Request for ProposalsWorkforce Innovation and

Opportunity Act of 2014 (WIOA)Public Law 113-128

Adult/Dislocated Worker Training Services

Program Year2015

(July 1, 2015 to June 30, 2016)

Isothermal Planning and Development CommissionPO Box 841Rutherfordton, NC 28139Tim Mathis, Director of Workforce Development(828) 287 0262 ext. 1233tmathis@regionc.org

This request for proposal is prepared in a Microsoft Word format. Any alterations to this document made by the proposer may be grounds for rejection of proposal, cancellation of any subsequent award, or any other legal remedies available to the Region C Workforce Development Board.

Contents

RFP Timeline............................................................................................................................................. 4

Resource Materials ......................................................................................................................................5

Section I. Background and General

Information…..………………..………………………………………………………………………..6

Introduction .............................................................................................................................................. 6

Purpose ..................................................................................................................................................... 6

Eligible Organizations.............................................................................................................................. 7

Proposal Requirements............................................................................................................................. 7

Available Funds…………………………………………………………………………………………8

Scope of RFP……………………………………………………………………….…………….…….10

A. Program Design Requirements ........................................................................................................... 10

WIO Dislocated Worker Services Overview ...................................................... ……………………….10

Locally Identified WIOA Service Needs............................................................................................. 12

Additional program requirements ........................................................................................................ 15

B. Program Administration..................................................................................................................... 16

Contractor Responsibilities ................................................................................................................. .16

C. Performance Outcomes ...................................................................................................................... 17

D. Fiscal and Administrative Requirements…………………………………………………………..18

Section III. Proposal

A. General Submission and Format Instructions ................................................................................ 24

WIA PROPOSAL COVER SHEET ………............................................................................................. 25

B. Statement or Work Narrative 2

...............................................................................................................26

1. Executive Summary ...........................................................................................................................26

2. Work Plan .........................................................................................................................................25

3. Employment Development ............................................................................................................ ...26

5. Agency Information.......................................................................................................................... 27

6. Performance Outcome.................................................................................................................... ..27

7. Budget and Program Planning Instructions ..................................................................................... 28

Section IV. Terms and Conditions………………………………………………………………………………………………..….29

Appendices

Appendix A-Equal Opportunity

Appendix B-Budget Form

Appendix C- Job Descriptions

Appendix D-Assurances and Certifications

Appendix E-Evaluation Criteria

Attachments

Attachment A-Registration for WIA Services (information only)

Attachment B-Checklist of required documents

Attachment C-WIA Policies (modifications pending regulations)

Attachment D-Integrated Service Delivery Policy

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RFP TimelineAction Item Time/Date Location

WDB RFP Committee Established

12/31/2014 IPDC

RFP Completed and posted and advertised along with letter of

intent to bid notice.

1/6/2015 Region

Letters of Intent to Bid due 1/30/2015 at 5:00p.m. IPDC PO Box 841,

111 West Court St. Rutherfordton NC 28139

Mandatory Bidders Conference 2/10/2015 10:00a.m. IPDC PO Box 841,

111 West Court St. Rutherfordton NC 28139

Proposals Due 3/13/2015 5:00 p.m. IPDC PO Box 841,

111 West Court St. Rutherfordton NC 28139

Staff Review 3/31/2015 IPDCPresentations of and

recommendations to WDB Committee

4/30/2015 IPDC

Committee presentation of recommendations to full WDB

with action/selection

5/7/2015 IPDC

Contract negotiation with elected provider

5/22/2015

Contract Award 5/29/2015 IPDCProject Start Date 7/1/2015

Note: All dates after the final proposal submission deadline are approximate and

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may be adjusted as conditions dictate, without addendum to this RFP.

Resource MaterialsResource materials relating to Workforce Investment Act Title I-B programs which may aid inpreparing Request for Proposals are available on the internet at the following sites:

Workforce Innovation and Opportunity Act is available at:http://www.doleta.gov/wioa/Workforce Investment Act is available at:

http://wdr.doleta.gov/readroom/legislation/pdf/105-220.pdf Workforce Investment Act Regulations available at:

http://www.doleta.gov/usworkforce/wia/finalrule.pdf A copy of the Wagner Peyser Act and regulations are available at:w w w.dol e ta . g ov/pr o g ra ms / w a g n e r_p e y s e r.cfm

North Carolina Division of Policy Statements and Related Bulletins available at: ht t p: // w w w.n cc om m e r c e . c om / w o rk f o r ce /wor k fo rc e - p r o f e ss i on a ls / pol i c y - sta t e ments

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SECTION I. BACKGROUND AND GENERAL INFORMATION

Introduction

The Workforce Development Department of Isothermal Planning and Development Commission (IPDC), under the policy oversight and guidance of the Region C Workforce Development Board (WDB) and within the rules, regulations, concepts and funding prescribed by the current Workforce Investment Act of 1998, administers adult and dislocated worker workforce development programs in Rutherford, Cleveland, McDowell, and Polk Counties in North Carolina. All activities will transition to the Workforce Innovation and Opportunity Act of 2014 WIOA which was signed into law on July 22, 2014 with implementation scheduled for July 1, 2015. The purpose of this Request for Proposals (RFP) is to select an entity to provide adult and dislocated worker workforce development services through the Region C Career Center system from July 1, 2015 – June 30, 2016. The contracted services must be consistent with the intentions of Workforce Innovation and Opportunity Act contractual requirements as defined by the WDB.

This RFP has been designed largely around the Workforce Investment Act requirements but responders must understand that final awards, contracts, and funded activities will be consistent with the requirements of the new legislations (WIOA).

Successful organizations must agree to the delivery of services within the Integrated Service Delivery model adopted by the State and must use the recently implemented information technology system (NCWORKS.gov) to track program activities and follow state and local policies and operational procedures.

Adult and Dislocated Worker Programs have been delivered as an in-house activity with responsible staff employed by the administrative entity—Isothermal Planning and Development Commission (IPDC) in combination with contractual arrangement. Successful bidders awarded contracts for program operations will be required to hire existing program employees that are currently employed as WIA case management and program delivery staff. Awardees will be required to maintain those staff members for a minimum of 90 days unless there is cause for dismissal or mutually agreed upon separation.

Purpose

The purpose of this Request for Proposals is to fund proposals that provide workforce development services to WIOA eligible adults and dislocated workers in the four counties previously mentioned. Proposals should address strategies that enhance a customer’s ability to move into self-sustaining employment, resulting in an upwardly mobile career path and higher earnings potential. Programs should include strategies that reflect effective integration of services with other partners of the Career Center system in the region and proactive strategies to involve business services in the design of strategies and

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implementation of the program. Bidders may propose services in all four counties, a combination of counties, or a single county.

Eligible Organizations

Organizations eligible to submit proposals for this RFP include: private for-profit businesses; private not-for-profit organizations (including faith and community-based

organizations labor groups governmental entities (including the public school system, community colleges,

local government and other public sector organizations);

Any not-for-profit entity MUST have been incorporated for at least two (2) years (as evidenced by a letter from the governing body certifying proof of incorporation) and be designated as a 501 c-3 tax-exempt organization by the Internal Revenue Service.Any for-profit entity must have been incorporated at least two (2) years.All entities must have the authority to conduct business in North Carolina

Applicants must provide an Original Certificate of Insurance. The Certificate of Insurance must include:

Commercial General Liability -Combined single limit not less than $1,000,000 per occurrence, with an annual aggregate on not less than $2,000,000.Worker’s Compensation -Employers' liability, $1,000,000. Automobile Liability coverage -Combined single limit of $1,000,000.

Proposal Requirements

All proposers must submit a letter to intent to bid form and certify that they have read the published Request for Proposal and understand the guidelines and the services that are being procured. Letters must be received by 5:00 on January 30, 2015 to be eligible to be considered for funding. Letters must be sent to:

Tim Mathis, Director of Workforce Development Isothermal Planning and Development CommissionPO Box 841Rutherfordton, NC 28139

All proposers must demonstrate the ability to serve Cleveland, McDowell, Polk, and Rutherford County adults and dislocated workers through coordinated services that m a y be delivered through partnerships, sub- contractors, or collaborative agreements. Any sub-contract must be approved by the WDB prior to execution.

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Although certain duties may be subcontracted or achieved through collaboration with one or more qualified agency-(ies), the lead agency retains all responsibility for contract performance and monitoring of subcontractors and collaborators.

Funds awarded must be utilized to serve WIOA eligible adults and dislocated workers. Proposals that are submitted that target specific populations of Adult Workers and Dislocated Workers will not be considered for funding.

Respondents must propose a cost reimbursement contract. A Cost Reimbursement Contract is one that establishes an estimate of total costs for the purpose of obligating funds and a ceiling that the contractor may not exceed (except at contractor’s risk) unless the awarding party agrees to amend the contract to provide additional funds.

Available FundsExact funds available in this RFP will not be known until the N.C. Department of Commerce, Division of Workforce Solutions releases the Final Program Year 2015 allocations. Bidders may base their proposal budgets on the figures on their estimated cost for staffing and associated expenses for individuals who are involved in delivering WIOA Training Services—the issuance of ITAs (vouchers), development of workplace learning opportunities, and associated services. *It should be noted that all funds for the payment of training, participant supportive services, and rent associated with the Career Center Systems, will be retained by, and administered through the IPDC Workforce Development Department. Funds awarded through this RFP will be for staffing only.

THIS INFORMATION IS PROVIDED FOR PLANNING PURPOSES ONLY

TENTATIVE FUNDING AVAILABLITY PY2015Program Funds for WIOA Adult and Dislocated Worker Services

Estimated amount available for contract award for staffing and the cost of doing business is:

Adult $165750Dislocated Worker $159250Total $325,000.

County Adults Dislocated Workers

Cleveland $74,970 $72,030McDowell $35,700 $34,300Polk $16,065 $15,435Rutherford $51,767 $49,735

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Amounts available for the provision of training and associated services to participants which includes ITAs, supportive services, training supplies and other training expenses:

Adult $442,500 Dislocated Worker 307,500Total $750,000

County Adults Dislocated Workers

Cleveland $185,850 $129,150McDowell $88,500 $61,500Polk $39,825 $27,675Rutherford $128,325 $61,500

Funds for training and associated costs will be retained and administered through the Local Area.

Region C Career Center SystemThe WIOA sets forth an Integrated Service Delivery system under which entities responsible for administering workforce investment, educational, and other human resource funding collaborate to create an Integrated Service Delivery system. The Region C WDB puts a priority on non-duplication of services, universal access of programs, integration with the community at large, and targeted assistance for employers and jobseekers. In addition, WIOA provides additional levels of accountability and flexibility in meeting local market demands.

Selected contractors will provide staffing in an Integrated One Stop Delivery Center working directly with staff from the North Carolina Department of Commerce, Division of Workforce Solutions. Bidders desiring to serve as a contracting organization should note that the following are the fundamental principles of the Western Piedmont WDB Integrated One-Stop Delivery System.

Integrated Service Delivery: The Region C WDB Integrated One-Stop Delivery System will provide services through Workforce Investment Act (WIA), Wagner-Peyser, Trade Adjustment Assistance (TAA), and Veterans Services programs at local Career Centers and satellite facilities. The purpose of this RFP is to identify contractors that can provide operation and services through WIA funding in the context of this integrated environment.

Center Manager: In the Region C Integrated One-Stop Delivery System, functional supervision will play a key role in the operations. To implement this supervisory approach, the One-Stop Career Center will include a Center Manager who is directly responsible for day-to-day operational activities. The Center Manager will make operational decisions concerning customer flow, deploy staff as necessary to manage the customer flow, and be responsible for the overall quality and effectiveness of the

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Region C WDB Integrated One-Stop Delivery System. The functional supervision recognizes that the contracting organization is considered the employer of record and has internal human resource functions that must be managed within the organization. Please note that the Region C WDB will work with each center to identify the Center Manager, and that this may, or may not be a member of the approved WIA contractor staff.

