ADULT WORKFORCE
DEVELOPMENT PROGRAM
(AWDP)
MONITORING E-GUIDE
Minnesota Department of
Employment and Economic Development
Workforce Development Division
Workforce Services Coordination
Revised July 29, 2014
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Table of Contents
Table of Contents ........................................................................................................ 2
Introduction .................................................................................................................. 3
References .................................................................................................................. 4
E-Guide Information: ................................................................................................... 4
Major Revisions: .................................................................................................... 4
Notes ........................................................................................................................... 5
General Information: .............................................................................................. 5
Persons Interviewed: ............................................................................................. 5
Program Specialists Concerns: .............................................................................. 5
Project Overview ......................................................................................................... 6
Priority of Service: .................................................................................................. 6
Eligibility: ................................................................................................................ 6
Sites or Specialized Centers: ................................................................................. 6
Project Services & Activities ........................................................................................ 6
Assessment: .......................................................................................................... 6
Training: ................................................................................................................. 7
Job Search:............................................................................................................ 7
Unsubsidized Employment: ................................................................................... 8
Supportive Services: .............................................................................................. 8
Analysis of On-the-Job Training (OJT) Contract .......................................................... 9
General Information: .............................................................................................. 9
Performance Requirements: .................................................................................. 9
Fiscal Control and Accountability: .......................................................................... 9
General Provisions, Assurances and Certifications: ............................................ 10
Project Expenditures & Financial Reconciliation ........................................................ 11
Desk Review ........................................................................................................ 11
Financial Reconciliation: ...................................................................................... 12
Property Procurement: ......................................................................................... 12
EEO/Program Complaint ........................................................................................... 13
Project Performance .................................................................................................. 13
Project Participant, Activity, Performance Standards: .......................................... 13
Reporting ................................................................................................................... 14
WorkForce One (WF1): ........................................................................................ 14
System Security: .................................................................................................. 14
Participant File Review
AWDP ................................ 16
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Introduction
The purpose of this guide is to assist in determining whether the Grantee is conducting
the Adult Workforce Development Program grant in accordance with the approved work
plan and State policies.
Since the administration and program approach of Grantees may vary widely, this
review activity will be flexible. The Field Representative must ascertain the unique
structures of each program prior to a more detailed analysis.
The Grantee visit will be preceded by a desk review of all project material available at
the Grantor's offices. The office to be visited will be contacted and suitable
arrangements will be made as to date, time of the visit, and appropriate staff
involvement. Times for entrance and exit conferences will be set. Confirmation of
these details will be made by letter which is sent via email.
The entrance conference will describe plans, products of the review, and will obtain
basic overview information about the project. Points to be covered will include:
1. Scope of the visit
 Subject Matter
 Method of Review
2. Review of applicable sections of the law, regulations and State policies
3. Results
 Exit Conference
 Written Report
Using the discussion topics, the Field Representative will present all tentative findings.
Any additional information the Grantee can provide should be incorporated at this point.
Grantee requests for technical assistance should be noted and included in the
monitoring report.
A final report and cover letter will be prepared within 60 days after completion of the
onsite review.
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References
The monitor will need copies of:
 Job Search Curriculum
 Inventory List (if property and/or equipment has been purchased using DEED
project funds)
E-Guide Information:
To avoid loss of input data, save this guide to your computer before entering
information. Narrative fields will expand to accommodate input.
Major Revisions:
November, 2013
To remove duplication between guides, the following sections were removed from this
guide:
 Project Overview/Onsite Review – fiscal information is in Fiscal Monitoring
Guide.
The Participant File Review was updated to reflect current WF1 activity choices.
July, 2014
Updated Microsoft Word formatting to improve usability.
To remove duplication between guides, the following sections were removed from this
guide:
 Audit Review – fiscal information is in Fiscal Monitoring Guide.
 Equal Opportunity/Affirmative Action/Grievance Compliance – information is in
the Local Unified Plan/Annual Assessment
Included an EO/Program Complaint question
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Notes
General Information:
Grantee:
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Grant Number:
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Project Name
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Start/End Dates:
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Date(s) of Visit:
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Monitored by:
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Funding Level:
$ Click here to enter text.
Modification Summaries
1: Click here to enter text.
2: Click here to enter text.
Are any (additional) modifications in process or anticipated?
