
Effective date: TBD
If an award is wholly or partially terminated, both the recipient and subrecipient remain responsible for complying with the requirements of 2 CFR §200.344 and 2 CFR §200.345.
Please note, a lack of available funds does not constitute an award termination.
Effective date: TBD
This policy outlines procedures governing the acquisition, management, and disposition of property procured in whole or in part under all reimbursement contracts with federal funds administered by DWD-DET.
Effective date: TBD
Equipment is tangible personal property (including information technology systems) that has a useful life of more than one year and a per unit acquisition cost that equals or exceeds $5,000.1
Supplies are tangible personal property other than those described in the definition of equipment above having a per unit acquisition cost less than $5,000.2
Effective date: TBD
Real property is defined as a parcel of land and everything that is permanently attached to the land, including land improvements, structures, and additions such as a driveway or fence.1 Recipients and subrecipients are not allowed to purchase real property for grant purposes, unless specifically authorized by that funding source. The following provisions shall apply:
Effective date: TBD
Intangible property is any type of property that represents something of value but is not physical in nature. Examples of intangible property include trademarks, copyrights, patents, investments and ownership interests, goodwill, and life insurance contracts.1 The following provisions shall apply:
The recipient may copyright any work that is subject to copyright that was developed, or for which ownership was acquired, under a federal award. However, DWD-DET and DOL reserve a royalty free, permanent right to reproduce, publish, or otherwise use the work, and to authorize others to do the same.
Effective date: May 1, 2024
A local Workforce Development Board (WDB) or subrecipient1 organization that expends $750,000 or more in federal funds during its fiscal year to operate one or more programs must have a single or program-specific audit conducted. Any local WDB or subrecipient organization that expend less than $750,000 of federal funds in a year is exempt from the audit requirements for that year, but records must be available for review or audit by appropriate officials of the federal agency or pass-through entity.2
Subrecipients that are units of government or nonprofit organizations that expends $750,000 or more in federal funds during its fiscal year to operate one or more programs must have a single or program-specific audit that:3
An auditee may simultaneously be a recipient4, a subrecipient, and a contractor5 depending on the substance of its agreements with Federal awarding agencies and pass-through entities.
The responsibilities of a local WDB or a subrecipient organization as an auditee are as follows:
All local WDBs are required to submit completed audit reports16 to DWD-DET nine months from the end of the fiscal period or 30 days from completion of the audit, whichever is sooner.17
Audit reports are to be submitted via email to: finance@dwd.wisconsin.gov
If there are no findings in the audit reports and no further action is required, DWD-DET will issue a closeout letter.
If there are findings in the audit report related to WIOA, DWD-DET will follow the Audit Resolution process stated below.
The submission of a local WDBs final Audit Report which contains findings initiates DWD-DET's audit resolution process. Upon receipt of the audit report, DWD-DET will issue a letter to the subrecipient indicating the corrective action18 needed. The subrecipient will have 30 days to respond to this letter. Based on the subrecipient's response to the corrective action letter, DWD-DET will issue a Statement of Findings and Determinations. Any debts due to audit disallowance are established at this point.
During the audit resolution process, the auditee may propose the use of stand-in costs to substitute for the disallowed costs19. The use of stand-in costs is an audit resolution activity. Stand-in costs are usable as substitutes for unallowable costs identified in an audit report. Stand-in costs result when an Operators and Service Providers expend non-federal funds on WIOA programs. To be considered, stand-in costs must be incurred for allowable WIOA costs that were reported as uncharged WIOA program costs, included within the scope of the audit, and accounted for in the auditee's financial system. The stand-in cost must have been expended in support of the same title and program year as the costs they propose to replace, and the costs must not cause a violation of the cost limitations and requirements.20 Stand-in costs must be actual expenses paid with nonfederal funds. Cash match in excess of the required match may also be considered for use as stand-in costs.
Federal awards expended as a recipient or subrecipient are subject to audit requirements.21
All local WDBs must obtain and review the audit report of their subrecipients to ensure compliance with the requirements of the Uniform Guidance. The local WDB must have an audit resolution process in place for its subrecipients.22 The audit and audit resolution process for subgrantees is independent of the process between DWD-DET and subrecipients.
Local WDBs must:
In addition to the required annual audits, DWD-DET subrecipients shall be subject to preliminary fiscal reviews, financial and compliance audits. DWD-DET reserves the right to conduct other audits and investigations in accordance with applicable federal and state laws or regulations.
The DWD-DET subrecipient shall be responsible for the cost of the audit.
Effective date: TBD
Overpayments are payments a recipient has received in excess of amounts due and payable under the terms of the federal award. Once a determination of overpayment has been made, the amount constitutes a debt owed by the recipient to DWD-DET.1
Payments made for unallowable costs as determined by the federal awarding agency, cognizant agency for indirect costs, or DWD-DET, whether for direct or indirect costs, must be refunded, including any applicable interest, to the federal government in accordance with instructions from the agency that determined the costs are unallowable unless federal statute or regulation directs otherwise.2
The costs incurred by a recipient to recover improper payments are allowable as either direct or indirect costs, as appropriate. Amounts collected may be used by recipient in accordance with cash management standards set forth in 2 CFR §200.305.3
The recipient4 shall comply with the provisions of debt and debt collection described in the remainder of this section.
Effective date: TBD
Debt can be established for contracts as well as individual participants or vendors. A debt to DWD-DET is established when costs are disallowed in writing by one of the following:
Effective date: TBD
Collection options available to DWD-DET include but are not limited to the following:
Effective date: TBD
A waiver of all or a part of the sanctions relating to a grant debt can be obtained. If the Department of Labor (DOL) determines that the recipient and DWD-DET have demonstrated substantial compliance with the applicable requirements, sanctions against the state may be waived. DWD-DET may transfer this waiver to the recipient. All waiver requests must be processed through DWD-DET. The recipient must request the waiver and must demonstrate that it has established an adequate subcontracting system that includes timely monitoring and audit resolution activities.1
Waivers will only be issued by DOL if the improper expenditure of grant funds:
A waiver request must be accompanied by the resolution reports that established the debt. If the Department of Labor-Employment and Training Administration (ETA) grant officer is resolving the finding, a request for waiver shall be made prior to the conclusion of the informal resolution period, normally 60 days from the date of the ETA grant officer's initial determination letter.2
Effective date: TBD
Disallowed costs that are due to serious violations or illegal acts must be remitted to ETA. Remit these funds to DWD-DET for submission to ETA.
In other cases, the recovered amounts may be reprogrammed. Documentation relating to the repayment of the liability and reprogramming of the funds should be maintained for review and audit.
Effective date: TBD
In accordance with legislation and regulations, nothing in this section shall prevent:
Effective date: TBD
Local collection procedures must include sound fiscal controls and a process for collecting debts.1 Recipients must have written debt collection procedures in place to identify and recapture improper payments in a timely manner. Examples of improper payments include duplicate payments, payments to an ineligible party, payment for ineligible goods or services, or payment for goods or services not received.
Recipients must develop and maintain written debt collection procedures for collecting debts the recipient establishes against their subrecipients.
The procedures shall, at a minimum, include:
Effective date: TBD
Except where otherwise authorized by statute, costs must meet the following general criteria in order to be allowable under Federal awards:1
Effective date: TBD
The recipient1 and subrecipient2 shall comply with the provisions of allocating joint costs as detailed in the subsections that follow.
Effective date: TBD
Effective date: TBD
Direct costs are costs that can be identified specifically with a particular final cost objective, such as a federal grant, or that can be directly assigned to specific activities with relative ease and with a high degree of accuracy.
Effective date: TBD
Indirect (F&A) costs are costs incurred for a joint purpose benefitting more than one cost objective, and that are not readily assignable to the cost objectives specifically benefitted. The allocation method used to distribute joint costs must be based on a reasonable measurement of the benefit received by each cost objective and shall be supported by a written cost allocation plan. This cost allocation plan must include all recipient funding. Cost allocation plans must distribute costs based on actual activities. Budget estimates do not qualify as support for final charges. However, the effort required distributing the cost should not be disproportionate to the amount of costs charged.
Effective date: TBD
Costs shall be allocated according to the following provisions:
Effective date: TBD
Cost allocation is a means of assigning a cost, or group of costs, to one or more cost objective, in reasonable proportion to the benefit provided. This process may entail assigning a cost or costs directly to a final cost objective1 or a cost or costs through one or more intermediate cost objectives.2 Allocated costs should be allowable3, treated consistently over time and within the accounting system, be necessary and reasonable, and be allocated to the grant based on the benefit received and in proportion to use.4
Recipients should utilize one of the following cost allocation methods:
Effective date: TBD
A cost allocation plan, or CAP, identifies, accumulates, and distributes allowable direct or indirect costs and identifies the allocation methods used for distribution. CAPs must be in writing, supported by formal accounting records, and signed by an authorized official. Additionally, a CAP should include a process for reconciliation and adjustment and be periodically validated and updated.
Acceptable allocation bases should:
An allocation base is acceptable if it represents a fair measure of cost benefit, and it results in an equitable, reasonable distribution of the costs of the services provided.
Examples of acceptable allocation bases include number of employees, number of transactions, direct labor hours, and square footage of space occupied. Each base should be considered on its own merits as to the purpose for using it and the degree of equity it will achieve in allocating costs.
Effective date: TBD
A negotiated indirect cost rate, or NICRA, is an estimate of indirect cost rate negotiated between the federal government and a recipient that reflects the indirect costs and fringe benefit expenses incurred by the recipient. A NICRA is the ratio between total indirect expenses and a direct cost base used to determine what proportion of indirect costs each grant, or program, should bear.
A cognizant agency is responsible for reviewing, negotiating, and approving the recipient's indirect cost rate, as well as issuing the appropriate negotiation agreement.1 Cognizance is typically determined by the federal agency with the largest dollar volume of direct federal funding.
An initial or provisional indirect cost rate proposal must be submitted to the recipient's cognizant agency within 90 days of receiving a grant award. Final indirect cost rate proposals must be submitted within 180 days of the recipient's fiscal year end. Adjustments to indirect cost rates for unallowable costs included in the cost rate proposal may result in the reissuance of a negotiated rate agreement.2
Effective date: TBD
The de minimis rate allows a recipient to charge up to 10% of its modified total direct costs (MTDC)1 to pay for indirect costs that are not directly charged to federal grants.2 While no documentation is required for use of the de minimis indirect cost rate, costs must be consistently charged as either direct or indirect costs and must not be double charged or inconsistently charged as both.3 Prior approval is not necessary to utilize the de minimis rate.
Recipients who choose to use the de minimis rate must do so consistently for all federal grants until such time it chooses to use a cost allocation plan or negotiate an indirect cost rate.
Effective date: December 13, 2020
Leveraged resources are all resources used to support WIOA Title I-B grant activities and grant outcomes, whether or not those resources meet the standards required of allowable match. Leveraged resources can be either:
Match is defined as additional funds expended to support grant objectives when required either by statute or in the Funding Opportunity Announcement (FOA) as a condition of the award.1
For all federal awards, any shared costs or matching funds and all contributions, including cash and third-party in-kind contributions, must be accepted as part of the non-federal entity's cost sharing or matching when such contributions meet all of the following criteria:2
Match must be spent on allowable activities.3 Non-federal entities can only account for funds used for cost sharing or match when they are expended.4
In-kind contributions must be valued consistent with 2 CFR § 200.306. Refer to U.S. Department of Labor Leveraged Resources Guidance for further clarification.
The following cannot be used as Match however may be counted towards Leverage.
At this time, none of the federal statutes for programs currently administered by Department of Labor- Employment and Training Administration specifically allows the use of its funds as match for another federal program.6
Local WDBs must have written policy and/or procedures defining how leverage is calculated.
Local WDBs must maintain records that support the cash match costs and be available for audit and review. For third party contributions, support for the value must be verifiable from sub-grantee records or be maintained by the grantee, including the methods used to determine the value.
Examples of LR activities include, but are not limited to:
Examples of LR funding sources include, but are not limited to:
Local WDBs must report all leveraged resources on the monthly financial status report in Contract Management and Expenditure Tracking (COMET) for the life of the grant.
Effective Date: January 1, 2023; Compliance will be evaluated beginning with PY2023 funding allocations
The Workforce Innovation and Opportunity Act (WIOA) is designed to help job seekers and workers, particularly those with barriers to employment, enter and/or advance in the labor market.1 WIOA also serves to match employers with the skilled workers they need to compete in the global economy.2 These purposes are accomplished through the provision of career, training, and supportive services to Adult and Dislocated Worker Program participants, and the provision of the 14 program elements to Youth Program participants.
The purpose of this expenditure goal is to ensure that a reasonable amount of WIOA funding is spent on direct-to-participant costs, including, but not limited to, training-related expenses and supportive services. Providing ample financial supports will serve to improve participant outcomes and overall program success.
Effective Date: January 1, 2023; Compliance will be evaluated beginning with PY2023 funding allocations
Local Workforce Development Boards (WDBs) should spend at least 35% of their annual formula program funding allotment1 for each of the Adult, Dislocated Worker, and Youth programs on direct-to-participant costs. Meeting this goal will ensure that program resources are focused on successfully preparing participants to enter and/or advance in the workforce. This will also allow participants to access the financial supports necessary for them to participate in program services and activities reasonably and successfully without incurring debt.
WDBs may include in the direct cost services calculation all expenditures paid directly to, or on behalf of, a participant, such as:
The 35 percent expenditure goal is calculated using only programmatic funding. Neither the numerator nor the denominator of this calculation includes administrative costs.
Programmatic costs that fund staff wages and benefits for the coordination of such services3 shall not be included in the numerator of this calculation.
Effective Date: January 1, 2023; Compliance will be evaluated beginning with PY2023 funding allocations
Local WDBs shall maintain accounting records to accurately identify and account for the 35% direct-to-participant costs expenditures. WDBs must report the costs they count toward the 35% expenditure goal monthly in the Contract Management and Expenditure Tracking (COMET) System as memo activities. These costs should be reported in COMET at the time they are incurred.
NOTE: A participant does not have to complete the related service for the associated costs to count toward the goal.
To evaluate achievement of this goal, the amounts reported in COMET will be compared to total program expenditures over the life of each grant (e.g., the PY21 Adult and Dislocated Worker formula allocations). In the event that funds are transferred between programs, the 35% goal will be evaluated against the modified grant amounts.
Effective Date: January 1, 2023; Compliance will be evaluated beginning with PY2023 funding allocations
As this is a goal, and not a requirement, DWD-DET will not apply sanctions to local WDBs that do not meet the goal. However, the local WDB's progress toward achieving the goal will be evaluated during DWD-DET's annual coordinated monitoring. In cases where the goal is not met, or satisfactory progress toward achieving the goal in a given program year is not realized, DWD-DET will identify this as an area of concern. The local WDB will be asked to provide an explanation of the factors impacting spending on direct cost services and any actions taken to increase spending. DWD-DET may require that WDBs and their service providers participate in mandatory technical assistance to identify and/or develop strategies to increase spending on direct-to-participant costs.
Effective date: October 1, 2024
Local WDBs must expend at least 50 percent of their annual WIOA Youth formula allocation on youth workforce investment activities for out-of-school youth (OSY) during the two-year grant period.1 Local WDB administrative expenses are not included in the 50 percent OSY minimum expenditure calculation; therefore, the local WDB's OSY expenditure rate is calculated after subtracting funds spent on administrative costs.2
The 50 percent OSY expenditure requirement also applies to statewide youth activities.3 Only statewide funds spent on direct services to youth are subject to the OSY expenditure requirement.4 Demonstration projects related to meeting the education and employment needs of eligible youth are an allowable statewide activity and youth participating in such demonstration projects would be considered receiving direct services from statewide funds.5
Special Waiver Note: DOL has approved a waiver for Wisconsin that lowers the minimum Youth Program expenditure requirement for OSY to 50 percent. This waiver is effective for Program Years 24 and 25, ending June 30, 2026.
Costs associated with the following statewide activities are not subject to the OSY expenditure requirement:
The OSY expenditure rate for statewide funds is calculated after subtracting funds that are not spent on direct services to youth.15
Note: States and local areas may choose to spend up to 100 percent of their WIOA youth funds on OSY.16
Effective date: March 1, 2023
Local WDBs must expend at least 20 percent of their annual WIOA Youth formula allocation on paid and unpaid work experiences for in-school youth (ISY) and out-of-school youth (OSY) during the two-year grant period.1 Local WDBs cannot count leveraged resources toward this expenditure requirement.2
Program expenditures that count towards the minimum 20 percent are as follows:
Local WDB administrative expenses are not included in the 20 percent work experience expenditure calculation; therefore, the work experience expenditure rate is calculated after subtracting funds spent on administrative costs.5
Effective date: October 1, 2024
Local WDBs must maintain accounting records to accurately identify and account for the two Youth Program expenditure requirements. Local WDBs must report the costs they count toward the 50 percent OSY and 20 percent youth work experience expenditure requirements monthly in the Contract Management and Expenditure Tracking (COMET) System. Participants do not have to complete work experience activities for the associated costs to count towards the 20 percent work experience expenditure requirement. These costs must be reported in COMET at the time they are incurred.