Team-Based Staff Deployment: In the Region C One-Stop Delivery System, staff will be deployed in functional teams that work together to meet the needs of job seekers and employer customers. The specific functional teams that will operate in each Career Center will include a Welcome Team, a Skill Development Team, an Employment Team, and an Employer Services Team. Through this RFP, the Region C WDB is seeking contractors that can staff three of the teams: Welcome, Skill and Employment functional teams with high energy, experience and qualified professional individuals. The contractor staff must deliver high quality services to customers and also have the ability to determine the need for supportive services for employment and training, assessing availability and suitability and identifying resources to meet the customer’s needs.

Partners/Coordination/Linkages: The Workforce Investment Act (WIA) and the Region C WDB require partnering and collaboration to deliver the most effective services in order to have the greatest possible community impact for customers and employers. Having as many partners as possible only strengthens the delivery of services. The approved WIA contractor must sign a Memorandum of Understanding (MOU), which will be developed by the Region C WDB. The MOU must document at a minimum the following information: a description of what customer services and employer services will be provided by each partner; how cost of services and operating costs of the partnership will be funded; method of referral between partners; duration of memorandum and procedures for amending the memorandum; other provisions as agreed upon by the parties of the MOU; and partnerships and collaborations with other organizations is required.

Partners, coordination and linkages ensure customers receive information on the full array of services available to them and referrals to appropriate training and educational programs.

SECTION II. SCOPE OF THE RFP

A. Program Design Requirements

WIOA Adult and Dislocated Worker Services OverviewThe Workforce Innovation and Opportunity Act (WIOA) reauthorizes and reforms the federal workforce system providing several modifications and improvements that will enable job seekers to connect to good jobs and acquire skills needed to obtain them. Specific to the

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services being procured through this request are the activities that provide access to high quality training by helping job seekers acquire industry-recognized credentials for in-demand jobs. That includes:

Training that leads to industry recognized post-secondary credentials Use of career pathways to provide education and employment and training assistance

to accelerate job seekers’ educational and career advancement Develop career pathways for critical industry clusters Target resources towards helping individuals gain skills and experience needed

for in-demand occupations Improved customer choice and quality through multiple procurement methods

including individual training accounts, pay for performance contracts, and dire contracts with higher education providers

WIOA also ensures that unemployed and other job seekers have access to high-quality workforce services.

WIA service categories of core and intensive services are collapsed into “career services” and there is no required sequence of services, enabling job seekers to access training immediately.

Local areas have flexibility to serve job seekers with greatest need by transferring up to 100 percent of funds between the Adult and Dislocated Worker programs.

Job seekers who are basic skills deficient, in addition to those who are low-income individuals, have a priority for services from the Adult program.

Unemployment insurance claimants can receive eligibility assessments and referrals to an array of training and education resources through the Wagner-Peyser Employment Service program.

WIOA also promotes the use of Registered Apprenticeship, a proven mode that provides workers with career pathways and opportunities to earn while they learn.

Using the State of North Carolina’s new integrated Service Delivery model, this Request forProposals solicits a dual role of services (WIOA and Wagner-Peyser) with the core function being WIOA adult and dislocated worker services at the Career Centers and designated satellite sites referred to in the program overview. The services to be provided under this proposal include assessment, intake, case management, development of an individual employment plan, placement, and follow-up for all eligible adults and dislocated workers seeking services at the Career Centers or associated sites. Program staff will be required to provide the following:

Assistance with enrollment and direction to services within Wagner-Peyser; Determination of eligibility to receive assistance under the WIOA;

Outreach, intake, and orientation to the information and other services available through the Integrated delivery system;

Initial assessment of skill levels, aptitudes, abilities and need for supportive services; Labor market information;

Vouchers for supportive services such as personal protective equipment, tools and/or transportation;

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Referrals to and enrollment in WIOA training services, as appropriate; Job referral and placement assistance;

Comprehensive and specialized assessment of skill levels and service needs Development of an individual employment plan Group Counseling Individual counseling and career planning Job Referral and placement assistance Case Management Short-term pre-vocational services

Cooperation with job development activities conducted by the regional business service that will help increase employment opportunities for WIOA participants; andfollow-up services, in association with the WDB staff, after exit for participants placed in employment in need of additional assistance to retain employment.

Contracted WIOA program staff that make referrals to outside service providers will be expected to:

Provide partner agencies with releases of information (disclosure agreement), as needed; Share relevant participant information at the time of referral; andMaintain regular contact with service providers regarding the participant attendance and progress.

Respondents to this RFP must provide services to eligible adult and dislocated workers.

The following eligibility rules will apply to all customers enrolled in WIOA services. Eligibility rules may change based on guideline from DWS and USDOL, and with the issuance of WIOA regulations. All Career Center customers (when eligibility permits) will be co-enrolled in the performance pool of both the WIOA Adult and Dislocated Worker programs and Wagner-Peyser program during the first visit to the centers. This process may change with when regulations are issued.

WIOA Adult – Basic Eligibility Requirements

1. 18 years of age or older 2. County Resident 3. US citizen or eligible non-citizen 4. In compliance with Selective Service registration requirements (for male applicants)

WIOA Adult – Expanded Eligibility Requirements for Training Services

For WIOA Adult Training services (OJT, Work Experience, 1 and 2 year Skills Degree/Diploma programs), the Region C WDB operates under a Priority of Services for the Adult program and the following eligibility rules also apply.

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Three target groups receive priority for WIA Adult Training services: Low Income persons (refer to definitions that follow for low income), Public Assistance recipients, and Veterans. Under the federal Jobs for Veterans Act, priority of services also applies to eligible spouses of veterans.

Low income individual might be defined as:

Receiving public assistance, i.e., Temporary Assistance to Needy Families (TANF), Supplemental Security Income (SSI) and/or Food Stamps;

Family income for the 6-month period prior to application, in relation to family size, that does not exceed the higher of the poverty level or 70% of the lower living standard guidelines;

Qualifies as a Homeless person; Qualifies as a Foster child; An individual with a disability whose own income does not exceed the higher of the

poverty level or 70% of the lower living standard guidelines.

Veteran is defined as:

An individual who served active duty in the military, naval or air service, and who was discharged from such service under conditions other than dishonorable.

Note: When the Veterans priority is applied in conjunction with another statutory priority such as recipients of public assistance and low income persons, veterans and eligible spouses who are members of the Recovery Act priority group must receive the highest priority within that priority group.

Region C WDB Adult Self-Sufficiency Policy

The Region C Workforce Development Board’s criteria for determining whether employment leads to Self-Sufficiency for Adults is:

Adult Self-Sufficiency – Adult Workers who are employed (including family health insurance benefits) at a minimum of 200% of the lower living standard income level or

poverty level (based on family size) enabling them to support their family without any type of public or subsidized assistance, excluding childcare assistance.

WIOA Dislocated Worker – Basic Eligibility Requirements

1. 18 years of age or older 2. US citizen or eligible non-citizen 3. In compliance with Selective Service registration requirements (for male applicants) 4. Qualifies in one of the following categories:

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a. An individual who has been terminated or laid off from employment, or received a notice of termination or layoff, and is eligible for, or has exhausted

unemployment compensation, and is unlikely to return to previous occupation. b. An individual who has been terminated or laid off from employment, or received a notice of termination or layoff, and has been employed for a duration sufficient to demonstrate attachment to the workforce, but is not eligible for unemployment compensation due to insufficient earnings. c. An individual who has been terminated from employment as a result of

permanent closure of a plant or facility. d. An individual who is employed at a facility that has made a general

announcement that the facility will close within 180 days. e. An individual who is self-employed, but is unemployed as a result of general

economic conditions or a natural disaster. f. An individual who qualifies as a displaced homemaker.

WIOA Dislocated Worker – Expanded Eligibility Requirements for Training Services

For WIA Dislocated Worker Training services (OJT, Work Experience, 1 and 2 year Skills Degree/Diploma programs), priority of services applies to veterans and eligible spouses of veterans.

Region C Dislocated Worker Self-Sufficiency Policy

The Region C Workforce Development Board’s criteria for determining whether employment leads to Self-Sufficiency for Dislocated Worker are:

Dislocated Self-Sufficiency – Workers who re-enter the workforce at a minimum rate of 80% of previous compensation level and have family health insurance/benefits OR Adult Workers Self-Sufficiency definition.

Rapid Response

The staff of the local Career Center will have responsibility for Rapid Response contact. The Contractor will work with other center staff as members of the Rapid Response team to contact employers who have announced an impending layoff or closing to offer services.

The contract period of this solicitation is July 1, 2015 through June 30, 2016. This solicitation intends to award a 1-year contract with an option to renew an additional one-year (annual) contract for up to three years total, based on review and approval of the WDB and based on performance and funding availability. The WDB reserves the right to adjust award amounts based on the final allocation figures. The WDB may increase or decrease funding at any time based on funding availability and on contractor performance.

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Locally Identified WIOA Service NeedsIn addition to the mandated services above and based on locally identified needs, the WDB issoliciting the following Case Management services in this RFP: Continued contact with and support of currently enrolled WIA customers at all

stages of the case management process Development of an individual employment plan for all program participants. Collection of eligibility and data validation documentation as required by state and local

area policy Maintenance of participant records in accordance with local area policy Specialized assistance with seeking, finding, and maintaining quality

employment referrals to other programs for which the participant is eligible Writing of supportive-services vouchers to vendors on the WDB-approved list Referrals to Work Experience, On-the-Job Training and other subsidized

employment opportunities Issuance of ITAs (training vouchers) to participant-chosen training providers on the

eligible training provider list Follow-up with customers who enter unsubsidized employment, including

referrals to supportive and workplace services, as needed, to overcome barriers to retention

Staff must be able to provide a budget analysis as part of assessing client needs in collaboration with the WDB staff

Maintain open and continual communication with regional center and WDB staff to optimize the use of funding available for training and supportive services.

Data entry of client contact and other required information into the State of North Carolina’s

NC Workforce Solutions Management Information System (NCWORKS.GOV)

All proposals must describe in detail, how the agency or organization will effectively provide all required services stated above. Agency or organization program staff does not necessarily need to provide all services, but where services are not provided by agency or organization’s program staff, the agency or organization must have an arrangement with other organizations to provide those services to its customers.

Additional program requirements Case manager ratioTo ensure the effective delivery of services, the Region C Local Area requires serviceproviders to maintain a customer to case manager ratio that will provide program staff sufficient time to provide an effective service to customers. Caseloads must not exceed a 50 to 1 ratio for customers. Monthly case manager and program supervisor meetings to work on continuous improvement initiatives and conduct professional development training will also be required. Total number of participants or caseload may be subject to change.

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Carryovers/Eligibility Determination/Verification and WIA Process

The respondent shall be responsible to provide continued services for active WIA Adult and Dislocated Worker participants enrolled during PY 2014 (July 1, 2014 to June 30, 2015) and carried over to PY 2015 (July 1, 2015 to June 30, 2016). The respondent must address how continued services will be provided to the PY 2014 carryovers and number of new customers to be served during PY 2015.

Below are projected carryover numbers by county and by service:

County Adults Dislocated Workers

Total

Cleveland 16 10 26McDowell 21 1 22

Polk 2 3 5Rutherford 7 12 19

Total Carryovers

46 26 72

The total carryovers noted above are estimate numbers. The carryover participants are currently active in training services.

Prior to enrollment/registration into a WIOA-funded activity, customers must be certified as eligible adults or dislocated workers under WIOA eligibility guidelines. WIOA providers are responsible for determining, verifying, and certifying eligibility for each adult or dislocated worker applicant by obtaining acceptable records/documents to verify each required eligibility item. These verification documents must be maintained in participant files and will be reviewed periodically during Region C WDB monitoring. Verification of all applicable eligibility items is required. The staff will use a Management Information System (NCWorks) to complete a standardized application form and to certify eligibility. Only adults or dislocated workers who have been certified as WIOA-eligible by completion of required forms and whose documentation to verify eligibility has been obtained by staff may be enrolled and begin to receive WIOA services. Customers will be co-enrolled in different programs (WIOA, Wagner Peyser) and services to provide the best services to customers available among Career Center staff.

