Attachment 1 - CareerSource Palm Beach County

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Quality Documentation System
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This is a controlled document. Printed copies must have issue number verified prior to each
use. This document begins with this page and ends with the signature page.
TITLE:
Procurement Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
CN-011
ISSUE NUMBER:
01
EFFECTIVE DATE:
05/04/2011
AUTHOR NAME:
Sharon Brea
LAST UPDATE DATE:
2011-04-18 17:32:20
BY:
Sharon Brea
AREA OR PROGRAM AFFECTED: Contracts
DOCUMENT TYPE:
PROCEDURE
DESCRIPTION OF CHANGE:
Initial Issue
DOCUMENT HISTORY
ISSUE EFFECTIVE DATE DESCRIPTION OF CHANGE
01
05/04/2011
Initial Issue
1.0 PURPOSE:
To provide Workforce Alliance, Inc. and The Palm Beach Workforce Development Consortium (hereinafter
referred to collectively as Workforce Alliance) staff with the procurement procedure to ensure the purchase
of goods and services is conducted in an open manner resulting in competitive pricing, proper
management, and oversight controls to ensure fiscal accountability, efficiency, prevent waste, fraud and
abuse.
2.0 APPLICATION:
This procedure applies to all Workforce Alliance, Inc. and The Palm Beach Workforce Development
Consortium (hereinafter referred to collectively as WorkforceAlliance) purchases.
3.0 DEFINITIONS:
1. Workforce Alliance:
Workforce Alliance, Inc. and/or The Palm Beach Workforce Development Consortium.
2. Vendor
Collectively vendor, contractor, subrecipient, consultant.
4.0 REFERENCE DOCUMENTS:
1.
2.
3.
4.
5.
6.
7.
Section 445.007. Florida Statutes
Section 112.3143(1)(b), Florida Statutes
Section 112.312(2), Florida Statutes
Section 112.326, Florida Statutes
2 CFR 215 Uniform Administrative Requirements For Non-Profit Organizations
State of Florida Specific Appropriation 2214 of the 2010 General Appropriations Act
2010 Appropriations Implementation Bill Concerning Regional Workforce Board
Contracting
8. Workforce Alliance, Inc. Procurement Policies & Procedures Manual
9. OMB Circular A-110 Uniform Administrative Requirements for Grants and Other
Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations (11/19/1993) (further amended 09/30/1999)
10. Article XIII. Code of Ethics (Cross references: Commission on Ethics, §2-254 et seq.);
Palm Beach County Ordinance 2009-51 as amended by Palm Beach Ordinance 2010-043
11. 20 CFR § 667.200(a)(4) Administrative Provisions Under Title I of The Workforce Investment Act
12. Section 117(g), Workforce Investment Act of 1998
13. 29 CFR 95.42 Grants And Agreements With Institutions Of Higher Education, Hospitals, And Other
Non-Profit Organizations, And With Commercial Organizations, Foreign Governments,
Organizations Under The Jurisdiction Of Foreign Governments, And International Organizations
14. 29 CFR 97.36(b)(3) Uniform Administrative Requirements For Grants And Cooperative Agreements
To State And Local Governments
5.0 MATERIALS REQUIRED:
1. Internet Access
2. Quality Documentation System
3. Workforce Alliance, Inc. Procurement Policies & Procedures Manual
6.0 PROCEDURE:
Workforce Alliance property and procurement responsibilities are decentralized. The Operations
Department is responsible for procurement functions relating to data processing equipment,
furniture and equipment and vehicles. All others purchases are made by the department needing
the item on an as needed basis. If the item is included in the budget and is $5,000 or less, no
additional approval is required. However, purchases for items not included in the budget, and
budgeted items over $5,000 require prior approval from the Chief Executive Officer/President.
The staff purchasing the goods and/or services is responsible for ensuring that Workforce
Alliance’s policies and procedures are adhered to. The staff is also responsible for the following:




Ensuring that procurement transactions are adequately documented. At a minimum,
documentation should include the basis for contractor selection, justification for lack of
competition when competitive bids or offers are not obtained, basis for award cost or price
and disclosure of any conflict of interest in accordance with Standard Operating Procedure
CN-004 and any amendments thereto.