Special Waiver Note: DOL has approved a waiver for Wisconsin that lowers the minimum Youth Program expenditure requirement for OSY to 50 percent. This waiver is effective for Program Years 24 and 25, ending June 30, 2026.
To evaluate local WDB compliance with the expenditure requirements, DWD-DET will:
Effective date: March 1, 2022
DWD-DET has a fiduciary responsibility to ensure the prudent use of WIOA Title I funds. Therefore, DWD-DET requires that all travel and conference expenses charged to WIOA meet:
Local Workforce Development Boards (WDBs) must have written travel polices and or procedures that adhere to the requirements of the Uniform Guidance.
Local WDBs are not required to seek prior approval for in-state or out-of-state-travel charged in whole or in part to WIOA that meets the standards established in Travel costs4 and Factors affecting allowability of costs.5
A local workforce development board must ensure that any costs associated with traveling are necessary and reasonable for the successful performance under the Federal Award. Supporting documentation, i.e. Agendas, etc. must be retained to justify the cost being charged in whole or in part to the WIOA Federal Program.
The following costs associated with traveling are prohibited:
DWD-DET may request Agendas as well as other related supporting documentation for conferences and associated travel cost charged in whole or in part to the WIOA Federal Funds during the annual monitoring.
Effective date: March 1, 2022
This section only applies to conferences hosted by WDBs in which WIOA funds are charged in whole or in part.
Local WDBs must obtain prior approval from DWD-DET by submitting a WIOA Conference Hosting Approval Request Form to the assigned Local Program Liaison (LPL) before holding, hosting, and/or sponsoring any conference charged in whole or in part to WIOA funds.
A conference is defined as a meeting, retreat, seminar, symposium, workshop or event whereby the primary purpose is the dissemination of technical information beyond the non-federal entity and is necessary and reasonable for successful performance under the federal award1.
The cost of meetings and conferences (examples could include lodging, facilities, food, beverages, materials, and supplies) where the primary purpose is to provide technical assistance and is necessary and reasonable for successful performance under the federal award is allowable.
Prior approval is not required for local WDB meetings and committee meetings. Furthermore, regular activities allowable under WIOA also do not require prior approval. These regular activities include, but are not limited to: WDB Board of Director and Committee meetings, Local Elected Official (LEO) Meetings, One-Stop/WIOA Orientations, Job Fairs, Industry/Sector Partnerships, and other activities under 680.140, etc.
The WIOA Conference Hosting Approval Request Form must be submitted to the LPL no later than15 business days prior to the date of event. Requests submitted later than this may be denied. The assigned LPL and a DWD-DET Financial Manager will review the -Conference Hosting Request and issue a written decision within 7 business days of receipt of the form.
DWD-DET retains the right to obtain additional information from the WDB about any conference that is funded in whole or in part with grant funds.
Effective date: July 1, 2020
All recipients1 under the Workforce Innovation and Opportunity Act (WIOA) Title I must ensure equal opportunity (EO) and nondiscrimination in programs and activities funded in whole or in part under WIOA.2 This responsibility includes compliance with all nondiscrimination requirements in the administration and operation of programs, activities, and employment as provided by WIOA Section 188 (Nondiscrimination and Equal Opportunity) and 29 CFR Part 38 (Implementation of the Nondiscrimination and Equal Opportunity Provisions of the Workforce Innovation and Opportunity Act).3 The regulations apply to all programs and activities that are operated by One-Stop partners as part of the One-Stop delivery system.4
WIOA prohibits discrimination on the basis of race; color; religion; sex (including pregnancy, childbirth, and related medical conditions, transgender status, and gender identity); national origin (including limited English proficiency); age; disability; political affiliation or belief; or, for beneficiaries, applicants, and participants only, on the basis of citizenship status or participation in a WIOA Title I-financially assisted program or activity. DWD-DET also prohibits discrimination based on military or veteran status, sexual orientation, gender identity or expression, marital or familial status, and genetic information.5
DWD-DET requires that local WDBs provide all services in an equitable and consistent fashion to similarly situated participants. Local WDBs must establish written policies and procedures that establish criteria that provide a fair and equitable method for selection among the eligible applicants for all services, as well as a process by which to document fair and equitable determination.
Effective date: July 1, 2020
Each local WDB must designate a local-level EO Officer. The local-level EO Officer must be a senior-level employee and report directly to the local WDB Executive Director. 1 The local-level EO Officer is responsible for equal opportunity compliance within the local WDB and must be allowed sufficient authority and resources to perform these duties.2 The EO Officer's name, position title, address, and telephone number must be made public. The EO Officer's identity and contact information must appear on all internal and external communications related to nondiscrimination and equal opportunity programs.3
Depending upon the size of the local WDB, the size of the local WDB's WIOA Title I-financially assisted programs or activities, and the number of applicants, registrants, and customers serviced by the local WDB, the EO Officer may or may not have other duties.4
The EO Officer's job duties and reporting relationships must not create or give the appearance of a conflict of interest.5 The DWD-DET EO Officer will evaluate conflicts of interest on a case-by-case basis, considering all the duties, responsibilities, and organizational locations of the EO Officer and EO staff.
Effective date: July 1, 2020
The EO Officer's responsibilities include, but are not limited to:
Effective date: July 1, 2020
Local WDBs must ensure competency through initial and regularly updated training for designated EO Officers.1 The local WDB is responsible for covering all training expenses for the local-level EO Officer(s) and their staff.2 DWD-DET requires that the local EO Officer receive at least eight hours of training per fiscal year from training sources (for example, EO-related webinars, forums, seminars, and/or conferences) that have been approved by the DWD-DET EO Officer. In order to receive credit, local EO Officers must request approval for trainings/training sources by providing the course information to the DWD-DET EO Officer via email
DWD-DET requires that training attendance documentation is maintained, including the course title, organization name, date(s), number of hours, and a brief course description. This documentation must be submitted to the DWD-DET EO Officer:
Effective date: July 1, 2020
DWD-DET requires that each local WDB make available:
DWD-DET requires that the EO Officer position is filled at all times. If there is a change in the EO Officer position the local WDB must notify the DWD-DET EO Officer within five working days after the change occurs.
Effective date: July 1, 2020
Each contract, agreement, or application for financial assistance under Title I of WIOA will include, in its entirety without changes, the following EO/nondiscrimination assurance language found at 29 CFR § 38.25(a)(1)(i) and (ii):
As a condition to the award of financial assistance from the Department of Labor under Title I of WIOA, the grant applicant assures that it has the ability to comply with the nondiscrimination and equal opportunity provisions of the following laws and will remain in compliance for the duration of the award of federal financial assistance:
The grant applicant also assures that, as a recipient of WIOA Title I financial assistance, it will comply with 29 CFR part 38 and all other regulations implementing the laws listed above. This assurance applies to the grant applicant's operation of the WIOA Title I-financially assisted program or activity, and to all agreements the grant applicant makes to carry out the WIOA Title I-financially assisted program or activity. The grant applicant understands that the United States has the right to seek judicial enforcement of this assurance.
In lieu of including the assurances language in its entirety for smaller contracts or agreements (such as OJT contracts), the following reference to the language may be used: "The nondiscrimination assurances at 29 CFR Part 38.25 apply to this [contract/agreement/etc.]."1
Every grant applicant and training provider seeking financial assistance under Title I of the WIOA must include in its application the written assurance of nondiscrimination as listed above. However, even when the assurance is not incorporated or referred in a document, it is considered incorporated by operation of law.2.
When necessary, language regarding programmatic and architectural accessibility to accommodate individuals with disabilities is also included in contracts and agreements.3
Effective date: July 1, 2020
Local WDBs and service providers must take appropriate steps to ensure that they are providing equal access to their WIOA Title I programs and activities.1 These steps should involve reasonable efforts to include members of the various groups protected by these regulations (hereinafter referred to as "protected groups"): persons of different sexes, various racial and ethnic/national origin groups, various religions, individuals with limited English proficiency, individuals with disabilities, and individuals in different age groups.2
Outreach efforts may include, but are not limited to:3
To meet the minimum requirements of affirmative outreach, DWD-DET requires local WDBs to:
Effective date: July 1, 2020 – DWD-DET strongly recommends that all participant files be reviewed retroactively to comply with local record retention policies but monitoring for this requirement will align with the policy effective date of July 1, 2020.
Any medical or disability-related information obtained about an individual, including information that could lead to the disclosure of a disability, must be collected on separate forms.1 This applies to information collected for purposes of establishing eligibility and to employee personnel files.2
All questions pertaining or alluding to an individual's disability, including the basic, "Do you have a disability, Yes/No" question or disclosures of SSDI as a potential source of income must be asked on a separate form. If ASSET information is printed for the file, such as the Manage Programs attestation printout, DWD-DET requires all disability sections to be redacted before the document is placed in the participant file.
Medical and disability-related information must be maintained in a separate, secure location, such as a locked physical file, or a password-protected electronic record.3 The local WDB must have a policy that includes guidelines for storing information in a manner that ensures this information is kept confidential. Maintaining medical and disability-related information in a sealed envelope in a locked drawer that is different from the location of the participant file would meet this compliance requirement.
Access to the medical file must be limited; only persons in the following categories may be informed about the individual's disability or medical condition and access the medical file:
Supervisors, managers, and other necessary personnel may be informed of restrictions on the activities of individuals with disabilities and regarding reasonable accommodations for such individuals but may not have access to information in medical files.7
Medical and disability-related information that is acquired during the delivery of case management services must also be stored securely.8 DWD-DET requires staff to make the ASSET case notes containing information about medical or disability status confidential and redact such information from any paper documents. If any documentation is received and not needed, staff must return the document to the participant, or shred it, after recording any necessary information in a confidential ASSET case note.
DWD-DET recommends that, whenever possible, career planners record relevant information about the effects of an individual's medical impairment, rather than his or her actual medical diagnosis. For example, career planners can record the following information without disclosing an individual's medical or disability-related information:
Examples of medical/disability information that must be secured separately, include, but are not limited to items such as:
DWD-DET requires that all discussions between career planners and individuals are conducted confidentially. Career planners working with individuals with disabilities must obtain permission from the individual before disclosing information about his or her disability with others. This policy does not limit an individual's voluntary disclosure of medical and disability-related information.
Effective date: March 16, 2022
The Wisconsin Department of Workforce Development – Division of Employment and Training (DWD-DET) has transitioned to its Eligible Training Program List (ETPL), which included both policy and website changes.
Only programs found eligible through the Initial Eligibility Procedure, which uses the ETPL Provider Portal, will be published on Wisconsin's new ETPL Website. The ETPL website launched December 2, 2019. The previous ETPL/ITA website has shut down.
The ETPL Provider Portal and ETPL Website are accessed through JobCenterofWisconsin.com by clicking on the "Education & Training" link with the mortarboard icon, located on the bottom of the homepage. Clicking the "Training Institution" button navigates users to the ETPL Homepage for Training Institutions. The "Search List" button navigates users to the ETPL Website, which is searchable by training institution name, training program name, city, and job title. The "Help" link, located on both the ETPL Homepage for Training Institutions and the ETPL Website, takes users to information about DWD-DET's eligibility criteria, information requirements, and application instructions.
All newly established ITAs
Participants must select ITA-funded training from the new ETPL Website, beginning December 2, 2019, unless one of the two exceptions apply (see below). To enter a new training service in ASSET for the training program, the career planner must make the selection from the "Version 2" list in the "ASSET – ITA Program Lookup" screen.
Exception 1: Participants already enrolled in a training program from the previous ETPL/ITA website.
Participants may complete their training, even if the program is not on the new ETPL Website. If a career planner must enter a new training service in ASSET for that training program (e.g., for a new academic term), the career planner makes the selection from the "Version 1" list in the "ASSET – ITA Program Lookup" screen.
Exception 2: Participants planning to enroll in a training program from the previous ETPL/ITA website where the training program is not on the new ETPL Website
Participants may complete the training if, prior to December 2, 2019, there was a training service in ASSET, a completed Individual Employment Plan, or a case note that reflects the participant's plan to attend the training program. To enter a new training service in ASSET for that training program, the career planner makes the selection from the "Version 1" list in the "ASSET – ITA Program Lookup" screen.
Local WDBs stopped accepting ETPL applications under the previous process on December 1, 2019. If a training institution is interested in applying to the new ETPL, DWD-DET strongly encourages local WDBs to instruct the institution to submit its application through the new ETPL Provider Portal.
Effective date: May 31, 2022
The Department of Workforce Development – Division of Employment and Training (DWD-DET) has made numerous updates to its ETPL policies and processes, including updates to:
Many of the updates were made to help ensure that training programs published on Wisconsin's ETPL comply with both WIOA authority and Wisconsin State approval and/or licensing requirements for training institutions and their programs.
As part of these changes, some institutions will need to provide additional information and/or supporting documentation, through the ETPL Provider Portal, to show their compliance with the updated requirements. DWD-DET anticipates that changes to the ETPL Provider Portal that address these updated requirements will be deployed in late Spring 2022.
DWD-DET is following the new requirements for all new ETPL institution and program applications. Please note – this means going forward, DWD-DET will only publish an Alternate institution's training program to Wisconsin's ETPL if it meets the criteria outlined in section 7.4.7 for Alternate institutions. DWD-DET may instruct institutions to provide supporting documentation via email, until the changes to the ETPL Provider Portal are deployed.
It may be necessary for DWD-DET to temporarily cease accepting new institution and program applications prior to the deploy of the updated ETPL Provider Portal. DWD-DET will notify all existing ETPL Provider Portal users should this occur.
All existing institutions that meet the new Standard classification criteria will not need to reapply; however, they will need to sign a new ETPL Agreement. DWD-DET will notify the institution Officers when the new agreement is ready for their review and signature. If the Officer fails to sign the new ETPL Agreement, the institution and its programs may be subject to termination from Wisconsin's ETPL.
Once the updates to the ETPL Provider Portal are deployed, all institutions currently approved for Wisconsin's ETPL that do not meet the new Standard classification criteria will need to reapply if they wish to continue to have training programs published on Wisconsin's ETPL. DWD-DET will notify all impacted institutions when the reapplication window starts. The reapplication window will last for 60 calendar days. During that time, ETPL Provider Portal users will need to submit some additional information through the portal and the institution's Officer will need to sign a new ETPL Agreement. DWD-DET will then make a new eligibility determination based on the updated eligibility criteria. DWD-DET will terminate institution and program eligibility following this reapplication window if (a) the institution fails to timely submit the additional information or (b) the institution fails to meet the updated eligibility criteria. If termination of eligibility occurs, the institution may always reapply at a later date.
DWD-DET encourages institutions to take the following steps in preparation for the reapplication window:
Questions relating to Wisconsin's ETPL should be directed to DETETPL@dwd.wisconsin.gov.
Effective date: July 1, 2020
An Individual Training Account (ITA) is a payment arrangement the local WDB or its service provider makes, on behalf of a participant, with a training institution for training services,1 when the program of choice is included on the state's Eligible Training Programs List (ETPL).2 The payment to the training institution may be made in full or incrementally.3 Issuing the payment(s) may be performed in a variety of ways, including electronic transfer of funds through financial institutions (e.g., ACH payments) and/or paper checks.4
Effective date: March 13, 2023
Individual Training Accounts (ITAs) are the primary method to be used for funding training services for Adult Program and Dislocated Worker Program participants.1 An ITA must be used to fund participant training, unless the training is funded through a contract for services under one of the five "contract exceptions"2 or the local WDB has a waiver from the Governor to provide the training.3
Since ITAs can only be used to fund training programs on the state's Eligible Training Programs List (ETPL), the local WDB must make the ETPL available to Adult Program and Dislocated Worker Program participants to maximize informed consumer choice when selecting a training program.4 DWD-DET requires Title I career planners to share the location of the ETPL website with participants interested in occupational skills (i.e., classroom) training. Participants must select their training program from the ETPL in consultation with their career planner.5
Local WDBs must fund a participant's training program of choice through an ITA when:
If the five conditions outlined above are not met for a given participant, an ITA cannot be used to fund the participant's training program, and the local WDB must ensure the reason(s) for denying the ITA are documented. When the denial is based on the unreasonableness of the cost of the program, the local WDB's documentation must demonstrate that other comparable training options were available at a lower cost.
Effective date: October 1, 2024
If appropriate, Individual Training Accounts (ITAs) may be used to fund training services for Youth Program participants who met the out-of-school youth (OSY) criteria at the time of the eligibility determination.1 ITAs may also be used to fund training services for Youth Program participants aged 16 or older who met the in-school youth (ISY) criteria at the time of eligibility determination.
Youth Program participants who are 18 years of age or older may co-enroll in the Adult Program in order to receive training services funded through an ITA funded by the Adult Program.2 Additional information about co-enrollment of Youth Program participants ages 18 and older is available in section 10.4.2.