B. Program Administration

Contractor ResponsibilitiesThe service provider is responsible for providing the Region C Workforce Development Board with monthly reports, at the requested date detailing program enrollment including participation in intensive and training activities and placement in employment. Contractor must be able to respond in a timely manner to additional data requests related to training expenses, participant demographics, training provider information, and etc.

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The service provider may collaborate with sub-group(s) or establish formal partnerships to provide the specific services as identified in their overall proposal. However, the contract document with any sub-group(s) must be approved by the WDB prior to the final contract execution and is subject to all conditions and stipulations of the WIOA.

The contracted program staff/case managers will be required to attend monthly meetings and other meetings as needed called by the Region C Workforce Development Board staff. These meetings will focus on program improvement and the professional development of staff.

The service provider will also be responsible for obtaining copies of all print materials relevant to the WIOA to include the following:

The Workforce Innovation and Opportunity Act and pending regulations (final rule) when available http://www.doleta.gov/wioa/

The Workforce Investment Act of 1998 and regulations (final Rule) http://www.doleta.gov/usworkforce/wia/act.cfm

The Wagner Peyser Act of 1933 Amended in 1988 http://www.doleta.gov/programs/w-pact_amended98.cfm

All Department of Labor Training and Employment Guidance Letters relating to the WIOA

All North Carolina Division of Workforce Solutions Policy Statements and Issuances pertaining to the WIA and WIOA http://www.nccommerce.com/workforce

All Region C Workforce Development Board policies and procedures related to the WIA/WIOA adult and dislocated worker program –Attachment C

Career Center Integrated Service Provision Policies—Attachment D Staff manuals for the new State of North Carolina Information Technology System (NC

Works password protected)

The service provider will also be responsible for complying with all federal, state, and local area policy. Local area staff will provide initial training on WIOA, state, and local area policies relating to adult and dislocated worker programs to include the Division of Workforce Solutions Data Management System, and Integrated Service Delivery.

The service provider will be required to maintain and monitor the confidentiality of all records and maintain such files for a period of no less than three (3) years.

The service provider will be reimbursed for all contracted activities on a cost reimbursement basis. Monthly invoices will be submitted to Isothermal Planning and Development Commission’s, Workforce Development for reimbursement utilizing the “Funds Status” report that will be provided at the beginning of the project.

The service provider must locate staff at the designated Region C Career Center and/or one of the designated partner locations.

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C. Performance Outcomes

The WIOA will establish performance outcomes to measure the effectiveness of WIOA services. WIOA creates a single set of common measures across all core programs to included: unsubsidized employment and employed during second quarter after exit and fourth quarter after exit; median earnings at second quarter after exit; receipt of a secondary diploma or recognized postsecondary credential in within 1 year of exit; measurable skills gains toward a credential or employment; and employer engagement (still to be determined). Negotiated levels and specific measures are yet to be determined.

*These performance outcomes may change with the implementation of the WIOA and pending regulations. As the State of North Carolina implements program and policy changes, the contracted provider will be expected to comply with performance measures (see description in area three on next page).

During the program year, performance will be judged on the following:

Area One: Compliance with WDB policies and procedures, sound file maintenance including thorough eligibility documentation, accurate and substantive case notes entered at minimum of every 90 days, validated employment and/or training information, signed forms in cases where customer documentation is necessary.

Area Two: Contractors’ performance on a quarterly basis. Those performance areas are:Total Number of Active Clients Served All performance measures mentioned in the Mandated Performance Outcome statement above.

Area Three: Contractors’ performance measurements should meet the negotiated performance levels specific to WIOA. The following standards are the Workforce Investment Act performance levels for program year 2014. This is being provided as information only.

AdultPerformance Measure GoalEntered Employment Rate 72%Employment Retention Rate 87.5%Avg. Earnings $11,750

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Dislocated WorkerPerformance Measure GoalEntered Employment Rate 80.7%Employment Retention Rate 91%Avg. Earnings $15,500

WIOA creates a single set of common measures across all core programs to included: unsubsidized employment and employed during second quarter after exit and fourth quarter after exit; median earnings at second quarter after exit; receipt of a secondary diploma or recognized postsecondary credential in within 1 year of exit; measurable skills gains toward a credential or employment; and employer engagement (still to be determined). Negotiated levels and specific measures are yet to be determined.II

I D. Fiscal and Administrative Requirements

State and local government organizations that receive WIOA Youth funds must comply with the Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (29 CFR Part 97), Office of Management and Budget (OMB) Circulars A-87 and A-133, and the Single Audit Act Amendments of 1996. Institutions of higher education and non-profit organizations must comply with the Uniform Administrative Requirements codified at 29 CFR Part 95 and OMB Circulars A-110, A-122 and A-133 as appropriate.

All contracts between the Region C Workforce Development Consortium and units ofState or local government will be conducted on a cost reimbursement basis only.

Internal Financial Management

All WIOA service providers/contractors are required to conduct internal financial management reviews. The purpose is to provide adequate internal controls and ensure compliance with the following areas related to WIOA funds and services:

- Provisions of the Workforce Innovation and Opportunity Act and its regulations;- Provisions of the WIOA Contract;- Applicable State and Workforce Development Board Policies;- Accepted financial management and accounting practices; and- Compliance with OMB Circulars A-133 (revised), A-110, A-87 and others as appropriate.

Internal financial management procedures shall be sufficient to prevent fraud and abuse. All reports of, information creating suspicion of, or instances of criminal

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misconduct, fraud or willful and gross misconduct, in connection with any WIOA-funded activity shall be reported immediately to Region C, to the North Carolina Division of Workforce Development and to the U.S. Department of Labor. Internal financial management procedures must also ensure that auditable and otherwise adequate records are maintained which support all expenditures of WIOA funds and confirm adherence to policies regarding allowable costs and allocations of cost to proper cost categories. The WIOA Contractor shall document all internal financial compliance reviews.

Internal Program Management

WIOA service providers/contractors are required to establish internal program management procedures to assure compliance with contract requirements, delivery of high quality services to eligible youth, and achievement of planned outcomes. Internal program management procedures must also ensure that auditable and otherwise adequate records are maintained to support the eligibility of all WIOA participants and confirm adherence to specific requirements and time limitations.

Submission of Most Recent Audit

As a recipient of WIOA funds, service providers must have an annual financial and compliance audit performed. The audits must be conducted in accordance with auditing standards set forth under the Single Audit Act Amendment of 1996 and revised OMB(Office of Management and Budget) Circular A-133 at 29 CFR 95.26 for institutions of higher education, hospitals and other non-profit organizations and at 29 CFR 97.26 for units of state and local government. This requirement will be met by providing Region C a copy of the annual audit according to OMB Circular A-133. For-profit, WIOA contractors must have an annual financial and compliance audit performed under Generally Accepted Accounting Standards by an independent auditor. A copy of the audit will be forwarded to Region C. The audit should be submitted within 30 days after the completion of the audit, but not later than six months after the end of the audit period.

Cooperation with WIOA Contract Monitoring and Audit Procedures

In Accordance with WIOA and the WIOA regulations (20 CFR, Part 652, et al), contracted service providers must cooperate with any monitoring, inspection, audit, or investigation of activities related to WIOA contracts. These activities may be conducted by the North Carolina Division of Workforce Development, the U.S. Department of Labor, Region C Workforce Development Board, or their designated representatives. This cooperation includes access to, examination of, and/or photocopying of books, records, files, documents, property or equipment related to all aspects of WIOA funded activities under this contractual agreement.

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Records Retention

The following records and documents must be maintained for WIOA-funded participants and employees. They must be available for monitoring and review by Region C and must be retained, subject to audit, for three years following the final audit of the contract. If any aspect of the program is under investigation or in the process of audit resolution and/or debt collection, the service provider is required to retain records after the three (3) year period and until the final audit resolution of all disallowed and/or questioned costs are paid or accepted as allowable.

1. General ledger or equivalent;2. Cash receipts and cash disbursements journals/reports or equivalent;3. Bank statement, reconciliation, deposit slips and canceled checks for

each bank account through which WIOA funds were received or disbursed;

4. All contracts with Region C including all amendments;5. All financial reports and documentation supporting requests for reimbursement;6. Payroll records including Individual Earnings Record, Employee

Withholding Authorization (W-4), FICA reporting forms, Federal and State withholding, Unemployment taxes, Employee Personnel Files, Time Records and Employee Time/Salary Allocation plans;

7. Invoices and/or supporting data for non-payroll disbursements; and8. Participants’ records including participant data forms,

verification/documentation items, assessments tests and results, the Individualized Service Strategy and documentation of outcomes.

Insurance Requirements

Proof of insurance is not a requirement for the submission of a proposal, however, successful respondents will be required to obtain all insurances specified/required by Region C WDB and provide same with proper Certificates of Insurance prior to commencing work under a contract resulting from this RFP.

Program Income Requirements

The U.S. Department of Labor requires that all income generated under any WIOA contract shall be reported and used to further program objectives.

Property Management Requirements

All non-expendable property with a life expectancy of one year or more or a unit cost of $500.00 or more, which is purchased or leased with WIOA funds must be approved

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in writing by Region C prior to purchase or lease. The Service Provider agrees to comply with CFR 20 Part 627.465, Property Management Standards, and all applicable Region C property policies.

The Service Provider agrees not to dispose of or transfer property purchased with WIOA funds that have a value of $500.00 or more and a life expectancy of one year or more until written authorization is received from Region C. The Service Provider will be responsible for maintaining an accurate inventory of all WIOA property in their possession.

Equal Opportunity and Nondiscrimination

The respondent assures, with respect to operation of the WIOA- funded services or activity and all agreements or arrangements to carry out the WIOA funded project or activity, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Workforce Innovation and Opportunity Act, Section 188, and its implementing regulations. From WIOA Section 188, “No individual shall be excluded from participating in, denied the benefits of, subjected to discrimination under, or denied employment in the administration of or in connection with, any such program or activity because of race, color, religion sex, national origin, age, disability, or political affiliation or belief.” The United States has the right to seek judicial enforcement of this assurance.

Programs and activities funded in whole or in part under WIOA must comply with provisions under the Age Discrimination Act of 1975, Section 504 of the Rehabilitation Act of 1973, Title IX of the Education Amendments of 1972, Title VI of the Civil Rights Act of 1964 and the Americans with Disabilities Act of 1990.

Wage and Labor and Health and Safety

Youth employed in work-related activities under WIOA must be compensated in accordance with applicable law, but not less than the higher of the rate specified in the Fair Labor Standards Act of 1938 or the applicable State minimum wage law.

Health and safety standards under Federal and State law otherwise applicable to working conditions of employees are equally applicable to working conditions of WIOA youth participants engaged in work experience activities under WIOA. Workers’ compensation insurance coverage must be secured for youth participants in work experience.

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Authority to Re-Capture and Re-Distribute Funds

Region C Workforce Development Board has the authority to re-capture and re- distribute youth funds based on the following criteria not being met.

Staffing levels Enrollments Caseloads Spending levels

Section III. Proposal

A. General Submission and Format InstructionsTo be eligible to submit a proposal a potential bidder must first review this Request for Proposal, be familiar with requirements outlined in the document, and submit a letter of intent to bid no later than 5:00 p.m. on January 30 , 2015 . Letters must be hard-copy. Faxed or e-mailed letters will not be accepted. No proposals will be considered if this step missed. Letter of intent to bid with instructions and the full RFP can be obtained at www.regioncwdb.org

All parties interested in serving as the Adult and Dislocated Worker service providers in Region C must attend a bidders’ conference on February 10, 2015 at 1:00 p.m. at the Isothermal Planning and Development Commission, 111 West Court St. in Rutherfordton, NC. Any questions relating to this RFP that a proposer wishes to have answered must be in writing. Questions will not be answered by phone. Questions a proposer wishes to have answered at the bidders’ conference must be submitted in writing by Thursday, February 3, 2015 by 5:00 p.m. This will allow time for the Local Area staff to fully research questions and provide detailed answers at the bidders’ conference. Any follow-up questions from the bidders’ conference will be answered within 5 days and will be distributed by e-mail to all prospective bidders and be. All questions relating to this RFP must be submitted by Thursday, February 6 at 5:00 p.m. Any questions received after this date will not be answered. E-mail, fax, or mail all questions to Tim Mathis, Director of Workforce Development.

