I.Purpose

To require local Workforce Investment Boards (WIBs) to establish policies and procedures that ensure all individuals enrolled in the WIA program have been determined eligible, assessed, and served in an ethical manner that is free from any real or perceived conflict of interest.

II.Effective Date

Immediately

III.Background

Although WIA is not an entitlement program, access to needed services by eligible and suitable individuals is essential in order to fulfill the goals and objectives of the legislation. Local elected officials, WIBs, designated fiscal agents, and administrative entities must help meet these objectives through effective policies, procedures, and safeguards that ensure the integrity of these public funds. Safeguards must be in place throughout the State that ensure all individuals served in the program are not only eligible and suitable, but also served in manner that is free from the perception of any impropriety or conflict of interest.

IV.Requirements

All subrecipients of WIA funds agree through OAC Rule 5101:9-31-01, General Requirements for use and expenditures of WIA funds for local areas, that in administering its local areas, they will comply with the standards of conduct for maintaining the integrity of the program and avoid any conflict of interest in its administration including, but not limited to, 29 U.S.C. 2832(g), ORC chapter 6301 and Ohio ethics law.

The WIA program, while not an entitlement, should be accessible to any individual who is eligible and suitable for services available at the local area, subject to local WIB policies and procedures. However, when applicants have a close relationship to WIA staff, management, and other specific stakeholders of the workforce investment system, attention must be given to ensure access to program services is not based upon this relationship or political influence. It is possible that even without an intention to misuse WIA funds, the decision to enroll an individual in the program could be perceived as improper and cause potential non-compliance with State and/or federal law.

An arms-length determination of eligibility must be conducted by a staff member that has no relationship to the individual. Likewise, decisions related to approving training, supportive services, job referrals or other service needs must be made by the WIB director or an authorized designee with no such relationship to the applicant. Stakeholders identified in this issuance shall not use their position to influence a decision to enroll an individual in the WIA program.

Effective immediately, all local WIBs must establish policies and procedures for determining eligibility and service needs of immediate family or close personal relations of local elected officials, WIB members, Youth Council members, WIA executive staff and employees, and One-Stop partners.

Real or perceived violations of this policy shall result in referral, including but not limited to the Ohio Ethics Commission or prosecuting authority for investigation.

All individuals applying for services in the WIA program are required to indicate whether or not a relationship exists that is covered by this policy. Local WIBs are encouraged to develop a disclosure form for this purpose. Documentation must be maintained in all participant files. When a relationship exists, it must be disclosed at the time of application to the program, and documented for the record. Thereafter, the local policy that describes how the individual will be determined eligible, assessed, and served (if appropriate) in the WIA program must be followed.

Either the WIB Director or his/her authorized designee is required to sign off on approval and enrollment of subsequent services.

Local areas must provide a list of all participants who have disclosed that a close relationship to WIA staff, management, or other specific stakeholders of the workforce investment system exists to ODJFS program monitors and auditors at the onset of all monitoring visits.

For purposes of this policy letter, the following definitions apply:

A.Definitions

Definitions Table

B.WIB Policy Requirements

Local policy and procedures must include, at a minimum, the following requirements:

1.Require immediate disclosure and documentation of the relationship between the applicant and any of the following parties/stakeholder(s) of the workforce investment system:

a.Local elected officials

b.WIB members

c.WIB committee or subcommittee members

d.Youth Council members

e.WIA executive staff and supervisors

f.WIA employees

g.One-Stop partners

h.WIA sub-recipient and/or contractor

i.County employees

2.Describe the internal process that will ensure that a transparent and arms-length assessment of the individual applicant's eligibility, and any corresponding development of the individual employment plan, has been conducted by staff with no personal relationship, bias, special interest, or prejudice.

3.Describe the approval process for authorizing an individual subject to this policy to be served in the local WIA program, including how training and supportive service decisions are made.

4.Describe how individuals subject to this policy will be tracked by the local WIB.

5.Describe the process and frequency by which the local WIB will monitor compliance with the local policy.

Local WIBs are required to provide training on the local WIB approved policy to persons directly involved with assessments and determining eligibility of participants. WIBs must also ensure that all new staff members and providers are informed of the policy.

Local WIBs are encouraged to develop agreements or memorandums of understanding with other Ohio WIBs to accept referrals for eligibility determination, and suitability and/or assessment to receive services when the referring WIB's applicant is one of the following: a local elected official; a local elected official's close acquaintance or family member; a WIB or Youth Council member; or a WIA executive staff or supervisor. By having another Ohio WIB conduct eligibility determinations, suitability and/or assessments, the local WIB could avoid situations that give rise to a suggestion that any decision was influenced by these parties.

Local WIBs should ensure that their existing policies and procedures are in compliance with this policy letter, and revise as necessary.

V.Technical Assistance

For additional information, you may send your questions to the Office of Workforce Development: WIAQNA@JFS.OHIO.GOV.

VI.References

Workforce Investment Act of 1998, Public Law 105-220 et. al.

Workforce Investment Act Final Rules, 20 CFR Part 652, Section § 667

OAC Rule 5101:9-31-01, General Requirements for use and expenditures of WIA funds for local areas

ORC-Chapter 102-Ohio Ethics Law, Public Officers-Ethics

29 CFR 95.42 - Codes of conduct

29 CFR 97.36(b)(3) - Uniform Administration Requirements-Post-Award Requirements

ODJFS, FAPMTL 248

ODJFS Administrative Procedure Manual Transmittal Letter number 248

Rescissions

WIAPL 08-13.1