SOUTHWEST AREA TRAINING GUIDANCE LETTER (SWAGL)

NO. 06-01

TO: ALL Southwestern Area Workforce Development Board

Service Providers

FROM: Southwest Area Workforce Development Board Administrative Entity

Members

Catron

Doña Ana

Grant

Hidalgo

Luna

Sierra

Socorro

SUBJECT: Documentation to be maintained in files

Purpose: To ensure participant files contain the necessary documentation and verification necessary to ensure compliance with all State and Federal laws. Due to the large number of participants served in the Southwest Area it is imperative that each Youth Service Provider maintains the same information in each participant file. This will guard against the possibility of questionable findings during onsite monitoring.

Each participant files should contain the following information and forms:

Documentation Required:	Purpose:
1. Eligibility Check list	This will show at a glance if all necessary information is in the file.
2. Participant Orientation checklist	This will show that each participant has been made aware of what the WIA program entails.
3. WIA application	Either the WIA 1 & 2 or the VOSS application printed from VOSS. The application must be signed and dated by the participant, WIA representative and parent or guardian if the participant is under 18 years of age. The release of information section must also be signed. *Any updates must be signed and dated and maintained in the participant file.
4. WIA Participant Notification of Civil Rights and Complaint/Grievance Resolution Procedure dated and signed by the participant.
5. Telephone Verification Form (when telephone verification is used.
6. Applicant Statement	When applicable including Applicants signature, date and the signature of a Corroborating Witness.
7. Individual Development Plan/Individual Service Strategy	This form must be filled out completely. Including testing information, education background, work history, barriers, etc. This form must also list goals for younger youth and must be signed and dated by the participant and WIA staff person.
8. Case notes	Case notes must be made on the VOSS and included in the participant files to ensure that contact is being made with the participants on a regular basis. Contact and case notes should be at least every two weeks for active participants and at least one time quarterly for participants who are in the follow up stages.
9. Supportive Services Documentation	If the participant is receiving supportive services there must be documentation in the file showing need and verifying the type of supportive received.
10. Worksite Agreement	If the participant is in work experience the file must contain a worksite agreement for each site where the participant has been placed.
11. Employer Request Form	This form shows the employers interest in WIA, the number of positions available for WIA participants and the job description.
12. Job Work Schedule	Details the hours the participant is expected to work and what the work entails.
13. W-4	Required in all files of all participants who obtain employment through WIA.
14. I-9	Required in all files of all participants who obtain employment through WIA.
15. Time sheets	Required in files of all participants who obtain employment through WIA to ensure participants are not working over their allotted number of hours.
16. Copies of check stubs signed by the participant	Required in files of all participants who obtain employment through WIA to ensure participants are being paid for the correct number of hours they work.
17. Exit information	Exit form should be printed from VOSS upon exit of participants and maintained in the participant file.
18. Follow up information	As required by the Federal Regs follow ups are to be completed quarterly for a period of one year following exit. These follow ups should be completed in VOSS, printed and maintained in the participant files.