Tim MathisRegion C Workforce Development BoardIsothermal Planning and Development CommissionPO Box 841111 West Court St. Rutherfordton, NC 28139

e-mail tmathis@regionc.org phone: 828 287 0262 1235. fax : 828 287 2735

In order to be considered for funding, an original proposal and six (6) copies of the original

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proposal must be received in the Region C Workforce Development Board’s administrative office (Isothermal Planning and Development Commission) no later than 5:00 p.m. on March 13, 2015 Because of the need for original signatures, proposals may not be e-mailed or faxed. Proposals may be hand delivered or mailed to the administrative office at:

Tim MathisRegion C Workforce Development BoardIsothermal Planning and Development CommissionPO Box 841111 West Court St. Rutherfordton, NC 28139

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WIOA PROPOSAL COVER SHEET

Region C Workforce Development Board

PY 2015 - Request for ProposalsFunding Summary Sheet

Bidding Agency

Date of Application

Total Funds Requested $

Mailing Address:

City: State: Zip Code:

Authorized Agent:

Telephone: Fax:

E-mail:

Website Address:

Request for Proposal Summary

Proposed Counties:

Title I Adu lt

Total Funds Requested: $

Total Active Enrollees: a pp r oxi m a te ly

Title I Disl ocated Work er

Total Funds Requested: $

Total Active Enrollees: a pp r oxi m a te ly

Total Cost Per Participant $

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This solicitation intends to award a 1-year contract with an option to renew an additional one- year (annual) contract for up to two years (three year total), based on review and approval of the WDB and based on performance and funding availability. The WDB reserves the right to adjust award amounts based on the final allocation figures. The WDB may increase or decrease funding at any time based on funding availability and on contractor performance.

B. Statement or Work NarrativeThis element of the proposal should describe the proposed program in detail sufficient to demonstrate an understanding of the work to be performed, the needs of the participants, and the desired results.

1. Executive SummaryDescribe your plan to work with a case load of adult and dislocated workerparticipants (including those carryover participants that you will inherit) and estimate the number of new cases to be enrolled during the program year. The estimated number of currently active adults and dislocated workers in Cleveland, Rutherford, McDowell and Polk counties is 200. Please note that this number is subject to change based on changes in State of NC policy, changes to performance measures, recruitment, economic climate, exits, etc. Section one should be no longer than 2 pages.

2. Work PlanDescribe the plan in narrative form for accomplishing the work proposed, indicating whichcomponents are already in place and a time line for implementation of planned components.

At a minimum, include the following components: Describe your agency’s adult/dislocated worker design framework to include:

a. the ability to provide all required WIOA servicesb. approach to service delivery;c. procedures for determining eligibility;d. procedures for verifying, tracking and monitoring intake and

certificationse. assessment of skills and needs; andf. development of the individual employment plan.

Identify supportive services to be provided to customers to include guidelines to

ensure compliance with supportive service payment policies (i.e. amount, duration, qualifying criteria, etc).

Describe how the adult/dislocated worker program will be integrated into theRegion C Career Center System.Describe how confidentiality will be maintained for participants.Provide a detailed description of all the services the organization will provide to customers. It is recommended that proposers structure services around the career development model.

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Section Two should be no longer than six pages (not including attachments).

3. Employment DevelopmentThe primary goal of the WIOA program is to both prepare participants for employment and to aidparticipants in obtaining employment. Describe your program’s employment development process.

At a minimum, include the following components:

a. Describe your program’s process for assisting participants in their job search, include innovative strategies and activities.

b. Describe your program’s job development strategies.c. Describe your process for ensuring that the training program for each

participant is relevant to the current labor market, specifically available jobs.d. Describe the comprehensive and specialized assessment of the skill levels

and service needs of Adult/Dislocated Workers, including diagnostic testing, use of other assessment tools, in-depth interviewing, and evaluation to identifyemployment barriers and appropriate employment goals, will be accomplished at the Region C Career Centers.

e. Describe innovative strategies for job development for WIOA participants.

Section Three should be no longer than three pages.

5. Agency InformationProvide a narrative description of your agency which includes when, how, and why the organization was started; its purpose, goals and philosophy, prior and current relevant activities,accomplishments, size, and characteristics of clients served, linkages and/or coordination with other agencies and services in the community. This section should form the basis for determining whether or not your agency is qualified and credible to deliver the program as proposed.

Information should include past or current experience in on-going training programs that are relevant to the training being requested through this Request for Proposals.

Section Four should be no longer than two pages.

6. Performance OutcomeDescribe how you will track the success of your program. Discuss the measurable results and benefits anticipated and how they will be measured against the program’s goals and objectives.

Describe the process, outcomes expected, and how you will evaluate and monitor

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your program’s performance. Discuss how your program’s outcomes are in line with the Region C WorkforceDevelopment Board performance goals for adults and dislocated workers.

Section Five should be no longer than two pages (not including attachments).

7. Budget and Program Planning Instructionsa. Budget Parameters and Narrative

Provide your agency’s policies and procedures to identify and track the funding streams which pay the costs of services provided to individuals who are participating in adult and dislocated worker programs concurrently, and to ensure that services are not duplicated.

Describe local procedures to track and monitor expenditures of funds for adult/dislocated workers.

b. Customer Flow ChartProvide a flow chart that details how customers will progress through the programfrom intake to exit, including follow-up services. The flow chart should mirror the program design explained in the body of the RFP.

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SECTION IV. TERMS AND CONDITIONS

DisclaimerIn the event policy, procedure, program design, law, or regulatory changes occur, biddingorganizations may be requested to modify program design or the delivery of services. Should a request for a change in program design or services occur, staff of the WDB will be available to assist bidding organizations or service providers with the interpretation and suggestions for policy or program redesign.

Discretion of the WDBThe Region C WDB reserves the right to reject any and all proposals. Notwithstanding anything to the contrary in this document or in any addendums to this document, unless the provision refers specifically to this provision. The Region C WDB reserves the right to negotiate changes of any nature with any firm proposing to do the work with respect to any term, condition, or provision in this document and/or in any proposals, whether or not something is stated to be mandatory and whether or not it is said that a proposal will be rejected if certain information or documentation is not submitted with it.

SignatureThe proposal shall be signed by an official authorized to bind the agency and shall contain astatement to the effect that the proposal is a firm bid until withdrawn in writing by the submitting organization. The proposal shall also provide the name, title, address, e-mail, and telephone number of the individual(s) with authority to negotiate during the period of contract negotiations.

Any evidence of fraud in the proposal or in the performance of the ensuing contract will be turned over to the proper authorities for enforcement.

RenewalBased on successful performance, timeliness of start-up, compliance to local area monitoring andquality of service, the WDB will have the option to renew an additional one-year (annual) contract for up to two years (three years total)), based on review and approval of the DWDB and based on performance and funding availability. The WDB therefore reserves the right to adjust award amounts based on the final allocation figures. The WDB may increase or decrease funding at any time based on funding availability and on contractor performance.

FraudAny evidence of fraud in the proposal or in the performance of the ensuing contract will beturned over to the proper authorities for enforcement.

Incorporation/Certificate of existenceThe proposal must include a Certificate of Existence or a Letter of Incorporation signedby the North Carolina Secretary of State.

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Non-discrimination and terminationsNo customer will be discriminated against based on race, color, religion, sex, national origin,age, handicap, political affiliation, or belief, or citizenship. No enrollee may be terminated without prior written authorization.

Presentation and NegotiationsThe Region C WDB reserves the right to request additional data in support of the proposal or ask theproposer to make a presentation detailing delivery of program services. The Region C WDB may require that successful proposers participate in negotiations and submit any budget, technical, or other revisions of the proposal prior to executing a contract.

Liability InsuranceOrganizations must provide proof of general liability insurance, auto insurance, and workerscompensation by the time of grant award naming the Region C Workforce Development Board/Isothermal Planning and Development Commission as an “Additional Insured”.

LicensingOrganizations must provide proof of non-profit status or an appropriate business license prior tobeing awarded a contract.

Monitoring AccessBidders/proposed contractors agree to cooperate with any monitoring, inspection, audit, or investigation of activities related to WIOA contracts. The North Carolina Department of Commerce – Division of Workforce Solutions, the U.S. Department of Labor, the Region C Workforce Development Board, or their designated representatives may conduct these activities. This cooperation includes access to the premises for the purpose of interviewing employees or participants and permitting the examination of, and/or photocopying of books, records, files, or other documents related to the contractual agreement and activities around the contract.

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APPENDIX

Appendix A-Equal Opportunity

1. The applicant assures compliance with Section 188 of the Workforce Innovation and Opportunity Act of 2014 as amended and the Civil Rights Act of 1964 (Public Law 88-352) which governs the contractor's responsibilities in upholding laws pertaining to equal opportunity employment.

(Name of EEO Officer)

(Position Title) (Telephone Number)

2. All participants and staff will be informed of the Participants Rights, Benefits, and Complaint Procedures, EEO policies and guidelines and the name of the EEO Officer during a formal orientation prior to participating in any employmentand/or training program funded by WIA.

3. Your organization is required to develop and adhere to affirmative action policies.

4. All grievances and complaints submitted by WIA participants involving allegations of discrimination, violations of the Workforce Investment Act as amended or criminal fraud, abuse or misconduct must be processed in accordance with the Region C WDB Grievance/Complaint Procedures.

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Appendix B-Budget Form

W IO A B U DG E T ADU L T and DISLOCATED WORKER SER V ICES

AGENCY’S COMPLETE NAME:

PROJECT NAME:

Description/Categories Line Item Adult

Line Item Dislocated Wkr

Total

I. Direct Staffing CostsStaff SalariesStaff Fringe BenefitsStaff TravelIndirect

Supplies

Other Direct Staffing Costs--Specify

II. Overhead Cost/Supervision

SalariesFringe BenefitsTravelIndirect/ProfitOther Overhead Cost-Specify

Total Project Cost

Contractor’s Signature:

Date Submitted:

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I. Staff

Staff Sala ries

Position TitlePositionNumber

Annual Salary of Position

% of Time Applied to

Direct Training

Months Applied to

Direct Training

Salary Cost to be Charged to

Direct Training

TOTAL STAFF SALARIES $

Staff Fringe Benefits

FICA: $ Salaries x % Rate……………..$

Worker's Compensation: $ Salaries x % Rate…………….$

Pension (Retirement): $ Salaries x % Rate…………….$

Unemployment Insurance: $ Salaries x % Rate……………..$

*Health Insurance: $ Monthly Rate x Months x Staff…$

Other Fringe Benefits (Specify: …………………………………………………………….$

TOTAL STAFF FRINGE BENEFITS: $

*For Health Insurance Computation: Determine Health Insurance by using a percent full-time persons salary for the # of months worked for each budgeted position.

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II. O v e r h e a d C o s t s

Staff Sala ries

Position TitlePositionNumber

Annual Salary of Position

% of Time Applied to Training

Months Applied to Training

Salary Cost to be Charged to

Training

TOTAL STAFF SALARIES OVERHEAD/SUPERVISION): $

Staff Frin ge Benef its

FICA: $ Salaries x % Rate $

Worker's Compensation: $ Salaries x % Rate $

Pension (Retirement):$ Salaries x % Rate $

Unemployment Insurance: $ Salaries x % Rate $

*Health Insurance: $ Monthly Rate x Mos. x Staff $

Other Fringe Benefits (Specify): $

TOTAL STAFF FRINGE BENEFITS (ADMINISTRATION): $

*For Health Insurance Computation: Determine Health Insurance by using a percent full-time persons salary for the # of months worked for each budgeted position.