Performing price and cost analysis both before the purchase is made and after selection of a
proposed contract award is made to determine reasonableness and that the cost is allowable.
Maintaining procurement files.
Overseeing the management of contracts and follow-up correspondence.
The CEO/President and the Chief Financial Officer are responsible for educating all employees
with property and procurement responsibilities on the Federal and State laws relating to property
and procurement.
Prior to approving the purchase of goods and services, the approver (See Workforce Alliance
Procurement Policies & Procedures Manual Article IIA- Board of Directors-Authority Level
Chart) must ensure that the expenditure is appropriate and necessary, and that funds are available
to facilitate the purchase. This includes lease/rental versus purchase options. When such options
exist, a price analysis must be performed. The lease/purchase of luxury automobiles is
prohibited. The approver is also responsible for ensuring that the expenditure is reasonable in
value and that the purchasing procedures are in compliance with Workforce Alliance policy.
Funds availability and the six (6)-segment general ledger code verification must be obtained from
the Finance Department (Chief Financial Officer or an Accountant) for all transactions, except
petty cash. All purchase requisitions must be coded with the proper six (6)-segment general
ledger code before the purchase is made. Any person who fails to observe these control
mechanisms risks being held personally liable for the purchase amount and may receive a letter of
reprimand or other disciplinary action.
1. PURCHASING REQUIREMENTS
Some form of cost or price analysis shall be made and documented in the procurement file in
connection with every purchase action noted below. Price analysis may be accomplished in
various ways, including the comparison of price quotations submitted, market prices and similar
indicia, together with discounts. Cost analysis is the review and evaluation of each element of
cost to determine reasonableness, allocability and allowability. Workforce Alliance Finance staff
are responsible for maintaining documentation of all purchases. NOTE: Categories A. and B.
below do not include the purchases of office supplies or office furniture. Office supplies and
office furniture are purchased by Workforce Alliance from approved vendor(s) obtained through
the competitive RFP process stated in category C. below.
Prior to a Workforce Alliance employee participating in any stage of the procurement process
including, but not limited to, the development of specifications, scopes of work, answering
procurement questions or evaluating bids/submittals/quotes/proposals (collectively referred to as
“quote”) the Alliance employee shall certify that a Conflict of Interest is not present. Vendor,
contractor, subrecipient and consultant are collectively referred to as “vendor”. Beginning with
issuance of the procurement vendors may submit questions regarding the procurement via e-mail
to Workforce Alliance. The vendor questions and Workforce Alliance’s answer to the vendor
questions are not provided verbally to vendor(s) but are posted on the Workforce Alliance
website. Vendors with a Federal or State contract for the same/similar goods or services may be
utilized in lieu of publicly noticing the procurement and obtaining quotes. Some form of cost or
price analysis shall be made and documented in the procurement file in connection with every
purchase action. Price analysis may be accomplished in various ways, including the comparison
of price quotations submitted, market prices and similar indicia, together with discounts. Cost
analysis is the review and evaluation of each element of cost to determine reasonableness,
allocability and allowability.
Prior written approval is required from the funding source for equipment purchases over $5,000.
Exceptions to the below procurement threshold are when purchases are made during an
emergency or are sole sourced. Sole source documentation is required in accordance with OMB
Circular A-110 and Workforce Alliance Procurement Policies & Procedures Manual Article V.A.
Section 4.
Other purchase thresholds and public notice requirements are as follows:
A.
PURCHASES OF $10,000 AND LESS - Considered a small purchase in the aggregate
that does not exceed $10,000 per Workforce Alliance fiscal year (July 1 through June
30). Written quotes are not required for these purchases. However, it is always in the best
interest of Workforce Alliance to ensure that a fair market price is obtained. The goods or
services are available from a variety of vendors at comparable prices. A vendor is
identified on the basis of availability, most appropriate quality and best price, not
necessarily the lowest. There are no public notice requirements for purchases of $10,000
and less.
B.
