I.Purpose
The purpose of this policy is to communicate the documentation
requirements necessary to support eligibility determinations in the Workforce
Innovation and Opportunity Act (WIOA) adult, dislocated worker, and youth
programs.
II.Effective
Date
Immediately
III.Rescission
Ohio Department of Job and Family Services (ODJFS), Workforce
Innovation and Opportunity Act Policy Letter No. 15-07.2, Source Documentation
for Workforce Innovation and Opportunity Act Title I Program Eligibility, (February
20, 2019).
IV.Background
WIOA establishes general and specific program eligibility
criteria. As recipients of WIOA Title I,
Subtitle B funds, the ODJFS Office of Workforce Development (OWD), the local
workforce development areas (local areas), and Comprehensive
Case Management and Employment Program (CCMEP) lead agencies are required
to maintain and report accurate program and financial information.
V.Definitions
Comprehensive Case Management and
Employment Program (CCMEP): An
integrated intervention program that combines Temporary Assistance for Needy
Families and the WIOA youth program to provide employment and training services
to individuals ages 14 through 24 years.
Lead agency: The local participating agency designated by
the board of county commissioners to administer CCMEP.
Personal Information and Personally
Identifiable Information (PII):
Any information describing anything about a person, indicating actions
done by or to a person, or indicating a person’s personal characteristics, which
can be retrieved from a system by a name, identifying number, symbol, or other
identifier assigned to a person. Ohio
Revised Code §1347.01(E). This
information can be used to distinguish or trace an individual’s identity,
either alone or when combined with other personal or identifying information
that is linked or linkable to a specific individual.
Registration: The process of collecting information to
support a determination of eligibility for the WIOA adult, dislocated worker,
and youth programs. This information may
be collected through methods, including electronic data transfer, personal
interview, or an individual's application.
Workforce Service Providers (WSPs):
Local areas, career services providers, youth program providers, and CCMEP lead
agencies that carry out a workforce development activity or program.
VI.Workforce
Service Provider Requirements
WSPs- Local areas, career services providers, youth program
providers, and CCMEP lead agencies must verify or confirm eligibility
requirements through an examination of documents or by using one or more of the
additional methods of source documentation described below.
Documentation requirements to support WIOA adult and dislocated
worker eligibility are tied to the level of services provided to the
participant. For adults and dislocated
workers receiving only basic career services which do not trigger participation
in the WIOA program, the local area may accept information provided by these
reportable individuals at face value to complete the basic intake process
without requiring source documentation.
Documentation requirements increase for participants who receive
basic career services triggering participation, individualized career services,
or training services. Definitions and
examples of basic career services and individualized career services are
contained in Workforce
Innovation and Opportunity Act Policy Letter (WIOAPL) No. 15-08.1, Career
Services for Adults and Dislocated Workers.
CCMEP WIOA youth program eligibility documentation does not vary
between types of services or program elements received.
Attachment A provides guidance for the specific types of source
documents that may be used to verify participant eligibility at each level of
service.
A.Electronic
Files
Eligibility documentation may be stored electronically. However,
the documentation requirements remain unchanged. If WSPs use electronic files, the documents
must be available to the program and fiscal monitors and auditors for
monitoring purposes.
Pursuant to rule 5101:9-30-04 of the Ohio Administrative Code,
local areas must ensure that case managers are accurately and timely (i.e.,
within 30 days) reporting WIOA
participants, services, and case management information, including case notes
and performance information, into Ohio’s designated case management system.
B.Electronic
Signatures
WSPs may have an electronic WIOA adult and dislocated worker
programs eligibility form. In these
instances, the electronic form must capture the electronic signatures of the
applicants.
For the CCMEP WIOA youth program, WSPs must use the JFS 03002, WIOA Youth Program Eligibility Application. This form must be used to determine
eligibility for all WIOA youth program participants per rule 5101:10-3-01 of the Ohio Administrative
Code. A WSP may use an electronic
version of this form, but it must capture all required electronic signatures.
C.Additional
Methods of Source Documentation
For documentation of eligibility for a WIOA adult, dislocated
worker, and youth programs, there are multiple forms of acceptable source
documentation. In most instances, one of the source documents listed in
Attachment A, Allowable Source Documentation for WIOA Program Eligibility,
should be used to verify the eligibility of a participant. Below are additional methods that WSPs may
use if, per Attachment A of this policy letter, the method is permissible for
the eligibility criteria or data element being verified.
1.Telephone or Electronic Communication
In instances where telephone or electronic communication is
acceptable and used, the case file must contain the name of the agency
representative, the date of the conversation, and the result of the eligibility
verification.
WSPs must use the JFS 13188, WIOA Telephone Eligibility
Verification, to document telephone communication. If a telephone communication is used to
verify dislocation, the case file must contain the date and reason for
termination, and a possible recall date if applicable.
2.Self-Attestation
Self-Attestation occurs when a participant states his or her
status for an eligibility criterion or set of eligibility criteria, and then
signs and dates a form acknowledging this status. The key elements for self-attestation are:
a.The participant
identifying his or her status for permitted eligibility criteria; and
b.Signing and
dating the form attesting to this self-identification.