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Other Overhead Co sts

Postage: $ Average Cost Per Month x Months$

Telephone: $ Average Cost Per Month x Months $

Copy Service Cost: $ Average Cost per Month x Months $

Consumable Office Supplies: $ Average Cost Per Month x Months$

Advertising (Attach Itemization and Justification): $

Insurance (Attach Itemization and Justification): $

Bonding (Attach Itemization and Justification): $

Computer Use (Attach Itemization and Justification): $

Outside Audit (Attach Itemization and Justification): $

Equipment Maintenance and Repair Cost (Attach Itemization and Justification): $

Other Allowed Direct Cost (Attach Itemization and Justification): $_

TOTAL OTHER OVERHEAD COSTS: $

Indirect/Profit C osts*

Indirect/Profit Costs: $ Base x % Approved Rate (if applicable)$

TOTAL INDIRECT/PROFIT COSTS: $

* An organization's indirect cost plan must be developed and submitted for prior written approval by the LA if funds are budgeted in the indirect costs category. Attach a copy of the agency's Indirect Cost Negotiation Agreement.

TOTAL OVERHEAD COSTS: $

TOTAL PROJECT COSTS: $

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Appendix C– Job Descriptions

JOB DESCRIPTION

Complete a separate form for all anticipated WIOA funded staff positions.

Job Title:

Minimum Qualifications:

Total Number of Hours Worked: Full Time Part Time

Hourly/Monthly Rate of Pay: % Funded Through WIOA:

Name of Immediate Supervisor:

Does the staff person(s) assigned to this position work in other sections/departments with agencyYes No If yes, briefly describes other duties:

Specific Job Duties Hrs./Wk.A Career Counseling/Case Management/Intake Duties %1.

2.

3.

B. Administrative Duties %

1.

2.

3.

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Appendix D—Assurances and Certifications

ASSURANCES AND CERTIFICATIONS

The proposer provides assurance for the following:

1. I am authorized by the Board of Directors, Trustees, other legally qualified office, or as the owner of this agency or business to submit this proposal.

2. The proposing entity is not currently on any Federal, State, or local Debarment List. 3. The entity will provide records to show that it is fiscally solvent, if needed. 4. The entity has, or will have, all of the fiscal control and accounting procedures needed to

ensure that WIOA funds will be used as required by law and contract. The entity will meet all applicable Federal, State, and local compliance requirements. These include, but are not limited to:

Records accurately reflect actual performance Maintaining record confidentiality, as required Reporting financial, participant, and performance data, as required. Entity staff will

use North Carolina’s “NCWorks” internet-based MIS system to track participant and performance data.

Complying with Federal and State non-discrimination provisions Meeting requirements of Section 504 of the Rehabilitation Act of 1973 Meeting all applicable labor laws, and Equal Opportunity requirements Have non-WIOA funds available to cover any costs that may be determined as

disallowedThe entity will not:

Place a participants in a position that will displace a current employee Use WIOA funds to assist, promote, or deter union activities Use funds to employ or train persons in sectarian activities Use funds for subsidized employment in the construction, operation, or maintenance

of any part of a facility to be used for sectarian instruction of religious worship

The undersigned assures that all of the above are true and accurate

Name Title Date

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CERTIFICATION REGARDIN DEBARMENT,

SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS

This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participant Responsibilities. The regulations were published as Part VII of the May 26 1988 Federal Register. (Pages 19160-19211).

BEFORE SIGNING THIS CERTIFICATION, READ THE ATTACHED INSTRUCTIONS WHICH ARE AN INTEGRAL PART OF THE CERTIFICATION

(1) The prospective recipient of Federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

(2) Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

SIGNATURE DATE

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INSTRUCTIONS FOR CERTIFICATION—LOWER TIER TRANSACTIONS

1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the certification set out below.

2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies. Including suspension and/or debarment, this transaction may be terminated.

3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to whom this proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

4. The terms “covered transactions’, “debarred”, “suspended”, “ineligible”, “lower tier covered transactions”, “participant”, “person””, “primary covered transactions”, “principal”, “proposal”, and “voluntarily excluded”, as used in the clause, have the meanings set out in the Definitions and Coverage sections of ruled implementing Executive Order 12549.

5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, is shall not knowingly enter into any lower tier covered transaction a person who is debarred or proposed for debarment, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the grantor agency.

6. The prospective recipient of Federal assistance funds agrees by submitting this proposal that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred or proposed for debarment, suspended, or voluntarily excluded from covered transaction, unless it know that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. The participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs. [http://epls.arnet.gov]

8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred or proposed for debarment, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, this transaction may be terminated.

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CERTIFICATION REGARDING LOBBYING

The grantee certifies that:

a. No federal appropriated funds have been paid or will be paid by or on behalf of the Grantee to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan or cooperative agreement.

b. If any funds other than federally appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress in connection with this federal contract, grant, loan or cooperative agreement, the Grantee shall complete and submit a Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

Organization Name:_

Name of Authorized Representative (please print):

Title of Authorized Representative (please print):

Signature of Authorized Representative: Date

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CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS

The grantee certifies that it will provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution,dispensing, possession or use of a controlled substance is prohibited in the grantee’sworkplace and specifying the actions that will be taken against employees for violation ofsuch prohibition;

(b) Establishing a drug-free awareness program to inform employees about—(1) The dangers of drug abuse in the workplace;(2) The grantee’s policy of maintaining a drug-free workplace;(3) Any available drug counseling, rehabilitation and employee assistance programs, and(4) The penalties that may be imposed upon employees for drug abuse violations

occurring in the workplace.

(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will—

(1) Abide by the terms of the statement; and(2) Notify the employer of any criminal drug statute conviction for a violation occurring

in the workplace no later than five days after each conviction;

(e) Notifying the agency within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction;

(f) Taking one of the following actions, within 30 days of receiving notice under subparagraph(d)(2), with respect to any employee who is so convicted—(1) Taking appropriate personnel action against such an employee, up to and including termination; or(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug- free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f).

_________________________________________________________Typed Name and Title of Certification Official

___________________________________ _______________Signature Date

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Appendix E—Evaluation Criteria

The Evaluation Team will use the following guiding principles to assess submitted proposals: the ability of the program to help the Region C Workforce Development Board

meet performance goals; reasonableness and affordability of the unit price; how well the program will collaborate with other organizations in the community; and organizational capacity and experience in providing programs for adults and laid-off

workers

Proposals will be evaluated using the assigned point totals for the following criteria:

Program Design – 45 Points Total Does the proposed program design provide sufficient detail on the following:

o Does the proposed program provide an effective service to (and understanding of) the target population, including hard-to-serve populations? (15 points)

o Is the proposed program in line with the performance outcomes established by the DWDB and WIOA? (10 points)

o Does the proposed program sufficiently detail the intensive services that would be provided as well as identifying and addressing the local service needs? (15 points)

o Does the proposer provide a detailed plan for outreach and enrollment ofLatino/Hispanic participants? (5 points)

Service Delivery – 30 Points Total Does the proposed program provide sufficient detail on the following:

o Does the Employment Development plan describe in full detail theproposer’s process and strategies for job development? (10 points)

o Does the proposer describe the activities and services that will be offered to individuals in follow-up? (10 points)

o Does the proposed program articulate innovative strategies for service delivery? (5 points)

o Does customer flow chart include all steps for participants from intake to exit including follow-up? (5 points)

Agency Qualifications/Qualifications of Personnel – 25 Points Totalo Is the staff involved in the delivery of service competent and professional

to provide effective services? Close scrutiny will be applied to the qualifications of the staff that will be providing the assessment and case management services to the WIOA participants, measured by experienceand education. (20 points)

o Is staffing appropriate to meet program needs? (5 points)

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Performance Outcomes – 15 Pointso Does the proposer describe in full detail the plans to track, evaluate and

monitor the program’s goals, objectives and outcomes?

Budget- 10 Pointso The cost per WIOA participant of the proposed program is evaluated to

determine if it is fair and reasonable (5 points).o Is the budget presented in sufficient detail to evaluate the reasonableness of

the program cost? (5 points)

Bonus Proposals that budget a 10% (or less) of total administrative, overhead, or profit costs to

the grant will earn an automatic 5 bonus points.

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AttachmentsAttachment A-Registration for WIA Services

**The table below outlines the current services provided under the Workforce Investment ActInformation Only—Process will change with implementation of WIOACore Services - Self-

Service Informational (no registration

required)

WIA Core Services

(registration required)

WIA Intensive Services(registration required)

WIA Training Services

(registration required)

Determination of eligibility to receive assistance under the WIA Title IB

Staff assisted job search & placement assistance, including career counseling

Comprehensive &specialized assessment,such as diagnostic testing &interviewing

Occupational skills training

Outreach, intake (which may include WPRS referrals) & orientation to the One-Stop center

Follow-upservices, including counseling regarding the workplace

Full development of individual employment plan

On the job training

Initial assessment of skill levels, aptitudes, abilities& need for supportive services

Staff assisted job referrals (such as testing & background checks)

Group counseling Workplace training& cooperative education programs

Employment statistics information including job vacancy listings, job skill requirements for job listings, & information on demand occupations

Staff assisted job development (working with employer & jobseeker)

Individual counseling &career planning

Private sector training programs

Performance information on eligible training providers

Staff assisted workshops and job clubs

Case management Skill upgrading &retraining

Performance information on the local One-Stop delivery system

Short-term pre-vocational services

Entrepreneurial training

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Information on supportive services and referral to supportive services

Follow-up services, including counseling for registrants (those previously receiving intensive/training

Job readiness training

services)after entering employment

Information regarding filing for Unemployment compensation

Adult education and literacy activities in combination with training

Assistance in establishing eligibility for welfare-to- work activities and for other training and education programs

Customized training

Resource room usageInternet browsing (job, information and training searches)Internet accounts (CareerKit, Personnel Kit)Initial development of employment planTalent referrals (informational, e.g., talent scouts, labor exchange referrals of resumes without further screening)Workshops and job clubs

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Attachment B-Checklist of required documents

Proposal BodyCover SheetStatement of Work NarrativeExecutive SummaryWork PlanEmployment Development Agency Information Performance Outcomes Budget and Program Planning Budget FormAssurances and Certifications, Debarment and Suspension and Lobbying CertificationProposal Checklist Form attached

AttachmentsJob DescriptionsList of all subcontractors (if applicable)Letter of Incorporation or Certificate of ExistenceEqual Opportunity Non-Discrimination NoticeAudit Report (*Specify information relevant to the WIOA program)At least 2 years of past performance data (preferably more if possible) Description of Financial Management Systems.

FormatCorrect number of copies attachedMeet page limit requirementsDocument formatted correctly

These forms must be completed and submitted with your proposal. Any proposals that do not include these forms will be automatically deemed non-compliant and rejected.

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Attachment C (Current WIA Policies and Procedures—modification pending regulations)

WIAADULT & DISLOCATED WORKER

GENERAL POLICIES

REGION C

WORKFORCE DEVELOPMENT CONSORTIUM

Revised 8/20/08

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WIA ADULT & DISLOCATED WORKER SERVICES

GENERAL POLICIES

SERVICES PROVIDED.......................................................................... 3

ASSESSMENT........................................................................................ 5

CUSTOMER SELECTION................................................................…. 6

INDIVIDUAL TRAINING ACCOUNTS

CURRICULUM SELECTION................................................... 7

COORDINATION WITH OTHER FINANCIAL AID............. 8

HOURS OF PARTICIPATION...............................................… 9

PROGESS TOWARD COMPLETION..................................… 9

WITHDRAWAL FROM COURSES....................................... .. 10

LEAVE OF ABSENCE..…....................................................…. 10

CHANGING CURRICULUMS…........................................….. 11

LIMITS ON ITAs……………………………………………… 11

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ON-THE-JOB TRAINING ………………………………………… 11

ADULT WORK EXPERIENCE…………………………………… 12

SUPPORTIVE SERVICES

DEPENDENT CARE..................….....................................….. 13

TRAVEL REIMBURSEMENT....…...................................….. 14

EMERGENCY ASSISTANCE.......…................................…… 14

ADVANCES..............…............................……………….…… 15

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I. SERVICES PROVIDED BY THE WORKFORCE INVESTMENT ACT

Workforce Investment Act funds are used to provide progressive levels of intervention for job seekers through the local areas JobLink Career Center system in accordance with each center’s business plan and Memorandum of Understanding. Those levels of intervention are core, intensive, and training services.