PURCHASES OF MORE THAN $10,000 AND LESS THAN $100,000 - A minimum
of three written quotes are required for these purchases. The quotes must be attached to
the Purchase Order. Vendor selection must be made based on vendor qualifications,
product quality and availability, and competitive price as stated in the vendor quote
solicited by Workforce Alliance. All quotes must be submitted by a time certain, enclosed
in a sealed envelope and opened at the same time by one employee of Workforce Alliance
witnessed by another employee of Workforce Alliance. Vendors with a Federal or State
contract may be utilized in lieu of obtaining quotes. Purchases of more than $10,000 and
less than $100,000 shall be publicly noticed on the Workforce Alliance website and Palm
Beach County Public Affairs Department Channel 20.
C.
PURCHASES OF $100,000 OR MORE - A minimum of three written quotes are
required for these purchases. Vendor selection must be made based on vendor
qualifications, product quality and availability, and competitive price as stated in the
vendor quote solicited by Workforce Alliance. Vendors with a Federal or State contract
may be utilized in lieu of issuing a RFP/RFQ. Purchases of $100,000 or more shall be
publicly noticed on the Workforce Alliance website and Palm Beach County Public
Affairs Department Channel 20 and a local newspaper. A RFP/RFQ is issued by
Performance Analysis staff.
D.
Contracts with consultants whose total compensation will exceed $50,000 during any
fiscal year shall be subject to the approval of the Finance Committee as soon as it is
reasonably determined that the consultant’s compensation will exceed $50,000.
Workforce Alliance property and procurement activities shall be conducted in a manner
consistent with the standards set forth in the OMB Circulars, and all other applicable laws and
regulations of the Federal government and the State of Florida.
In order to ensure objective contractor performance and eliminate unfair competitive advantage,
any Workforce Alliance employee who has a financial or other personal interest in a procurement
or who may have a member of his or her immediate family, his or her partner, or an organization
which employs or contracts with or is about to employ or contract with any member of his or her
immediate family who has a financial or other personal interest in the procurement shall not be
allowed to develop or draft specifications, scopes of work, requirements, statements of work,
invitations for bids and/or requests for proposals or participate in the selection or contract award
process. Prior to an employee participating in any stage of the procurement process including,
but not limited to, the development of specifications, scope of work, or answering bidders
conference questions shall be required to sign a Staff Conflict of Interest/Non-Disclosure
Statement (see below) and recuse themselves in the event an actual or apparent conflict of interest
may exist.
To avoid a conflict of interest, all vendors who have any financial and/or family/relative
relationship(s) as defined in Section 112.3143, Florida Statutes and Article XIII. Code of Ethics
(Cross references: Commission on Ethics, §2-254 et seq.); Palm Beach County Ordinance 200951 as amended by Palm Beach Ordinance 2010-043, with any Alliance staff member or Alliance
Board, Alliance Committee or Consortium member must clearly disclose such a relationship by
completing and submitting the Vendor Conflict of Interest Disclosure Form when submitting a
bid/submittal/quote/proposal (quote) to Workforce Alliance. Financial or family relationships
with vendors will disqualify an Alliance staff member, Alliance Board member, Alliance
Committee or Consortium member from participating in the discussion and voting to fund quotes
and will also disqualify any individual from evaluating quotes.
No information obtained in reviewing proposal/quotes in a solicitation shall be communicated to
anyone not also participating in the procurement. Specifically, there shall be no disclosure of the
number of respondents to the solicitation, the names of individuals or organizations that respond,
nor will there be a disclosure of any information from technical or cost/pricing submissions of
proposals or offers except to other reviewers officially assigned to a solicitation. If anyone outside
the official review chain seeks information about a procurement, he/she will not supply any
information, but will refer to the Alliance, CEO/President for action consistent with the Florida
Public Records Act (Florida Statute 119) and the Federal Freedom of Information Act.
Solicitations and preparation of the scope of work are part of the procurement selection process
and facilitating vendor payments (approving check requests and check signing) is also part of the
administration process of a contract.
Contracts with an organization or individual represented on the Workforce Alliance Board of
Directors must be approved by a two-thirds vote of the entire Workforce Alliance Board, and the
Workforce Alliance Board member who could benefit financially from the transaction must
abstain from voting on the contract. A Board member who has a conflict of interest in any
contract considered by the Board shall disclose his or her interest during the Board meeting and
have the disclosure noted in the official Board minutes.
