CHAPTER 8: ADMINISTRATIVE PROVISIONS

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Chapter 8:

Administrative Provisions

Part 667 – Administrative Provisions Under Title I of the Workforce Investment Act SUBPART A - FUNDING 667.100 667.105 When do Workforce Investment Act grant funds become available? What award document authorizes the expenditure of Workforce Investment Act funds under title I of the Act? What is the period of availability for expenditure of WIA funds?

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ome of the grants we receive must be expended by the end of the year they cover. Is this the case with WIA funds?

No. Formula funds allocated by the State to local workforce areas under WIA for a program year are available for expenditure for two years - during the program year awarded and the following program year. Program year (PY) adult and dislocated worker formula funds are available on July 1 at the beginning of the program year and end on June 30 of the subsequent year (24 months). Youth funds are made available beginning on April 1, three months prior to the beginning of the program year, and expire on June 30 of the subsequent year (27 months). Fiscal year funds are available October 1 through June 30 of the following year (21 months). If you receive statewide activities or rapid response funds based upon a request for additional funds, these grants may have a shorter period for expenditure. Also, national emergency grant funds may have a shorter, or longer, expenditure period. 667.110 667.120 What is the Governor/Secretary Agreement? What planning information must a State submit in order to receive a formula grant? How are WIA title I formula funds allocated to local workforce investment areas?

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hat is the origin of the source data for allocation factors used to determine local area WIA allocations in Georgia? (GDOL WIA Financial Management TAG, Chapter 2)
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Eighty-five percent of the WIA title I Adult and Youth funds were distributed to local areas according to methods specified in WIA Section 133(b). Below is a summary of Georgia’s methodology: Adult Funds The standard allocation formula gives equal weight to the following three formula factors: 33.3% Relative number of unemployed individuals in areas of substantial unemployment in each local area, compared to the total number of unemployed individuals in areas of substantial unemployment in the State Relative excess number of unemployed individuals in each local area, compared to the total excess number of unemployed individuals in the State Relative number of disadvantaged adults in each local area, compared to the total number of disadvantaged adults in the State

33.3%

33.3%

Youth Funds The standard allocation formula gives equal weight to the following three formula factors: 33.3% Relative number of unemployed individuals in areas of substantial unemployment in each local area, compared to the total number of unemployed individuals in all areas of substantial unemployment in the State Relative excess number of unemployed individuals in each local area, compared to the total excess number of unemployed individuals in the State Relative number of disadvantaged youth in each local area, compared to the total number of disadvantaged youth in the State Georgia has no local areas with rural concentrated employment program grants

33.3%

33.3%

Note:

Dislocated Worker Funds Georgia distributes 60% of available funds by formula to local areas. Funds are allocated according to the six federally mandated factors, plus three additional ones. The factors and their weights are as follows: 40% Number of individuals who received unemployment insurance with earnings, for the most recent six-month period

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05% 10%

10% 2.5% 2.5% 10% 10% 10%

Number of unemployed individuals in excess of 6.5% of the civilian labor force for the most recent six months Number of individuals who received unemployment insurance who were from firms that were part of the Mass Layoff Statistics data for the latest two quarters Number of individuals employed in industries that have experienced a decline in employment of 5% or greater over the last year Number of individuals employed as farmers or rancher according to the most recently available census data Number of individuals who collected unemployment for 15 weeks or more for the last six-month period Number of individuals employed in manufacturing, mining, and agriculture for the last six-month period Number of individuals employed in retail and wholesale trade for the last six-month period Number of individuals enrolled in WIA dislocated worker training services during the prior program year

Georgia reserves 25% of the dislocated worker funds to expand the statewide rapid response capacity, including state-level rapid response staff. Staff coordinates extensively with local governments, chambers of commerce, and community and economic development agencies to maximize resources available to address worker dislocations and workforce development in the community. Georgia also uses a major part of the funds for grants to local areas to meet the needs of dislocated workers.

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hen residents of one area receive training in another part of the state, we would like area allocations adjusted at the state level rather than having to go through a billing process at the local level. Is this possible?

No. The Georgia Department of Labor (GDOL) does not have authority to adjust an area’s allocation for payment purposes. 667.135 What “hold harmless” provisions apply to WIA adult and youth allocations?

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id Georgia elect to apply “hold harmless” provisions? (GDOL WIA Financial Management TAG, Chapter 2)

With the PY 2002 allocation of adult and youth funds, Georgia implemented a 90% hold harmless component to its allocation calculations. Each area’s allocation factor must be at least 90% of the average of the last two years’ allocation factors. 667.140 Does a Local Board have the authority to transfer funds between programs?

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s there state policy regarding the Local Board’s authority to transfer funds between programs? (GDOL WIA Financial Management TAG, Chapter 2)

Yes. State policy allows the Local Board to transfer up to 30% of its adult allocation for a program year to its dislocated worker program year allocation. Areas may not transfer 30% from their dislocated worker allocation to adult services, however, because of the potential effect this may have on receiving additional dislocated worker funds through national emergency grants. An area’s youth allocation may not be transferred to its adult or dislocated worker allocation. Before making any fund transfers, local areas must make a written request to GDOL Grants and Contracts in writing of the planned transfer so appropriate grant adjustments can be made. 667.150 What reallotment procedures does the Secretary use?

re Individual Training Accounts (ITAs) to be reported as obligations? (667.150(d), 660.300) (GDOL WIA Financial Management TAG, Chapter 3/Obligations)
The State interprets the regulations to allow ITAs to be treated as legitimate WIA financial obligations under the following conditions: One of the determining points is whether there is a binding agreement between the funding agency and the enrolled participant. As with any other contractual agreement, the ITA agreement should identify the parties to the agreement, the period or length of the agreement, the services or funding to be provided, the responsibilities of each party, and the conditions for modification or termination of the agreement. Information on the approved training provider, the training period, the specific course work, fees, and other costs approved for payment, and the total WIA cost commitment of the funding agency should be incorporated into, or attached to, the agreement. The ITA agreement must be signed by a staff person authorized to commit funds for the agency and by the individual to whom the commitment is made. A copy of the agreement must be provided to the participant. Based on the U.S. Department of Labor (USDOL) interpretation, there must also be a contractual agreement with the training provider. This could be in the form of a purchase order or training provider agreement. Part, or all, of the funds committed in an ITA agreement may be considered a grant obligation. Only that portion of the signed agreement the funding agency has committed to pay from the specific program year grant may be considered an obligation against that grant. Also, if the training period exceeds the availability period of the grant, only that portion of the costs budgeted to be paid from the grant may be considered obligated.

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To report ITA commitments as financial obligations, the grantee must have a financial system in place for tracking ITA obligations and for deobligating or increasing the level of committed funds should projected costs change, e.g. participant drops out, tuition increases, etc. Supportive service commitments to participants may be considered an obligation if local WIA area policy defines these commitments as a binding agreement between the local area and the participant, not subject to reduction or elimination unless federal funds are withdrawn from the area or specific participant conditions change. Support service obligations must be supported by valid and binding written agreements, signed by both parties. The supportive services commitment may be included as part of the ITA agreement costs, or may be a separate agreement between the funding agency and the participant. The support agreement must identify the parties to the agreement, the conditions under which the support payments will be made, the responsibilities of each party, the conditions which may subject the support payment to reduction/increase, the period of the agreement, and the obligation level of the agreement. An authorized staff person must sign the agreement, and a copy must be provided to the participant. To be considered an obligation, the amount of supportive services included as an obligation must also be identified in the training provider agreement regardless of the entity actually making the support payment. Like the ITA agreement, only that portion of an approved agreement that the grantee has committed to pay from the specific program year grant is considered an obligation against that grant. If the period covered by the agreement exceeds the two-year fund availability period of the grant, only that portion of the costs obligated to be paid in the two-year period may be considered a WIA obligation. To report supportive services commitments as financial obligations, the grantee must have a financial system in place for tracking obligations and for deobligating or increasing the level of committed funds should projected costs or participant conditions change, e.g. participant drops out. 667.160 What reallocation procedures must the Governor use?

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hat is Georgia’s recapture and reallocation policy? (GDOL WIA Financial Management TAG, Chapter 2/Deobligation of Funds)

WIA requires that the Governor or designee prescribe uniform procedures for the obligation of funds by local areas within the State so that funds allocated to Georgia are not at risk of reallocation to other states. WIA further requires Local Boards to obligate 80% of their funds in the first year of availability and provides the Governor or designee authority to reallocate unobligated balances in excess of 20%. The state reallocation policies are intended to provide the Governor the capability to redistribute unobligated or unexpended funds.

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Any remaining WIA program funds not fully expended by the end of the second year of availability are de-obligated from the grant and returned to the State. These WIA funds are available to those areas that fully expend the same program year’s funding. Furthermore, areas must have expended or appropriately obligated no less than 80% of the available funds in each funding stream by the last day of the first year of availability. Areas that do not meet the obligation and/or expenditure rate may have excess funds deobligated from subsequent year grants. At the Governor’s discretion, the de-obligated funds will be used for statewide projects and/or reallocated to local areas that meet the 80%.

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hen did the State’s reallocation policies become effective? (GDOL WIA Financial Management TAG, Chapter 2)

Under state policy, the Department implemented reallocation policies effective with the 6/30/03 Financial Status Reports (FSRs) reporting PY 2002 and FY 2003 funds.

hat assistance related to expenditures, recapture and reallocation is available to local areas? (GDOL WIA Financial Management TAG, Chapter 3/Financial Status Reports)

The State has implemented a financial reporting process to keep both local and state management apprised of obligations/expenditures. Local areas are responsible for timely submittal of monthly Financial Status Reports on each funding stream. The State collects the information and provides quarterly statewide summaries for local and state boards and management. Technical assistance is available to local areas to ensure that the funds allocated have maximum opportunity for expenditure within the local area. Technical assistance includes program development as well as fund utilization. This assistance covers a wide range, and includes both group and one-on-one assistance. For the most part, the State relies on requests from the local areas to provide technical assistance. Please contact GDOL Career Development Services or Grants and Contracts for assistance.