☐
Yes ☐
No
If yes, please summarize:
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Persons Interviewed:
Name
Title
Representing
1.
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2.
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3.
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4.
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5.
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6.
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7.
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Program Specialists Concerns:
Review the approved workplan and narratives. Meet with the Program Specialist prior to
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the onsite review for project specific concerns.
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Project Overview
Priority of Service:
Review the demographic report to determine whether the Grantee is serving adults who
face one of the seven specified barriers to employment.
☐ Individuals who are deaf or hard of hearing ☐ Veterans
☐ Individuals with a Disability
☐ Individuals returning to work after receiving public assistance
☐ Individuals who identify with minority ethnic/race group
☐ Long-term unemployed (26+ weeks)
☐
☐ Older Workers (50+)
☐
Eligibility:
What documentation is used to determine eligibility for the project? Verification of:
☐ Birth Date
☐ Right to Work
☐
Veteran Status (DD-214)
☐ Citizenship
☐ Selective Service Registration
☐
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☐ Residency
☐ Social Security Number
☐
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All documents are required as part of the participants file.
Sites or Specialized Centers:
What sites or specialized centers provide program services?
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Project Services & Activities
Assessment:
What methods of evaluation are used to assess the participant’s basic language, math,
and computer skills?
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How are participants skills determined to be obsolete?
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How do you track “educational gains” as determined by standardized assessments?
What standardized assessment is used?
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Training:
☐
Yes ☐
No
Are participants paid?
☐
Yes ☐
No
Will participants be hired by the worksite?
☐
Yes ☐
No
Does your project utilize internships/work experience?
If you checked yes, please answer the next two questions:
Which occupations have been selected for participant training?
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What specific job skills were developed?
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What factors determine the appropriateness of the form of comprehensive assessment
used (diagnostic assessment of tools or interviewing)? Who makes the decision?
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What Labor Market Information is used to select training that leads to targeted highgrowth and high-wage demand-driven occupations?
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What is your procedure for verifying credential (degree, diplomas, certificates, licenses,
etc.) attainment?
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How many participants have achieved credentials and in what field?
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Job Search:
Describe the method used to provide the following activities:
Job Training /Work Experience
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Job Search Techniques and Activities
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Assessment of support and career / educational plans
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What is included in the Job Search curriculum? Monitor will obtain a copy of the materials.
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How does program staff collaborate with existing programs and services available from
WorkForce Centers (for example – Minnesota Works and/or Workshops?)
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Unsubsidized Employment:
How is the increase in employability or employment opportunity measured?
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Who is responsible for developing the employment opportunities?
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What methods are used to track job retention following program exit?
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What is your procedure for verifying an entered employment?
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Supportive Services:
What supportive service policy has been developed to ensure resource and service
coordination, including procedures for referral?
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Has the Grantee established limits on the amounts and duration of
funds for supportive services?
☐
Yes ☐
No
If yes, please explain:
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What support services have been provided to job search participants?
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What support services have been provided to individuals already employed or in
training?
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How are support services tracked?
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Is support service information/documentation maintained in
participants file?
☐
Yes ☐
No
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Analysis of On-the-Job Training (OJT) Contract
Do you use OJTs?
If no, proceed to Project Expenditures & Financial Reconciliation.
☐
Yes ☐
No
General Information:
Employer
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Contract Period
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Contract Amount
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Check the type of contractor:
☐ Private Sector
☐
to Click here to enter text.
Private Non-Profit
☐
Public
Performance Requirements:
Does the OJT Contract provide in clear and unambiguous terms the following
elements?
Is the training outline consistent with the training objective?
☐
Yes ☐
No
Length of training determined in accordance with the O*Net,
NAICS or an equivalent tool?
☐
Yes ☐
No
The hourly wage to be paid the participant by the employer?
☐
Yes ☐
No
Are the benefits the same as for other employees?
☐
Yes ☐
No
The method and amount of reimbursement to the employer?
☐
Yes ☐
No
Is the reimbursement amount equal to or no more than 50% of
the wage rate paid to the participant?
☐
Yes ☐
No
The number of participants to be trained?
☐
Yes ☐
No
Union concurrence if applicable?
☐
Yes ☐
No
Provisions for monitoring?
☐
Yes ☐
No
Fiscal Control and Accountability:
Does the OJT Contract adequately and clearly specify requirements for:
Record keeping requirements, including tracking of participant
time and attendance and maintenance of payroll records,
including canceled payroll checks?