Special Waiver Note: DOL has approved a waiver for Wisconsin that allows ITAs to fund training services for Youth Program participants aged 16 or older who are ISY at the time of eligibility determination. This waiver is effective for Program Years 24 and 25, ending June 30, 2026.
Effective date: July 1, 2020
Local WDBs may use Individual Training Accounts (ITAs) to support Title I participants (except Youth Program in-school youth (ISY) participants) in registered apprenticeships.1 If a registered apprenticeship (RA) program is on Wisconsin's ETPL, an ITA may be used to fund the occupational skills (i.e., classroom) training component a participant must complete as part of the RA program.2 If a pre-apprenticeship program is on Wisconsin's ETPL, an ITA may be used to fund a participant's training in that pre-apprenticeship program.3
Effective date: July 1, 2020
The state and local WDBs have the ability to establish general limitations for all Individual Training Accounts (ITAs) through policy, including limits on:
Any general limitations on ITAs cannot be devised or implemented in a manner that undermines WIOA's requirement that training services be provided in a manner that maximizes customer choice in the selection of a training program from the ETPL.4 Therefore, DWD-DET prohibits local WDBs from:
Any general limitations established by the State WDB or a local WDB through policy must also be described in the State or Local Plan, respectively.6 These limitations are not effective until they are included in the State or Local Plan.7
Note: Wisconsin's State WDB, The Governor's Council on Workforce Investment, has not established any general limitations on ITAs.
To the extent the State WDB or a local WDB establishes general limitations on ITAs, they may also address situations when exceptions may be made for individual cases.8 If the State WDB or a local WDB allows exceptions to the limitations, those exceptions must be described in state or local policy, respectively.9 When a local WDB allows for exceptions, DWD-DET requires the local WDB to describe in its local policy the criteria it will use for granting an exception and the procedure it will follow to approve or deny an exception.
If a local WDB includes general limitations in its Local Plan, DWD-DET requires the local WDB to complete the "ITA Limitations" form and send the completed form to its assigned Local Program Liaison within five business days from the effective date of the Local Plan. DWD-DET will publish the local WDB's "ITA Limitations" form on Wisconsin's ETPL website to notify participants and training institutions of the limitations. If the local WDB changes the general limitations through a modification to its existing Local Plan or by issuing a new Plan, it must complete and send a new "ITA Limitations" form to its assigned Local Program Liaison within five business days from the effective date of the modified or new Plan.
Effective date: July 1, 2020
If a training program is removed from the Eligible Training Programs List (ETPL), but the institution has not committed a substantial violation, DWD-DET allows local WDBs and their service providers to use Individual Training Accounts (ITAs) to continue to fund participants who enrolled in the program prior to the program's removal from the ETPL.1 However, local WDBs cannot establish new ITAs for programs that have been removed from the ETPL.2
If a program is removed from the ETPL due to the institution committing a substantial violation , local WDBs and their service providers are prohibited from making any further payments to the institution through ITAs. DWD-DET will take action to reclaim all ITA funds paid to the institution during the period of noncompliance.3 Additionally, DWD-DET will identify any current participants with an open training service in that program and promptly notify the participant's career planner and the local WDB director about the substantial violation. The career planner must offer the participant both of the following choices:
Local WDBs may wish to address in their ITA policies how they will handle situations where participants must select a comparable program at a different institution. For example, they may allow exceptions to any ITA-related funding and duration limitations.
Note: Since fund reclamation would leave some or all of a participant's tuition/fees unpaid, participants may be liable to pay the institution the unpaid amount.
Effective date: July 1, 2020
A participant may select a training program from the ETPL that exceeds the maximum amount available for an ITA (as established by state or local policy) when other fund sources can supplement the ITA.1 Other sources include, but are not limited to: Pell Grants, scholarships, and household income.2
Effective Date: January 24, 2022
Training programs published on Wisconsin's Eligible Training Programs List (ETPL) may be comprised of multiple courses/classes.1 DWD-DET allows an ITA to be used to fund one or more courses/classes that are part of an approved program on Wisconsin's ETPL, even if the participant does not intend to complete all of the courses/classes that combine to form the approved training program. DWD-DET refers to this scenario as using an ITA to fund a "segment" of a training program on Wisconsin's ETPL.
If an ITA is used to fund a segment of a training program, the career planner must do the following:
Effective date: January 20, 2020
WIOA requires that the State Workforce Agency maintain a list of institutions and their training programs that are eligible for Individual Training Accounts (ITAs).1 This list is called the "Eligible Training Programs List" (ETPL). The ETPL helps ensure training program quality and accountability as well as informed choice for WIOA participants selecting training.2 DWD-DET, as Wisconsin's State Workforce Agency, is responsible for overseeing and maintaining Wisconsin's ETPL.
Wisconsin's ETPL must be used to select ITA-funded training services for WIOA Title I Adult Program and Dislocated Worker Program participants who qualify for training3 and, it may be used for the same purpose for Out-of-School Youth (OSY) Program participants.4 Other core and partner programs are not required to use the ETPL but the state may choose to leverage it as a resource.5 If an institution's training program is not on the list, it can take steps to add the program or, the program may be allowable as a non-ITA training option.6 The ETPL does not apply to services other than training.7
The State Workforce Agency plays a leadership role in ensuring the success of its ETPL, including:
Effective date: March 16, 2022
For an institution to be eligible for the Eligible Training Programs List (ETPL), it must be one of the following:
DWD-DET may require institutions to provide documentation demonstrating compliance with this section.
Effective date: March 16, 2022
For a training program to be eligible for the Eligible Training Programs List (ETPL), the eligible institution must directly provide1 the program of training services and it must do so through one or more courses/classes or through a structured regimen.2 Programs may be delivered in-person, online, or through a blended approach of in-person and online.3 Successful completion of the program must lead to one or more of the following outcomes:
Note: Training programs may include non-credentialed training or single courses that fall within a career pathway.5
DWD-DET considers the following types of programs to be ineligible for Wisconsin's ETPL:
DWD-DET may require institutions to provide documentation demonstrating compliance with this section.
Effective date: January 20, 2020
The State Workforce Agency, on behalf of the Governor and in consultation with the State WDB, establishes the initial eligibility application and continued eligibility procedures as well as the state's and the local WDBs' roles in carrying them out.1 As part of this process, the State Workforce Agency must:
Program eligibility is determined on a program-by-program basis for each training institution.3 A training program is added to the state's ETPL through the initial eligibility application procedure. An institution applying to have a training program added to the ETPL must, at minimum, provide the state with a description of the training program, verifiable information that addresses a factor related to the WIOA indicators of performance, and information detailing whether the institution is in a partnership with business.4 Once a training program is published on the state's ETPL, it is considered eligible for local WDBs to fund through an Individual Training Account (ITA), even if the program is located outside of a WDB's local area or the state.5
The state uses the continued eligibility procedure to periodically review eligibility of institutions and their training programs and determine if a training program's eligibility should be renewed.6 Eligibility for newly added programs must be reviewed after the first year7 and at least every two years thereafter.8 WIOA requires that the continued eligibility procedure be implemented in a manner that ensures continuity of eligibility for those programs that will be renewed.9
For both the initial eligibility application and continued eligibility procedures, the institutions must comply with:
The state's eligibility procedures must be outlined in the State Plan, including the state's and the local WDBs' roles and responsibilities in receiving and reviewing institution and program applications and making eligibility determinations.12
Neither the state nor the local WDB has the authority to waive initial or continued eligibility requirements for an institution or program.13 For example, institutions of higher education cannot be granted automatic approval.
Note: Registered apprenticeship programs are generally exempt from ETPL eligibility requirements because of the extensive process they undergo to become registered.14
Effective date: September 2, 2019
After consulting with the Governor's Council on Workforce Investment and the directors from the local WDBs, DWD-DET, as Wisconsin's State Workforce Agency, established the State's ETPL eligibility procedures. The parties agreed that, as part of these procedures:
Effective date: September 2, 2019
DWD-DET is entirely responsible for oversight and implementation of the initial eligibility application and continued eligibility procedures as well as maintenance of the ETPL website. Under this model, the local WDBs agree to refrain from applying additional information requirements and eligibility criteria. However, the local WDB may still impose certain limits on ITAs for dollar amount, duration, and/or occupational field.1
Effective date: March 16, 2022
The following is DWD-DET's initial eligibility process:
Registered apprenticeship sponsors are not subject to the same eligibility requirements as other training institutions.1 See Section 7.8 Registered Apprenticeships for more information.
Effective date: March 16, 2022
DWD-DET will perform its continued eligibility procedure for all institutions and their programs between July 1 and August 31 each year, regardless of when the institution's program eligibility began. Institutions and their programs that pass continued eligibility requirements maintain their listing on Wisconsin's ETPL website. Wisconsin's continued eligibility procedure consists of the following steps:
Effective date: July 25, 2022
The following are DWD-DET's Institution Minimum Requirements:
Effective date: July 25, 2022
If an institution meets the Minimum Institution Requirements, DWD-DET classifies the institution as either "Standard" or "Alternate;" different program eligibility criteria apply depending on the institution's classification.
DWD-DET classifies an institution as "Standard" if it determines that the institution meets at least one of the following standard eligibility criteria:
If an institution is not a Standard institution, DWD-DET classifies the institution as an "Alternate." An Alternate institution must demonstrate, when applicable, that it has approval or licensure by the appropriate Wisconsin state-level regulatory authority to provide the training program at issue. This means that an institution subject to Wisconsin's Educational Approval (EAP) regulatory authority must demonstrate it has secured approval from the EAP before its program can be determined eligible for Wisconsin's ETPL. This also means that an institution that is required to obtain approval or licensure by another Wisconsin state agency(ies) or board(s) – in addition to, or in lieu of, the EAP – must demonstrate it has secured such approval or licensure before its program can be determined eligible for Wisconsin's ETPL. When applicable, DWD-DET follows internal procedures in an attempt to ensure training institutions are compliant with state approval or licensing requirements.
For purposes of Wisconsin's ETPL, any program that uses the term "pre-apprenticeship" in its program application must be certified by Wisconsin's Bureau of Apprenticeship Standards, and, any WIOA Title II program must be approved as an "Integrated Education and Training" program by the Wisconsin Technical College System Office.
With some exceptions, if an Alternate institution and/or the training program it would like included on Wisconsin's ETPL are not regulated by the EAP or another Wisconsin state agency or board, the institution must attest to this and meet all of the following before a program can be determined eligible for Wisconsin's ETPL:
DWD-DET will determine, on a case-by-case basis, whether these additional eligibility criteria apply. For example, some types of training institutions and/or programs are regulated by federal agencies or authorities and, as a result, may be determined to be excepted from these additional eligibility requirements.
Effective date: January 9, 2020
In an effort to streamline and standardize data collection from institutions, DWD-DET requires institutions to submit information consistent with federal ETP performance reporting requirements. Furthermore, DWD-DET requires and requests some additional information that the local WDBs consider helpful when participants and career planners evaluate training programs.
DWD-DET requires institutions, other than registered apprenticeships, to complete and submit an Institution Application through the ETPL Provider Portal. The online application contains fields for the following information:
Field | Required | DOL1 or DWD-DET Requirement |
---|---|---|
Name of Institution | Y | DOL |
Institution's Federal Employer Identification Number (FEIN)2 | Y | DWD-DET |
Institution's address for its main location (city, state, and 5-digit zip code) | Y | DOL |
Institution's phone number | Y | DWD-DET |
Institution's website | N | DWD-DET |
Institution's date of establishment | Y | DWD-DET |
Type of Institution3 | Y | DOL |
Institution's description | Y | DOL |
Institution's accreditation information4 | Y | DWD-DET |
National Council for State Authorization Reciprocity Agreement (NC-SARA) membership5 | Y | DWD-DET |
Wisconsin Education Approval Program (EAP) status6 | Y | DWD-DET |
Contact information for the individual submitting the Institution Application | Y | DWD-DET |
DWD-DET requires institutions, other than registered apprenticeships, to submit program-level information through the ETPL Provider Portal. The institution will be asked to supply the following information for each program it would like on the ETPL:
Field | Required | DOL7 or DWD-DET Requirement |
---|---|---|
General Program Information | ||
Name of training program | Y | DOL |
Wisconsin Technical College System (WTCS) Program ID (if applicable) | Y | DWD-DET |
URL for information about the training program | N | DOL |
Training program description | Y | DOL |
Classification of Instructional Programs (CIP) code8 | Y | DOL |
O*NET-SOC code(s) associated with the training program9 | Y | DOL |
Training program format (in-person, online, or combination) | Y | DOL |
Minimum education required for entry | Y | DOL |
Additional prerequisites (if applicable) | Y | DWD-DET |
How often the training program is offered | N | DWD-DET |
Whether the training program is competency-based | Y | DOL |
Length of the training program (in weeks) | Y | DOL |
Hours per week a student spends attending class or other instructional activities | Y | DOL |
Whether the training program is full-time, part-time, or both | N | DWD-DET |
Whether classes are offered during days, evenings, and/or weekends | N | DWD-DET |
Whether the training program is part of a career pathway10 | N | DWD-DET |
Whether the training program is in partnership with a business11 | Y | DOL |
Whether the training program offers job placement services | N | DWD-DET |
Whether the training program offers tutoring | N | DWD-DET |
Application deadline(s) for the training program | N | DWD-DET |
Any program credit hours | N | DWD-DET |
Training program's date of establishment | N | DWD-DET |
Site name and address for the training program (city, state, and 5-digit zip code)12 | Y | DWD-DET |
Point of contact for the training program and the individual's contact information | Y | DWD-DET |
Point of contact for disability and language accommodation services | N | DWD-DET |
Potential outcome of the training program13 | Y | DOL |
Name of credential received for completion of the training program14 | Y | DOL |
Cost of tuition and required fees | Y | DOL |
Cost of books | Y | DOL |
Cost of supplies / materials | Y | DOL |
Cost of other program fees and description of fees | N | DWD-DET |
Whether financial aid is available for the training program | Y | DWD-DET |
The refund policy | Y | DWD-DET |
Individual-Level Information for All Students15 | ||
Student's first name | Y | DWD-DET |
Student's middle initial | N | DWD-DET |
Student's last name | Y | DWD-DET |
Student's suffix | N | DWD-DET |
Student's SSN16 | N | DWD-DET |
Student's sex17 | Y | DWD-DET |
Student's date of birth18 | Y | DWD-DET |
Student's actual program start date | Y | DWD-DET |
Student's actual program end date | N* | DOL |
Whether the student completed the program | N* | DOL |
Whether the student withdrew from the program | N* | DOL |
Whether the student transferred from the program | N* | DOL |
Whether student attained a credential during the program19 | N* | DOL |
Whether the student attained a secondary school diploma or its recognized equivalent during the program20 | N* | DOL |
Program Information for Alternate Institutions (only one is required) | ||
Program accreditation information21 | N | DWD-DET |
Whether the training program relates to barbering, cosmetology, real estate, substance abuse counselor, aesthetics, electrology, manicuring, medication aide, certified nursing assistant, or lead and/or asbestos removal training | N | DWD-DET |
Whether the training program relates to Community Based Residential Facilities (CBRFs) and, if so, the name(s) and instructor ID(s) for all the instructor(s) | N | DWD-DET |
Whether the training program is a pre-apprenticeship | N | DWD-DET |
Whether the training program is on another state's ETPL and the name of the state22 | N | DWD-DET |
Letter of support from a trade association | N | DWD-DET |
Letters of support from three employers | N | DWD-DET |
* This field is required if the student has an actual program end date because the student completed, withdrew or transferred from the program.
Effective date: March 16, 2022
Institution and program applications submitted to DWD-DET for review are considered incomplete when DWD-DET does not have all the information needed to make an eligibility determination. If DWD-DET notifies the institution of an action that needs to be taken (e.g., electronically sign the ETPL Agreement or supply certain information), the institution must complete that action within 90 days. If the institution fails to complete the action within 90 days from DWD-DET's notification, DWD-DET will deny the application and notify the institution of the same. The institution may submit a new institution or program application for consideration at any point following a denial for this reason.