A Workforce Alliance Board member with a conflict of interest will:
a) not take part in the discussion of or vote on any question in respect of the matter;
b) immediately leave the meeting or the part of the meeting during which the matter is under
consideration;
c) not attempt in any way, whether before, during or after the meeting, to influence the opinion
or vote of the Board on any question in respect of the matter; and
d) not attempt in any way to influence the employee, board or committee member in carrying out
his or her duties.
e) No Workforce Alliance Board member shall serve as a reviewer on a proposal for which he or
she may have a conflict of interest. Nor shall a Board member participate in the discussion on
a matter at a meeting of the Alliance Board or vote on a matter if he/she has a conflict of
interest and must leave the room during both discussion and voting on that matter.
At convened Workforce Alliance Board meetings, Board members with a conflict of interest are:
a) excluded from discussion except to provide information requested by the Board;
b) excluded from voting;
c) must leave the meeting room for discussion and voting (except to provide information
requested by the Board);
d) not counted towards the quorum.
Workforce Alliance staff will document in the official Board minutes that the Board member left
the room during the discussion and voting on the matter, with an indication that a conflicting
interest was the reason for the absence. Several mechanisms are used to remind Board members
about conflicts of interest. These include reminders on the Board agenda, a statement in the email sent to Board members and reminder at the convened Board meeting to disclose conflicts of
interests.
Contracts equal to or greater than $25,000 with an Workforce Alliance Board member or other
person or entity who could benefit financially from the contract as defined in paragraph Section
112.312(2), Florida Statutes must be reviewed by the Agency For Workforce Innovation and
approved by Workforce Florida, Inc. If the work/services or product provided in the quote
requires prior approval of the Alliance Board of Directors and impacts the Alliance’s ability to
perform its duties/tasks in a timely manner or in the event of an emergency as determined by the
President/CEO, the quote submitted by the vendor who has a conflict of interest relationship will
not be considered by Alliance.
Staff procurement selection teams have been pre-designated to ensure staff expertise is included
in the bidder and selection award process. Staff’s recommendation is forwarded to the Alliance
CEO/President or Alliance Board of Directors if applicable for review and approval. Staff
procurement teams have been designated for the following areas:

FACILITIES (to include office supplies, office furniture, all products, services paid through
the Operations budget): IT Director, Director of Facilities, CFO, Finance Accountant

HUMAN RESOURCES: HR Manager, HR Support Manager

BUSINESS SERVICES: Vice President Business Services, Sr. Manager Business Services,
Manager Business Services

PROGRAMS (Gas Cards, Childcare, Youth, all products, services paid through the Programs
budget): Client Services Director, Senior Director of Client Services, WTP Program Director,
WIA Youth Program Director, Director Performance Analysis
In the event a staff member as indicated above is unavailable when needed at the time of a
procurement, the Alliance CEO/President may substitute another Alliance staff member to
participate on a procurement team.
Workforce Alliance has adopted the following policy statements:
 Consideration should be given to include Prison Rehabilitative Industries and Diversified
Enterprises, Inc. (PRIDE) in the procurement of bids for the services offered by PRIDE.
Employees, officers, board members or agents of Alliance shall not participate in the

selection, award or administration of a contract of any type in which they or their family
members or partners or organization have a financial interest or the possibility of future
employment.
 Employees, officers, board members or agents of the Alliance shall neither solicit nor accept
gratuities, favors or anything of monetary value from contractors or potential contractors.
However, unsolicited gifts of a nominal value may be accepted with the approval of the Chief
Executive Officer. Disciplinary actions shall be applied to individuals who violate this rule.
 All procurement transactions shall be conducted in a manner to provide, to the maximum
extent practical, open, fair and free competition, in order to ensure objective contractor
performance and eliminate unfair competitive advantage. Contractors who develop or draft
specifications and other requirements of a Alliance solicitation instrument, such as RFP, shall
be excluded from competing for such procurement unless the specifications and information
is gathered at a publicly noticed meeting.
 Awards shall be made to the vendor whose offer is responsive to the solicitation and is most
advantageous to the Alliance, price and other factors considered.
 Solicitations shall clearly set forth all requirements that the vendor must fulfill in order for
the offer to be evaluated. Any and all offers may be rejected when it is in the best interest of
the Alliance.

The goal of the Alliance is to utilize minority-owned firms and women’s business
enterprises, which have been certified by the state, to further the objective of our program.