☐
Yes ☐
No
Invoicing requirements, including frequency of billings and
required supporting documentation?
☐
Yes ☐
No
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General Provisions, Assurances and Certifications:
Does the OJT Contract contain clearly stated general provisions, assurances, and
certifications related to:
Compensation of the participant at the highest of the Federal,
State, or local minimum wage or the prevailing wage rate of
similarly situated employees?
☐
Yes ☐
No
Workers' Compensation?
☐
Yes ☐
No
Health and safety in work and training situations?
☐
Yes ☐
No
Child Labor Laws and Fair Labor Standards Act?
☐
Yes ☐
No
Records maintenance, retention, and access including
monitoring?
☐
Yes ☐
No
Adherence to the (if appropriate) WIA Law, regulations and/or
all applicable State policies and procedures?
☐
Yes ☐
No
Subrecipient compliance with all applicable business licensing,
taxation, and insurance requirements?
☐
Yes ☐
No
Termination conditions, including non-performance and lack of
funds?
☐
Yes ☐
No
Liability, sanctions, and debt repayment?
☐
Yes ☐
No
Modification conditions and requirements?
☐
Yes ☐
No
Non-discrimination?
☐
Yes ☐
No
Prohibition against sectarian activities/religious worship?
☐
Yes ☐
No
Prohibiting displacement of other employees?
☐
Yes ☐
No
Prohibition against political activity, the Hatch Act, and
association with union organizing?
☐
Yes ☐
No
Prohibiting use of funds to encourage business relocation?
☐
Yes ☐
No
Data Privacy Act?
☐
Yes ☐
No
Minnesota Right-to-Know Act?
☐
Yes ☐
No
Americans with Disabilities Act?
☐
Yes ☐
No
Debarment, Suspension, Exclusion, Lobbying?
☐
Yes ☐
No
Grievance Procedure?
☐
Yes ☐
No
Nepotism?
☐
Yes ☐
No
Hold Harmless against Lawsuits and Claims?
☐
Yes ☐
No
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Project Expenditures & Financial Reconciliation
Desk Review
Date of WF1
Report:
From Click here to enter a date. to Click here to enter a date.
Click here
%
Subgrant Admin
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%
Client Core Services
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%
Direct Customer Training
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%
Client Service Related
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%
Support Services
Planned
(Click here
Qtr)
Actual
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%
Client Core Services
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%
Direct Customer Training
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%
Client Service Related
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%
Support Services
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%
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%
Subgrant Admin
(10% maximum)
(50% minimum)
(15% maximum)
TOTAL
Variance
(+/-15%)
Monitor’s Notes:
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Will all grant funds be expended by grant’s end?
☐
Yes ☐
What is the total amount of leveraged funds obtained for the project?
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What is their source?
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How is Return on Investment measured and reported? How is it documented?
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No
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Financial Reconciliation:
Monitor will conduct a financial reconciliation with the Grantee’s fiscal staff.
Minnesota’s Office of Grants Management (OGM) policy 08-10 requires one
financial reconciliation (can be more than one depending on findings) for a grant
award over $50,000.
Financial Reconciliation process includes but is not limited to:
 Program Monitor will select the Financial Status Report (FSR) or Invoice for a
specified time period in advance of the on-site review
 The Grantee will be notified of the selected time period prior to the on-site review
 Cost categories on FSR/Invoice will be compared to service provider’s financial
transaction report.
 Program Monitor may request/obtain supporting documentation for each cost
category to trace back to initial invoices.
For Grantees that submit FSRs or Cash Advance Payment Requests (CAPR):
 The CAPR will be compared to actual expenditures for the reporting period
 The FSR will be compared to Reimbursement Payment Request for the reporting
period
 Differences between expenditures and payments received for the same given
period will be identified.
Monitor’s Notes:
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Property Procurement:
In the past year, has property and/or equipment been purchased
by the Grantee with DEED project funds?
☐
Yes ☐
No
If yes, list:
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If yes, review appropriate documentation. (Secure an inventory list of purchases of
$1,000 or more; approval is needed for purchases of $5,000 or more.)
How is loss, damage, or theft of equipment investigated?
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Does the Grantee have an equipment disposition procedure?