Core services are made available to all adults and dislocated workers and are intended to assist job seekers in finding employment and related services. Each JobLink Partner provides Core services specific to that agencies mission. Core services may include but are not limited to:

1) determination of eligibility to receive assistance2) outreach, intake (which may include worker profiling), and JobLink Orientation to the information

and other services available through the JobLink Career Center3) initial interview to determine skill levels, aptitudes, abilities, and supportive service needs4) job search and placement assistance, and where appropriate, career counseling5) provision of employment statistics information, including the provision of accurate information

relating to local, regional, and national labor market areas including job vacancy listings in such labor market areas, information on job skills necessary to obtain the jobs, and information relating to local occupations in demand and the earnings and skill requirements for such occupations

6) provisions of performance information and program cost information on eligible providers of training services provided by programs and eligible providers of youth activities, providers of adult education, providers of post-secondary vocational education activities and vocational education activities available to school dropouts under the Carl D. Perkins Vocational and Applied Technology Education Act and providers of vocational rehabilitation program activities described in title I of the Rehabilitation Act

7) provision of information regarding how the local area is performing on the local performance measures and any additional performance information with respect to the JobLink Career Center delivery system in the local area

8) provision of accurate information relating to the availability of supportive services, including child care and transportation, available in the local area, and referral to such services as appropriate

9) provision of information regarding filing claims for unemployment compensation10) assistance in establishing eligibility for Welfare-to-Work activities, programs of financial aid

assistance for training and education programs that are not funded under the Workforce Investment Act and are available in the local area and

11) follow-up services including counseling regarding the workplace for participants in workforce investment activities who are placed in unsubsidized employment for not less than 12 months after the first day of employment as appropriate

Intensive services may be provided when it is determined through the initial assessment process, that the individual is unable to obtain or retain employment through core services. Intensive services may include:

1) comprehensive and specialized assessments of the skill levels and service needs of adults and dislocated workers, which may include diagnostic testing and use of other assessment tools and in depth interviewing and evaluation to identify employment barriers and appropriate employment goals

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2) development of an individual employment plan to identify the employment goals, appropriate achievement objectives, and appropriate combination of services for the participant to achieve the employment goals

3) group counseling4) individual counseling and career planning5) case management for participants seeking training services6) short term prevocational services including development of learning skills, communication skills,

interviewing skills, punctuality, personal maintenance skills, and professional conduct to prepare individuals for unsubsidized employment or training

Training Services may be made available when it has been determined by interview, evaluation or assessment, and case management, that an individual is unable to obtain/retain employment through intensive services. Training services may be provided to eligible adults and dislocated workers:

1) who have met the eligibility requirements for intensive services and who are unable to obtain or retain employment through such services

2) who after an interview, evaluation, or assessment, and JobLink case management, have been determined by a JobLink Career Center or partner, as appropriate, to be in need of training services and to have the skills and qualifications to successfully participate in the selected program of training services

3) who select programs of training services that are directly linked to the employment opportunities in the local area involved or in another area in which the adults or dislocated workers receiving such services are willing to relocate

4) who meet the eligible requirements for training

The JobLink Career Center system will make the State list of eligible training providers available to all individuals receiving training services with a description of the programs through which the providers may offer the training services and the information identifying eligible providers of on-the-job training and customized training. The performance information and performance cost information relating to eligible providers of training services will also be made available to all individuals receiving training services.

Training Services may include:

1) occupational skills training, including training for nontraditional employment2) on-the-job training3) programs that combine workplace training with related instruction which may include cooperative

education programs4) training programs operated by the private sector5) skill upgrading and retraining6) entrepreneurial training7) job readiness training8) adult education and literacy activities provided in combination with services 1-7 described above, and9) customized training conducted with a commitment by an employer or group of employers to employ

and individual upon successful completion of the training

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Training services shall be provided to eligible adults and dislocated workers through the use of Individual Training Accounts (ITAs), through which a participant chooses among qualified training providers with the exception of on-the-job training and customized training.

Training services shall be directly linked to occupations that are in demand in the local area or in another area to which an eligible adult or dislocated worker receiving such services is willing to relocate.

II. ASSESSMENT

In accordance with the Job Link principle of customer service, we feel that the primary purpose of aptitude and interest testing is to provide career guidance information and career decision-making skills to the applicant. Assessment is NOT to be used solely to justify training placements to monitoring staff. An applicant's ability to make sound career decisions will be informally assessed through the intake process. If it is deemed that he/she does not have the skills or information to make such a decision, he/she will be assessed using either LA instruments or other instruments if the situation so warrants. If the customer demonstrates a good knowledge of his/her aptitudes and interests, and demonstrates that he/she knows how to make a sound career decision, he/she will still be offered the opportunity to participate in an LA career assessment. The customer will choose those services most appropriate to his/her situation.

Customers will be assigned to services provided by WIA based on their: eligibility, ability to utilize the services available, needs assessment, the most appropriate service as indicated by their Individual Employment Plan (IEP), and with consideration to customer service needs as defined by WIA (core, intensive and training service needs). Initially a needs assessment will be conducted using the JobLink Customer Profile (core service). If appropriate, a more in-depth (intensive service) evaluation of basic skills (reading and math), employability skills, and interests and aptitudes.

Assessment tools may vary according to availability of existing information and convenience to the customer. The LA will make available various basic skills assessment tools as well as interest and aptitudes assessments. Community college career centers may provide other assessment services, as well as resources available at the local JobLink Career Center. All applicants who are interested in the regular curriculum programs will be required to take the placement test administered by the community colleges.

III. CUSTOMER SELECTION

Applicants will be selected for consideration for training after the completion of the initial JobLink interview and assessment process and only when it has been determined that the customer needs additional assistance beyond core or intensive services. An Individual Employment Plan will be developed to determine the most appropriate training plan for the applicant. If an assessment, which may include the training facility placement test, indicates that the applicant may have difficulty with a particular program and success is unlikely, the applicant should be advised accordingly and an alternative course of study or training should be explored. The alternative plan may include remediation, ABE, GED, or other job training or placement services, including, but not limited to referral to other services. The applicant's suitability may be re-assessed at a later date.

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IV. INDIVIDUAL TRAINING ACCOUNTS

An Individual Training Account (ITA) provides approved course instruction in locally-identified skill-shortage and/or high-demand occupations through community colleges, private schools or other training institutions approved by the Workforce Development Board. An ITA is designed to provide training in a variety of occupational areas for customers based on individual needs. ITAs can also be used to upgrade skills of employed workers who are locked into low-paying jobs or dislocated workers who need just a few additional skills to return to the workforce.

The local ITA (Individualized Training Account) is a system through which a training voucher is issued to an eligible customer for training. The ITAs are established through the WIA case manager at the JobLink Career Center after agreement has been met as to the customer’s occupational choice. A voucher will then be issued which is redeemable at training providers who have been approved by the Local Board and are included on the statewide list of approved training providers. ITAs will be established only for demand occupations within the local area or an area where the customer is planning to relocate. The vouchers are non-transferable and will be issued on an incremental basis (i.e. by semester, quarter, etc.). The ITA will cover the cost of books and tuition/fees. The accounts will be coordinated with the training providers’ financial aid departments, and/ or business office. ITAs will be issued to individuals only when it has been determined that employment can not be obtained through core and/or intensive services.

a. Curriculum Selection

Customers will be enrolled in approved courses of instruction. Selection of a curriculum generally depends upon three factors:

1. the customer's educational and employment goals as defined in his/her Individual Employment Plan.

2. an analysis of skill demand areas ( WDB approved occupations)

3. the customer's ability to complete the curriculum in the one to two year curriculum schedule and to obtain long-term employment in that area

The labor market for skill demand areas (occupational outlook) will be assessed prior to approval of the curriculum for the customer. Types of curriculums available to WIA customers are vocational and technical in nature. Consideration for approval will be given to curriculums which provide training for jobs that have significant openings projected and that have been proven to provide an average annual income sufficient to meet the goals of the customer and the intent of WIA, as cited in the Local Area Strategic Plan. Prerequisites for curriculums will only be approved when the applicant/student has been accepted into the curriculum (e.g. LPN, RN, Radiology).

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Exceptions may be made, in certain circumstances, by the appropriate LA staff.

Addendum—approved 2/13/2002

ITAs will be issued to cover the cost of training for certificates, AA/AS degrees, bachelor’s degrees, and advanced degrees with the following considerations:

Certificates: Certifications that can be obtained in 6 months—e.g. Certified Nursing Assistants, Truck Driver Training, EMS, Basic Law Enforcement, and etc.

ITA’s will be utilized for programs that are listed on the approved training provider list—NCSTARS. Continuing Ed. and other certificate programs may be paid for using a purchase order or other means of payment.

AA/AS Degrees: Occupational degrees that will be completed in 2 to 3 years.

Bachelor of Arts/Science: Occupational specific degrees that can be reached within 2-3 years and builds on previous college experience and credits—e.g. Teaching, Engineering, Accounting, and etc.

Advanced Degrees: Masters of Arts/Science degrees that are occupation specific, build upon an already-achieved undergraduate degrees and can be completed in 2-3 years—e.g. Human Resource Development, Counseling, Teacher’s Certification, Public Administration, and etc.

It will be necessary to leverage additional financial resources to cover the cost of bachelor’s and advanced degree training programs.

b. Coordination With Other Financial Aid

WIA funds will be supplemented by other federal sources of financial aid. This will allow WIA to serve more eligible persons. Each individual enrolled in a training program where student financial aid is available will be required to complete and submit to the Student Financial Office a Free Application for Student Financial Aid (FAFSA). The training case manager will verify the FAFSA application with the training provider financial aid office. Upon approval for PELL, the customer must inform the case manager of the approval.

The WIA Service Provider will coordinate funds available for training with the Financial

Aid office of the selected Training Provider. The Financial Aid office of the selected

Training Provider shall determine the Cost of Attendance based on the individual’s need.

The Cost of Attendance will take into account the estimated costs of tuition, fees, books,

supplies, room and board, personal expenses, transportation, child care and/or other

education-related expenses.

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GENERAL POLICY: An Individual Training Account Voucher will be issued to the customer for redemption at an approved training provider. WIA funds should be used to cover the costs of tuition and other related program costs (e.g., fees, books, supplies) and Pell Grant funds should be used to cover living expenses, including transportation and child care consistent with the Cost of Attendance analysis. Combined resources, i.e. Pell Grants, WIA, etc. will not exceed the Cost of Attendance analysis

EXCEPTION: Case managers may request that WIA funds be used to cover a portion of transportation and child care expenses where the approved Pell Grant amount is based on estimated personal resources that are no longer available to the applicant, and where funds to cover these expenses are not available from other sources (e.g., DSS). The WIA review committee must approve the use of WIA funds for these types of expenses.

Once the PELL check is received, the customer is responsible for paying for his/her own school-related expenses such as transportation and child care. It is the responsibility of the customer to ensure that his/her PELL Grant is used for school-related expenses.

If a customer's PELL Grant does not cover all of the school-related expenses, he/she should contact the WIA staff. Funds for supportive services may then be available to cover these expenses. The customer must be able to demonstrate his/her financial need in order to qualify for these funds. Ideally, a strategy should be developed with PELL Grant recipients at the beginning of each semester to plan for their support costs.

c. Hours of Participation

All customers are expected to carry a minimum of 12 credit hours. Prior approval must be given if a customer carries less than 12 hours. Full time employment or a lack of appropriate courses being offered may be an adequate reason for carrying less than 12 hours. Customers receiving PELL will be encouraged to take more than 12 credit hours in order to comply with their PELL obligations.

All customers are required to meet with their case manager on a monthly basis. Failure to cooperate with this policy, may result in suspension from WIA for one term. Repeated failure may result in termination from WIA.

Grades must be received in all classes. WIA will not pay for audited classes or classes that have already been paid for and must be retaken due to a failing grade or withdraw.

d. Progress Towards Completion

Customers are expected to make reasonable progress toward completion of their training. Progress will be monitored by student transcripts, schedules, and grade reports. Class attendance is required in accordance with the school's policy. Courses should only be approved when they are part of the customer’s curriculum or approved electives. Courses that are not in the curriculum may be approved if the customer can show that it is related to their course of study and is needed to enhance their employability.