 Alliance will at its discretion attempt to utilize organizations or businesses from the local
environment whenever possible.
 Consideration should be given to include local vendors in the procurement of bids for the
services offered.
2. SELECTION OF CONTRACT AWARDEES
The party to whom a contract is awarded are selected as the result of evaluation of the proposals or
quotes submitted by the party together with other relevant factors such as Alliance’s prior experience
with the party and past performance. The evaluation of proposals and applications is based upon
criteria developed for the procurement and set forth in the applicable solicitation. Criteria for
selection includes, but is not limited to, the following factors:
1. Ability to Perform
2. Record of Past Performance
3.
4.
5.
6.
7.
8.
9.
Technical and Financial Resources
Reasonableness of Cost
Cost/price Analysis
Record of Integrity, business Ethics, and Fiscal Accountability
Availability of Services
On-site Visit if Necessary
Vendor has paid all Federal, State and other taxes as may be required by law and that there are
no tax liens filed against Vendor and no judgments entered against Vendor which have not
been fully satisfied, discharged and released as of the date of the Agreement.
10. Evaluation criteria included in the procurement documents.
Proposals are reviewed at several levels. Workforce Alliance staff review proposals for
completeness and compliance with the information and documentation required per the
procurement document. Proposals are then reviewed by a committee for selection. The
committee presents its selection to the CEO/President and/or Board and/or Palm Beach
Workforce Development Consortium for approval depending on the dollar value or type of the
procurement.
3. PROTEST PROCEDURES
Proposal or quotes not recommended for selection are informed of this action in writing and advised
of the availability of a protest process. All procurement protests shall comply with Standard
Operating Procedure OC-010.
4. NON-COMPETITIVE PROCUREMENT REQUIREMENTS

EMERGENCY SITUATIONS- In the event of an emergency as determined by the
President/CEO, the first available supplier of the needed product or services can be used.
However, sequential procurements must follow the standard procedures. This procurement is
used when an emergency exists and competitive procurement would prolong the attainment of
assistance in removal or reduction of the emergency. Emergency is defined as a physical
threat to the safety or well being of Workforce Alliance staff, subcontractors’ staff and/or
program participants or a problem that requires immediate attention. Vendors with a Federal
or State contract may be utilized in lieu of a competitive negotiation.

SOLE SOURCE-If in all procurement activities discussed above, services are available from
only one source, the transaction becomes justified as a “sole source”. A supplier has a
unique capacity to provide the service or supplies (i.e., certain curriculum or training
equipment that is available only through the developer or manufacturer). The CEO/President
must approve sole source transaction. Sole Source justification documentation may contain
the following:
a)
b)
c)
d)
e)
f)

A description of the goods or services required.
Justification for sole source-sole supplier, emergency or unique capacity.
Description of emergency or problem and where it exists.
Description of the proposed supplier’s unique capacity to fill requirement.
Description of actions taken to get one or more quotes.
Any other documentation that supports the recommendation and decision.
ITEMS NOT SUBJECT TO COMPETITIVE BID - The following contractual services
and commodities are not subject to the competitive sealed bid requirements of this section:
a)
b)
c)
d)
e)
f)
g)
h)
i)
j)
k)
l)
m)
n)
o)
Artistic services
Academic program reviews
Lectures by individuals
Auditing services
Legal services, including attorney, paralegal, expert witness, appraisal, or mediator
services
Health services involving examination, diagnosis, treatment, prevention, medical
consultation, or administration.
Services provided to persons with mental or physical disabilities by not-for-profit
corporations which have obtained exemptions under the provisions of s.501 (c) (3) of the
United States Internal Revenue Code or when such services are governed by the
provisions of Office of Management and Budget Circular A-122. However, in acquiring
such services, the agency shall consider the ability of the contractor, past performance,
willingness to meet time requirements, and price.
Medicaid services delivered to an eligible Medicaid recipient by a health care provider
who has not previously applied for and received a Medicaid provider number from the
Agency for Health Care Administration. However, this exception shall be valid for a
period not to exceed 90 days after the date of delivery to the Medicaid recipient and shall
not be renewed by the agency.