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hat is GDOL’s process for requesting additional WIA funds? (GDOL WIA Financial Management TAG, Chapter 2/Request for Additional Funds)

In November 2003, the Application for Additional Funds form was revised and distributed to local workforce areas. Local areas must submit a separate application for each fund source requested, providing brief information about their need for additional funds, how many and what type of customers (adults, dislocated workers, youth) will be served, efforts to secure other funding, activities that will be funded, and additional relevant information.

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Questions regarding the process or form for requesting additional WIA funds should be directed to GDOL Career Development Services. Requests for additional funds may also be forwarded to the Governor’s Office of Workforce Development for appropriate consideration. 667.170 What responsibility review does the Department conduct for awards made under WIA title I, subtitle D?

SUBPART B – ADMINISTRATIVE RULES, COSTS AND LIMITATIONS 667.200 What general fiscal and administrative rules apply to the use of WIA title I funds?

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hat is the definition of immediate family in the context of conflict of interest for board and youth council members, and in relationship to codes of conflict applicable to employees and the process for procurement awards and administration? (667.200(a)(4), 667.200(g))

In Georgia, GDOL’s definition of family has been expanded beyond what state law requires to avoid even the appearance of conflict of interest in the procurement process. Immediate family applies to the husband, wife, son, son-in-law, daughter, daughter-inlaw, mother, mother-in-law, father, father-in-law, brother, brother-in-law, sister, sister-inlaw, aunt, uncle, niece, nephew, stepparent, stepchild, grandparents and grandchild.

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lease give examples of program income that a local area may use. (667.200(a)(5) (GDOL WIA Financial Management TAG, Chapter 2/Program Income)

Some examples of program income include: Excess of revenue over costs incurred for services provided by a governmental or non-profit entity funded with WIA title I funds Interest earned on funds received under WIA title I Fee-for-service charged by a local area to allow employers to use local area services, facilities, or equipment funded under title I of WIA to provide employment and training activities to incumbent workers o This fee-for-service example can only occur when services, facilities, or equipment are not being used by WIA eligible participants and the use by employers does not affect the ability of WIA participants to use the services, facilities, or equipment

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ow is program income recorded and reported, and expended? (667.200(a)(5))

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The local area must ensure that subrecipients and subcontractors are aware that all program income must be accounted for and reported to the local area. Program income must be recorded in the local area’s accounting records and reported to GDOL on the monthly FSR. Program income may only be expended for allowable purposes under the grant that it was earned. Program income must be expended to expand services under the WIA grant(s) responsible for generating the income. This is called the “addition method” and is described at 29 CFR 95.24 and 29 CFR 97.25(g)(2).

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hen is it allowable to charge employers or other customers a fee-forservice? (667.200(a)(8))

Local workforce development organizations leverage funds from a variety of sources such as formula WIA funds, discretionary WIA grants, welfare reform, economic development, and various state and private foundation grants. Their funding base may also include “retail” fee-for-service revenues. The Local Workforce Board decides whether and what services to offer for a fee, based on input from potential customers. Such services are usually specialized or enhanced services to employers that go beyond those performed with public funds, for example: specialized recruiting, testing, job task analysis, reference screening, and computer skills training. While there is no need to set up a separate legal organization, there should be separate financial accounting of revenues and expenses for fee-for-service activities.

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ow can we determine the audit requirements applicable to our organization? (667.200 (b))(GDOL WIA Financial Management TAG, Chapter 8)

To determine the audit requirements applicable to your organizations, please review the following Office of Management and Budget (OMB) Circulars: OMB Circular A- 21 (Cost Principles for Institutions of Higher Education) OMB Circular A- 87 (Cost Principles for State, Local, and Indian Governments) OMB Circular A- 122 (Cost Principles for Non-Profit Organizations) OMB Circular A- 133 (Audits of States, Local Governments, and Non-Profit Organizations)

The OMB Compliance Supplement for Single Audit of State and Local Government was designed for audits of state and local government. However, it is also applicable for local workforce grantees and other nonprofit organizations. The Compliance Supplement includes both general and specific compliance requirements. General compliance requirements pertain to: • • Political Activity Davis-Bacon Act

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Civil Rights Cash Management Federal financial report

Specific requirements pertain to: • • • • • Types or services allowed or not allowed Eligibility Matching Level of effort Reporting

The objective test of compliance with laws and regulations is to determine whether there were instances of non-compliance that may have a material effect on the amount claimed for reimbursement.

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e’re confused about the audit requirements for commercial (forprofit) subrecipients. (667.200(b)) (GDOL WIA Financial Management TAG, Chapter 8)

Section 627.200 states that “commercial organizations which are subrecipients under WIA title I and which expend more than the minimum level specified in OMB Circular A-133 ($300,000 as of August 11, 2000, $500,000 for fiscal years ending after December 31, 2003) must have either an organization-wide audit conducted in accordance with A133 or a program specific financial and compliance audit.” Although A-133 is titled “Audits of States, Local Governments, and Non-Profit Organizations” and section 210(e) of the circular states that it does not apply to for-profit subrecipients, the “WIA Rules and Regulations” take precedence. Therefore, audits of commercial organizations are required in accordance with the “WIA Rules and Regulations.”

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ow long must audit records be maintained? (667.200(b)) (GDOL WIA Financial Management TAG, Chapter 8)

Audit working papers for federal awards are to be retained for three years after submission of the audit report as required by 29 CFR 97.42. If the auditor has been advised that any litigation, claim, negotiation, audit, or other action involving federal records has been started before the expiration of the three year period, the audit working papers should be retained until completion of the action and resolution of all issues, or until the end of the three-year period, whichever is later.

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hat are the scope and frequency of required audits? (667.200(b)) (GDOL WIA Financial Management TAG, Chapter 8)

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Financial statement audits determine: • • Whether the financial statements of an audited entity present fairly the financial position, results of operations, and cash flow or changes in the financial position in accordance with generally accepted accounting principles, and Whether the entity has complied with laws and regulations for those transactions and events that may have material effect on the financial statements.

Financial related audits determine: • • • Whether the financial reports and related items such as accounts or funds are fairly presented, Whether financial information is presented in accordance with established or stated criteria, and Whether the entity has adhered to specific financial compliance requirements.

OMB Circular A-133.220 requires that audits must be conducted with reasonable frequency on a continuing basis, usually annually but not less frequently than every two years. Organizations that have federal agreements or statutory provisions that require annual audits should ensure their audits are performed annually. (For additional information about GDOL’s audit/audit resolution process, see Appendix 10, GDOL Audit/Audit Resolution Process.)

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re technical college bookstores allowed to charge WIA funded students state sales tax? (667.200(c))

Yes. The Department of Technical and Adult Education (DTAE) was asked to seek a legal opinion from the Georgia Department of Revenue Sales and Use Tax Division. The ruling supported the position of payment of state sales tax. GDOL consulted with USDOL staff and found no impediment to payment of state sales tax. In fall 2002, local workforce areas were advised to pay state sales tax to state technical college bookstores if the bookstores requested payment of the tax. No corrective action on the part of local areas was required unless requested by the bookstores.

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ho does resource mapping and how do we pay for it? (667.200(c))

Resource mapping is an ongoing process for gathering information about workforce services available in a community and identifying gaps to be addressed. The process should be as inclusive as possible, including the local Workforce Investment Board, local partners, and others who have ideas and resources to contribute. A facilitator from the community can lead the process, or an outside individual can do so.

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Resource mapping is an allowable WIA expense. Keep in mind, however, that others across the State already use this process, including Family Connections and many United Way agencies. Ideally, the information gathered from these processes can be the starting point for more comprehensive, ongoing resource mapping for the entire community.

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hat activities are prohibited under title I of the WIA regulations? (667.200(c))

WIA funds may not be expended for the following activities: Public service employment, except to provide disaster relief employment, as specifically authorized in 20 CFR 667.264 Relocation of a business or part of a business that results in the loss of employment at the original location Employment generating and similar activities if not related to training for eligible individuals Sectarian activities Foreign travel Political activities Duplication of facilities/services available in the area Employment or training of participants in sectarian activities Participants cannot be charged a fee for placement or referral into a training or other WIA funded program. Wages of incumbent employees during participation in economic development activities Displacement of employees by any WIA participants The promotion or deterrence of union organizing The construction or purchase of facilities or buildings All those unallowable activities in the applicable OMB Circular A-87 and/or OMB Circular A-122 For direct non-formula recipients only, consultant fees in excess of $450.00 per day

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e know that one Equal Opportunity (EO) Officer is required in each local workforce area. What are the duties of the EO Officer? (667.200(f))

Duties of the EO Officer include: Serving as the local area’s liaison with the state EO Administrator Monitoring and reviewing written policies and activities to ensure nondiscrimination and equal opportunities are not being violated Ensuring Equal Opportunity posters with the notice Equal Opportunity Is The Law (29 CFR 37.30) are placed in areas of high visibility Chapter 8-12 April 2007

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Developing and publishing procedures for processing discrimination complaints and as appropriate, referring complaints of discrimination in the manner prescribed by 29 CFR 7 and to the GDOL EO Administrator Processing, resolving, and referring complaints of discrimination in the matter prescribed by 29 CFR 37 and the GDOL written Complaint Processing Procedures regarding this subject Providing all individual customers/applicants (defined at 29 CFR 37.4 – Definitions, and listed at 37.20) and employees with a flier version of the Equal Opportunity notice contained in the above poster Ensuring that programs, services, and information are accessible to individuals whose primary language is not English and who constitute a significant portion of the area population eligible to be served (see Executive Order 13166 - Improving Access to Services by Persons with Limited Disabilities) Ensuring facilities, programs, services, information, and equipment (e.g., computer hardware and software) are accessible to individuals with disabilities Undergoing training that will enhance and maintain the competencies required of an EO Officer Collaborating with the state EO Officer when a complainant has selected alternate dispute resolution

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oes the local EO Officer have to be the workforce area director or a manager? (667.200(f))

Federal regulations specify that local staff assigned to serve as EO officers for WIA: Have access to management Have sufficient resources to carry out their duties Have the ability to make this activity their top priority, and Have no potential conflict of interest between this role and their other duties

The individual designated as the EO Officer should not be the local workforce area director, but could be someone with non-WIA related duties within the larger organization (e.g., someone in a Human Resources capacity).