Customers must maintain a cumulative grade point average of 2.0 or higher. If he/she falls below a 2.0 average they will have one semester to bring their grade point average up to 2.0. If the customer is unable to improve they may be separated from the program. A release will be signed by the customer at enrollment which will enable the case manager to contact any instructor or advisor to discuss their performance and progress.

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The length of participation will be limited to one term beyond the curriculum schedule for full-time students. Exceptions will be made in cases of courses not being available, illness, family problems, or part-time students who are employed.

e. Withdraw from Courses

Customers who wish to withdraw from courses should first check with their academic advisor and their case manager. The customer should withdraw officially through Student Services and should be done by the deadline set forth by the school. If a student does not officially withdraw they will receive an F for that course.

If a student withdraws completely from school within the first ten calendar days of class they are eligible for a two-thirds refund which will be credited to WIA. It is the case manager's responsibility to ensure that the business office at the college issues the credit. If individual courses are dropped or a customer withdraws after the ten day period, there is no refund for the dropped class.

f. Leave of Absence

A leave of absence from the Individual Training Account may be granted for one term for the following reasons:

1. needed courses are not offered

2. family problems

3. employment

4. health problems

A leave may be granted for other purposes if it is determined reasonable by the staff and case manager. Absence from the program for more than one semester may result in separation from the program. A customer can re-apply and will be subject to the same selection criteria as a new applicant.

g. Changing Curriculum

Customers are discouraged from changing curriculums. Approval for changing curriculums may be given if the customer can show that they are unlikely to obtain training related employment or that they are having problems with the curriculum. There will only be one change in curriculum allowed.

The costs of training will only be covered by the program for one term beyond the scheduled terms for the customer's current curriculum.

For example: If a customer spent two terms in the Business Administration curriculum and transferred to the Electronics Engineering Technology curriculum, which is a five term curriculum, The Individual Training Account will only cover three terms of the Electronics Engineering Technology curriculum.

h. Limits on Individual Training Accounts

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The WIA funding maximum for individual training accounts is $4,300.00 total expenditures for a one-year program and $8,600.00 for a two-year program.

WIA vouchers issued from an ITA will not exceed the actual costs for tuition, books, fees and basic supplies or the amount of the above costs not paid by other grants or financial resources.

Supplies needed beyond the need of basic classroom activities such as tools, calculators, uniforms and etc., may be covered with WIA funds through purchase order arrangements or reimbursement to the student. Assistance for these items will be limited to $500.00 per program year (July 1 through June 30). Pell Grant should be considered first for use for this assistance and provided only to those individuals most-in-need.

V. ON-THE-JOB TRAINING

The On-The-Job training program is designed for an individual whose skill levels are inadequate to gain employment without special consideration from an employer. The training provided “on the job” helps the customer acquire new skills, thereby increasing his or her career marketability. The OJT contract will be limited to a period of time recommended by the SVP code found in the Dictionary of Occupational Titles, not to exceed a period of 6 months or 1040 hours. In cases where a customer may have limited experience in the specific occupation, training time may be reduced according to the Local Plan. The Local Area will provide a financial incentive to the contracting employer not to exceed 50% of the trainee’s starting wage to defray the extraordinary costs of training. As a general rule, the Local Area will not enter into an OJT contract for the less than the current minimum wage plus 30%. The Local Area will not enter into training contracts with employers who have a pattern of failing to provide OJT customers with continued, long-term employment as regular employees following the contract period. The Local Area will verify with potential OJT contractors which are new or expanding that the contractor is not relocating employment from another area. This program is not available under youth services.

VI. ADULT and DISLOCATED WORKER WORK EXPERIENCE

Adults and Dislocated Workers may participate in planned, structured learning experiences that take place in a workplace for a limited period of time and should not exceed 500 hours. Exceptions to the time limit may be considered if it is in the best interest of the participant and is compatible with the training plan and ISS. Exceptions must be approved by the Local Area director. Work activities may take place in the public or private for-profit and non-profit sectors. The selection of private employers to participate in this activity should be based on an objective analysis of the relative “value-added” contributions to the Adult/Dislocated Worker. All wages must be at least the state/federal minimum wage and comparable to the existing positions identified by employers. Job descriptions and/or work plans must be completed and submitted for approval. Work Adult/Dislocated Worker participants enrolled in this activity should not have had prior work experience in the job to which they are being assigned. Work experience may be combined with classroom instruction relating to a particular position, occupation, industry or basic skills and abilities to successfully compete in the local labor market. Positions may not be subsidized if the employer has current laid off workers in the same classification to which the participant is to be assigned. Worksite agreements must be developed with employers and maintained onsite and on file with the Local Area. A worksite supervisor’s orientation must be

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conducted and the supervisor provided a manual developed by the Local Area.

Section 1819d) of the Workforce Investment Act prohibits the use of funds to encourage or induce the relocation of a business. No funds shall be used when a relocation of a business results in a loss of employment for any employee of the business at the original location. A 120 day moratorium for the use of funds at the relocating business will be observed from the date that the business commences operation at the new location. The pre-award survey will be used to determine if this requirement is applicable. Sec 667.268 of the Workforce Investment Act, Interim Final Rule dated April 15, 1999, reiterates the prohibitions against the use of WIA title I funds to encourage business relocation.

VI. SUPPORTIVE SERVICES

As a general rule, when considering supportive services, the customer’s total household financial resources budget, including but not limited to a spouse’s income, customer’s income, unemployment insurance, child support, financial aid, loans, and gifts, will be compared to the total cost of education as determined by the financial aid office, and/or the Job Training Program Operator. If the total household financial resources exceed the total cost of education, no supportive services will be provided. If the total household financial resources are less than the total cost of education, supportive services will be considered on an individual basis. Extraordinary circumstances will be reviewed by committee. If it is determined that supportive services will be provided the following policies will apply:

a. Dependent Care*

In order to assist customers to successfully complete employment and training programs, it shall be the policy of the Region C Local Area to offer dependent care services only after referrals to other agencies, such as the Depart-ment of Social Services, have been exhausted. Upon determination of a customer's dependent care needs, the LA will provide reimbursement in the following manner:

Dependent care costs will be paid directly to the provider if at all possible. However, under certain circumstances the cost may be reimbursed to the customer.

All documentation, authorization and invoices will be secured and maintained by the LA prior to payment.

Childcare payments will not exceed $200.00 per month per family. This rate is subject to periodic adjustment based on approval of the appropriate LA staff and WDB.

Request for payment shall be submitted on the dependent care reimbursement form which will act as the provider's invoice and verify the provision of dependent care services.

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The Individual Training Account customer must be attending school full-time in

order to be eligible for full-time dependent care.

Day care providers must be licensed or registered providers if required by the Day Care Licensing Board (919) 733-4801.

Day care reimbursement will be subject to the IPDC payables schedule.

b. Travel Reimbursement**

Travel to and from Occupational Training

Travel reimbursements will be coordinated with other agencies including Vocational Rehabilitation, Department of Social Services, etc. If another agency is not paying travel reimbursement, WIA will reimburse the customer up to $.50 per mile (effective September 1, 2008) Reimbursement will be only for those days the customers actually attend classes and the instructor signs the timesheets. Reimbursement for travel will be limited to 100 miles per week or 20 miles per day whichever is greater.

Travel as Part of Regular Duties (Work Experience)

Travel involved in the performance of duties while enrolled in a Work Experience program will be reimbursed at the rate allowable by the IRS. Reimbursement requests will be submitted using the IPDC “Reimbursement of Travel and Other Expenses Incurred in the Discharge of Official Duty” form or other applicable contractor’s form.

Travel reimbursement will be subject to the IPDC payables schedule. Checks may be issued twice monthly.

c. Emergency Assistance***

Region C Workforce Development Programs operated by Isothermal Planning & Development Commission will allocate funds each program year for emergency assistance. Emergency assistance is defined as payments made by IPDC on behalf of a WIA customer to help with problems that would impact a customers continuation in and/or completion of a program or continuation in unsubsidized employment upon completion of the program.

Emergency assistance can be provided for but not limited to, the following:

emergency rent emergency utilities (power, heating fuel) emergency car repairs emergency medical costs

Customers requesting emergency assistance should meet the following criteria before the request will be considered:

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customer is enrolled in a WIA program or has been terminated within the prior twelve months

customer demonstrates an inability to cover the cost themselves customer has established a record of cooperation, good attendance and has

made progress toward the goals and objectives as outlined in his/her Individual Employment Plan.

Emergency assistance is limited to $500.00 per individual per program year. Individual exceptions may be approved by the Workforce Development Administrator.

Recommendations for emergency assistance will be made on the basis of the above criteria, the availability of funds, and the assistance has been deemed appropriate by the Workforce Development staff. Final approval will be made by the Job Training Administrator.

Emergency assistance will only be granted when all other sources of assistance have been investigated and proven to be unavailable.

Attachment D—Integrated Service Delivery Policy

Region C Career Center SystemPolicies and Procedures

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Serving Cleveland, McDowell, Polk and Rutherford Counties

SCOPE

The Region’s Career Center system operates under the guiding principles as mandated by the Workforce Investment Act (WIA) and North Carolina’s consolidation of Wagner Peyser and other services delivered the former Employment Security Commission into one organization—NC Department of Commerce, Division of Workforce Solutions. This consolidation took place in November of 2011 and the transformation of the new system is on-going. The reformed system is intended to be customer-focused, to give citizens access to the tools they need to manage their careers, to obtain the requisite skills necessary to be successful in the region’s economy, and to match employers with skilled workers.

PURPOSE

The purpose is to provide excellent customer service by establishing more coordinated access to assistance. The vision for the career center system is to provide integrated services to better serve those customers, both individuals seeking employment and businesses, responding to their needs by cross-trained teams that are organized by function rather than funding streams. All customers will be provided with the opportunity to assess skills, improve their skills through a wide range of skills development services, and obtain the best job possible.

PROGRAM PROCEDURES/IMPLEMENTATION

The operation of the career centers embodies six the following principles:

a. Streamlined services – Programs and providers will co-locate, coordinate, and integrate activities and information, whenever possible, so the system as a whole is integrated and accessible for individuals and businesses alike.

b. Integrated Management Information –New technology is an integral part of the integrated career center system. Developed by Geographic Solutions, the NC Works technology is an internet-based system that consolidates the labor exchange, assessment, Workforce Investment Act management information system and much more into one integrated workforce development system. The technology is available and is being utilized in all career centers in North Carolina.

c. Universal access—Any individual may access the career center system and core employment-related services. Information about job vacancies, career options, student financial aid, relevant employment trends, and short-term skills upgrading and employment enhancement activities through classes, workshops, and labs that have been identified as necessary by the local business and industry. These opportunities may include how to conduct a job search, write a résumé, interview with an employer, communication, problem solving, and etc.

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d. Strong role for local workforce investment boards and the private sector—With leadership from local business leaders, the workforce investment board is focused on strategic planning, policy development, and oversight of the local workforce development system. Business and labor have an immediate and direct stake in the quality of the workforce investment system. Their active involvement is critical to the provision of essential data on what skills are in demand, what jobs are available, what career fields are expanding, and the identification and development of programs that best meet local employer needs.

e. State and local flexibility—There is considerable flexibility in the development and design of the local centers to enable the centers to meet the needs of their communities. However, career centers are required to become certified through a process and comply with established policies and guidelines developed and approved by the NC Commission on Workforce Development . Each local area will be required to have at least one center certified by December 31, 2013 with following certifications completed by June 30, 2014.

f. Empowering Individuals—Eligible adults will have access to WIA Funded Individual Training Accounts (ITAs), Assistance through the Trade Act program and may be provided with financial assistance for education and training at qualified institutions. Participants will be provided with quality guidance in developing an employability plan based on their career goals and the needs of the local business and industry.

Oversight Responsibility

The transformation of the career center system to an integrated service delivery model creates a seamless united approach, and emphasizes the need for cooperation and support of the Workforce Development Boards and the Division of Workforce Solutions. There are specific roles that organizations will have in the development, implementation and success of the regions career centers.