Family placement services
Prevention services related to mental health, including drug abuse prevention programs,
child abuse prevention programs, and shelters for runaways, operated by not-for-profit
corporations. However, in acquiring such services, the agency shall consider the ability of
the contractor, past performance, willingness to meet time requirements, and price.
Training and education services provided to injured employees pursuant to Florida
s.440.49(1).
Contracts entered into pursuant to Florida s.337.11.
Services or commodities provided by governmental agencies.
Continuing education events or programs that are offered to the general public and for
which fees have been collected that pay all expenses associated with the event or program
are exempt from competitive sealed bidding.
If less than two responsive bids or proposals for commodity or contractual services
purchases are received, Workforce Alliance may negotiate on the best terms and
conditions. Workforce Alliance shall document the reasons that such action is in its best
interest in lieu of re-soliciting competitive sealed bids or proposals.
5. BOARD OF DIRECTORS
Workforce Alliance is governed by a Board of Directors (the “Board”). The Board is comprised
of individuals who represent private sector business, economic developments, education,
organized labor, community based organizations, and state and local government agencies.
Workforce Alliance provides adequate Directors and Officers liability insurance for its Board.
The Finance Committee and Executive Committee are subcommittees of the Board. A joint
meeting is held for the Executive Board and the Finance Committee. The CEO and CFO attend
these meetings and present the Monthly Financial Reporting Package for the organization. In
addition, the Executive Board and Finance Committee are responsible for reviewing the annual
audit and compliance report.
Pursuant to the Workforce Innovation Act of 2000, if Alliance enters into a contract with an
organization or individual represented on the Board of Directors, the contract must be approved
by a two-thirds vote of the entire Board, and the Board member who could benefit financially
from the transaction must abstain from voting on the contract. A Board member must disclose
any such conflict of interest in a manner consistent with the procedures outlined in the Florida
Statutes. For the purposes of this section, the “entire Board” shall mean the total number of
current members appointed to the Board less any vacancy.
If the work/services or product provided in the quote requires prior approval of the Workforce
Alliance Board of Directors and impacts the Workforce Alliance’s ability to perform its
duties/tasks in a timely manner or in the event of an emergency as determined by the
President/CEO, the quote submitted by the vendor/Workforce Alliance Board member who has a
conflict of interest relationship will not be considered by Workforce Alliance.
While an “agency,” (as defined in s. 112.312(2), Florida Statutes), is exempt from the Workforce
Florida, Inc. Contracting Policy, an “agency” is not exempt from the WIA “conflict of interest”
provisions and the CFR fiscal and administrative requirements.” When an “agency” is
represented by a member of the Board and the Board is approving a contract for that “agency”
providing services, the member of the local Board who represents the “agency” should (under
Florida law) disclose the conflict and must (under the CFR fiscal and administrative rules and
WIA law) not participate in any decision-making capacity and must not vote on the matter.
In a “conflict of interest” situation, when the contract for services is with an “agency,” (as defined
in s. 112.312(2), Florida Statutes) represented by a Board member, the Board may approve the
contract by a simple majority of those members present (subject to local quorum requirements
and other local Board requirements, if any), the member with the “conflict of interest” not voting.
Normally, under these circumstances, the two-thirds vote required in the Contracting Policy is not
applicable.