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hat assistance is available to me as a local EO Officer? Who can I contact if I need help? (667.200(f))

MOA training and technical assistance have been provided to all 20 local workforce area EO officers since the beginning of WIA. The purpose of the training and technical assistance is to provide one-on-one site-based support, guidance, recommendations, and feedback in the development, updating, and refining of the local area MOA for WIA nondiscrimination regulations. If you are new to the EO Officer position, and/or if you need additional assistance, please contact the GDOL EO Administrator.

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(For additional information, see Appendix 11, GDOL Discrimination Complaint Process.) The comprehensive MOA for WIA Nondiscrimination is available upon request from the GDOL EO Administrator.

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hat is the Methods of Administration (MOA) relative to nondiscrimination regulations? (667.200(f))

WIA nondiscrimination regulations at 29 CFR 37.54 require each state’s Governor to establish and adhere to a MOA. The MOA is designed to help state and substate local workforce areas fulfill their requirements under WIA to ensure there is no discrimination in any of the federally funded programs or activities. GDOL’s EO Administrator has distributed Georgia’s MOA to local EO Officers. Elements of the MOA for WIA nondiscrimination include: • • • • • • • • • Designation of EO Officer Equal Opportunity Notice and communication Assurances Universal access Compliance with section 504 (Americans with Disabilities Act of 1990, as amended) Data collection and record keeping Monitoring Complaint processing procedures Corrective action and sanction procedures

by “universal access” relative to meeting What does WIA meanpersons with disabilities?(667.200(f)) the workforce needs of
WIA Section 188 states that workforce systems “must provide both accessible facilities (both program accessibility and architectural accessibility) and reasonable accommodation for individuals with disabilities.” The unemployment rate among people with disabilities has hovered above 70% since before the passage of the Americans with Disabilities Act (ADA) in 1990. Over the past decade, education and workforce systems have worked to make it easier for persons with disabilities to take their place in the competitive workforce. By mandating equal access to programs and services, WIA continues to strive to level the playing field for persons with disabilities.

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ow can we increase accessibility for customer with disabilities in our One-Stop center? (667.200(f))

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Staff should be knowledgeable about sign language interpreters and where and how to obtain these interpretation services. Community partnerships and resources should be consulted in the One-Stop center planning process. Focus sessions with persons with disabilities often prove invaluable. There are many other ways that workforce centers can increase accessibility for customers with disabilities, including the following: • • • • Conducting ADA and disability awareness training/sensitivity training for all staff (results are often enhanced when this training is conducted by a person with a disability) Ensuring the content of all self-service resources is accessible to customers with disabilities (including videos, periodicals, books, and Internet bookmarks on ADA and how to explore accommodation issues with employers) Being knowledgeable about Social Security Work Incentives (benefits management while working) Providing resources in alternate formats (such as Braille, large print, or in formats for customers with learning disabilities)

hat resources do you recommend for helping us understand how to level the playing field to ensure persons with disabilities benefit from our workforce services? (667.200(f))
Access for All: A Resource Manual for Meeting the Needs of One-Stop Customers with Disabilities (2001) is a comprehensive manual designed to assist One-Stop workforce systems in meeting the needs of individuals with disabilities. The manual is at the Institute for Community Inclusion’s (ICI) web site: www.communityinclusion.org. The manual contains a wealth of information, including accessibility to programs and services, legal requirements, reasonable accommodation, confidentiality, ADA, youth services, and transportation. Chapter 3 of the aforementioned resource manual, Ensuring Accessibility at a One-Stop Center, has a comprehensive One-Stop Centers Checklist that can help ensure that OneStops comply with the law, create an environment that makes people with disabilities feel welcome, and design services so people with disabilities can fully benefit. The ICI web site also contains a guide to other online disability resources by topic, project, audience, staff, or key word. USDOL’s Office of Disability Employment Policy (ODEP) is another informative resource to explore. ODEP provides national leadership by developing and influencing disability-related employment policy and practices affecting the employment of people with disabilities. Please visit the Office of Disability Employment Policy at: www.dol.gov/odep/. Relatedly, a web site for disability-related information and resources that is managed by ODEP, DisabilityInfo.gov, is at: www.disabilityinfo.gov/.

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The USDOL Civil Rights Center developed the WIA Section 188 Disability Checklist to ensure nondiscrimination and equal opportunity to persons with disabilities participating in activities and services throughout local One-Stop workforce systems. The WIA Section 188 Disability Checklist is at: www.dol.gov/oasam/programs/crc/section188.htm. Another valuable resource can be found at: www.wiawebcourse.org/. “At Your Service – Welcoming Customers with Disabilities” is a self-paced online tutorial developed by the ADA and IT Technical Assistance Centers specifically for customer service staff in OneStop Centers, including Disability Navigators. The course contains a pre-test, 15 selfpaced topics, a post-test, and relevant examples, including any applicable legal cases. There is no cost for use of "At Your Service," but registration is required before using the course. (See Appendix 13)

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hat resources are available for serving customers with Limited English Proficiency (LEP)? (667.200(f))

As Georgia now ranks in the top five states in the nation for immigration, there a number of resources available to provide workforce services to LEP customers, including the following: Multi-Lingual Directory- A directory of GDOL staff who speak, read, or write another language fluently. Network Omni Language Line- A telephone translation service. Alta Vista BabelFish Translation- An internet web site that may translate text or another web site into various languages (www.altavista.com). America’s Job Bank Web Site- Provides instructions for translating job orders. Sign Language Interpreter Line Reference Card- Provides a toll free number for certified sign language interpreters. GDOL Forms/Publications Available in Other LanguagesLanguage Identification Flashcard- To help staff determine the language to be translated.

Information about these resources was distributed per a February 15, 2007 memorandum from the Career Development Services WIA Director, along with the following “Do’s and Don’ts” for assisting LEP customers: • • • • Do provide translation services using one of the resources in the LEP Resource Guide. Do use the Language Identification Flashcard if you cannot determine the language to be translated. Don’t ask the customer to bring a friend or relative with them to help translate. Don’t ask the customer to come back when someone is available to translate.

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Many local areas also link with additional local interpreting resources such as The Latin American Association, Telamon, Traveler's Aid, Catholic Social Services, and community centers for specific populations. Many churches, literacy programs, and other community organizations also have English-as-a-Second-Language classes to help individuals with language barriers. Staff from these organizations maybe willing to help their students access services. Each local area should develop a “Local Action Plan” for serving customers with limited English. To assist with the Local Action Plan, local partners need to work together to understand what each partner offers customers, how resources can best be utilized, and whether there are any obvious needs to address.

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e’re interested in exploring the possibility of our comprehensive One-Stop becoming an Employment Network through the Ticket to Work program. How can we get more information? (667.200(f))

The Ticket to Work and Self-Sufficiency Program is the centerpiece of the Ticket to Work and Work Incentives Improvement Act of 1999. It is designed to provide Social Security Administration (SSA) beneficiaries with disabilities more choices for receiving the employment, vocational rehabilitation, and other support services they need to obtain and maintain employment, as well as increase provider incentives to serve these individuals. The Social Security Administration contracts with MAXIMUS, a private company, to perform day-to-day administration of the Ticket Program. Any agency or instrument of a state (or political subdivision), or a private entity that takes responsibility for the coordination or the actual delivery of services is eligible to apply to be an Employment Network. Information about the Ticket Program in general and becoming an Employment Network in particular is at: www.yourtickettowork.com/.

In 2003, a Cobb County partnership (CobbWorks, Cobb/Douglas Community Services Board, Cobb Micro-Enterprise Center, and Tommy Nobis Center) secured a grant through the Employment and Training Administration of USDOL to "roll-out" customized employment strategies across the state of Georgia. Additionally, sub-grants were made to eleven Local Workforce Boards in Georgia to increase accessibility of local workforce systems for people with disabilities. Project Access also provided Disability Navigator training to representatives from the eleven workforce areas to develop their own Disability Navigator teams to support their local systems.