Oversight responsibilities are as follows:

NC Commission on Workforce Development (Commission)The Governor’s advisory body on workforce development is responsible for the coordination of workforce development programs in the State including the career center service delivery. The Commission sets minimum standards through a certification process and monitors/evaluates the quality of the services.

Local Workforce Development Board (WDB) The Region C Workforce Development Board is responsible for developing and overseeing the career center system in the region. This is accomplished through the coordination and alignment of workforce development services and strategies that meet the regions workforce and economic needs. The WDB will assure the Commission polices and standards are adhered to, organize, oversee and support the centers, coordinate the system management and partners, and ensure that services are delivered in a manner consistent with local policies.

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NC Division of Workforce Solutions (DWS—NC Department of Commerce)The DWS will provide resources for the necessary Wagner-Peyser (labor exchange) and Trade Act-Funded staffing and services, provided and support Internet-based technology (see next section) supporting the workforce programs in the state, and will collaborate with the WDB to develop the center process for covering the cost of the sites. All of the primary centers in Region C will initially be housed at the locations currently housing the DWS services.

The DWS Regional manager will work with the WDB Director to ensure all DWS services are successfully implemented within the framework. The local DWS office managers will also develop a thorough knowledge and understanding of all program laws, regulations and policies to ensure proper implementation.

All roles and responsibilities are outlined in a memorandum of understanding (MOU). The signatories of the MOU include the Region C Workforce Development Board Chair and Director, the Assistant Secretary of the Division of Workforce Solutions, and the DES Regional Manager.

Local Center Management

The Center Manager is the functional supervisor of all Career Center staff and responsible primarily to the WDB for the operations of the Center. In the absence of a competitively procured Career Center operator, it is expected that the WDB, with input from the Regional Manager, will determine the most capable person to be Career Center Manager.

Integrated Services Delivery

Career center services are offered with the participation and cooperation of a number of partners. In addition to federally mandated partners, such as Veterans Employment Services and Title V Older Worker programs, and other career center partners including community colleges, secondary educational institutions, vocational rehabilitation, public assistance/social service, and economic development agencies, as well as community- and faith-based organizations. Wherever possible, programs and providers are to co-locate, coordinate, and integrate activities and information so that services are synchronized and accessible for individuals and businesses alike.

Functional Areas—roles and responsibilities

There are four primary functional areas required for each career center in Region C. Those areas are:

• Welcome• Training/Skill Development• Employment Services• Employer Services

The responsibilities of each functional area are as follows:

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Welcome• Welcome Customers to the Center• Determine if they are new or returning• Facilitate registration process for new customers and assist customer to enter registration data into

the NC Works integrated management information system• Direct returning customers to appropriate functional areas (Training, Employment, etc.)• Remain available and responsive to the needs of all customers entering the center• Provide customers with insight, guidance and information to assist them in determining next steps,

opportunities to access available resources and options• “Hand Deliver” customers to next appropriate functional area to ensure that they are provided

with seamless assistance• Other duties as necessary (pending customer demand)• Assist job seekers with questions• Work collaboratively with Training and Employment Area personnel to ensure customers are

supported accordingly• Assess customers skills, needs, and situation to help determine appropriate recommendations

Training/Skills Development• Provide Career Guidance and Counseling to include skill matching• Assist Customers with employment plan• Work with Job Seekers on self-directed search/ability to utilize center computer resources• Conduct assessments with job seekers (i.e. career, interest, basic skills, literacy etc.)• Determine eligibility/appropriateness for partner programs• Manage eligibility dependent training programs (WIA, TAA, Vet, VR) as appropriate• Ensure that job seekers’ data and service delivery activities are accurately captured in the NC

Works management information system• Assist job seekers with resume’ review, preparation and updates• Determine job seeker’s need for training based on skill gaps• Provide referrals to Welcome staff as appropriate (for individuals either in need of additional

Welcome related services, or those who might have by-passed the welcome process)• Provide referrals and schedule appointment for partner agencies.• Provide access to and information on labor market including occupations in demand, education

requirements, industry growth predictions, and salary ranges, etc…• Work closely with Welcome staff • Work closely with other community agencies to ensure that customer needs are being met• Work closely with Employment staff to assist in customer job search• Work closely with Employment Function staff to fully understand specific employer needs• Plan, coordinate, schedule and conduct appropriate workshops (e-learning and on site)• Work with local employers to identify and develop employer led/approved training(s)• Plan, coordinate, conduct Job Fairs, Career Expos or other events as needed• Provide financial supportive services or referrals (as available and as appropriate, pending

eligibility)

Employment Services• Provide excellent customer services including follow-up and follow-through with each employer

and job seeker.

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• Provide advice and referrals to job seekers regarding specific workforce services after understanding their expressed needs

• Maintain all data in the Geographic Solutions M.I.S appropriately• Assist job seekers with acclimating to and accessing new labor exchange/job search stations• Assist job seekers with job search by actively remaining present and accessible in employment

resource area to maximize availability• Provide individualized assistance to job seekers as needed (job referral, counseling, intensive job

search assistance, etc…)• Answer questions, provide support• Make appropriate referral for support services as necessary• Make appropriate referrals to Training/Skill Development team as appropriate

Employer Services• Organize and host Career fairs, interview days, networking events, training seminars and

workshops for employers and HR professionals• Host employer round table sessions• Research and report emerging labor/skill shortages and needs along with other trends from

customer relationships• Works with management to ensure a mutually acceptable means of communication to alert staff on

real-time labor market information, employer requests, difficulties with workforce services and relevant events.

• Provide regular/weekly employer activity/progress reports, to include target industry activity• Relay information pertaining to current job order(s) and include specific needs and requirements

expressed by an employer• Relay information regarding future hiring plans of employers• Work closely with local EDC, Chamber, and employer related entities to develop and maintain

consistent relationships• Provide information about new businesses moving into the region as well as layoff announcements• Relay ongoing and future education, skills and training needs and requirements of employers• Follow-up to ensure the system is responding to employer requests• Foster a good working relationships via follow-up, flexibility, and congeniality to find solutions

for employers and job seekers

Integrated Customer Pool It is the intent of the Region C Workforce Development Board to provide integrated service delivery, which essentially allows staff members funded by different funding streams to serve customers in the most effective and efficient manner possible. Customers shall be co-enrolled in all fundingstreams for which they are both eligible and receive services. This includes co-enrollment (wheneligibility permits) in the following programs: Wagner-Peyser, Workforce Investment Act (WIA)Adult, WIA Dislocated Worker, Trade Act, VETS, and some WIA Youth.

The expectation is that:• Career center customers be enrolled in Wagner-Peyser will also receive services and be enrolled in

the WIA Adult Core program;• All Trade Act customers will also receive services from and be enrolled in the WIA Dislocated

Worker Program and the Wagner-Peyser program;

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• All career center customers who are veterans will receive priority of service;• All customers co-enrolled will be used to calculate performance for each individual program as

appropriate, based upon the level of services;• Youth over the age of 18 should be co-enrolled as adults if they will benefit from the additional

services;• All career center customers will be enrolled and registered (at a minimum) in either WIA Adult

and/or the Wagner-Peyser program.

The intent of co-enrollment is to allow the customer to be served in the best manner possible and with whatever staff is available to provide the service. Thus, well-trained WIA and WagnerPeyser staff will provide Core and Intensive services as necessary and appropriate. The focus should be on providing customers with the best service rather than on which funding stream is supporting the service. As part of the integrated service delivery model, both Wagner-Peyser and WIA staff should provide both Core and Intensive level services, at a minimum.

All core, intensive, and training services provided to individuals through the center or center affiliates will be documented in the NC Works, MIS System.

Customer Flow (Welcome, Training/Skills Development, and Employment)The delivery of services to individuals in the centers is predicated on the system of functional areas described previously in this document. Those areas must include, but not limited to, Welcome, Training/Skills Development, Employment Services, and Employer Services. Business Services will be provided through an alternative mechanism managed by the Workforce Development Board. The activities of each functional area is described in the previous section, Functional Areas—Roles and Responsibilities

The procedures used to direct customer flow through the center’s services is intended to be flexible and based on the need of the individual and does not suggest a prescriptive set of steps that each individual must go through before they reach the next step. The intent is to facilitate the provision of services to assist the individual to obtain the best possible employment outcome through direct job placement, access to skills enhancement and career development activities available through the center’s Product Box, or by assistance with training through one of the funding opportunities, i.e. WIA, TAA, Pell Grants etc.

It is the responsibility of the staff in each functional area to ensure that each customer is registered in the NC Works system and that the customer’s profile is always up-to-date with the current contact demographic and contact information, work history, and current/newly acquired skills. This will help validate the accuracy of the data in the system and facilitate appropriate referrals for services and proper employment opportunities.

A. WelcomeCustomer enters the center and meets a member of the Welcome team. Staff does quick assessment as to why they are in the Center. Using the triage questions, staff identify if customer is a new job seeker, returning job seeker, only wanting self-service, a Dislocated Worker, or business/industry and economic development.

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Initial Process: Greeting: Receiving Customers - Upon entering the center, customers should be

acknowledged immediately by the assigned staff member(s) with, “Welcome to the Center,” and if all staff are busy, inform the customer that someone will be with them shortly.

Customer Check-In: All customers will be registered in the MIS system, NC Works, if not already registered. This can be staff assisted or self- directed using computer stations in the resource areas. If the customer is already registered, they will log into the system and their visit documented. This check-in process will provide information to accumulate a count of people using the center and the reason for their visit. All first-time customers will have a one-on-one getting started meeting as part of their registration process in addition to being provided a brief explanation of all services available at the center

Triage questions may include: Welcome to the career center, what brings you here today?” “Have you ever used a computer?” “Are you registered in NC Works system?” “Do you have a document to verify residency and DOB (eligibility)?” “Do you need any accommodations?

Welcome staff will obtain a copy of the eligibility document retain hard copy or scan into the NC Works system when capability is available.

Based on the initial assessment the customer will be referred to their next functional area. Referrals may be made to any of the functional areas depending on the needs of the individual . However, ideally and assessment of current skills, abilities and employability will need to be conducted at the next level of services.

B. Training/Skills Development• Staff will ensure that the customers profile in the NC Works system is up-to-date and

remind them to continually monitor and update their profile.• An assessment will be conducted for the customer to identify current skills and to

identifying gaps in skills necessary to gain suitable employment in the local job market. Assessments may be conducted via numerous methodologies. Formal testing such as Key Train, Asset, WorkKeys or other available tools. Assessment may also be based on detailed interviews and counseling.

• The customers will be informed of skill enhancement opportunities that may be accessed in the product box at the centers. Recommendations will be made for referrals to product box activities and/or available longer-term training through WIA, TAA, or other services, based on the formalized assessment

• All center will be familiar with services in the product box to make appropriate referrals to those services

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• All staff will be knowledgeable of eligibility requirements for programs that provide financial assistance for occupational training. These programs include, but not limited to, WIA, TAA, Pell Grants, and etc.

• All staff will assist in the collection of eligibility documentation if referrals are to be made to eligibility-based programs. Referrals to eligibility-based programs will be handed off to the appropriate, WIA, TAA, Financial Aid staff.

• Customers may be referred to the employment functional area if it is determined that opportunities are available for immediate employment, during on-going training or when training is completed. Training area staff will work closely with and coordinate with staff in the employment functional area.

• Any customer that does not have a high school diploma will be encouraged to obtain a GED or Adult High School Diploma.

• Career Readiness Certificate (CRC), a product box services, will be promoted and highly encouraged.

• Evaluate the need for a resume’ and assist in the development, if needed through referral to product box services.

• See additional responsibilities in the Functional Areas—Roles and Responsibilities section of this document

C. EmploymentThe assessment process continues and additional services from the product box, and or the training functional area may be appropriate based on the customer’s employment goal.• Staff will ensure that the customers profile in the NC Works system is up-to-date and

remind them to continually monitor and update their profile.• Staff will assist, if necessary, to conduct matches utilizing the NC Works labor exchange

functionality of the system. • Referrals will be made based on the most appropriated matches• Skill advancement, occupational training and employment services are to be offered

concurrently wherever/whenever appropriate. • See additional responsibilities in the Functional Areas—Roles and Responsibilities section of this

document.