7.0 FLOWCHARTS:
N/A
Attachment Files:
View File Attachment: Procurement Checklist Form 4-18-11.pdf, Procurement Checklist Form
4-18-11
View File Attachment: Publication Of Award Letter Form.doc, Publication Of Award Letter
Form
View File Attachment: Staff Conflict Of Interest-Non-Disclosure Statement Form.pdf, Staff
Conflict Of Interest-Non-Disclosure Statement Form
View File Attachment: Vendor Conflict Of Interest Disclosure Form.pdf, Vendor Conflict Of
Interest Disclosure Form
SIGNATURE PAGE
DOCUMENT APPROVALS
(ELECTRONIC DISTRIBUTION PROCESS)
NAME
DOCUMENT NO: CN-011 ISSUE NO: 01
TITLE
SIGNATURE
DATE APPROVED
Sharon Brea
Author
Sharon Brea
04/18/11
Don Scantlan
Reviewer
Don Scantlan
04/19/11
Peter Pignataro
Administrator
Peter Pignataro
04/19/11
Erica Scarpati
Approver 1
Erica Scarpati
04/28/11
NAME
Kathryn Schmidt
TITLE
FINAL APPROVAL
SIGNATURE
President/CEO
Kathryn Schmidt
DATE APPROVED
05/04/11
Back to Main Menu
TITLE:
Procurement, Contract Award and Provider Protests
STATUS:
RELEASED
DOCUMENT NUMBER:
QA-011
ISSUE NUMBER:
01
EFFECTIVE DATE:
11/27/2007
AUTHOR NAME:
Sharon Brea
LAST UPDATE DATE:
2007-10-10 16:44:47
BY:
Sharon Brea
AREA OR PROGRAM AFFECTED: Contracts
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
11/27/2007
Initial Issue
1.0 PURPOSE:
This Standard Operating Procedure is written to provide:
a. the procedure for a proposer or bidder to file a protest regarding a procurement
b. the procedure regarding disallowed or questioned costs as a result of monitoring or audit findings
c. the procedure to terminate a contract
2.0 APPLICATION:
All Request For Proposal (RFP) or Bid protests shall comply with the policy set out in the procurement and
the grievance procedures in Workforce Alliance, Inc.’s Local Workforce Services Two Year Plan approved
by the State of Florida for these types of grievances.
Reference 29 CFR Part 97 that directs State Grant Recipients to approve subrecipient procurement
policies.
3.0 DEFINITIONS:
RFP:
CFR:
Request For Proposal
Code of Federal Regulations
29 CFR Part 97
1.
2.
Internet Access
Quality Documentation System Access
6.0 PROCEDURE:
1.
PROTESTS TO REQUEST FOR PROPOSAL SPECIFICATIONS
A.
Any protest of the terms, conditions, or specifications in a Bid or RFP must be filed in writing and
delivered to the Workforce Alliance, Inc. President/CEO within seventy two (72) hours of the first
publication of the RFP or Bid. The time of the publication of the RFP or Bid shall be from the date at
which notice of release of the Bid or RFP is first published in any newspaper. Calculation of the 72
hours commences on the date of publication without reference to the time published.
B.
Failure to file a written protest in accordance with paragraph C. below within seventy two (72) hours of
the first posting of the RFP or Bid shall constitute a waiver of all rights and acceptance of the terms
and conditions of the RFP or Bid and no other opportunity to protest the contents of the RFP will be
considered. Protests may not be submitted electronically but must be in writing and delivered and
received by the President/CEO of Workforce Alliance, Inc. within the established timeframes.
C.
The written protest shall state with particularity and specificity the sections of the RFP or Bid that are
the basis of the protest and the law, State and/or Workforce Alliance, Inc. policies or procedures which
have been violated. Each claim shall be numbered separately within the protest. The protest must
also indicate the relief requested for each separate claim. Protests, which do not contain the required
information, shall be deemed to be non-conforming and shall not be considered. Protesters may not
file general letters or other communications to meet the time deadlines with the intent to cure or
amend their protests after the time to file has expired. The responsibility for meeting this minimum
threshold shall be with the entity or individual desiring to file a protest. Workforce Alliance, Inc. will not
be responsible for notifying protesters of defects in their filing.
D.
Following receipt of the protest a meeting shall be set between Workforce Alliance, Inc. senior
management personnel or the President/CEO or his/her designee and the protester for the purpose of
informally resolving the protest. The results of the meeting shall be reduced to writing by Workforce
Alliance, Inc. If the matter is resolved no further action shall be taken. If as a result of the informal
meeting it is determined that changes be made to the specifications appropriate notice of amendment
to the Bid or RFP specifications shall be posted on the Workforce Alliance, Inc. website and shall be
sent to all known recipients of the original. This informal meeting to resolve the protest shall be
scheduled within ten days after receipt of a properly and timely submitted protest.
E.
If the matter is not resolved informally, the Protester may present its protest at a hearing for the
purpose of hearing the protest within twenty (20) days after the informal meeting. The hearing officer
shall be selected by Workforce Alliance, Inc. All discovery shall take place within ten (10) days after
the informal meeting and may include:
a.
b.
c.
F.
A witness list from each party
Any documents whether electronic or hard copies, that are relevant to the protest and not
privileged information.
Parties shall exchange witness lists and documents on the 10th day.