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hat is Georgia’s Disability Navigator initiative? (667.200(f))

Chapter 8-17

April 2007

In 2005, a training program was put in place by GDOL using the national Disability Navigator model, designating one staff member as a Disability Navigator from each of the 53 career centers and the eleven local workforce areas. Heightening awareness about disability issues through local Disability Navigator teams across the state serves to level the playing field for persons with disabilities so they can access the workforce services they need from Georgia's One-Stop system. Sessions covered developing local linkages, conducting outreach, and building relationships and collaborations, enabling the Disability Navigators to be invaluable supports for VR counselors, job developers, community partners and employers. In addition to demonstrations of the assistive technology available in the One-Stops and specific low and high tech accommodations, staff received in-depth information on both the letter and the spirit of the Americans with Disabilities Act (ADA). During one session that focused on the history of disability in the United States and the need for systems change, participants were introduced to Lois Curtis, one of the plaintiffs in the Olmstead Decision, who is currently a successful, self-employed artist, receiving both customized and supported employment supports in the form of community based services. Most importantly, the Disability Navigators conduct staff training in their own One-Stops to enable all staff to assist customers with disabilities without having to wait for a “specialist.” All staff are taught to assist customers based on strengths rather than limitations, assets rather than deficits. In 2006, training continued to focus on changing perspectives and attitudes toward disability – to see disability as a natural part of the human experience. Specific topics included serving customers with psychiatric disabilities, deaf and hearing people working together, information about SSI and SSDI, including incentives for recipients who want to work, and information about the Brain and Spinal Injury Trust Fund. In November 2006, the GDOL combined its eighth annual Workforce Conference with the Touch the Future/Transition Conference. The conference focused on building a world-class workforce in Georgia by emphasizing the importance of providing persons with disabilities a full range of support services and resources to ensure their success in the 21st century workplace. Several sessions were earmarked for Disability Navigators, including sessions on Assistive Technology, Universal Design and Accessibility, and Reasonable and Low Cost Worksite Accommodations. The system continues its many partnerships with resources such as: • • • • • • Tools for Life The Disabilities Resource Group (formerly the GA ADA Exchange) The State ADA Coordinator’s Office The Governor’s Council on Developmental Disabilities Statewide Independent Living Council and local Centers for Independent Living Center for the Visually Impaired (CVI)

Chapter 8-18

April 2007

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Southeast Disability Business and Technical Assistance Center (SEDBTAC) Veterans Administration Rehabilitation and Counseling Program

Youth partnerships include the Marriott Bridges Program, high school transition partnerships, and the High School/High Tech program. Although these initiatives, services and partnerships specifically address the needs of individuals with disabilities, all customers have the option of participating in all available programs and services. Staff knowledge of labor market information and familiarity with accommodations and assistive technology ensures that customers with disabilities are given the same choices regarding career and training opportunities as all other job seekers. Employer education programs on topics such as reasonable accommodations, assistive technology, non-discrimination and focusing on abilities will continue to help to remove barriers to employment.

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hat are the state’s requirements for procuring goods and services with WIA funds? (667.200, 20 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

The Department has chosen to limit any additional requirements imposed on procurement transactions using WIA funds beyond those requirements set forth in the OMB circulars and the WIA regulations. Two additional or more definitive state requirements relate to small purchase procedures and to the definition of family in the context of avoiding conflict of interest. The small purchase procedures are based on state Department of Administrative Services (DOAS) requirements imposed on GDOL. The definition of family has been expanded beyond what state law requires to avoid even the appearance of conflict of interest in the procurement process. (Local policy would apply if it is more stringent than federal or state policy.) Competition The purpose of procurement policy and procedures is to ensure that all procurement transactions are conducted in a manner providing full and open competition. Some situations that are considered restrictive to competition include: • • • • Imposing unreasonable requirements on potential bidders Requiring unnecessary experience and bonding Specifying brand name Any arbitrary action in the procurement process

General Procurement Requirements The requirements of 29 CFR 97 explain that grantees and sub-grantees will use their own procurement procedures which reflect applicable state and local laws and regulations, provided the procurements conform to applicable federal law and standards. Grantees and sub-grantees should: Chapter 8-19 April 2007

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Maintain a contract administration system which ensures that contractors perform in accordance with the terms and conditions of their contract Maintain a written code of conduct governing the performance of employees involved in the award and administration of contracts; such a code of conduct should address the need for employees and board members not to engage in the procurement process if a conflict of interest, real or apparent, would be involved. (See the definition of “immediate family” at 667.200(a)(4)(i), and as defined by the State) Review proposed procurement to avoid purchase of unnecessary or duplicative items Consider consolidating or breaking out procurements to obtain more economical purchases Where appropriate, analyze lease vs. purchase alternatives Enter into state and local intergovernmental agreements for procurement where feasible Use federal excess and surplus property when possible Make awards only to responsible contractors possessing the ability to perform successfully under the terms of the contract Consider the following: o Contractor integrity o Compliance with public policy o Record of past performance o Financial and technical resources Grantees and sub-grantees alone will be responsible, in accordance with good administrative practice and sound business judgment, for settlement of all contractual and administrative issues arising out of procurements; federal agencies will not substitute their judgment for that of the grantee or sub-grantee unless the matter is primarily a federal concern Maintain records sufficient to detail the significant history of a procurement, including o Rationale for method of procurement o Selection of contract type o Contractor selection or rejection o Basis for the contract type Have protest procedures to handle and resolve disputes relating to procurement Have written selection procedures that ensure all solicitations o Incorporate a clear and accurate description of the technical requirements for the product or service being procured o Identify all requirements which the offerors must fulfill and all factors to be used in evaluation bids or proposals o Ensure all prequalified lists of persons, firms, or products are current and include enough qualified sources for maximum open and free competition

Chapter 8-20

April 2007

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hat are the types of allowable procurement? (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

There are four methods of procurement: small purchase, sealed bids, competitive proposals, and non-competitive procurement. Small Purchase Procedures Small purchase procedures pertain to relatively small, simple, and informal procurement methods for securing services and supplies that do not cost more than the simplified acquisition threshold fixed at 41 U.S.C 403 (11) - currently $100,000. It is state policy that acquisitions involving expenditures of less than $2,500 may be made without competitive bidding. Expenditures less than $2,500 do not require formal bids on bidder letterhead. A minimum number of bids is not required, although more than one quotation should be obtained when practical, and three bids are recommended. If not practical, the purchaser should document the circumstances that make it impractical. If the purchase is to be sole sourced, the purchaser should document the circumstances that make sole source the only option. Acquisitions involving expenditures of $2,500 or more, but less than $100,000 should be made by solicitation of informal competitive written bids/proposals, whenever practical, or by telephone bids or fax bids/proposals. At least three quotes are required. Organizations using WIA funds to procure goods and services should check the appropriate circulars for their organization and should check their organization’s internal policies and procedures for more stringent small purchase thresholds and requirements. Procurement By Sealed Bids Bids are publicly solicited and a firm, fixed-price contract is awarded to the responsible, responsive bidder whose bid is the lowest price. Sealed bids are feasible if these conditions exist: • • • Complete, adequate, realistic specifications or purchase description Two or more responsible bidders are willing and able to compete The procurement lends itself to a firm, fixed-price contract

Procurement by Competitive Proposal Procurement by competitive proposal should be used when the following conditions exist: • • • There are two or more sources capable of submitting an offer Either a fixed-price or cost-reimbursement contract will be used Conditions are not appropriate for sealed bids

Chapter 8-21

April 2007

Non-Competitive Procurement Non-competitive procurement is the solicitation of a proposal from only one source or, after solicitation of a number of sources, competition is determined to be inadequate. Cost analysis, e.g. verifying the proposed cost data, the projections data, and the evaluation of specific elements of costs and profits, is required. Pre-approval of the proposed procurement by the State is generally not required. Depending on the circumstances, however, the procuring agency may be required to submit the proposed procurement to the awarding agency for pre-award review, for example, if the State determines, through a program review, that the local area’s procurement system does not meet requirements.

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hat are the requirements for competitive procurement? (667.200, 29 CFR 97)(GDOL WIA Financial Management TAG, Chapter 7)

The OMB circulars and common rule list the following requirements for a competitive procurement: Requests For Proposals (RFP) must be publicized and must identify all evaluation factors and their relative importance Proposals must be solicited from an adequate number of sources The procuring agency must have a method for conducting technical evaluations and selecting awardees The award must be made to a responsible firm whose proposal is most advantageous to the program, with price and other factors considered

hat are the requirements for noncompetitive procurement? (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)
Noncompetitive procurement is used only when a contract is not feasible under small purchase, sealed bid, or competitive procurement and one of the following: • • • • Item is available only from one source The public exigency or emergency will not permit a delay The awarding agency authorizes noncompetitive proposals After competitive solicitation, competition is determined to be inadequate (failed competition)

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hen can WIA funds be expended without undertaking a competitive procurement in order to utilize the services of One-Stop partners? (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

Chapter 8-22

April 2007

A cornerstone of WIA is its mission to bring together the resources of a community to serve its employers and citizens and build a quality workforce. In Georgia, we find that many of the services needed are being provided by partner agencies. It is the intent of WIA to maximize the services available in a local workforce area in order to build a truly connected service delivery system for the benefit of the system’s customers. Section 195(2) of WIA specifically states, “Funds provided under this title (title I) shall only be used for activities that are in addition to those that would otherwise be available in the local area in the absence of such funds.” To facilitate customer access and integration of existing community agency services, the following policy is effective for the use of WIA funds. The State authorizes the access of services and activities for adults/dislocated worker customers that are currently delivered by a local One-Stop partner, but would not be available to WIA customers unless funded by WIA. This authorization for expending WIA funds without undertaking a competitive procurement process may be used when all of the following conditions are met: • • • • • The partner has agreed to expand its existing services/activities to include customers of other partners The Local Board has specified that the particular services/activities are needed for its customer base and will be delivered through the One-Stop system* The services/activities are described in the Memorandum Of Understanding (MOU) between the Local Board and One-Stop partners * The method by which customers will be referred to the services/activities is described in the MOU* The cost of the services/activities is specified in the Resource Sharing Agreement attachment to the MOU *; as well as the method by which the partner will be reimbursed for the cost of services provided to WIA customers, which are beyond those provided by other fund sources/regulations The cost efficiency of building on a service base already funded from other nonWIA sources is documented in the procurement file

* Denotes federal required elements of the MOU between the Local Board and One-Stop operator(s) This authorization does not apply to the procurement of youth services or to vocational training procured through the ITA process. This method of procuring existing types of services could be used when an individual needs, but is not eligible for, the services being delivered under the partner’s fund source; or, if the individual is eligible but the partner does not have sufficient funds to expand its capacity.