Effective date: January 20, 2020
As part of the initial eligibility procedure, the state must deny an institution's request to have a training program included on the ETPL if the institution and/or its training program fail to meet the state's eligibility requirements.1 Once the institution's training program is on the ETPL, the state must terminate eligibility if the eligibility requirements are no longer met2 or the institution commits a substantial violation.3
Eligibility may be terminated, for the reasons outlined above, at any time, not just during the period of continued eligibility.4 When a training program's eligibility is terminated, the program must be removed from the published ETPL.5 The state must specify in its ETPL procedures the individual or entity responsible for denying and terminating eligibility and removing programs from the published ETPL.6 The state should also address how to handle situations where one or more participants are currently enrolled in a training program that must be removed from the ETPL; ideally, the mechanism for handling is done so in a way that results in minimal disruption to the participant.7
Under WIOA, an institution commits a substantial violation when it: (1) fails to meet the state's procedure for timely and accurately submitting required information for annual ETP performance reporting,8 (2) fails to meet the state's procedure for timely and accurately submitting all required information for initial or continued eligibility,9 (3) intentionally provides false information,10 or (4) violates any provision of WIOA Title I or its regulations, including the nondiscrimination and equal opportunity provisions.11 The state's ETPL procedures must take into account exceptional circumstances beyond the institution's control (e.g., natural disasters, unexpected personnel transitions, and unexpected technology-related issues) when determining if an institution committed a substantial violation for failing to timely and accurately submit required information.12 If it is determined that exceptional circumstances existed, then a substantial violation did not occur.13 If it is determined that an institution committed a substantial violation, the institution is prohibited from having its programs on the published ETPL for a minimum of two years and it is liable to repay any WIOA Youth, Adult, and Dislocated Worker Program funds it received during the period of noncompliance.14
Effective date: February 7, 2020
DWD-DET, as Wisconsin's State Workforce Agency, is responsible for determining (1) when new institutions and their training programs must be denied initial eligibility, (2) when eligibility must be terminated, and (3) what constitutes a substantial violation. Additionally, DWD-DET is responsible for removing training programs from the state's ETPL website if eligibility is terminated. DWD-DET's procedures for denying or terminating eligibility of registered apprenticeship programs is outlined in 7.8 Registered Apprenticeships.
DWD-DET will deny initial eligibility for the following reasons:
When DWD-DET denies initial eligibility, it sends an email identifying the reason(s) for the denial to the institution's Officer (if the Officer has been independently identified) and to the individual who submitted the Institution Application.
Eligibility is terminated when, at any point:
In situations where eligibility is terminated solely because of the circumstances outlined in (5) and (6), above, the institution must submit the required information before the program can be republished to the ETPL website. DWD-DET does not consider either of these situations to rise to the level of a substantial violation.
DWD-DET considers an institution to have committed a "substantial violation" when:
Typically, DWD-DET terminates a training program's eligibility and removes it from the ETPL website during the continued eligibility process; however, DWD-DET may terminate eligibility at any time if it determines that there are grounds to do so. When DWD-DET terminates a training program's ETPL eligibility, it sends an email that identifies the reason(s) for the termination to the institution's Officer and all of the institution's ETPL Provider Portal users.
If DWD-DET determines that an institution committed a substantial violation, DWD-DET removes the institution and all of its programs, including registered apprenticeships, from the ETPL website for a minimum of two years. The period of removal lasts for two years from the date of that determination. However, the period of removal may (and often will) extend beyond two years if there are multiple determinations stemming from multiple levels of review, including determinations made under 29 CFR part 38. The two-year period, in these cases, is calculated from the date of the final determination.7 During the period of removal, the institution is prohibited from publishing new training programs to the ETPL website. Following the period of removal, the institution must follow Wisconsin's Initial Eligibility Procedure if it wishes to have its training program(s) added to the ETPL website. DWD-DET determines WIOA substantial violation periods of noncompliance and fund reclamation procedures on a case-by-case basis.
Effective date: February 3, 2020
Under WIOA, institutions must be provided the opportunity to appeal a decision that denies or terminates eligibility for the state's ETPL.1 The state must establish an appeals procedure for this purpose that provides the institution the opportunity for a hearing and prescribes appropriate time limits to ensure the prompt resolution of the appeal.2 A decision under the state's appeals procedure may not be appealed to the U.S. Secretary of Labor.3
Effective date: February 3, 2020
Institutions may appeal an adverse determination relating to an ETPL eligibility denial or termination. The purpose of an appeal is to determine:
Wisconsin's appeal procedure consists of two levels:
First Level: The Director for DWD-DET's Bureau of Workforce Training, or DWD-DET's Deputy Administrator in the Director's absence, performs an internal review by examining the adverse determination in light of the federal authority, DWD-DET's ETPL policies, and the existing record for the institution and program at issue. The Director or Deputy Administrator may also perform additional fact gathering as deemed appropriate, including communicating with institution staff. A first level appeal must occur before the matter can be appealed to the second level.
Second Level: The matter is assigned to an impartial Administrative Law Judge (ALJ) with DWD's Equal Rights Division (ERD) for a hearing. The ALJ issues an administrative decision that is final; the matter is not appealable to the Secretary of the Department of Labor.2
Note: DWD-DET's determinations relating to a period of noncompliance and fund reclamation amount may be appealed to the first level only; these determinations may not be appealed to the second level.3
If the training institution is dissatisfied with the decision from the first level of appeal, it may file a second level appeal with DWD-DET to have a hearing on the matter. The grounds for ERD to hear ETPL matters on appeal is established through a Memorandum of Agreement (MOA) between DWD-DET and ERD. The MOA specifies the following:
DWD-DET is responsible for notifying the training institution of its right to appeal an adverse determination relating to an ETPL eligibility denial or termination. To accomplish this, DWD-DET must provide the institution with a plain language statement that outlines the procedure, including timelines, the institution must follow to request a first level review of the matter. This is to be included in the email that identifies the reason(s) for the denial or termination. See 7.5.2 Wisconsin's Procedures for Eligibility Denials and Terminations.
If the result of the first level appeal affirms the adverse determination and the institution has the right to a hearing, DWD-DET must provide the institution with a plain language statement that outlines the procedure, including timelines, the institution must follow to file a second level appeal. If the institution does not have the right to a hearing, DWD-DET must notify the institution that the determination from the first level appeal is final.
The institution's failure to comply with this procedure, including timelines, results in the institution waiving its right to appeal.
For purposes of this procedure:
Note: Any Officer of the institution may appeal a denial or termination of eligibility. If the individual appealing is not the Officer that DWD-DET has on record for the institution, DWD-DET must confirm that the individual appealing meets the definition of an Officer before the appeal may proceed. This, however, may result in a delay of the aforementioned timeline. This delay will not affect the institution's right to have the matter reviewed on appeal.
DWD-DET requires that the individual who files the second level appeal, or a designee, appear at the hearing to represent the institution. For the purposes of this procedure, to "appear" means that the representative participates in the hearing using the method of communication chosen by the ALJ.
If no representative(s) for the institution appear at the scheduled hearing, the institution loses its right to the hearing.
If eligibility for a program on the ETPL website is terminated, DWD-DET will remove the program from the ETPL website for the duration of the appeals process.
If a training program's ETPL eligibility had been terminated but, following the appeals process, eligibility is reinstated, DWD-DET will republish the program to the ETPL website within three business days from the final determination.
If a training institution or one of its training programs had been denied eligibility and, following the appeals process, the denial is affirmed, the institution may reapply to the ETPL as soon as it can address the reason(s) that had originally resulted in the denial.
If, following the appeals process, it is affirmed that an institution committed a substantial violation, the institution must wait two years from the date of the final determination before reapplying to the ETPL.4
For purposes of this procedure, "the final determination" means the date the email notification is sent following the first level appeal or the date the ALJ's decision is served following a second level appeal.
For a first level appeal, the individual performing the internal review cannot have a potential or perceived conflict of interest. Examples of potential or perceived conflict of interest include:
If there is a potential or perceived conflict of interest, the individual performing the internal review must recuse her/himself from the appeal proceeding. Should the situation arise where both the Director for DWD-DET's Bureau of Workforce Training and DWD-DET's Deputy Administrator must recuse themselves, another director within DWD-DET will be asked to perform the internal review.
Effective date: February 14, 2020
States must submit an annual Eligible Training Program (ETP) performance report to the U.S. Department of Labor (DOL).1 The performance report template, ETA-9171, outlines the data elements that must be reported for each program of study included on a state's Eligible Training Programs List (ETPL);2 this includes data on the primary indicators of performance for all students in the program of study, regardless of WIOA participation.3 When submitting the ETA-9171 to DOL, states must include a separate record for each program of study on their ETPL, even if the program did not serve any WIOA participants during the reporting period.4 States submit the annual ETP performance report to DOL via the Workforce Integrated Performance System, which is DOL's Employment and Training Administration's performance reporting portal.5 The report is due by October 1, each year, unless DOL directs otherwise.6
DOL encourages states to adopt approaches to collect the information for the ETPL performance report that (1) leverage the information collected from training providers during the initial ETPL application and continued eligibility processes and (2) minimize the burden on training institutions participating on the ETPL.7 For example, DOL encourages the states to perform employment and wage matching using the state's unemployment insurance data, rather than place the burden on training institutions to provide this information.8
States must also make the annual ETP performance report publicly available online and provide a link to the report in the annual State performance report to DOL.9 The information made publicly available cannot reveal personally identifiable information (PII); however, all data must be reported to DOL to comply with ETP performance report requirements, regardless of the states' rules for data suppression.10
States are not required to submit performance information for registered apprenticeship programs included on their ETPLs; however, if a registered apprenticeship program voluntarily submits performance information, the information must be included on the ETP performance report.11
Effective date: February 14, 2020
DWD-DET is responsible for preparing and timely submitting the annual ETP performance report to the U.S. Department of Labor. DWD-DET has designed its initial and continued eligibility procedures in a manner that collects all the information needed to complete the report. The information DWD-DET collects from institutions as part of its eligibility procedures is listed in 7.4.8 Information Requirements and includes a file of individual-level student information for each program displayed on Wisconsin's ETPL. DWD-DET uses the individual-level student information to identify the students' employment and wage outcomes, as specified in the ETA-9171, based on the state's Unemployment Insurance data.
When publishing aggregated student performance outcomes for the public, DWD-DET does not display outcomes for any program with seven or fewer enrolled individuals.1
Effective date: March 16, 2022
Under WIOA, registered apprenticeship programs automatically qualify to be included on the state's ETPL because of the extensive vetting process they undergo to become registered.1 Sponsors of registered apprenticeship programs operating within the state must be informed of their automatic eligibility to be included on the state's ETPL and must be able to join with minimal burden.2 A registered apprenticeship program can only be added to the state's ETPL if the program sponsor has consented to its inclusion on the list.3
Note: Automatic eligibility does not apply to pre-apprenticeship programs4 or non-registered apprenticeships.5 Such programs must adhere to the state's initial and continued eligibility requirements.6
The state must develop and implement a procedure addressing how it will contact all registered apprenticeship program sponsors within the state, inform them of their automatic ETPL eligibility privileges, and let them know how to communicate their consent to have their program(s) placed on the ETPL.7 The procedure should be developed in coordination with the state's office of apprenticeship.8 As part of the procedure, the state must also decide how frequently it will identify newly registered programs; DOL recommends that this be done at least quarterly or bi-annually.9
A registered apprenticeship program remains on the ETPL as long as it is registered;10 however it will be removed when:
The state must verify the registration status of each registered apprenticeship program on the state's ETPL at least every two years.14
The local WDBs and their service providers can use Individual Training Accounts (ITAs) to fund the occupational skills training (i.e., classroom or related instruction) portion of registered apprenticeship programs listed on the ETPL.15
Effective date: March 16, 2022
DWD-DET will publish training programs on Wisconsin's ETPL, without applying its initial eligibility procedure outlined in 7.4.4 and its continued eligibility procedure outlined in 7.4.5, if any of the following apply:
DWD-DET's Bureau of Workforce Training (BWT), the unit responsible for the oversight of WIOA Title I, including the ETPL, will work in coordination with BAS to inform all registered apprenticeship program sponsors within the state of their automatic ETPL eligibility privileges and the process they must follow to consent to have their programs published on the ETPL website.2 This will, at minimum, be accomplished through annual email and/or hardcopy notices to all registered apprenticeship program sponsors and quarterly email and/or hardcopy notices to sponsors of any newly added programs from the prior quarter.
BAS-registered sponsors may consent to have their programs published on Wisconsin's ETPL website by sending an email to Apprenticeship@dwd.wisconsin.gov with the name of the program(s) the sponsor would like added to Wisconsin's ETPL.
Sponsors registered with another state's apprenticeship agency or the U.S. Department of Labor's Office of Apprenticeship must complete and submit an Institution Application through the ETPL Provider Portal. The applicant should select "Registered Apprenticeship" as the institution type when completing the Institution Application. Submitting the Institution Application puts DWD-DET on notice that the sponsor consents to have one or more registered apprenticeship programs published on Wisconsin's ETPL website.
Once DWD-DET receives the sponsor's consent to add a program to the ETPL, DWD-DET must (1) verify that the identified program is registered with BAS, another state's apprenticeship agency or the U.S. Department of Labor's Office of Apprenticeship and (2) verify that the sponsor and the provider(s) of the classroom/related instruction component are not suspended or debarred from participating in federal programs or activities.3 Only programs that meet both criteria may be published on the ETPL website as registered apprenticeship programs. If the program(s) cannot be published, DWD-DET will notify the sponsor of the reason(s) the program is ineligible, along with notice of the sponsor's appeal rights.
DWD-DET will publish the following information for registered apprenticeship programs that are included on the published ETPL website:
For BAS-registered programs, all information, except the program-level eligibility criteria, is already on file with BAS. That information will be used for purposes of publishing program information to the ETPL website. BAS will contact the sponsor to request information about any eligibility criteria participants must meet to join the registered apprenticeship program and, if identified, that will also be published.
Sponsors of programs registered with another state's apprenticeship agency or the U.S. Department of Labor's Office of Apprenticeship must provide the information outlined above through the ETPL Provider Portal.
Each year, between July 1 and August 31, DWD-DET BWT will review all registered apprenticeship programs on the ETPL website to ensure:
Registered apprenticeship programs that satisfy these two requirements will be maintained on the ETPL website. If the program fails to meet either of the two requirements, it will be removed from the website.
The other continued eligibility criteria, outlined in 7.4.5, do not apply to registered apprenticeship programs.
DWD-DET removes registered apprenticeship programs from the ETPL website when:
If a registered apprenticeship program is removed for a reason other than the sponsor's request to be removed, DWD-DET will notify the sponsor of the action and its appeal rights.
Effective date: October 1, 2024
Anyone interested in being considered for the WIOA Title I Adult Program must be allowed to apply.1 All applicants must receive an eligibility determination.2 While WIOA is not an entitlement program,3 this only means that funding for WIOA programs is not unlimited. Local WDBs must offer services to all eligible applicants when funding is available.
Individuals are eligible for the WIOA Title I Adult Program if they are:
States and local WDBs may not add eligibility criteria, including, but not limited to, criteria related to county or state of residence.6
Any costs associated with providing WIOA Title I services to ineligible individuals may be disallowed.7
Effective date: October 1, 2024
Anyone interested in being considered for the WIOA Title I Dislocated Worker Program must be allowed to apply.1 All applicants must receive an eligibility determination.2 While WIOA is not an entitlement program,3 this only means that funding for WIOA programs is not unlimited. Local WDBs must offer services to all eligible applicants when funding is available.
Individuals are eligible for the WIOA Title I Dislocated Worker Program if they:
States and local WDBs may not add eligibility criteria, including, but not limited to, criteria related to income or county or state of residence.6
Any costs associated with providing WIOA Title I services to ineligible individuals may be disallowed.7
Dislocated worker status is fixed at the time of eligibility determination; therefore, individuals remain eligible for the WIOA Title I Dislocated Worker Program even if there are changes in the circumstances that were used as the basis to originally establish the status (e.g., the anticipated layoff or termination does not take place).
The individual meets the following:
The individual meets one of the following:
The individual is separating or has separated from the U.S. Armed Forces with a discharge that is anything other than dishonorable AND has received a DD-214 or other documentation (e.g., separation orders) showing separation or imminent separation.
Note: It is appropriate to provide services to imminently separating service members, if their discharge is expected to be anything other than dishonorable. Separating service members are required to participate in the Transition Assistance Program (TAP) to ensure they are prepared for civilian employment. During the TAP program, separating service members and their spouses are encouraged to contact job centers. 15
The individual was self-employed (includes employment as a farmer, rancher, fisher, or independent contractor or consultant), but has become unemployed because of general economic conditions or because of a natural disaster.
The individual has been doing unpaid work in the home and meets one of the following:
The spouse of a member of the U.S. Armed Forces on active duty who meets one of the following:
Effective date: May 20, 2021
DWD-DET requires the following order of services1 for the Adult Program and Dislocated Worker Program:
Except for DWD-DET's requirements outlined above, there is no required order of services for career services.8 This means there is no requirement to provide basic career services before providing individualized career services.9 Career planners are to provide services in a manner that best meets individuals' needs.10
Additionally, DWD-DET prohibits local policy/procedures or individual career planner practices that require a standard order of services before participants receive training services.
Effective date: September 1, 2020
"Priority of service" means the right to take precedence over a person with lower priority in obtaining employment and training services. The person with priority receives access to a service earlier in time than a person with lower priority or, if the resource is limited, receives access to the service instead of the person with lower priority.1 Priority is not part of the eligibility determination for any program; rather, it is meant to emphasize access to individualized career and training services for these higher-need populations.