☐
Yes ☐
No
Do a sample of property against the inventory list. Monitor will obtain a copy inventory list.
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EEO/Program Complaint
Have any formal or informal program complaints been files specific
☐
to this grant?
Yes ☐
No
If yes, Please elaborate:
Click here to enter text.
Project Performance
Project Participant, Activity, Performance Standards:
Date of WF1 Report:
Participant Plan
Total Enrollment
(Total Served)
Total Exited Participants
(Total Exiters)
Entered Employment
(Total Successful Exiters)
Other
(Total Exited Participants – Enter Employment)
Current Enrollment
(Total Enrollment – Total Exited Participants)
From Click to enter date. to Click to enter date.
Planned
(Click here
Qtr)
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enter text.
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enter text.
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Variance
(+/- 15%)
WF1 Actual
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%
%
%
%
%
Actual ÷ Plan % = % of plan achieved
Monitor’s Notes:
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Is the project on target based on the workplan?
☐
What is the average wage at placement?
$
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enter text.
PROGRAM YEAR 2014 AWDP PERFORMANCE STANDARDS
Adult Workforce Development
Program
SFY 2014
SFY 2015
Get a Job All Participants
71%
Get a Job Of Those Unemployed
64%
Yes ☐
No
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Kept a Job
(Employment Retention Rate)
Average Earnings
(In Six-Month Earnings)
Earnings Change
(Avg. Change in Six-Month Earnings)
92%
$10,000
$5,300
Number of Participants
Served (Enrolled into program)
3,104
Reporting
Has Grantee provided complete and timely reports?
Financial Status Report/Request for Reimbursement –
received by the 20th of the month following activity
☐
Yes ☐
No
Quarterly Narratives – due 3 weeks after the quarter ends
☐
Yes ☐
No
WorkForce One (WF1):
Who enters data into WF1?
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Was there formal training provided to the staff who enter data into WF1?
Click here to enter text.
Have there been any concerns or difficulties with entering data into WF1?
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System Security:
What security measures ensure confidentiality of data (including paper forms and
documents, electronic, CDs, etc.)? See Protection of Personally Identifiable Information
(PII) TEGL 39-11
Click here to enter text.
How do you protect any of the above paper or electronic media from deliberate or
accidental loss?
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Have you had to use your back-up system recently for any
reason?
If yes, please explain.
☐
Yes ☐
No
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Is the Grantee aware of the six-year record retention requirements
under State law?
Where are records currently being retained?
Click here to enter text.
☐
Yes ☐
No
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Participant File Review
AWDP
Service Provider
Click here to enter text.
Participants Name
Click here to enter text.
Workforce One:
☐ Citizenship
Age Click
Enrollment Date:
☐ Right to Work (documentation required)
Verification of:
☐ Birth Date (copy)
☐ Complaint/Discrimination Form
☐ Consent Form – Wage Detail
☐ Data Privacy Form
(18+)
Click here.
☐ Selective Service (born after 12/31/59)
☐ Social Security Number (copy)
☐ Veteran (DD214) - Documentation Required
Priority of Service (70% of participants must be eligible under one category):
☐ Individuals who are deaf or hard of hearing
☐ Individual with a Disability
☐ Individuals returning to work after receiving public assistance
☐ Individuals who identify with minority ethnic/race group
☐ Long-term unemployed (26+ weeks)
☐ Older workers (50+)
☐ Veterans (DD214)
Reading/Math Scores:
Case Notes in files:
☐ Regular contact
☐ Gaps in contact
Reading Click here
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Click here to enter text.
Program Elements Reflected in WF1:
☐ Assessment
☐ Career Counseling
☐ Classroom Training
☐ Individual Plan Development
Individual Employment Plan: ☐ Complete
Placement Information:
Employer
Click here to enter text.
Job Title
Click here to enter text.
☐ Credential
COMMENTS:
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Math Click here
☐ Job Search
☐ Orientation
☐ Click here to enter text.
☐ Click here to enter text.
☐ Incomplete
☐ Needs Updating
Wage $
☐ Follow-up
Click
Produced by:
MINNESOTA DEPARTMENT OF EMPLOYMENT AND ECONOMIC DEVELOPMENT
Workforce Development Division – Workforce Coordination
1st National Bank Building
332 Minnesota Street, Suite E-200
Saint Paul, Minnesota 55101-1351