Chapter 8-23

April 2007

A MOU does not negate the requirement that a contract conveying the assurances and compliance requirements is required to purchase services with WIA funds.

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hat affirmative steps relate to small and minority businesses and women's businesses? (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

The following affirmative steps are presented in the common rule to encourage participation by small and minority businesses and women's businesses: Placing qualified small and minority businesses and women's businesses on solicitation lists Assuring small and minority businesses and women’s businesses are solicited whenever they are potential sources Dividing the total requirement, when economically feasible, to permit maximum participation Establishing delivery schedules, where feasible, that permit participation Using services of organizations such as the Small Business Association Requiring the prime contractor, if subcontracts are to be let, to use affirmative steps

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hat are cost and price analysis requirements? (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

Cost/price analysis is required for all procurements, including contract modifications. The method and degree is dependent on conditions surrounding procurement. The following are the cost/price analysis requirements listed in the common rule: Must make independent estimates before receiving bids or proposals Required if the proposer must submit elements of his/her estimated costs Necessary when adequate price competition is lacking, including contract modification and change orders, unless price reasonableness can be established o On the basis of catalog or market price of a commercial product sold in substantial quantities to the general public, or o Based on prices set by law or regulations

Profit Grantees and sub-grantees will negotiate profit as a separate element of the price of each contract in which there is no price competition and in all cases where cost analysis is performed.

Chapter 8-24

April 2007

Contract Provisions The common rule requires certain contract provisions. For state and local governments these are listed at 29 CFR 97.36. (USDOL, Pragmatics, and the State developed procurement-related technical assistance guides for use in the Job Training Partnership Act (JTPA) that are referenced in Appendix 4. Although some of the material is dated, much remains applicable as the OMB Circulars serving as the basis of the material remain relatively unchanged. You may find the tools useful as you continue to refine local procurement systems.)

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e are thinking about revising our WIA youth Request for Proposal (RFP) prior to beginning our next procurement process. What are the required elements that cannot be changed? (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

Ideally, your program design has been established and collaborative arrangements with other youth agencies are in place for services normally provided by the agencies at no cost, before the procurement process begins. The RFP then solicits the specific services needed to fill the gaps and make the program design work. There is much flexibility in what you ask for and how you want it delivered. To ensure a quality proposal, the RFP format should provide the potential offerer: the requirements/limitations for the services requested, an understanding of the population you wish served, the minimum performance you require, the period of performance, and your requirements related to a proposed budget. To protect against complaints from offerers whose proposals are not funded, the process by which proposals are received and funded must conform to established standards that are made known in the RFP. For example: • • • • Schedule of events - for example, date and time deadline for accepting proposals, date of local Workforce Investment Board funding decisions Criteria to be used in evaluating all proposals Conflict of interest statement Process for filing a complaint

an changes to our youth contracts be made without new contract negotiations and approval of our local workforce board’s youth council? We think this is time-consuming and not a good use of our youth council’s time. (667.200, 29 CFR 97) (GDOL WIA Financial Management TAG, Chapter 7)

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Chapter 8-25

April 2007

Yes. Contract work statement provisions that do not materially change the scope of work may be modified by simple agreement of the parties, e.g., usually by a letter of modification from the administrative agency. Contracts and local procedures should establish which types of modification may occur without renegotiation. A “material change” in the scope of work would be one which might have an impact on the area’s overall program design, subsequently impacting its performance; a change which requires a modification to the budget; or a change which reduces the quality of the services as designed by the youth council/local workforce board. For example: • Eliminating a target group for which the services were designed would be a material change. This could well impact the area’s ability to meet its inschool/out-of-school requirement and/or require significant changes in a curriculum. A small increase/decrease in the number of customers to be served would not be a material change. Changes in staffing would be a material change. This would probably require a budget modification and could impact the quality of services, issues the youth council might need to consider.

To reduce confusion, we suggest the local workforce board set up basic parameters for the WIA administrative entity regarding the types of decisions that must be approved by the local workforce board/youth council prior to contract negotiations.

an you provide any assistance in defining adequate procedures related to cash management at the local level? (667.200, 29 CFR 97.21) (GDOL WIA Financial Management TAG, Chapter 3/Financial Management System Standards)
Each local area must develop a system of controls to minimize the time elapsing between the receipt and disbursement of funds. The local area’s procedures for receipt, disbursement, and balance of funds on hand are reviewed during the financial monitoring process. Drawdown requests should be timed so the wire transfer of funds is received the same day checks are distributed. Drawdowns are analyzed monthly and compared to reported expenditures. If it is determined that the area has significant excess cash on hand in any funding stream, the drawdown may be held until the issue is resolved. Other internal control requirements that must be met by the local area are: • Funds must be deposited in a bank with Federal Insurance Deposit Corporation (FDIC) coverage, or a savings and loan institution with National Credit Union Administration (NCUA) coverage. Any balance of funds in excess of FDIC, or NCUA coverage must be collaterally secured.

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Chapter 8-26

April 2007

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If federal funds are mixed with other forms of funding, procedures must be in place to separately account for the federal funds on deposit in accordance with 29 CFR 97.21 (h)(2). Bank statements must be reconciled on a monthly basis. Controls must be established and maintained to prevent misuse of funds.

Local area payment systems must include the following procedures: • When the local area receives billing requests from vendors and service providers, the payment should be made to the vendors and service providers based on the due date of the invoice, or the reimbursement procedures stated in the service provider’s agreement with the local area. Payments should not be made prematurely, but should be made in a timely manner. If payment discounts are available then the discount should be taken and late payment penalties should be avoided. (If a late payment penalty is paid by the local area, the penalty must be paid with non-WIA funds.)

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hat is the state’s definition of equipment? (667.200, 20 CFR Part 97) (GDOL WIA Financial Management TAG, Chapter 7/ Equipment And Related Requirements)

GDOL defines equipment as tangible, nonexpendable, personal property having a useful life of more than one year and an acquisition cost of $1,000 or more per unit. Local areas must inventory all equipment over $1,000.

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ow often must a physical inventory of WIA equipment be conducted? (667.200, 20 CFR Part 97) (GDOL WIA Financial Management TAG, Chapter 7/Equipment And Related Requirements)

An actual physical inventory must be conducted every two years.

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ow can WIA equipment be sold, or disposed of by local workforce areas? (667.200, 20 CFR Part 97) (GDOL WIA Financial Management TAG, Chapter 7/Equipment And Related Requirements)

Any WIA property that is disposed of by a local area must have a date of disposal and a sales price if applicable. Any WIA equipment that is sold must be sold using proper sales procedures to ensure the highest possible return.

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hat maintenance procedures for WIA equipment should local areas follow? (667.200, 20 CFR Part 97) (GDOL WIA Financial Management TAG, Chapter 7/Equipment And Related Requirements)

Chapter 8-27

April 2007

Local areas are responsible for completing required maintenance and repairs on WIA equipment. Owner’s manuals and other guidance should be followed concerning the maintenance and repair of equipment.

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hat information should the local area’s equipment inventory contain? (667.200, 20 CFR Part 97) (GDOL WIA Financial Management TAG, Chapter 7/Equipment And Related Requirements)

The local area’s equipment inventory should contain the following: Description of equipment Location and use Serial number Purchase price and date Percentage of federal participation in the purchase Title Acquisition date Condition Control system (loss, theft, damage) process Disposal date and sales price, if applicable What administrative cost limits apply to Workforce Investment Act title I grants? What Workforce Investment Act title I functions and activities constitute the costs of administration subject to the administrative cost limit? What requirements relate to the enforcement of the Military Selective Service Act? Are there special rules that apply to veterans when income is a factor in eligibility determinations? May WIA title I funds be spent for construction?

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an WIA funds be used for minor parking lot and facility changes to make a One-Stop or satellite facility accessible to person with disabilities, e.g., marking and painting stops and doorway ramp improvements?

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Chapter 8-28

April 2007

Yes. Section 667.260(a) makes it clear that WIA funds may be spent for construction to provide physical and programmatic accessibility and reasonable accommodation, as required by section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, as amended. Page 49367 of the preamble to the Final Rules provides additional clarifications.

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ow can we use WIA funds for buildings and equipment to increase accessibility for customers with disabilities at our One-Stop center?

Workforce centers must be designed and equipped to accommodate persons with disabilities in accordance with ADA standards and the Georgia Accessibility Code (available via the state ADA Coordinator’s Office, www.state.ga.us/gsfic/ada/index.shtml). In addition to modification of physical facilities, additional adaptations are often needed to help customers with visual, hearing, mobility, and cognitive or language impairments to access services. Although strong referral linkages or co-location with vocational rehabilitation and community-based organizations are essential, adaptive equipment may also be needed to ensure that all customers have access to all services and programs. Examples of adaptive equipment include: • • • • • • Closed-captioned videos Telecommunications devices (TTY/TDD) for hearing impaired customers Track balls for individuals with mobility impairments Text enlargement software Seventeen inch monitors for customers with visual impairments Optical character recognition (OCR) systems for blind and learning disabled customers

e have a new One-Stop in the planning stages, and have some design questions about physical accessibility of our center. Who can we contact for assistance?
The state ADA Coordinator’s Office provides information and technical support for meeting the requirements of ADA standards and the Georgia Accessibility Code, and for increasing access to services in Georgia overall. For additional information, visit the state ADA Coordinator’s web site: www.state.ga.us/gsfic/ada/index.shtml. Or, contact your GDOL Rehabilitation Services partners for assistance and/or referrals regarding serving persons with disabilities.