Priority of service must be assessed at the time of eligibility determination, and participants must be informed if they are to receive priority.2 If, during participation, the career planner learns of changes in an individual's status that allow him/her to receive a higher priority of service, s/he must be given increased priority. For example, if someone who was not low-income at program entry becomes low-income during participation, s/he starts receiving increased priority as soon as the career planner becomes aware of the change.
Aside from the exception discussed under "Eligible spouse," below, once a priority level has been assigned participants cannot move to a lower priority level during an episode. Priority levels must be reassessed at the beginning of each new program episode.
Veterans and eligible spouses receive priority of service in all WIOA Title I programs.3
For the Adult Program only, priority for individualized career and training services must also be given to participants who are designated:
Priority for low-income and basic skills deficient populations does not apply to basic career services within the Adult Program6 nor does it apply to any services in the Dislocated Worker Program.7
Note: Eligible individuals who are not low-income or basic skills deficient may still be served in the Adult Program.8
Participant's Status | Adult Program Services | Dislocated Worker Program Services |
---|---|---|
Veterans and eligible spouses receive priority of service in all WIOA Title I programs |
|
|
Low-income or basic skills deficient |
|
|
The local WDBs may give priority to populations beyond those mentioned above for the Adult Program, in accordance with the order of priority described below. If a local WDB chooses to do so, those additional priority populations must be described in the local WDB's Local Plan.9 It is up to the local WDB whether a newly designated priority population applies to all active participants or only to participants who enter the program after the new policy becomes effective.
For the purposes of implementing priority of service, a broad definition of the term "veteran" is used. Under this definition, "veteran" means a person who served at least one day in the active military, naval, or air service, and who was discharged or released under conditions other than dishonorable.10
Active military service includes full-time federal service in the National Guard or a reserve component. This definition of "active service" does not include full-time duty performed strictly for training purposes (which often is referred to as "weekend" or "annual" training), nor does it include full-time active duty performed by National Guard personnel who are mobilized by state rather than federal authorities (usually in response to events such as natural disasters).11
"Eligible spouse" means the spouse of:
A spouse can lose his/her priority if a living veteran or service member loses the status that was the basis for the priority of service determination (e.g. a veteran with a total service-connected disability receives a revised disability rating at a lower level or the couple divorces).13 Remarriage of a widowed spouse does not cause any loss of eligibility.14
See 12.3.2 Priority of Service for acceptable documentation to verify the status of veterans and eligible spouses of Adult Program participants. See 12.4.3 Required Federal Reporting for acceptable documentation to verify the status of veterans and eligible spouses of Dislocated Worker Program participants.
Priority of service must follow this order:
It is not intended for a participant with higher priority to subsequently "bump" a participant with lower priority who has already been approved to receive a service. Priority of service applies up to the point that the participant receives approval to begin an individualized career or training service.17 At that point, the participant should continue to receive services as needed until the end of his or her episode, even if participants with higher priority must wait to receive services because funds are limited.
Note: If the local WDB has a waiting list for any individualized career or training services, participants must be placed on the list consistent with the order outlined above.18
Career planners should follow these steps to determine if a participant in the Adult Program must receive priority of service:
Effective date: July 1, 2023
DOL envisions at least 75 percent of the state's participants receiving individualized career and training services in the Adult Program are from at least one of these priority groups:1
DOL expects states to meet a minimum 50.1 percent benchmark for this rate.
DWD-DET expects that each local WDBs meet or exceed the minimum rate of 50.1 percent of participants in the Adult Program are from at least one of the above priority groups throughout their area.2 While all the Priority of Service categories still apply to the Adult Program, they are not applied to the 50.1 percent measure.
DWD-DET requires WDBs to work in coordination with the local American Job Center (AJC) system to maximize resources and align services to support these priority groups in an integrated manner.3
DWD-DET will monitor the percentage of individuals from priority groups that are enrolled in individualized career services and training services, as well as the policies and practices that support these services.4
Revised date: October 1, 2024
One of WIOA's main purposes is to increase economic self-sufficiency (ESS) through workforce development activities.1
The U.S. Department of Labor requires local workforce development areas to follow a process for determining ESS for Adult Program and Dislocated Worker Program participants.2 Each state has the discretion to develop and adopt a method for calculating ESS that addresses the income needs of households based on household composition and geographic location within the state.3 Accordingly, DWD-DET adopted a standard for defining and determining ESS that is to be used statewide for the Adult Program and Dislocated Worker Program.
DWD-DET's standard takes into account the minimum amount of income required for a household4 to meet its basic expenses at a minimally adequate level, without public or private assistance. Under WIOA, this amount must always be equal to or greater than 100 percent of the most current Lower Living Standard Income Level (LLSIL),5 by household size.6
For the Adult Program, participants are considered economically self-sufficient if they:
For the Dislocated Worker Program, participants are considered economically self-sufficient if they meet all of the above criteria and one of the following:
DWD-DET developed a calculator that career planners must use to establish whether individuals they serve are economically self-sufficient according to the ESS definition. The career planners' ESS calculator is accessible in the CEPT application, through the "Self-sufficiency" tool.
To perform a calculation, the career planner either enters an individual's current income and other information into the calculator based on the field prompts for the applicable program or can use information from a calculation that the participant completed in My JCW.
Note: When performing an ESS calculation for a participant whose income varies (e.g., from week to week or month to month), the career planner must average the participant's income for the period the career planner feels best captures the individual's current circumstances. Additionally, it is DWD-DET's intent that the ESS calculation determines if a participant is economically self-sufficient without having to work multiple jobs. If a participant holds more than one part- or full-time job, the career planner must only use the income from the individual's highest-paying job to perform the ESS calculation.
The calculator (1) generates results based on the criteria outlined in the definition of Economic Self-sufficiency and (2) provides a breakdown of monthly income, expenses and possible tax credits for the ESS level of a household with the same household composition and geographic location.
To create a new ESS calculation in CEPT, click "Add" and complete the required fields. Career planners have 24 hours to make changes to content in the fields before the calculation is no longer editable. To use information from a calculation that the participant completed in My JCW, open a shared calculation in CEPT and click "Accept." If a career planner determines that the calculation should not be accepted, click "Reject" and provide a reason for rejecting the calculation.
When a career planner creates an ESS calculation, a case note automatically populates in ASSET, so the career planner does not need to manually create an ASSET case note. Career planners are able to modify the title and body of the case note through the CEPT ESS calculator.
The individual is to self-report information for the ESS calculation and attest to the information's accuracy in one of the following ways:
If a career planner needs to perform an ESS calculation for a participant who resides in a county bordering Wisconsin, the career planner must find the Wisconsin county most equivalent to the border county by using the ESS Guidance: Bordering Counties tool.12 If the participant's state and county of residence do not appear in the dropdown list, email the participant's state and county of residence and DWD-DET will provide the most equivalent Wisconsin county to use for the participant's ESS calculation.
DWD-DET requires career planners to perform an ESS calculation in the CEPT "Self-sufficiency" tool after an individual has been found eligible for the Adult Program or the Dislocated Worker Program.13 The calculation must be completed within 30 days of the Actual Close Date of an Eligibility Determination service. This calculation is valid for the participant's entire period of participation.
Participants co-enrolled in the Adult Program and Dislocated Worker Program only need one ESS calculation; however, DWD-DET requires career planners to use the Dislocated Worker Program ESS criteria for co-enrolled individuals. If an Adult Program participant is subsequently co-enrolled in the Dislocated Worker Program, the career planner must perform a new ESS calculation in CEPT using the Dislocated Worker Program ESS criteria.
Economic self-sufficiency is an important component of training eligibility determinations, although it is not the only criterion that must be considered when deciding if participants are eligible to receive WIOA Adult Program- or Dislocated Worker Program-funded training.
A participant may ultimately be determined eligible for program-funded training if they:
Note: If a participant can obtain or retain economic self-sufficiency through career services only, training is not approvable.15
The career planner must use the results from the CEPT "Self-sufficiency" tool to determine whether the participant is considered economically self-sufficient for purposes of receiving program-funded training.
A participant who has been approved for training will not lose eligibility for training if they becomes economically self-sufficient later in their period of participation.
There are two instances when a career planner may approve program-funded training even though the participant is considered economically self-sufficient:
For participants in one of these two situations, career planners must perform an initial ESS calculation with current information. To support program-funded training, the career planner must also perform another ESS calculation in CEPT that reflects the upcoming change(s) that will cause the participant to lose economic self-sufficiency and add a comment to the case note the CEPT system automatically generates to describe the anticipated change in circumstances. The participant could also begin the initial and/or subsequent calculation(s) through the Self-sufficiency Calculator in My JCW and share the calculation(s) with the career planner.
If a participant who was economically self-sufficient when the ESS calculation was initially performed has a change in income, household composition, or county of residence during the Title I program period of participation, the career planner or participant may perform a new ESS calculation. Subsequent calculations that demonstrate the loss of economic self-sufficiency may be used to support program-funded training and are valid for the remainder of the participant's Title I period of participation. If a new ESS calculation is performed to support program-funded training, the career planner must add a comment to the case note the CEPT system automatically generates. This comment must describe the change in the participant's circumstances that led to the new calculation being performed.
The career planner may wish to perform a new ESS calculation as an informational tool, even if a participant is not interested in training.
DWD-DET requires that career planners complete an ESS calculation when a participant will be exited from the Title I program. Career planners do not need to complete this calculation if there has been no change in household composition or income or if the participant is unreachable. The reason for not completing a calculation must be documented in an ASSET case note. The ESS calculation must reflect the participant's current wage from unsubsidized employment.
The participant must not be prevented from exiting the Title I program simply because the ESS calculation shows that the new unsubsidized employment does not result in economic self-sufficiency. However, this may indicate that the participant's program-related goals, as identified in their Individual Employment Plan (IEP), have not yet been fully achieved. In this situation, the career planner and participant should consult to determine if additional services are appropriate.
Alternatively, if a participant obtains new unsubsidized employment that does result in economic self-sufficiency, but they have not achieved the educational/occupational training goals or other employment-related goals identified in their IEP, they must be allowed to continue in the program.
DWD-DET will analyze economic self-sufficiency status at program entry vs. program exit as a measure to evaluate the success of the WIOA Title I programs.17
Career planners may wish to use ESS calculations in a variety of other ways to increase the quality of services provided under the Adult Program and Dislocated Worker Program. Examples include:
Effective Date: January 15, 2022
The guidance contained in this chapter pertains to career services being provided with WIOA Title I funds. Career services are one of the three types of services offered by the Adult Program and Dislocated Worker Program. The purpose of career services is to support and empower customers in making informed decisions based on economic demand and in achieving their employment and education goals.1
Career services must be provided through the one-stop delivery system.2 As outlined in sections 2.6 and 2.7, Memoranda of Understanding (MOUs) for each one-stop delivery system identify which one-stop partner(s) provide the various career services.3 Career services may be provided by any partner program.4 A local Workforce Development Board (WDB) may directly provide career services only with the written agreement of the local chief elected official and the governor.5
There are two categories of career services outlined in this section: basic career services and individualized career services.6 Basic services are those made available to each individual who accesses a one-stop center, while individualized career services are those that are tailored to each participant to meet his or her needs.7
There is no requirement to provide basic career services before providing individualized career services, except as described in section 8.3.1.8 Some individuals may only need basic career services while others may require individualized career services to obtain or retain employment.9
Effective Date: January 15, 2022
Generally, basic career services involve less staff time and involvement than individualized career services.1 All comprehensive job centers must provide basic career services to anyone seeking assistance.2 Some or all of the basic career services may also be available at affiliate job centers.3 See Section 2.2.3 for the definitions of comprehensive and affiliate job centers.
Some basic career services are participation-causing services while others are not. (See Participation-Causing Services Guidance)4
At a minimum, the following list of basic career services must be provided in each comprehensive job center as identified in the MOU.5 The table below outlines the services listed in the WIOA regulations, the corresponding ASSET service(s), and whether the service is participation-causing or not.
Basic Career Services in WIOA Regulations6 | Basic Career Services in ASSET | Participation-Causing Service? |
---|---|---|
Eligibility Determination | Eligibility Determination | No |
Outreach, Intake, and Orientation | Intake and Orientation | No |
Initial Assessment | Initial Assessment of Interests, Skill Level & Supportive Service Needs | Yes |
Labor Exchange Services |
Job Search Assistance (this includes the following subcategories):
|
Yes |
Résumé Development | Yes | |
Job Referral/Placement Assistance | Yes | |
Referrals |
Referral (this includes the following subcategories):
|
No |
Information About and Referrals to Supportive Services | ||
Labor Market Information |
Labor Market Information (this includes the following subcategories):
|
No |
Job Requirements Information | No | |
Performance and Cost Information for Programs on the Eligible Training Provider List | Information about Eligible Training Programs (ETPs) | No |
Local WIOA Performance Information | Information on Local Area Performance | No |
Unemployment Insurance Information and Assistance | Unemployment Insurance (UI) Claim Assistance | Yes |
Financial Aid Assistance for Training and Education | Financial Aid Information | No |
Financial Aid Application Assistance | Yes |
This list of basic career services is not exhaustive; a local Workforce Development Board (WDB) may provide additional basic career services.7 If a local WDB intends to provide a service beyond those on this list, those services must have been approved by the Board and be included in their local policy. In those cases, DWD-DET recommends that the local WDB consult with their Local Program Liaison for assistance in determining how the additional service should be recorded in ASSET.
DWD-DET defines eligibility determination as applying the information collected during program registration to the eligibility criteria to see if the individual is eligible for the program.8 This service must be used to determine if an individual is eligible for the Adult Program and/or the Dislocated Worker Program based on the eligibility criteria for those programs. Anyone interested in being considered for the Title I programs must be allowed to apply9 and must receive an eligibility determination.10 As outlined in the Order of Services policy, DWD-DET requires this service to be completed prior to the start of any participation-causing service.
The corresponding ASSET service is called Eligibility Determination.
Outreach, intake, and orientation involves providing introductory information about the job center and the programs and services provided through the one-stop system.11 This service may be provided individually or in a group setting.12
The corresponding ASSET service is called Intake and Orientation.13The initial assessment service is provided to help the career planner gain an understanding of an eligible individual's skill levels, including literacy, numeracy, and English language proficiency, as well as aptitudes, abilities (including skills gaps), and supportive service needs.14 It is a high-level skills and needs review.
DWD-DET requires the Basic Skills Screening Tool (BSST) to be administered as part of the initial assessment to help determine if an individual is basic skills deficient. The tool alone, however, is not sufficient to constitute a complete initial assessment. Information gleaned should also include the participant's educational history, job skills and interests, and work history.
Career planners should conduct the initial assessment in a collaborative manner with the participant, and may collect information using a variety of informal and formal sources and methods available to them. These may include, for example: conversations with the participant, the Basic Skills Screening Tool, education level completed, grade point average, and so on. No particular tests or tools are required by DWD-DET for this service, other than the BSST.
By comparison, the Comprehensive Assessment, an Individualized Career Service discussed later in this chapter, typically includes more in-depth, standardized testing tools.
A career planner may use the results of a recent assessment that the participant completed for another program.15 If that other assessment provides sufficient information for the initial assessment service, as described above, the career planner may use that assessment to complete the initial assessment service. If it does not, the career planner must ensure that the missing components are completed. (For example, if the Basic Skills Screening Tool has not been completed, or one of the components listed above, such as skills gaps, remains unclear.)
Note: In this context, DWD-DET defines "recent" as having been completed within the previous six months.16 While local WDBs may develop their own policies for the use of recent assessments,17 any such policies may not allow the use of assessments that were completed more than six months before the initial assessment service.
As outlined in 8.3.1 Order of Services, DWD-DET requires career planners to provide an initial assessment service and a comprehensive assessment service to participants prior to developing a new individual employment plan (IEP) (or updating an existing IEP for a participant coming from another program, such as the Trade Adjustment Assistance (TAA) program).
DWD-DET allows information used for the initial assessment to be collected prior to the eligibility determination, so long as the process of collecting the information does not involve direct costs to the Adult Program and/or Dislocated Worker Program (e.g., the information is collected using an application form that participant completes).
The corresponding ASSET service is called Initial Assessment of Interests, Skill Level & Supportive Service Needs.
Labor exchange services18 include job search and placement assistance and, when needed by an individual, career counseling that includes the provision of information relating to:
The corresponding ASSET services are called: Job Search Assistance, Job Referral/Placement Assistance, and Résumé Development.21
Job Search Assistance is used to record providing a participant assistance with planning and carrying out a successful job-hunting strategy. This service includes the following subcategories, one of which must be selected in ASSET:
Job Referral/Placement Assistance is used to record bringing to an employer's attention one or a group of participants who are available for a posted job.
Résumé Development26 is used to record assisting a participant in creating or improving a résumé or cover letter.
Note: DWD-DET considers the career counseling component of labor exchange services to overlap with the Group Employment Counseling and Individual Employment Counseling individualized career services. As such, DWD-DET does not include a separate basic career service for career counseling in ASSET.