WSPs must use the JFS 13186, Self-Attestation, or the JFS 13187,
Citizenship Status/Authorization to Work Self-Attestation.
Local areas may add both the JFS 13186
and the JFS 13187 to a local area WIOA Adult and Dislocated Worker eligibility
determination form if all the components of the form, including language,
remain intact. The self-attestation is
not a blanket verification for all eligibility components as noted in
Attachment A. Within this
self-attestation, the individual must document which specific elements of
eligibility he or she is attesting (e.g., authorization to work, proof of
termination or layoff, etc.) and how he or she meets the eligibility
criteria.
WSPs must be cognizant that not all eligibility source
documentation may be verified with self-attestation. Therefore, self-attestation does not
alleviate or replace the need to collect documentation of some eligibility
elements from the individual.
3.Case Notes
Case notes refer to statements placed in Ohio’s designated case
management system by the case manager and identify, at a minimum, the following:
a.A participant's
status for a specific eligibility criterion or set of eligibility criteria;
b.The date on
which the information was obtained; and
c.The case
manager who obtained the information.
4.Cross-Match
A cross-match requires the WSP staff to acquire detailed
supporting evidence for the eligibility criteria in another database (e.g.,
public assistance records). An indicator
or presence of a social security number (SSN) in a database alone is not
sufficient evidence to document WIOA eligibility; additional details such as
the date of the eligibility determination, date of participation, and services
rendered must be obtained from the cross-match to confirm the accuracy and
currency of the information.
5.State Management Information System (MIS)
State MIS refers to specific, detailed information that is
stored in an authorized case management systems and supports eligibility
criteria. An indicator such as a
checkmark or date on a computer screen is not acceptable source documentation.
D.Handling
and Protecting Personally Identifiable Information (PII)
1.Identifying
information collected about adult, dislocated worker, and youth workforce
program participants is not considered a public record, must only be used for
workforce program administrative purposes, and should not be disclosed to the
general public or to unauthorized individuals.
Identifying information includes, but is not limited to, names, home and
email addresses, phone numbers, social security numbers, dates of birth, and
other identifying information collected or maintained about individual
job-seekers, those seeking education or training, and those seeking assistance
in overcoming their barriers to employment.
2.Moreover,
certain types of PII about workforce participants are more sensitive and
confidential than others, because the disclosure of such information could
result in financial or other harm to the individual whose name or identity is
linked to that information. Such
information requires a higher level of security and training of staff on the
higher level of security required for this information — to prevent
unauthorized access, use and disclosure.
Examples of the types of PII that are more sensitive, and therefore
subject to a higher level of security, include, but are not limited to, social
security numbers , state and federal tax identification numbers, driver’s
license numbers, state identification numbers, credit and debit card numbers,
bank and financial account numbers, student educational records (including
transcripts, and information about current or prior enrollment, course
progress, or graduation), medical history and information about an individual’s
current or prior physical or mental status, financial information, and
information identifying the individual as an applicant for or recipient of
unemployment compensation benefits, or food or cash assistance.
3.Any WSP staff
who work directly with job-seekers and other workforce program participants, or
who handle or process PII about workforce participants, must take steps to
ensure that PII is processed in a manner that will protect the confidentiality
of the records/documents, and that PII is not accessed, viewed, or used by
either the general public, or unauthorized staff at OhioMeansJobs Center
partner organizations.
4.Federal law,
OMB Guidance, and United States Department of Labor (USDOL) policies require
that PII and other sensitive information be protected. To ensure that PII and sensitive information
is handled appropriately, WSPs must:
a.Ensure PII is
not transmitted to unauthorized users and all PII transmitted through e-mail or
stored electronically (e.g., DVD or thumb drive) is encrypted.
b.Take necessary
steps to ensure the privacy of all PII obtained from participants and/or other
individuals and to protect such information from unauthorized disclosure.
c.Ensure that
any PII used as part of the WIOA grant has been obtained in conformity with
applicable Federal and state laws governing confidentiality of
information. PII shall not be stored on
personally owned equipment, at off-site locations (e.g., employee’s home), and
on personal e-mail accounts.
d.Ensure that all
PII obtained through the WIOA grant is stored in an area that is physically
safe from access by unauthorized persons at all times.
e.Store PII only
on secure work servers and equipment that are approved by ODJFS or the local
board. Storing PII on personally owned equipment, at off-site locations (e.g.,
employee’s home), and on personal e-mail accounts is prohibited.
f.Advise all
local area and/or provider staff who have access to
sensitive/confidential/proprietary/private data of the confidential nature of
the information, the safeguards required to protect the information, and the
civil and criminal sanctions for noncompliance with such safeguards.
g.Implement
policies and procedures regarding the handling of PII, including staff
acknowledgement of their understanding of the confidential nature of the data
and the safeguards with which they must comply in their handling of such data.