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an WIA funds be used for construction or purchase of buildings or facilities? Can WIA fund repairs, renovations, alterations, or capital improvements of property?

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Chapter 8-29

April 2007

WIA funds must not be spent for construction or purchase of facilities, or buildings, except to meet a local workforce area’s obligations for access and accommodation under the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, as amended. WIA funds may be spent for repairs, renovations, alterations, and capital improvements on the following types of property: • • • • State Employment Service Agency real property (i.e., GDOL Career Centers) JTPA property transferred to WIA title 1 programs Job Corps facilities To fund construction-related disaster relief projects

Also, see WIA 193, as amended in February 2007, Transfer of Federal Equity in State Employment Security Real Property to the States.

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e understand that some WIA local areas have provided WIA funds for infrastructure development to support the provision of core services through local GDOL career centers. For what kinds of things have the WIA funds been used? (667.200(c), 667.260)

Many Local Workforce Boards are partnering with GDOL to create a quality environment for One-Stop workforce system customers and staff. Local Boards have decided to use WIA funds to purchase furniture, modular workstations, computers, printers, and other items classified as equipment. GDOL funds are being used for demolition, renovation, wiring, additional servers, painting, carpeting, and construction. A primary goal of the conversions is to make better use of space in existing GDOL career center buildings whenever possible rather than acquiring additional space. Local WIA funds are being combined with GDOL funding to create an environment and service setting which maximizes the local workforce system’s ability to serve customers – through core, intensive, training, and other services. Local Boards are also providing ongoing staff support such as resource technicians in several GDOL career center resource areas. Currently, over 20 GDOL career centers have received funding and support from WIA local areas to help establish quality One-Stops. When local workforce boards become involved in the career center conversion process, they are included in planning the facility, as well as the operation of the center. 667.262 Are employment generating activities, or similar activities, allowable under WIA title I?

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oes WIA allow economic development activities?

Chapter 8-30

April 2007

Funds may not be spent on employment-generating activities, economic development, and other similar activities, unless they are directly related to training for eligible individuals. Nine examples of employer outreach and job development activities directly related to training for eligible individuals are listed in section 667.262. 667.264 667.266 667.268 What other activities are prohibited under title I of WIA? What are the limitations related to sectarian activities? What prohibitions apply to the use of WIA title I funds to encourage business relocation? What procedures and sanctions apply to violations of Sec. 667.260 through 667.268? What safeguards are there to ensure that participants in Workforce Investment Act employment and training activities do not displace other employees? What wage and labor standards apply to participants in activities under title I of WIA? What health and safety standards apply to the working conditions of participants in activities under title I of WIA? What are a recipient’s obligations to ensure nondiscrimination and equal opportunity, as well as nonparticipation in sectarian activities?

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SUBPART C – REPORTING REQUIREMENTS 667.300 What are the reporting requirements for Workforce Investment Act programs?

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hat is GDOL’s automated Financial Status Report (FSR) system? (667.300(c)) (GDOL WIA Financial Management TAG,Chapter 6)

GDOL Financial Services and Information Technology developed an automated web-based password-protected FSR reporting system that went into operation with the January 2004 reporting period. The initial phases of the system were basically financial reporting and electronic transmission. Grants management, including grant awards, drawdowns, and closeouts, will be included in the future design elements planned to be completed by 2008. Feedback from local and state users to help improve the usefulness of the system is encouraged.

Chapter 8-31

April 2007

Staff who need to access the FSR system (e.g., WIA Directors, financial managers, state staff) may contact GDOL Grants and Contracts for a user identification and password. The FSR reporting system is located at: www.dol.state.ga.us (Workforce Professionals/More/Report WIA Financial Information).

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ow does Georgia’s financial reporting process work? (667.300(b)) (See GDOL WIA Financial Management TAG, Chapter 6)

Local workforce areas submit their WIA Financial Status Reports (FSRs) monthly via the Internet-based system. GDOL Grants and Contracts checks the FSRs for completeness and accuracy and notifies the local area if any information is missing, incorrectly reported, or questionable, so that the area may amend the FSR as necessary. During the monthly FSR review, each funding stream (youth, adult, dislocated worker, local administration, statewide activities, statewide rapid response) by Program Year (PY) and Fiscal Year (FY) is analyzed for each local area and for statewide 15% and rapid response activities. In preparation for the Quarterly Financial Status Reporting to USDOL, the above referenced procedure is repeated. Prior to submission to USDOL, the Special Accounting Unit and Grants and Contracts reconcile the reporting records. If the report is acceptable, the financial data is submitted to USDOL’s Enterprise Information Management System (EIMS).

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hat responsibilities do local workforce areas have in the reporting process? (667.300(c)) (See GDOL WIA Financial Management TAG, Chapter 6)

Local workforce areas must complete FSRs monthly on an accrual basis. If the grantee accounting records are not normally maintained on an accrual basis, the accrual information should be developed through an analysis of the records on hand or on the basis of best estimates and included as expenditures on the FSRs. For purposes of submitting the FSRs, expenditures should be reported for any WIA grant that has not been audited and officially closed out. Even if a grant has been fully expended during the program year, a FSR is due on that grant each month until the end of that program year. FSRs are required for WIA formula funds, statewide activities funds, rapid response discretionary grants, and national emergency grants. All FSRs are due to GDOL by the 20th day of the month following the report period. Drawdowns may be held for those grantees whose reports are not received by the due date. Local areas should notify Grants and Contracts if their FSRs will be late and give their best estimate of when the reports will be submitted.

Chapter 8-32

April 2007

NOTE: GDOL administered workforce areas must wait to submit their FSRs until GDOL Financial Services has closed the books for the reporting month and provided the local area with the necessary reports to prepare their FSRs. GDOL administered local areas must submit FSRs no later than the 1st of the month following the close of the books for the reporting period by GDOL Financial Services. This information is generally available by the 24th day of the month following the report period. Local workforce areas should report the cumulative accrued federal outlays (expenditures), by funding stream, for allowable activities. The youth funding stream is further broken down into outlays for out-of-school and in-school youth and for summer employment and other youth activities. All reported expenditures should be rounded to the nearest dollar. Unliquidated obligations and the amount of unobligated funds should be reported by funding streams. Local areas must report obligations monthly. Valid purchase orders, contracts, and other binding written agreements must support obligations. Obligations do not include budgeted cost items such as projected staff cost. The appearance of an item in a budget does not constitute an obligation.

’m new to our local workforce area and am unclear about some of the definitions on the FSRs. Where can I get help? (667.300(c)) (See GDOL WIA Financial Management TAG, Chapter 6)
The FSR form was revised in fall of 2000. At that time, the newly designed forms, instructions, definitions, and policies related to the WIA FSRs were distributed to local areas by diskette, and by hard copy. Please contact GDOL Grants and Contracts if you need copies of any of this information, or have further questions. Questions concerning the proper preparation of local area financial status reports may be phoned in or emailed to GDOL Grants and Contracts. Also, financial roundtables are held periodically to provide up-to-date information to local areas, and staff provides onsite technical assistance as needed.

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ow do we report program income, rebates and refunds, and stand-in costs? (667.300(c)) (See GDOL WIA Financial Management TAG, Chapter 2/Program Income, Stand-In Costs)

Program income, rebates and refunds, and stand-in costs should be reported on the FSR on a monthly basis. It is essential that stand-in costs be reported in the program year in which they are earned in order to be used in lieu of any disallowed costs from that program year. Program income, rebates and refunds, and stand-in costs should be reported on the FSR for the reporting period in which they are earned/received/used, instead of at the end of the program year or the end of the grant period.

Chapter 8-33

April 2007

Under WIA, program income must be added to the funds committed to the grant program. Program income must be used for the purposes and under the conditions of the WIA grant agreement. The deduction method, deducting program income from total allowable costs, is not permitted under WIA. Stand-in costs are costs that are paid from non-federal sources which a recipient or subrecipient proposes to substitute for federal costs which have been questioned or disallowed as a result of an audit or other review. Certain rules apply to stand-in costs, for example, they must be booked on a monthly basis, and must be allowable WIA expenses. Rebates and refunds are funds that are returned to the grant. Rebates and refunds should be used to reduce WIA expenditures.

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hat forms are included in the final WIA Financial Closeout Package? (667.300(c)) (See GDOL WIA Financial Management TAG, Chapter 6/WIA Financial Closeout)

The following forms make up the closeout package: Recipient’s Grant Release and Release to the State - This form releases the State from further obligation beyond the costs reported in the closeout package; it is the instrument used to make final financial disclosures Financial Closeout Statement- This form reconciles cash received with cash disbursed (expenditures) during the lifetime of the grant Final Financial Status Report (FSR)- This form is an accounting of cumulative grant expenditures by cost category (administration and program) for the lifetime of the grant Outstanding Accruals Register- This form lists unpaid accruals that have not been paid at the time the closeout package is submitted to GDOL Outstanding Wage Check Register- This form lists the individuals whose wage or support checks have not cleared the bank by the time the closeout package is submitted to GDOL; Georgia’s escheat law requires that all unclaimed wages be submitted to the State (these funds should have been reported as expensed) Refund Register- This form lists refunds that reduce WIA cash drawdowns and the amounts reported as the WIA share of expenditures on the FSR Inventory Certificate- This form certifies that the inventory schedule accurately lists all equipment that has been purchased to date with WIA funds and has been reconciled to the physical inventory and asset account Inventory List- This form lists the equipment purchased by the grant that cost more than $1,000 (state policy); only one inventory list should be submitted for all of the PY 2001 and FY 2002 Closeout Packages

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• • • •

hich grants require a final WIA Financial Closeout Package, and when must they be submitted? (667.300(c)) (See GDOL WIA Financial Management TAG, Chapter 6/WIA Financial Closeout)

A Financial Closeout Package must be submitted to GDOL within 45 days after the expiration of the grant (for each funding stream) for the following: WIA Adult Program Grant WIA Youth Activities Grant WIA Dislocated Workers Grant Statewide Activity Grants o Adult o Youth o Dislocated Worker o Rapid Response National Emergency Grant

SUBPART D – OVERSIGHT AND MONITORING 667.400 Who is responsible for oversight and monitoring of WIA title I grants? What are the oversight roles and responsibilities of recipients and subrecipients?