Referral services involve helping connect an individual to, and coordinating activities with, other programs and services, including programs and services within the one-stop delivery system and, when appropriate, other workforce development programs.28 This also involves providing information about and making referrals to appropriate supportive services.29 Information provided to individuals should be in usable and understandable formats and languages.30 When appropriate, career planners are expected to share information about, and make referrals to, the following: child care; child support; medical or child health assistance available through the state's Medicaid program and Children's Health Insurance Program; benefits under FoodShare; assistance through the earned income tax credit; housing counseling and assistance services sponsored through U.S. Department of Housing and Urban Development; and W-2 assistance and other supportive services and transportation provided through that program.31 Career planners are encouraged to share information about, and make referrals to, other supportive services that would benefit the individuals they are serving.32
The corresponding ASSET service is called Referral and has the following subcategories, one of which must be selected in ASSET:
Labor market information services include the provision of information on national, state, regional and/or local labor market conditions and employment statistics,40 from data sources such as the Bureau of Labor Statistics, WisConomy, O*NET, etc. This includes the provision of the following information:
The corresponding ASSET services are called Labor Market Information and Job Requirements Information.
Labor Market Information is used to record providing a participant information related to the following subcategories, one of which must be selected in ASSET:
Job Requirements Information42 is used to record reviewing the knowledge, skills, and abilities needed for a specific job or type of job.
Provision of performance and cost information for programs on the Eligible Training Programs List (ETPL) involves sharing Wisconsin's ETPL website with the participant and, when needed, informing them how to search for programs and locate performance and cost information for programs of interest.44 The ETPL is maintained by DWD-DET and is used by Adult Program and Dislocated Worker Program participants to research and select Individual Training Account (ITA)-eligible occupational classroom training.
The corresponding ASSET service is called Information about Eligible Training Programs (ETPs).
The local WIOA performance information service involves providing information, in usable and understandable formats and languages, about how the local area is performing on local performance accountability measures, as well as any additional performance information relating to the area's one-stop delivery system.45
The corresponding ASSET service is called Information on Local Area Performance.
The unemployment insurance (UI) information and assistance service involves providing information and meaningful assistance to individuals seeking help with filing a claim for unemployment compensation.46 "Meaningful assistance" means the following:
If an individual in a one-stop center is referred to UI claims assistance via telephone, the phone number given must be to a line dedicated to serving one-stop customers in a timely manner; it cannot simply be for a general information/dial-in line with the state UI agency contact center where the individual is placed into a phone queue along with other claimants in the state.50 If the assistance is provided remotely using technology, it must be technology that enables trained staff to provide the assistance. Examples of technology that enables remote assistance include live web chat application, video conference applications, or other similar technology.51
Note: Career planners can and should collaborate with their one-stop partners where needed, including when this service is being provided. For example, Title III Job Service personnel have access to the dedicated UI phone line. Career planners can connect participants to those staff to ensure access to this required phone line.
The costs associated with providing this assistance may be paid for by the state's Unemployment Insurance program, the Wagner-Peyser Program (WIOA Title III), or the WIOA Adult Program or Dislocated Worker Program, or some combination thereof.52
DWD-DET requires all Adult Program and Dislocated Worker Program career planners to take the DET-UI Partner Certification Training: WIOA/WDB/Job Center. The training, prepared by DWD's Unemployment Insurance Division, can be accessed by state staff in Cornerstone. External, non-state staff access the training through the DWD Learning Center (instructions for external staff wishing to access the training can be found in the adjoining Resource Box). This requirement helps ensure that career planners are equipped to provide meaningful UI-related assistance when individuals need it; however, they must not provide advice that could affect a claimant's UI eligibility.53
The corresponding ASSET service is called Unemployment Insurance (UI) Claim Assistance.
The financial aid assistance service involves providing information and/or resources about, or providing application assistance for, financial aid from non-WIOA sources to support the cost of training and education programs.54
The two corresponding ASSET services are called Financial Aid Information and Financial Aid Application Assistance. The former, which is not a participation-causing service, entails simply providing information regarding financial aid opportunities and the latter, a participation-causing service, actual assistance in applying for such aid.
Effective Date: 9/1/2024
After the initial assessment, a comprehensive and specialized assessment is provided to assess additional skill levels and determine the service needs of Adult Program and Dislocated Worker Program participants.1
DWD-DET Order of Services requires career planners to complete the comprehensive and specialized assessment after eligibility is determined and an initial assessment has been completed. Comprehensive and specialized assessment information may be collected before eligibility determination, so long as it is without a direct cost to the Adult or Dislocated Worker Program. This information includes collecting results from recent formalized assessment instruments or diagnostic testing.
DWD-DET defines comprehensive and specialized assessments as a collaborative review by a participant and their career planner to help identify the participant's employment goals and barriers, including supportive service needs. Assessments may include information collected via:
DWD-DET requires local areas to use comprehensive and specialized assessments that are valid, reliable, and appropriate for the individual being assessed, and when necessary, to provide reasonable accommodation in testing to individuals with disabilities.3
DWD-DET requires staff administering standardized assessments to meet all training, education, and other minimum requirements established by the test publisher before administering the assessments. An explanation must be provided to the participant of each assessment's purpose and expectations during the assessment process.4 At a minimum, this explanation must include the following information:
DWD-DET requires career planners to document assessment results in ASSET Assessments and applicable services in ASSET Services. Planned and Actual services must be added based on the individual's identified needs.
Career planners may review the results of a recent assessment administered by another (non WIOA Title I) program as part of the comprehensive and specialized assessment. In this context, DWD-DET defines "recent" as completed within the previous six months.6 Local WDBs may establish policies for using recent assessments.7 However, assessments older than six months are not allowed.
Note: DWD-DET allows use of personality inventories if the WDB has an established policy based on the guidance in Testing and Assessment: A Guide to Good Practices for Workforce Investment Professionals for additional guidance.
Note: DWD-DET prohibits the use of clinical instruments. Such instruments are not appropriate for career counseling or development because they have been devised to detect psychopathology, not to assess job-relevant characteristics.8
Note: DWD-DET prohibits the use of any assessment tool, which can identify a mental disorder or impairment, which is considered a medical exam under the Americans with Disabilities Act (ADA).9
Note: See the WIOA Title I Adult Program and Dislocated Worker Program Assessment Resources document for more details and examples.
An individual employment plan (IEP) identifies a participant's employment goals, establishes appropriate achievement objectives, and identifies an appropriate combination of services to help the participant achieve their employment goals, including providing information on eligible training providers and career pathways.10 Career planners must develop and update IEPs jointly with the participant when determined appropriate by the one-stop center, one-stop partner,11 or Adult Program or Dislocated Worker Program staff.12 DWD-DET defines developed and updated jointly as both the participant and the career planner signing or otherwise acknowledging13 the agreed upon IEP.
DWD-DET requires Adult Program and Dislocated Worker Program career planners to work with their participants to complete an IEP after the initial assessment and the comprehensive assessment and before they receive any other Title I funded participation-causing service, as outlined in 8.3.1 Order of Services.
DWD-DET requires career planners to develop the IEP using the Employment Plan located in Comprehensive Employment Planning Toolkit (CEPT). The IEP must capture appropriate long and short-term employment/career goals, achievement objectives, interim objectives, and planned outcomes.14
DWD-DET requires IEPs be guided by the results of the initial and comprehensive and specialized assessments.15 They must include how the participant will address the following items identified during the assessment process:
The IEP is an ongoing activity to help participants reach their employment goals.16 The review of an IEP aims to identify changes to a participant's service needs and/or goals, including but not limited to the following :
DWD-DET requires career planners to conduct an IEP review with each participant at least once every 180 days. Local WDBs may create their own IEP review policy requirements with a shorter duration.
See the Individual Employment Plan Resources for Sample questions to consider for the IEP review.
DWD-DET requires career planners to complete an IEP review before exit, unless the participant is non-responsive, to determine if the participant needs additional services and the employment aligns with the participant's occupational goals and current career and training services progress.
Career planners must document the results of the IEP review in an ASSET IEP Review Service and Case Notes, regardless of the service outcome. CEPT IEP documentation requirements are located in the CEPT Employment Plan Policy.17
For participants co-enrolled in multiple programs, the IEP review is an opportunity to review any changes made by partner staff and determine how services can best be integrated or coordinated. For co-enrolled participants, DWD-DET recommends working with partner staff to provide joint case management, including joint IEP development and review. This collaboration will enhance service integration and reduce the administrative burden placed on the participant by acknowledging multiple IEPs.
Effective date: December 13, 2020
To receive training services supported by WIOA funds, an individual must first meet eligibility criteria for the Adult Program and/or the Dislocated Worker Program, and then meet the following criteria for training eligibility:1
Note: If a participant's training will be funded through the Adult Program, they must be served in accordance with priority of service policies.8
If a participant is not eligible for training, DWD-DET requires the career planner to document, in an ASSET case note, which criteria were not met and the reason(s) the participant failed to meet the criteria.
If a participant is approved for training services, their career planner must document the participant's need for training services in an ASSET case note.9 The career planner must determine the need for training services prior to service provision.10
DWD-DET requires that once a participant is determined to be eligible to receive training services and has selected an appropriate training program, the participant must be allowed to begin the training program at the next available opportunity, unless the local WDB has a waitlist in place.11
The career planner must provide the Individual Employment Plan (IEP) Development or IEP Review service to a participant to determine if they are eligible to receive training services. WIOA regulations state that participants must receive the following services to determine if they are eligible to receive training services: 1) an interview, evaluation, or assessment; and 2) career planning informed by local labor market information and training provider performance information or through any other method by which the career planner can obtain enough information to make an eligibility determination for training services. DWD-DET considers the process of collecting needed information and developing an IEP with the participant to meet this requirement.12
Effective date: December 13, 2020
The purpose of WIOA training services is to equip individuals to enter the workforce and retain employment.1 To that end, local WDBs and their service providers must:
The Adult Program and Dislocated Worker Program can provide the following types of training services:6
Note: This list is not all-inclusive and additional training services may be provided.10 If a local WDB would like to provide a training service beyond those on this list, DWD-DET requires the local WDB to contact its assigned Local Program Liaison to ensure that the service is allowable and to determine how to record the service in the ASSET case management system.
Effective date: July 1, 2024
DWD-DET defines "Occupational Classroom Training" as an organized program of study that provides specific vocational skills that lead to proficiency in performing actual tasks and technical functions required by certain occupational fields. In the absence of a federal definition specifically for this training service in the Adult Program and Dislocated Worker Program, DWD-DET's definition is adapted from the federal definition for the WIOA Youth Program Element "Occupational Skills Training."2
Occupational classroom training is funded by Individual Training Accounts (ITAs).3 Whenever an ITA is used, Wisconsin's Eligible Training Programs List (ETPL) must be used to select the training program.4
Effective date: October 1, 2024
On-the-Job Training (OJT) is a work-based, occupational training service provided by an employer to a paid participant who is engaged in productive work in a job that1:
While WIOA does not set a specific limit for the duration of an OJT, local WDBs and their service providers must limit OJT contracts to the period of time required for a participant to become proficient in the occupation for which the training is being provided.4 In determining the duration of the contract, local WDBs and service providers must take into account the content of the training, the prior work experience of the participant, and the participant's individual employment plan (for participants in the WIOA Adult Program or Dislocated Worker Program) or individual service strategy (for participants in the WIOA Youth Program), as appropriate.5
Local WDBs or their service providers provide OJT via a contract with an employer or registered apprenticeship program sponsor in the private for-profit sector, the non-profit sector, or the public sector. The WIOA participant receives occupational training in exchange for the wage rate reimbursement to the employer, as stipulated in the OJT contract.6
While OJTs are primarily designed to first hire a participant and provide them with the knowledge and skills necessary for full performance of the job7, there are instances when OJTs are allowable for employed workers.
An OJT contract may be written for an eligible employed worker when all of the following requirements are met:
OJT employers are not required to be included on the Eligible Training Program List (ETPL).9
Local WDBs or their service providers must not enter into OJT contracts with employers who received payments under previous contracts under WIOA or WIA (the Workforce Investment Act) and have exhibited a pattern of failing to provide OJT participants with:
DWD-DET does not permit local WDBs or their WIOA Title I-B service providers to be employers in WIOA-funded OJT contracts.
Under WIOA, local WDBs or service providers may reimburse an OJT employer for up to 50 percent of the wage rate of the participant. This is meant to cover the employer's costs for training participants, providing additional supervision related to the training, and the participant's potentially lower productivity while in OJT.11 There is no requirement for employers to document these specific costs.12
In limited circumstances, as allowed by local policy, the local WDB may increase the reimbursement rate for OJT contracts up to 90 percent of the wage rate,13 taking the following into account:
Special Waiver Note: DOL has approved a waiver for Wisconsin that allows local WDBs to increase the reimbursement rate for OJT contracts up to 90 percent for employers that have 50 or fewer employees. In order to provide the 90 percent reimbursement rate for eligible employers, the local WDB must consider the factors that apply when increasing the reimbursement rate above 50 percent, as outlined above. Local WDBs choosing to take advantage of this waiver must ensure that local policy allows provision of up to 90 percent reimbursement rate. This waiver is effective for Program Years 24 through 27, ending June 30, 2028.
The Trade Adjustment Assistance (TAA) Program allows reimbursement to employers up to 50 percent of the wage rate for OJTs, while WIOA allows up to 90 percent reimbursement in certain circumstances. When a WIOA participant is co-enrolled in TAA and receives OJT, WIOA may reimburse employers any additional amount needed to bring the total reimbursement to employers up to the WIOA reimbursement rate.18 In this circumstance, because TAA must be the primary source of assistance for workers covered by a TAA certification, the TAA Program would cover the first portion of the wage reimbursement and WIOA would cover the remaining portion. See section 13.1.2. for more details on funding coordination for co-enrolled participants.
Registered apprenticeships generally involve both classroom and on-the-job training. Local WDBs and service providers may enter into OJT contracts with registered apprenticeship program sponsors or employers for the OJT portion of the registered apprenticeship program,19 and may use Individual Training Accounts (ITAs) to cover the technical, classroom instruction portion of a registered apprenticeship.20 Depending on the length of the registered apprenticeship and the local WDB's training policies, these funds may cover some or all of the registered apprenticeship training.21 See section 7.1.4 for more details on use of ITAs with Registered Apprenticeship.
Local WDBs and service providers that link OJT with registered apprenticeship programs should consider how the length of these programs align with performance measures and take steps to fully account for their progress. For example, registered apprenticeship programs often last longer than an OJT, so a local WDB or service provider should work with the apprenticeship sponsor to explore options to document measurable skill gains during training and/or to build interim apprenticeship credentials that align with the conclusion of the OJT training period and/or use of ITA funds for related technical instruction.22
If the apprentice is unemployed at the time of participation, the OJT component of the registered apprenticeship must be conducted as it would for any other OJT participant who was unemployed at the time of participation.23
If the apprentice is employed at the time of participation, the OJT requirements for employed workers must be met in addition to the requirements that apply to all OJT contracts.24
The purpose of OJT is to address specific gaps in participants' knowledge or skills that prevent the participant from performing assigned job duties fully and adequately.26 Therefore, each OJT participant must have a unique written OJT training plan that is tailored to the participant's specific needs; the hours and skills included in a training plan must not simply mirror those in past training plans developed for the same business or the same occupation.26
DWD-DET requires local WDBs to define in local policy what constitutes a pattern of failing to provide OJT participants with continued employment as employees with the required wages, benefits and working conditions under previous WIOA or WIA-funded OJT contracts. Similarly, local WDBs that would like the flexibility of increasing the wage reimbursement levels above 50 percent must outline in local policy what factors will be used when deciding to increase the level.27
When a local WDB has decided to increase the wage reimbursement level for a particular participant's OJT, in compliance with local policy, the factors that were considered must be documented28. DWD-DET requires this documentation be included in the participant's OJT contract.
Local WDBs and service providers must continually monitor their OJT contracts to ensure that participants receive training that will help them to successfully retain employment by providing them with relevant skills and opportunities for career advancement.29
On-the-Job Training (OJT) is not included in the credential attainment performance indicator because, although it often provides employment benefits to recipients of these services, it rarely results in a credential.30 See section 11.5.7 for more details about who is included in the denominator of the Credential Attainment Rate.
Effective date: October 1, 2024
Incumbent worker training (IWT) activities are carried out by the local WDB for the purpose of increasing the competitiveness of the employee or employer.1
Incumbent worker training is intended for workers with an established work history with the current employer and who have the knowledge, skills, and abilities needed by their current employer but now need additional training because of changes in the necessary skills to:
Incumbent worker training is the most appropriate training service for retraining existing employees as a layoff aversion strategy.3
An individual receiving incumbent worker training does not need to meet the eligibility requirements for the WIOA Adult Program or the WIOA Dislocated Worker Program in order to receive the IWT service.5 However, in order to receive career services or training services beyond the IWT service, that individual must meet WIOA Title I eligibility criteria for the WIOA Title I Adult or Dislocated Worker Program.6
To qualify as an incumbent worker, an individual must:
Special Waiver Note: DOL has approved a waiver for Wisconsin that allows an individual to qualify as an incumbent worker with an established employment history of three months or more, instead of six months or more. The established employment history of three months or more may only be used in circumstances that provide the employee the skills to advance in their job or the skills to stay in their job (layoff aversion). Local WDBs choosing to take advantage of this waiver must ensure that the local policy, in defining which workers, or groups of workers, are eligible for incumbent worker services, outlines the minimum established employment history allowed in the local area. This waiver is effective for Program Years 24 through 27, ending June 30, 2028.