E.Outlined
below are requirements to protect PII:
1.Before
obtaining a participant’s SSN, the WSP should have the participant sign a
release acknowledging the use of the participant’s social security number for
eligibility determination and federal grant purposes only.
2.WSPs should use
unique identifiers for participant tracking instead of the SSN. If SSNs are to be used for tracking purposes,
they must be stored or displayed in a way that is not attributable to an individual,
such as using a truncated or masked SSN (e.g., last 4 digits only).
3.WSPs using an
electronic system in addition to the state of Ohio’s designated case management
system for basic career services tracking or other registration processes must
truncate or mask an individual's SSN in such systems.
4.WSPs using
paper applications containing SSNs must, at a minimum, enter the basic intake
information and the SSN in the state of Ohio’s designated case management
system the day the information is received and destroy the paper application if
feasible. If all eligibility information
is not placed in the state of Ohio’s designated case management system that
day, staff must mask the SSN on the paper application and store in a secure
manner.
5.Documentation
of SSNs (e.g., physical copy of social security card) shall not be obtained
until such time WIOA eligibility is determined, the individual receives a WIOA
adult, dislocated worker, or WIOA CCMEP youth program service that triggers
participation in the program, and the individual becomes a participant.
6.When an
individual becomes a participant, the WSP must attempt to obtain and verify the
SSN for performance reporting purposes but shall not deny access to the
American Job Center’s (in Ohio, called OhioMeansJobs center) resource room or
to WIOA program services if the individual does not disclose his or her SSN. If
the individual refuses to provide an SSN, the local area will assign a
temporary alternative identifying number.
The individual will use this number for identification during subsequent
visits to the OhioMeansJobs center or for program-funded activity tracking.
WSPs should keep SSNs electronically in the state of Ohio’s
designated case management system minimizing the use of paper files. If paper files are used or if the
participant’s SSN is listed on other forms of source documentation listed in
Attachment A, the WSP must ensure that the SSN on the paper document has been
masked.
8.WSPs must use
appropriate methods for destroying sensitive PII in paper files and securely
deleting sensitive electronic PII.
9.WSP staff at
the OhioMeansJobs center or other service delivery location shall not leave
records containing PII open and unattended.
10.WSPs shall
store documents containing PII in locked cabinets when not in use.
11.Local workforce
development board directors shall report within 24 hours any breach or suspected
breach of PII by the area or its subrecipient to the Deputy Director at OWD,
ODJFS and to Ohio’s assigned Federal Project Officer at the Department of Labor
(DOL), Region 5, and follow any instructions provided by ODJFS or DOL.
F.Retention
of Records
Per rule 5101:9-9-21 of the Ohio Administrative Code, ODJFS and
local areas are to retain records for a period of at least three (3) years
after submittal of the final closeout expenditure report for that funding
period.
VII. Monitoring
At the local level, the local area must conduct oversight of the
implementation of the WIOA adult, dislocated worker, and youth programs to
ensure that participants are eligible for enrolled programs and documentation
supporting the eligibility are contained in the case files. The procedures for protecting PII must also
be monitored by the local area. Local monitoring reports must be submitted to
the state upon request.
Through the state’s monitoring system, program monitors will
review the local area’s implementation of the WIOA adult, dislocated worker,
and youth programs, including a participant file review during the annual
onsite monitoring review for compliance with federal and state laws and
regulations. Any issues will be handled
through the state’s monitoring resolution process.
VIII. Technical
Assistance
For technical assistance, you may send your request to the
Office of Workforce Development:
WIOAQNA@jfs.ohio.gov.
IX.References
Workforce Innovation and Opportunity Act § 116, Pub. L. 113-128.
29 U.S.C. 3101 et seq.
Ohio Revised Code Chapters 6301 and 5116 and § 5101.241.
Ohio Administrative Code rules 5101:9-31, 5101:14-1, 5101:9-9-21
and 5101:9-30-04.
TEGL
23-19, Change 1 - Guidance for Validating Required Performance Data Submitted
by Grant Recipients of U.S. Department of Labor (DOL) Workforce Programs
TEGL
23-19, Change 2 - Guidance for Validating Required Performance Data Submitted
by Grant Recipients of U.S. Department of Labor (DOL) Workforce Programs
USDOL,
Training and Employment Guidance Letter No. 7-18, Guidance for Validating
Jointly Required Performance Data Submitted under the Workforce Innovation and
Opportunity Act (WIOA), (December 19, 2018).
USDOL, Training and Employment Guidance Letter
No. 39-11, Guidance on Handling and Protection of Personally
Identifiable Information (PII), (June 28, 2012).
ODJFS,
Workforce Innovation and Opportunity Act Policy Letter No. 15-08.1, Career
Services for Adults and Dislocated Workers, (June 6, 2017).
Attachment
A, Allowable Source Documentation for WIOA Program Eligibility
Attachment
B, Allowable Source Documentation for WIOA Performance Measures
JFS
13188, WIOA Telephone Eligibility Verification
JFS
13186, Self-Attestation
JFS
13187, Citizenship Status/Authorization to Work Self-Attestation