667.410

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hat is the state’s approach to oversight and monitoring of local workforce areas? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

From the beginning of WIA implementation in July 2000, the state of Georgia has worked to ensure local Workforce Investment Boards and chief local elected officials have maximum flexibility allowed by federal law and regulations in designing workforce development systems that meet the needs of their communities. USDOL issued 13 different sets of regulations to govern the implementation of WIA. Twelve parts are codified in Title 20 of the Code of Federal Regulations (20 CFR). Nondiscrimination regulations, implementing Section 188 of WIA, are in 29 CFR Part 37. In addition, the general administrative regulations in 29 CFR Part 667 incorporate by reference several other sets of regulations covering a variety of topics. The State has developed and imposed only minimal additional state policies to supplement federal guidance, primarily when required to do so by the law or regulations. The State has not substituted their judgment for that of local areas, unless the matter is primarily a state concern.

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Generally, if the Act or regulations do not prohibit a particular practice, workforce areas have been encouraged to develop local policy to address the issue. In addition to providing minimal state policy, the State has interpreted and clarified the Act and regulations for local workforce areas, and has provided guidance in the form of suggestions, advice, factors to consider, and opinions to aid in the development of local policy. Annual program reviews of all local workforce areas will assess the strength and quality of local systems and opportunities for continuous improvement, and ensure compliance with all governing legislation.

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ill the state’s approach to monitoring be strictly complianceoriented?(See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

No. Two equally important principles were incorporated into the state’s monitoring system: to assess the strength and quality of local systems and opportunities for continuous improvement, and to ensure compliance with governing legislation. Through ongoing technical assistance, GDOL will continue to help local areas strengthen their systems to ensure quality customer service.

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hat are the primary components of the state’s monitoring system? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

Georgia’s oversight system includes performance, compliance, and programmatic aspects. These components are addressed through technical assistance and more formalized system monitoring. Technical Assistance Staff from various divisions of GDOL, including Workforce Development, Finance, Field Services/Equal Opportunity, Grants and Contracts, Dislocation Services, Management Information and Customer Support, and others provide ongoing technical assistance. Technical assistance is provided in group settings through meetings and roundtable discussions with local and state workforce system staff and partners, as well as one-on-one. In response to a local workforce area’s specific needs, designated Career Development Services field representatives or other GDOL staff provide technical assistance onsite, via telephone, or via email. Onsite Program Review Georgia’s monitoring process is designed to assess the strength and quality of local systems and opportunities for continuous improvement, and ensure compliance with all governing legislation. Review teams conduct formal reviews of local workforce areas, prepare summaries of the reviews, and provide technical assistance as needed.

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hat is the state’s program review process? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

Desk Review- The Career Development Services program review coordinator will lead the review team, composed of appropriate staff reviewing WIA programmatic, financial, procurement, non-discrimination and equal opportunity, and other systems. Prior to the onsite visit, various data sources will be reviewed, such as the local area’s plan, selfattestation portions of the review guide, performance data, and financial data. The team will meet prior to the onsite visit to share information about each member’s particular WIA knowledge of a specific area(s) and identify review focus areas. Onsite Review- Standardized topics will be targeted across local areas using the WIA/GoodWorks Program Review Guide. (See Appendix 15) Additionally, reviewers will examine any items requiring further attention, as identified during the desk review. Technical assistance and resolution of issues is an integral part of the process. Onsite reviews will generally last two or three days. Program Review Report- Observations identified by review team members in any stage of the review process will be discussed at the entrance conference, during the onsite review, and/or during the exit conference. A comprehensive report will be distributed to local areas, generally within 90 workdays of the end of the review. SUBPART E – RESOLUTION OF FINDINGS FROM MONITORING AND OVERSIGHT REVIEWS 667.500 What procedures apply to the resolution of findings arising from audits, investigations, monitoring and oversight reviews?

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elative to program reviews, what is the definition of an “observation”? Will all observations be identified in writing in the report prepared after the monitoring review? What is included in the report? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

An observation is an issue, question, deficiency, or problem identified by GDOL staff during the local area review. Observations will typically be accompanied by a Required Action or Recommendation. A Required Action involves a corrective action which must be demonstrated and documented within a designated timeframe, generally within 90 days. Recommendations result from a specific observation in which an issue is assessed and weakness identified. Recommendations are considered important and warrant follow-up by the local area with assistance from the assigned Career Development Services field representative.

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Program Review Reports follow a standard format in accordance with the Program Review Guide. (See Appendix 15) The report includes an Executive Summary as an attachment for simplified reference by staff and Local Workforce Board members. It is also anticipated that program reviews will yield content for a Technical Assistance Strategy for the area. The Technical Assistance Strategy will outline areas of interest for future discussion, suggestions for strengthening local systems (which the local area may want to consider), and plans for meeting any outstanding technical assistance needs. The Technical Assistance Strategy will be a tool to help guide the ongoing interaction between Career Development Services field representatives (and other GDOL staff) and the local area.

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ow long do local areas have to resolve required responses from program reviews? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

GDOL Career Development Services staff will oversee the resolution process. A Program Review Report will be issued to local areas generally within 90 workdays of the review. Local workforce areas will generally have 90 workdays to prepare any required responses.

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hat happens if required responses raised during a program review are not satisfactorily resolved within designated timeframes? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

Every effort will be made to help local workforce areas resolve required responses within designated timeframes. The Career Development Services WIA Director may grant reasonable extensions for extenuating circumstances. Ultimately, if required responses are not received, sanctions appropriate to the circumstances involved may be applied. Some sanctions require authorization from the State Board or GDOL’s Commissioner, as the Governor’s designee, others do not.

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hat if we don’t agree with some of the program review observations or the state’s suggestions for resolution? (See GDOL WIA Financial Management TAG, Chapter 3/Oversight & Monitoring)

Open discussion between local workforce areas and the GDOL Career Development Services field representative and/or review team members regarding observations and options for resolution will be encouraged. Required responses always involve compliance with the law, regulations, or state policy. Suggestions for improvement are not mandatory, but made with an interest in making the program or services better.

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re local areas required to follow the same process and procedures as GDOL regarding monitoring and monitoring resolution relative to audits? (See GDOL WIA Financial Management TAG, Chapter 8)
No. Local workforce areas are required to develop local policy and procedures meeting the basic principles and safeguards described in 667.200, but they are not required to follow processes and procedures identical to those of GDOL. The GDOL system may be useful, however, for local areas to use as a model for customizing according to local needs. The GDOL process, in turn, mirrors the federal review process. GDOL’s process and procedures are available from the Department’s Grant Auditor upon request.

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hat are the local workforce area’s responsibilities when we receive an audit report from independent auditors? (OMB A-133) (See GDOL WIA Financial Management TAG, Chapter 8)

Local workforce areas have the responsibility to review all audit reports received from independent auditors. Every recipient and subrecipient organization that expends $300,000 or more in Federal financial assistance funds during its fiscal or calendar year to operate one or more programs ($500,000 for fiscal years ending after December 31, 2000) must undergo an audit. 29 CRF 96.32, WtW 20 CFR 645.230(b)(3), and WIA 20 CFR 667.200(b)(2)(ii) require that commercial organizations that are subrecipients under WIA title I and WtW and that expend more than the $300,000 threshold ($500,000 for fiscal years ending after December 31, 2000) conduct either an organization wide or program specific audit. If a vendor is subject to an audit under the Single Audit Act, it may be advantageous and prudent from a management perspective to receive a copy of any audit report for that entity that covers internal controls of the organization, to ensure there are not findings related to funded projects. (Note: For additional guidance regarding audits and audit resolution, see Appendix 10, GDOL Audit/Audit Resolution Process. Comprehensive GDOL audit policies and procedures are also available from the GDOL Office of Financial Services upon request.) 667.505 667.510 How do we resolve investigative and monitoring findings? What is the Grant Officer resolution process?

SUBPART F – GRIEVANCE PROCEDURES, COMPLAINTS, AND STATE APPEALS PROCESSES 667.600 What local area, State and direct recipient grievance procedures must be established?

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hat are the differences between discrimination complaints and noncriminal grievances/complaints?

WIA complaints can generally be divided into two categories: • Discrimination complaints- Discrimination complaints address prohibited classes such as age, race, color, sex, national origin, disability, religion, political affiliation, and for beneficiaries only, citizenship or participation in any WIA title I activity or program. Program complaints- Program complaints, processed according to USDOL ETA regulations, address eligibility funding, services, violation of regulations, agreements, provisions, law, or labor standards.

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hat is the Department’s policy for addressing discrimination complaints?