An exception to the employment history requirement exists in the event that the incumbent worker training is being provided to a cohort of employees. In this case, it is not required that every employee in the cohort has the applicable employment history with the employer, as long as the majority of employees in the cohort meet this requirement.8 However, incumbent worker training is not permitted for providing the occupational training that new hires need; OJT or customized training would be more appropriate in this circumstance.9
Incumbent worker training is carried out by the local WDB in conjunction with an employer or a group of employers of incumbent workers, which may include employers in partnership with other entities for the purposes of delivering training.10
An employer must be determined eligible to receive incumbent worker training funds based on an evaluation of whether training would increase the competitiveness of the employees or both the employees and the employer. The WDB must consider the following criteria when determining the employer's eligibility for participating in IWT:
DWD-DET does not permit local WDBs or their WIOA Title I-B service providers to be employers in WIOA-funded IWT contracts.
Local WDBs may develop incumbent worker training strategies that best fit the needs of the local Workforce Development Area. Acceptable uses of IWT funds include:
Local WDBs may set aside up to 20 percent of their total allocation of Title I Adult and Dislocated Worker funds (including administrative funds) for covering the federal share of the cost of providing incumbent worker training.15 For example, if a local WDB receives $1.5 million in Adult funds and $1.0 million in Dislocated Worker funds, it may use up to $500,000 (20 percent of the total) for incumbent worker training. This 20 percent can be used for incumbent worker training activities that are programmatic in nature, as administrative activities must be paid out of the local WDB's administrative funds.16
Employers are required to pay the non-federal share of the cost of providing the training to their incumbent workers.17 The amount of this share will be no less than:
The non-federal share provided by the employer participating in the program may include the wages paid by the employer to the worker while the worker is attending training. The employer may provide the non-federal share in cash or fairly evaluated in-kind contributions, or both.19 Employers have flexibility in how they arrange to pay for these costs; however, payments must not come from any other federal funds.20 Employer share must be reported on the quarterly ETA-9130 financial report.
Local WDBs that choose to utilize Incumbent Worker Training as a workforce strategy must have a clear local policy that governs the use of funds for such services.21 Incumbent worker training policies must be aligned with State and Local Plans, as well as with career pathway and sector strategy approaches for in-demand occupations.22 The policy must define which workers, or groups of workers, are eligible for incumbent worker services.23 The policy may establish a local definition of the phrase "increase the competitiveness of the employee or employer."24
DOL requires that states develop a process to document the employment history requirement for IWT recipients with the employer and also requires that the IWT contract between the local WDB and the employer include the required employment history as a term of the contract.25 DWD-DET requires that local WDBs document the trainee's work history with the IWT employer by maintaining the trainee's ASSET record as outlined in section 11.22. Local WDBs may establish additional procedures for documenting the employment history, but, at a minimum, the state's process must be followed.
If workers receiving incumbent worker training are not participants in the WIOA Title I Adult Program or Dislocated Worker Program, they are not WIOA "participants," and thus are not included in calculations for the state's Primary Indicators of Performance.26
Local WDBs must report on individuals who receive incumbent worker training, including employment status after training and credential attainment, as detailed in section 11.22.27
Effective date: July 1, 2024
The activities of this training type are provided in a structured regimen that provides training in a workplace, with instruction related to the occupation provided concurrently or sequentially.1
This training type includes cooperative education programs, which are partnerships among business, industry, labor, and an educational institution that provide students, based upon individual career goals, authentic experiences in the world of work combined with related classroom instruction.2
Effective date: July 1, 2024
DWD-DET defines "Entrepreneurial Training" as training that provides the basics of starting and operating a small business. In the absence of a federal definition specifically for this training service in the Adult Program and Dislocated Worker Program, DWD-DET's definition is adapted from the federal definition for the WIOA Youth Program Element "Entrepreneurial Skills Training.1
Such training must develop the skills associated with entrepreneurship. Such skills may include, but are not limited to, the ability to:
Examples of strategies to provide entrepreneurial training include:
Local WDBs may improve coordination between workforce investment activities and economic development activities carried out within the local WDA to promote entrepreneurial skills training and microenterprise services, but this coordination activity, while allowable, is not a training service itself.4
Effective date: July 1, 2024
This type of training service occurs when job readiness training is provided in combination with occupational classroom training, on-the-job training, incumbent worker training, programs that combine workplace training with related instruction, entrepreneurial training, or transitional jobs.1
DWD-DET defines "Job Readiness Training" as training that prepares individuals for unsubsidized employment or training and may include development of:
In the absence of a federal definition specifically for the job readiness training component of this training service in the Adult Program and Dislocated Worker Program, DWD-DET's definition is adapted from the federal definition for the WIOA Individualized Career Service "Short-term pre-vocational services."
If job readiness is not provided in combination with occupational classroom training, on-the-job training, incumbent worker training, programs that combine workplace training with related instruction, entrepreneurial training, or transitional jobs, the job readiness are short-term pre-vocational services, which is an individualized career service.
Effective date: July 1, 2024
This type of training service occurs when adult education and literacy activities are provided in combination with, whether concurrently or sequentially, occupational classroom training, on-the-job training, incumbent worker training, programs that combine workplace training with related instruction, or entrepreneurial training.1
Adult education and literacy activities may include programs, activities, and services that include adult education, literacy, workplace adult education and literacy activities, family literacy activities, English language acquisition activities, integrated English literacy and civics education, workforce preparation activities, or integrated education and training.2 Adult education and literacy activities may include alternative secondary school preparation3 or other training services that lead to a secondary school diploma or its equivalent.4
A WDB or service provider may use WIOA Title I Adult and Dislocated Worker Program training funds to directly support adult education and literacy activities when the activities are provided as outlined above to meet the definition of this training service type.5
Effective date: July 1, 2024
Customized training is a work-based training strategy designed to provide local areas with flexibility to ensure that training meets the unique needs of the job seekers and employers or groups of employers.1 This training service type is primarily designed to train individuals who are not employed with the participating employer at the start of participation.2 Customized training is generally classroom based and is often provided by a third party for the employer or employer group.3
Customized training is generally for hiring new employees and not for retraining existing employees, although there may be instances where customized training is appropriate in that circumstance.7
Customized training of an employed worker for an employer or group of employers is allowable when the following criteria are met:
DWD-DET does not permit local WDBs or their WIOA Title I-B service providers to be employers in WIOA-funded Customized Training contracts.
The requirement that the employer employ an individual upon successful completion of training requires a contract between the employer and the WDB. Local WDBs may determine what constitutes an employer's appropriate commitment to hiring individuals who complete the training.12
Local WDBs have the discretion to define the term "significant cost of the training" as is appropriate for their local areas.13 Local WDBs must develop a policy for determining what constitutes an employer's payment of "a significant portion of the cost of training."14 The WDB must take into account the size of the employer and other factors the local WDB determines are appropriate. Those factors must be outlined in the local WDB's policy and may include: the number of employees participating in training, wage and benefit levels of those employees (at present and anticipated upon completion of the training), relation of the training to the competitiveness of a participant, and other employer-provided training and advancement opportunities.15
Customized Training is not included in the credential attainment performance indicator because, although it often provides employment benefits to recipients of these services, it rarely results in a credential.16 See section 11.5.7 for more details about who is included in the denominator of the Credential Attainment Rate.
Effective date: July 1, 2024
Local WDBs and their service providers fund classroom training services through Individual Training Accounts (ITAs).
In certain circumstances, a training contract may be used to provide training services instead of an ITA.1 These circumstances are referred to as contract exceptions. Training contracts may only be used if one of the following five conditions applies:
In order to provide training services through a contract for services, the Local Plan must describe the process to be used in selecting training providers.3 The local area must fulfill consumer choice requirements for all training service provision, regardless of the funding mechanism.4
When securing training services through contracts, local WDBs must adhere to the procurement standards set forth by the Uniform Guidance at 2 CFR 200.317 through 200.326 and ensure that procurements are conducted in a manner that is consistent with 2 CFR 200.318 through 200.326.5
Training Service Type | ITA Eligible? |
---|---|
Occupational Classroom Training | Yes |
On-the-Job Training (OJT) | No |
Incumbent Worker Training (IWT) | No |
Programs that Combine Workplace Training with Related Instruction | Yes |
Entrepreneurial Training | Yes |
Job Readiness Training Combined with Training Services or Transitional Jobs | Yes |
Adult Education and Literacy Activities Provided Concurrently or in Combination with Training Services | Yes |
Customized Training | No |
There is no prohibition on the combined use of ITAs with any other contracted training service.6 The decision must be based on individual need, and the payment methods must pay for separate components of training services.7 Local WDBs may determine that providing training through a combination of ITAs and contracts is the most effective approach. This approach could be used to support placing participants in programs such as registered apprenticeships and other similar types of training.8
Local WDBs may set establish general limitations for all Individual Training Accounts (ITAs) through policy.9 See section 7.1.5 for information about allowable local policies related to ITA limitations.
Effective date: July 1, 2024
WIOA Title I Adult and Dislocated Worker Program funding for training services is limited to individuals who are:
WIOA programs and training institutions must coordinate funds available to pay for training.2 American Job Center (AJC) partners must coordinate training funds available and make funding arrangements with other one-stop partners and other entities to ensure coordination of WIOA training funds and other grant assistance.3 American Job Center partners do so in accordance with the descriptions of service coordination and delivery outlined in the AJC's Memorandum of Understanding, in accordance with section 2.6.
Use of WIOA funding to supplant other sources of training grants is prohibited.4 The availability of other sources of grants to pay for training costs such as Temporary Assistance for Needy Families (TANF), state-funded training funds, and Federal Pell Grants must be considered so that WIOA funds supplement other sources of training grants.5 Pell Grant award amounts are not adjusted to account for the receipt of other funds from any source; if a participant receives WIOA funding for training while the Pell Grant application is pending, the Pell Grant award amount will not be impacted by that WIOA funding.6
A WIOA participant may enroll in WIOA-funded training while the participant's application for a Pell Grant is pending as long as the AJC partner has made arrangements with the training institution and the WIOA participant regarding allocation of the Pell Grant, if it is subsequently awarded. In that case, the training institution must reimburse the AJC the WIOA funds used to underwrite the training for the amount the Pell Grant covers, including any fees the training institution charges to attend training. Reimbursement is not required from the portion of Pell Grant assistance disbursed to the WIOA participant for education-related expenses.7
WIOA funds should be used last after other available sources have been exhausted.8 WIOA allows AJCs and partners to consider the full cost of participating in training services when coordinating assistance from other grants or resources.9 An analysis of the full cost of participation in training services can be performed when developing a funding plan for the training services and can include the cost of supportive services, such as housing, transportation, related supplies and materials, and general costs of living, in addition to the cost of tuition, as appropriate and allowed by local WDB policy.
Department of Veterans Affairs (VA) benefits for education and training services, including the GI Bill, are not included in the category of "other sources of training grants" that must be coordinated to pay for training with WIOA funds. Therefore, veterans and spouses are not required to first use any available benefit entitlements associated with their military service before being considered eligible for WIOA funded training, and AJCs are not required to consider the availability of those funds.10 Eligibility for VA benefits for education and training services does not preclude a veteran or the veteran's eligible spouse from receiving WIOA-funded services, including training funds. Similarly, WIOA program operators are prohibited from requiring veterans or spouses to exhaust their entitlement to VA-funded training benefits prior to allowing them to enroll in WIOA-funded training.11
Coordination of training funding for WIOA participants co-enrolled in the TAA program is discussed in section 13.1.2.
Effective date: July 1, 2024
DWD requires Unemployment Insurance (UI) claimants to engage in an active work search by completing at least four actions to search for suitable work within each week for which they are claiming unemployment payments.1
UI claimants who are enrolled in, and satisfactorily participating in, training services approved under WIOA Title I are, generally, waived from the work search requirements.2 Confirmation of a UI claimant's enrollment and satisfactory participation in WIOA-funded training services is provided to DWD's UI Division through DWD Form TRA-16679-E: Training Benefits Application and Approval - TAA and WIOA. The completed form is faxed to DWD UI at 608.327.6172.
A WIOA Title I Career Planner must provide complete and submit DWD Form TRA-16679-E for any WIOA participant who is a UI claimant, upon the participant's request.
The decision to waive a UI claimant's work search requirements is made by DWD-UI staff only. That decision is only communicated to UI claimants by DWD-UI. WIOA participants are responsible for reporting their current training status on their weekly UI claim and ensuring that a work search waiver has been granted by DWD-UI before ceasing their work search actions.
Effective date: July 1, 2024
On-the-Job Training (OJT) and customized training are not included in the credential attainment performance indicator because, although they often provide employment benefits to recipients of these services, they rarely result in a credential.1 See section 11.5.7 for more details about who is included in the denominator of the Credential Attainment Rate.
Those workers receiving incumbent worker training who are not enrolled in the WIOA I Adult Program or Dislocated Worker Program are not WIOA "participants," and thus are not included in calculations for the state's Primary Indicators of Performance.2 However, Local WDBs and their service providers must report on all individuals who receive incumbent worker training, including employment status after training and credential attainment, as detailed in section 11.22.3
WIOA exempts institutions and organizations that provide on-the-job training, customized training, and incumbent worker training from the requirements of the State List of Eligible Training Providers and Programs (ETPL).4 That exemption further authorizes the Governor to require the local area to collect performance information on these institutions and organizations.5 That information can be the same as that required for ETPs or may be different information.6 Concurrence by local WDBs with the value of the performance information that the state chooses to mandate is not required.7
The Governor's authority allows establishment of performance criteria that institutions and organizations providing OJT, customized training, and incumbent worker training must meet to receive WIOA Title I Adult and Dislocated Worker Program funds through training service contracts.8 When such performance criteria have been established, One-Stop Operators in local WDAs must collect such performance information and determine whether those institutions and organizations have met the state's criteria.9 The One-Stop Operators must then disseminate information that identifies institutions and organizations providing training and training programs that have met the state's performance criteria throughout the One-Stop System.10
There may be instances when an institution or organization providing such services also has a program of training that does not meet this exemption, such as Occupational Classroom Training, and the institution or organization wishes to be eligible to use ITAs. Those programs of training, for which ITA funding eligibility is sought, are subject to the state's ETPL eligibility procedures and ETPL performance reporting requirements.11
At this time, Wisconsin is not establishing performance criteria for institutions and organizations providing on-the-job training, customized training, or incumbent worker training. Wisconsin's WIOA Combined State Plan describes the state's strategies for ensuring that the work-based training models provide high quality training for both the participant and the employer, as required.12
When a state has established performance criteria that determines eligibility of institutions and organizations providing on-the-job training or customized training and requires that One-Stop Operators identify institutions or organizations that meet the criteria as eligible institutions and organizations, the state must establish appeal procedures for those institutions and organizations whose eligibility is denied.13 Because Wisconsin has no such criteria, there are no related appeal procedures.
Effective date: October 10, 2018
Supportive services are one of the three types of services that the Adult and Dislocated Worker Programs offer. They provide participants with the resources they need to overcome barriers to successful participation in the other two service types – career and training services.1 Supportive services are an essential part of the individual's employment plan.2
Each local WDB decides which supportive services its Title I-B Adult and Dislocated Worker Programs service providers will offer and how they will deliver the services.3
Effective date: April 12, 2019
DWD-DET categorizes supportive services as either:
Note: Costs for program-funded supportive services must be reasonable.
Note: In ASSET, information and referral supportive services are entered as a Referral service under "Basic Career – Self/Informational."
Supportive services may include, but are not limited to, the following:1
See the Supportive Services - Examples and Resource Guide for more information.
Effective date: January 6, 2022
As part of the initial assessment, career planners must work with individuals to identify their supportive service needs.1 The career planner
Career planners are expected to check in with participants about supportive service needs throughout their program participation. This will help ensure that all barriers to successful participation are identified and appropriately addressed, and that services are discontinued when they are no longer needed.
Local WDBs may provide information and referral supportive services at any time.
Local WDBs may provide program-funded supportive services through the Adult and Dislocated Worker Programs when:
Note: Adult and Dislocated Worker program participants in follow-up may not receive any program-funded supportive services.5
Career planners may provide a program-funded supportive service only if the service is connected to the individual's participation in a career or training service. The program-funded supportive service must end when the career or training service ends. For example, a participant receives financial assistance for child care while attending training. The participant cannot continue to receive the child care assistance after the training ends, unless the participant needs child care to participate in another career or training service identified in his/her employment plan. Supportive services alone cannot extend an individual's program participation.6
Career planners can provide a program-funded supportive service for a career or training service that has not yet started, if the participant needs the supportive service in order to start the career or training service. For example, a participant plans to start an OJT and will need a pair of steel toe boots for the training. The boots are an allowable supportive service.
An Adult or Dislocated Worker program participant may receive supportive services when engaged in career or training services funded by WIOA one-stop partners, or other funding sources, if the services are included in the participant's WIOA-approved employment plan.7 This access to supportive services gives a participant the resources needed to participate in career and training services that are not directly funded by the Adult program or Dislocated Worker program, but that the participant and career planner deem necessary and appropriate for the participant to achieve the employment and training goals identified on their IEP.8 Access is permitted if:
EXAMPLES: A participant co-enrolled in the Dislocated Worker program and TAA may receive transportation assistance funded by the Dislocated Worker program to attend a training program funded by TAA, including training programs that are not included on the Eligible Training Program List. Similarly, an Adult program participant with an active IEP that identifies a training need, but whose tuition is being fully funded with a PELL grant, may receive childcare assistance to support their participation in the training program.
Effective date: September 1, 2020
For each participant receiving supportive services, the career planner must:
For information/referral supportive services, the career planner must enter information/referral supportive services that are both planned and provided into ASSET using the appropriate ASSET referral service under "Basic Career – Self/Informational."
Note: Information/referral supportive services are entered into ASSET under Basic Career services because career planners are likely to think of them as referrals and look for them with the other referral services. Information/referral supportive services entered this way are still reported in the PIRL as supportive services.1
For program-funded supportive services, the career planner must:
Effective date: October 1, 2024
Needs-related payments can be made to participants to help them cover non-training expenses while participating in a training program.1 Without the help of needs-related payments, participants may be unable to successfully participate in training.2
The local WDBs may elect to provide needs-related payments. The state WDB may elect to provide needs-related payments as part of allowable statewide employment and training activities.3 Needs-related payments are not taxable.4 Participants should not report them as income, and IRS Form 1099 does not apply.5
To receive needs-related payments, participants must, at minimum, be:
Special Waiver Note: DOL has approved a waiver for Wisconsin that allows the state to create uniform eligibility requirements for needs-related payments by removing the statutory requirement that a Dislocated Worker Program participant be enrolled in training services within specified timeframes in relation to their qualifying dislocation. Local WDBs that provide needs-related payments to Dislocated Worker Program participants must update local policy to comply with the state's uniform eligibility requirements outlined in this policy. This waiver is effective for Program Years 24 through 27, ending June 30, 2028.
The local WDBs have the discretion to determine payment levels for Adult and Dislocated Worker Program participants. However, payment levels for Dislocated Worker Program participants cannot exceed the greater of:
The state WDB has the discretion to determine payment levels if needs-related payments are used as part of allowable statewide employment and training activities.8
Effective date: October 10, 2018
The local WDB, in consultation with job center partners and other community service providers, must develop a policy on supportive services that ensures resource and service coordination in the local area.1
The local WDB's supportive services policy and procedures must address the following:
Note: The local WDB is responsible for developing one Adult and Dislocated Worker supportive services policy for the entire local workforce area.6
Effective date: January 1, 2023
Program exit is the last date a participant received services from any common exit program in which the participant is enrolled.1 The last day of service cannot be determined until at least 90 days have elapsed since the participant last received participation-causing services; services do not include self-service, information-only services or activities, or follow-up services . This also requires that there are no plans to provide the participant with future services.2
Career planners cannot exit a participant who is actively receiving services. Ideally, exits will coincide with the participant's achievement of their program-related goals, as identified in their individual employment plan (IEP) or individual service strategy (ISS).
Under WIOA, Wisconsin has implemented a common exit policy.3 Programs affected by DWD-DET's common exit policy are listed in Chapter 11.4. This means if a participant is enrolled in two or more of these programs at the same time, open participation-causing services in any one program will prevent exits from other programs, even if the other programs are not providing services.
Effective date: January 1, 2023
A participant's exit date is the actual close date of the last participation-causing service1 provided by any of the common exit programs in which the participant is enrolled.2
To accurately capture the participant's exit date, services must be opened and closed to correspond with the actual dates of service delivery. Detailed guidance on recording the opening and closing of services in ASSET is located in the Service Management Policy.
The following services are not participation-causing and therefore do not prevent program exit:
Effective date: January 1, 2023
Future services accommodate start dates for training, educational, or other services.
Some future service examples include:
Career planners must plan future services, which means identifying them on the IEP or ISS, and entering the specific service in ASSET.2 Future services more than 90 days after the last actual service date will not prevent an exit from occurring in ASSET. To prevent an exit, the participant must receive another participation-causing service within 90 days. Participants co-enrolled in a common exit program may receive services from any of the providers.
Note: Future services are not placeholders or “to be determined” services.3 This means career planners must only enter services in ASSET that are on the IEP or ISS. Career planners must only enter planned services in ASSET regardless of the uncertainty of the participant's status. . ASSET does not need to show an 'open' service for a participant at all times during their participation period. Any sequence of participation-causing services where a start date occurs within 90 days of the most recent close date will extend the period of participation.
Effective date: January 1, 2023
ASSET automatically generates the exit date based on the participant's last date of service and the exit date is determined when the participant has not received any participating-causing services in 90 days and no future services are planned.
ASSET calculates the correct exit date using the following rules:
To illustrate the simplest possible case in ASSET, when an episode has only one service:
Planned Open Date | Actual Open Date | Planned Close Date | Actual Close Date | How long will ASSET keep the episode open? | What is the exit date? |
---|---|---|---|---|---|
X | X | No duration | N/A | ||
X | X | 90 days after Planned Close Date | Planned Close Date | ||
X | X | 90 days after Actual Close Date | Actual Close Date | ||
X | X | X | 90 days after Actual Close Date | Actual Close Date |
Participants' episodes will remain open until 90 days after the last Actual Close Date or Planned Close Date for all services across the common exit programs.1 The episode remains open to allow time for the common exit partners to record services provided and for co-enrolled participants to begin additional services with another program. For example, if a participant is co-enrolled in TAA and WIOA Title I, once the participant completes the allowable TAA services, WIOA Title I career planners will have 90 days to provide additional services before the participant exits. Once the exit has occurred, the episode ends. If the participant re-enrolls after the episode ends, they will begin a new episode.
DWD-DET requires career planners to enter any known information into ASSET to appropriately capture performance information upon a participant's exit from the program. For example, career planners must enter the following:
DWD-DET strongly recommends career planners review monthly exit reports and update necessary information to prevent untimely exits. The Exit Reports Resource Page provides the available reports and descriptions. The exit reports provide career planners the opportunity to view a list of participants who are close to exiting or have exited during the previous quarter to:
For example, a participant may have received a service not entered in ASSET, or a planned future service may have started and need to be updated.
Note: Career planners and local WDB program operators must not prevent program exits by artificially extending Service Close Dates in ASSET. Participant service records, and therefore exits, are a critical component of the WIOA performance accountability system. Manipulating such records to achieve more positive performance outcomes undermines the integrity and program accountability intended by WIOA. 2 DWD-DET's Local Program Liaisons and other program monitoring staff will monitor this.
Effective date: January 1, 2023
If a participant exits a WIOA program due to an allowable exclusion, in that case, they are excluded from performance reporting.1 In order to ensure the exclusion has been appropriately documented,2 the career planner must record the exclusion reason in ASSET Exit's Planned Exit Details.
Effective date: January 1, 2023
DWD-DET has determined that if, at any time after a common exit occurs, a participant needs additional WIOA services that are not allowable during follow-up, they must be allowed to reapply following the WIOA Title I Application Guidance. This requirement applies to all Title I programs regardless of current enrollment in other programs and/or previous services received.
Effective date: TBD
Follow-up services must be made available through the Adult Program and the Dislocated Worker Program.1 Follow-up services are services to maintain and advance the participant's accomplishments and potentially a pathway back into the program.
Follow-up services must be made available for at least twelve months to the Adult Program and the Dislocated Worker Program participants following their first day of unsubsidized employment. 2
NOTE: WIOA categorizes follow-up services as one of the fourteen Youth Program Elements for the Youth Program.3 Career planners can locate Guidance on Youth Program follow-up services in Chapter 10.5.3 Descriptions of the 14 Youth Program Elements.
Effective date: TBD
The purpose of follow-up services is to increase the likelihood of continued employment, retention, and earnings of a participant that has obtained unsubsidized employment.1 Therefore, DWD-DET has determined that "placed in unsubsidized employment" does not include placement in temporary or part-time jobs unless the employment relates to the participant's occupational goals as outlined in their Individual Employment Plan (IEP).
Follow-up services in the Title I Adult Program and the Dislocated Worker Program may begin immediately following placement into unsubsidized employment if the participant is expected not to receive any future services other than follow-up services. 2
DWD-DET requires career planners to complete an IEP review before exit, to determine if the employment aligns with the participant's occupational goals and current career and training services progress. For example:
Career planners must document the IEP review in ASSET Services and the outcome in ASSET Customer Notes. NOTE: If the career planner cannot reach the participant to capture this information, they must enter the ASSET service and use the completion code "will never start" along with a Case Note documenting the outreach attempt.
Examples of Follow-up services include, but are not limited to, the following:
NOTE: The intent of the "Employer Contact" and "Participant Contact" service is to identify and address any current employment challenges and opportunities for advancement. Although it may be necessary to capture supplemental wage information, DWD-DET does not consider attempts to capture this information a follow-up service. Career planners must record the results of those attempts separately in ASSET Customer Notes and if any information is obtained, enter the details in ASSET Follow-up Status. Note: See the Supplemental Data Collection Recommended and Proven Practices for recommendations on how to best communicate with former program participants.
DWD-DET requires that participants be made aware of the availability and the purpose of follow-up services at the time of IEP development and again when the participant gains unsubsidized employment.1 An example is adding follow-up services as an action step on the initial IEP development for the participant to "remain in contact for 12 months following exit from the program." Another example is to include follow-up services in program flyers and advertisements.
Participants' need for and receptivity to follow-up services will vary. Career planners should determine if more frequent follow-up services are needed, based on the participant's individual needs and career goals, as documented in their IEP. DWD-DET requires that, at a minimum, career planners attempt to contact the participant at least once every three months for 12 months, starting from the date of gaining unsubsidized employment.
In circumstances where outreach has been unsuccessful, DWD-DET allows the career planner to cease attempts to provide the remaining follow-up services. However, career planners must document all contact attempts in ASSET Customer Notes. The note must include the contact method used, the date attempted, and if follow-up services will continue.
DWD-DET allows career planners to stop contact with the participant, including follow-up services, if they request any time they no longer wish to be contacted. Career planners must record the outcome and details in ASSET Customer Notes, including the details. For example, "the participant stated they are no longer interested in WIOA services and asked not to contact them again."
WDBs must establish a policy consistent with DWD-DET's guidance in this chapter that defines appropriate follow-up services, as well as requirements for identifying when to provide follow-up services to participants.1 Career Planners must ensure they are following their local WDB policy requirements.
If, at any time during the follow-up service period, a participant needs more services than are available, they may re-enroll in the program. They may start services immediately if the episode is still open in ASSET. If a common exit has occurred in ASSET, the participant can reapply following the WIOA Title I Application Guidance.
As the date of exit is retroactive to the last service date, follow-up services may begin immediately following the anticipated last service date if the participant is expected not to receive any future services other than follow-up services. Follow-up services do not extend the date of exit in performance reporting.1
The U.S. Department of Labor's National Dislocated Worker Grants (DWGs) provide resources to states and other eligible applicants to respond to large, unexpected layoff events causing significant job losses. These grants address ongoing or emerging workforce and economic challenges by providing training and career services to dislocated workers seeking reentry into the workforce and increasing their skill levels to become competitive for growing or high-demand employment opportunities. DWGs can also provide funding to create temporary employment opportunities within clean-up and recovery efforts when an area impacted by disaster is declared eligible for public assistance by the Federal Emergency Management Agency (FEMA), or is otherwise recognized by a federal agency with authority or jurisdiction over federal response to the emergency or disaster.
Effective date: July 1, 2022
Rapid Response encompasses the state's strategies and activities to respond to permanent closures, mass layoffs, or natural or other disasters which result in mass job loss.1 The purpose of Rapid Response is to promote economic recovery and vitality by developing an ongoing, comprehensive approach to identifying, planning for, and responding to layoffs and dislocations. Rapid Response also includes preventing or minimizing the impacts of layoffs and dislocations on workers, businesses, and communities.2 Rapid Response activities and strategies deliver services to enable dislocated workers to transition to new employment as quickly as possible.3
DWD-DET's designated local Rapid Response teams carry out Rapid Response activities in each local Workforce Development Area (WDA). DWD-DET's Bureau of Workforce Training oversees the rapid response activities undertaken by local Rapid Response Teams and carries out and/or coordinates statewide Rapid Response activities.4 Funding is made available through the issuance of annual Rapid Response grants to support the provision of these services.
In partnership with state staff, Local Rapid Response teams must deliver services when one or more of the following occur:
Note: For the purposes of Rapid Response, when a mass layoff notice (commonly called a WARN Notice) has been filed, the announced layoff is defined as a mass layoff regardless of the number of affected workers.7
To better serve workers and businesses within their communities, DWD-DET encourages Rapid Response teams to deliver Rapid Response services to as many workers and companies as possible, even if the dislocation does not meet, at a minimum, one of the four circumstances listed above.8 To further meet the needs of communities, the determination and definition of a disaster will be at the discretion of local WDB's (Workforce Development Boards).
Effective date: July 1, 2022
The state receives an annual allotment for its Dislocated Worker program provided by WIOA funding, this process is outlined Chapter 3.1 WIOA Allocation Process. Of this funding the state may reserve up to 25-percent of its annually allocated Dislocated Worker Program funds for Rapid Response activities. DWD-DET determines, on an annual basis, how much funding to reserve for Rapid Response activities.1 In addition to providing the required Rapid Response activities, a state may use its reserve to fund direct career services for participants through "additional assistance" to local areas experiencing increases of unemployment due to natural disasters, mass layoffs, or other events.2 Wisconsin's "additional assistance" policies and procedures are located in Chapter 9.2.5 Additional Assistance Grants.
Rapid Response funds that remain unobligated for one program year may be used to carry out statewide activities.3 Generally, these funds may be used for:
Note: Additional information on statewide activities is available in part 9.4.1 Required Rapid Response Activities.
Effective date: July 1, 2022
Each program year, DWD-DET issues grants to the local WDBs to support the administration of the designated local Rapid Response teams and the provision of required Rapid Response activities. The amount reserved for these Rapid Response grants is subject to change based on funding availability and anticipated demand for that year. The three distinct Rapid Response grants DWD-DET issues are as follows:
An annual allotment grant is formula allocated and the two remaining grants are available upon request from the WDBs.
Based on funding availability, each local WDB receives a Rapid Response Annual Allotment Grant annually based on a formula determined by DWD-DET. Local WDBs may apply for Additional Assistance and Dislocation Grants at any time. Funds for Additional Assistance and Dislocation grants are awarded on a first-come, first-served basis. DWD-DET rounds grant amounts to the nearest dollar.
Effective date: July 1, 2022
Rapid Response Annual Allotment Grants provide local WDBs with a dedicated source of funding to support Rapid Response activities. They are intended to provide the local WDBs with financial resources to carry out the local Rapid Response Program, on behalf of DWD and consistent with DWD-DET's requirements. The Rapid Response Annual Allotment must be used for building, maintaining, and operating the local Rapid Response Program, which includes staff and related costs for planning, coordination, and provision of local Rapid Response activities. Based on funding availability, grants are awarded to each local WDB every program year, typically at the end of June. There are no eligibility criteria and there is no application process for Annual Allotment Grants.
Rapid Response Annual Allotment Grants must be used for Rapid Response activities as described in Chapter 9 Rapid Response. These funds may not be used for costs for Bureau of Job Service staff or costs associated with the provision of training and supportive services for WIOA Title I program participants.
Effective date: January 1, 2019
The U.S. Department of Labor (DOL) defines "case management" as "the act of connecting youth to appropriate services."1
Local WDBs are required to provide case management to all Youth Program applicants and participants.2 Case management begins during the enrollment process, before a youth is a participant, and continues throughout program participation and follow-up.3 Since case management is not one of the 14 WIOA Youth Program elements, it does not trigger or extend participation in the WIOA Youth Program.4 While case management is a required activity, it is not tracked in the Automated System Support for Employment and Training (ASSET) because it is not included on DOL's Participant Individual Record Layout (PIRL), which is used for federal performance reporting.5
Effective date: January 1, 2019
The local WDB must provide each participant information about appropriate services available through the one-stop system that support the participant's individual service strategy (ISS).1 The local WDB must also refer participants to appropriate training or educational programs that have the capacity to serve the participant.2
Effective date: January 1, 2019
All Youth Program participants must receive an objective assessment of their:
The career