Background The regulations at 29 CFR 37: Implementation of the Nondiscrimination and Equal Opportunity Provisions of the Workforce Investment Act of 1998, require the development and publication of complaint processing procedures and an explanation of the grounds or basis upon which a complaint may be filed. GDOL’s policy establishes the guidelines for prompt and equitable resolution that must be followed when any person believes that he/she or another person/group has been or is being subjected to discrimination, and files a complaint to this effect. Recipients of financial assistance under WIA title I are prohibited from discriminating against members of the public, applicants for services, registrants, participants, claimants, applicants for employment (with the local workforce agency or One-Stop center) and WIA funded employees on the basis of race, color, religion, sex, national origin, age, disability, political affiliation, or belief. In addition, it is prohibited to discriminate against any individual or beneficiary of WIA services based on the beneficiary’s citizenship/status as a lawfully admitted immigrant authorized to work in the United States. Finally, it is prohibited to discriminate against any individual or beneficiary of WIA services based on his or her participation in any WIA title I funded services or activity.

Consultation is available at the state level through its GDOL EO Administrator prior to complaint filing and during the informal process of a complaint resolution. Alternate dispute resolution should be encouraged and offered at every step in the complaint process. Complaints may be filed at the local, state, or federal level.

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hat are the principles governing discrimination complaints?

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Complainants who elect to file at the local level must allow the local entity 30 days to process the complaint. The Georgia Department of Labor Complaint Information Form and policy statement for filing discrimination complaints shall be easily accessible to all employees and participants. Neither the employee nor participant shall be made to feel intimidated or uncomfortable requesting or receiving a form or complaint procedure policy. No person filing a complaint shall be the victim of harassment, reprisal, coercion, or any form of discrimination or retaliation for having filed a complaint or having furnished information to, assisted, or participated in an investigation, review, or hearing. It is a person's right to file a complaint and express their opinion in a legal allegation. Complainants have the right to withdraw their complaint in writing at any time prior to the formal hearing. Complaints may be amended to clarify issues, but not to add new allegations. Complainants have the right to be represented by a properly delegated person of their own choosing at all levels of the complaint process (at their own expense). (29 CFR 37.75)

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hat are the State’s responsibilities in the discrimination complaint process?

GDOL’s policy for filing complaints is available on request from the EO Administrator for the Georgia Department of Labor. The Department has published and disseminated the Equal Opportunity (state and local) officers' names, addresses, and telephone numbers. Information regarding complaint procedures and forms is communicated through briefings and memoranda, and is available at local workforce areas, GDOL career centers, and One-Stop partner locations. Local workforce area partners and service providers will be required to process discrimination complaints within the parameters provided. The Department is responsible for ensuring that all service providers follow the complaint processing procedures as described. (29 CFR 37.77) A complainant has to file a complaint within 180 days of the alleged act(s) of discrimination. This complaint must be filed at either the local or state level, or with the USDOL Civil Rights Center (CRC) in Washington, D.C. The Department must provide an alternate dispute resolution process as an option in resolving the complaint. Mediation has been selected by GDOL as its alternate dispute resolution method. The Department must maintain a log of complaints filed for a period of three years after the end of the applicable program year. Or, where no complaints have been filed, have written procedures requiring the maintenance of the log. The log identifies the nature and basis for each complaint, lists the dates the complaint was filed and the investigation was completed, and includes the date and nature of the final disposition. (29 CFR 37.37)

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ho may file a discrimination complaint?

Any person who believes he/she or any specific class of individuals has been subjected to discrimination prohibited under WIA, Section 188 or 29 CFR 37 on the basis of race, color, national origin, religion, sex, age, disability, political affiliation or belief and, for beneficiaries only, citizenship or participation in WIA, must be given the option to file a written complaint. This includes applicants/registrants for aid, benefits, services or training, eligible applicants/registrants, participants, employees, applicants for employment, and service providers. (20 CFR 37.70)

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here may a discrimination complaint be filed?

The complainant may file at the local or state levels, or with the USDOL Civil Rights Center. If the complainant decides to file the complaint at the local level, the complaint shall be directed to the EO Officer of the local workforce area. At the state level, it shall be directed to the EO Administrator for the GDOL. At the federal level, it shall be directed to: Director, Civil Rights Center 200 Constitution Avenue NW, Room N-4123 FPB Washington, DC 20210. (37.71) For consultation prior to filing a complaint or during the informal resolution process at the local level, the complainant may consult with GDOL’s EO Administrator.

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hen must a discrimination complaint be filed?

The complaint must be filed within 180 days of the alleged discrimination. Only the Director of CRC, for good cause shown, may extend the filing time. (20 CFR 37.72 & 37.81)

hat is the Department’s policy and process for addressing noncriminal grievances/complaints and hearings?

Background The GDOL is responsible for implementing procedures for the State and local Workforce Investment Act areas, regulations, grants, or other agreements under WIA. These procedures should be followed to resolve grievances arising from: WIA programs operated by each grant recipient and subrecipient (e.g., service providers) under the Act; actions taken by GDOL with respect to investigations or monitoring reports; audit disallowances or the imposition of sanctions; violations of the terms and conditions of employment.

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Any registrant, participant, applicant, eligible applicant, subrecipient, subcontractor, employee, or other interested person may file a grievance with an administrative entity, contractor, or grantee.

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hat are the principles governing non-criminal grievances/complaints?

Even though the State has developed a formal process for resolving grievances and complaints, the State encourages informal resolution at all levels. There is nothing in the formal process that precludes an individual from pursuing a remedy authorized by federal, state, and local laws. State, grantee, or contractor employees should exhaust their local grievance procedures prior to using the state grievance procedures. All grievances/complaints must be received within 180 days of the alleged occurrence. Grievants/complainants should be encouraged to submit complaints in writing. Grievances and complaints not received in writing may be investigated at the sole discretion of the workforce area director. (29 CFR 37.72) No person filing a grievance/complaint shall be the victim of harassment, reprisal, coercion, or any form of discrimination or retaliation for having filed a complaint. It is a person’s right to file a grievance/complaint and express his/her opinion in a written allegation. (29 CFR 37.11) A complainant has the right to withdraw a grievance/complaint in writing at any time prior to the formal hearing. Grievances/complaints may be amended to clarify issues, but not to add new allegations. A complainant has the right to be represented by a properly delegated person of his/her own choosing at all levels of the complaint process, but at his/her own expense. (29 CFR 37.70 & 75) All employees and participants in employment or training shall be provided a written description of these procedures, notification of their right to file a grievance/complaint and the process of how to do so. The participant shall be notified if local laws, agreements, or personnel rules allow for additional procedures to file a grievance/complaint. (29 CFR 37.9 & 37.29) Complainants must exhaust the procedures at the local level before the grievance/complaint may be filed with the State. The only exceptions will be when GDOL receives information, generally from the complainant, and subsequently makes a determination that: • • The local grant recipient did not act within the specified time frame The local grant recipient was not in compliance with either its own or the state’s procedures

(For additional guidance regarding the non-criminal grievance/complaints process, see Appendix 12, GDOL Non-Criminal Discrimination Complaint Process. More comprehensive information is available from the GDOL EO Administrator upon request.) Chapter 8-43 April 2007

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What processes do we use to review State and local grievances and complaints? How are complaints and reports of criminal fraud and abuse addressed under WIA?

667.630

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ow do we know when to report suspected criminal fraud and abuse? (667.630, 667.505)

Consulting with the Workforce Development Division of GDOL is encouraged as a first step. Advice will be provided regarding involving the USDOL/Office of Inspector General (OIG). OIG will decide if their involvement is appropriate and/or advise what next steps should be. This may also involve the Regional Office of USDOL, state, or local investigations. OIG usually won’t investigate isolated instances of poor administration, but are more likely to pursue apparent willful malfeasance or fraud for personal gain. Information and complaints involving criminal fraud, waste, abuse, or other criminal activity must be reported immediately through USDOL’s Incident Reporting System USDOL Office of Inspector General, Office of Investigations, Room S5514, 200 Constitution Avenue NW, Washington, D.C. 30310, or to the corresponding Regional Inspector General for Investigations, with a copy simultaneously provided to the Employment and Training Administration. The Hotline number is 1-800-347-3756. 667.640 What additional appeal processes or systems must a State have for the WIA program? What procedures apply to the appeals of non-designation of local areas? What procedures apply to the appeals of the Governor’s imposition of sanctions for substantial violations or performance failures by a local area?

667.645

667.650

SUBPART G – SANCTIONS, CORRECTIVE ACTIONS, AND WAIVER OF LIABILITY 667.700 What procedure do we use to impose sanctions and corrective actions on recipients and subrecipients of WIA grant funds? Who is responsible for funds provided under title I of WIA? What actions are required to address the failure of a local area to comply with the applicable uniform administrative requirements?

667.705 667.710

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667.720

How do we handle a recipient’s request for waiver of liability under WIA section 184(d)(2)? What is the procedure to handle a recipient’s request for advance approval of contemplated corrective actions? What procedure must be used for administering the offset/deduction provisions at section 184(c) of the Act?

667.730

667.740

SUBPART H – ADMINISTRATIVE, ADJUDICATION AND JUDICIAL REVIEW 667.800 What actions of the Department may be appealed to the Office of Administrative Law Judges? What rules of procedure apply to hearings conducted under this subpart? What authority does the Administrative Law Judge have in ordering relief as an outcome of an administrative hearing? What special rules apply to reviews of NFJP and WIA INA grant selections? When will the Administrative Law Judge issue a decision? Is there an alternative dispute resolution process that may be used in place of an OALJ hearing? Is there judicial review of a final order of the Secretary issued under section 186 of the Act? Are there other remedies available outside of the Act?

667.810

667.820

667.825

667.830 667.840

667.850

667.860

SUBPART I – TRANSITION PLANNING 667.900 667.910 What special rules apply during the JTPA/WIA transition? Are JTPA participants to be grandfathered into WIA?

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