Both parties will have the opportunity to present witnesses and documentary evidence at the hearing.
Witnesses will be limited to three (3) for each side. The hearing shall be taped and the decision of the
hearing officer shall be final
G. Action of the hearing officer on the protest shall be the final avenue of appeal with respect to RFP or
Bid specification protests. The hearing officer shall also make recommendations regarding any
extensions to the time to respond to the Bid or RFP as a result of the protest.
H.
2.
Workforce Alliance, Inc. shall in its sole discretion make a determination regarding the continuation of
the procurement process. Workforce Alliance, Inc. will post instructions regarding the procurement in
question on its web site and shall be sent to all known recipients. Proposers may be instructed to
submit responsive proposals in accordance with the time frames set forth in the RFP or Bid, or may be
allowed to amend only those portions of its RFP or Bid affected by the protest or may be given
additional time to respond to the Bid or the RFP.
PROTESTS REGARDING DETERMINATIONS OF NON RESPONSIVENESS
A.
Any Protest of a determination by Workforce Alliance, Inc. staff regarding the responsiveness or non
responsiveness of a proposal or bid submitted in response to a proposal or bid published by
Workforce Alliance, Inc. must be filed in writing and delivered to the Workforce Alliance, Inc.
President/CEO within seventy two (72) hours of receipt of notice from Workforce Alliance, Inc. that the
bid or proposal response is non responsive. Calculation of the 72 hours commences on the date
following receipt of notice without reference to the time notice was received. Notice may be certified
mail return receipt requested federal express or electronically so long as receipt of the electronic
message is acknowledged by the protester. The communication from Workforce Alliance, Inc. shall
state the reasons that the proposal is found to be non responsive.
B.
Failure to file a written protest in accordance with paragraph 2. A. above and paragraph 2. C. below
shall constitute a waiver of all rights and acceptance of the terms and conditions of the RFP or Bid and
no other opportunity to protest the contents of the RFP will be considered. Protests may not be
submitted electronically but must be in writing and delivered and received by the Workforce Alliance,
Inc. President/CEO within the established timeframes.
C.
The written protest shall state with particularity and specificity the sections of the RFP or Bid which
are responsive to the specifications and the law, State and/or Workforce Alliance, Inc. policies or
procedures which have been violated. Each claim shall be numbered separately within the protest.
The protest must also indicate the relief requested for each separate claim. Protests, which do not
contain the required information, shall be deemed to be nonconforming and shall not be considered.
Protesters may not file general letters or other communications to meet the time deadlines with the
intent to cure or amend their protests after the time to file has expired. The responsibility for meeting
this minimum threshold shall be with the entity or individual desiring to file a protest. Workforce
Alliance, Inc. shall not be responsible for notifying protesters of defects in their filing. Only entities that
have submitted a proposal or a bid may file a protest in connection with a determination of non
responsiveness.
D.
Following receipt of the protest a meeting shall be set between Workforce Alliance, Inc. senior
management personnel or the President/CEO or his/her designee and the Protester for the purpose of
informally resolving the protest. The results of the meeting shall be reduced to writing by Workforce
Alliance, Inc. If the matter is resolved no further action shall be taken. If as a result of the informal
meeting it is determined that the proposal or bid is responsive the proposal or bid shall be evaluated
and rated in accordance with the Workforce Alliance, Inc. process for the selection of service
providers.
E.
If the matter is not resolved the Protester may present their grievance at hearing for the purpose of
hearing the protest within twenty (20) days after the informal meeting. The hearing officer shall be
selected by Workforce Alliance, Inc. All discovery if appropriate shall take place within ten (10)
calendar days after the informal meeting and may include:
a.
b.
c.
a witness list from each party
any documents whether electronic or hard copies, that are relevant to the protest and not
privileged information.
parties shall exchange witness lists and documents on the 10th day.
F.
Both parties will have the opportunity to present witnesses and documentary evidence at the hearing.
Witnesses will be limited to three (3) for each side. The hearing shall be taped and the decision of the
hearing officer shall be final
G.
Action of the hearing officer on the protest shall be the final avenue of appeal with respect to the
responsiveness or non responsiveness of the RFP or Bid.
3.
A.
PROTEST TO CONTRACT AWARDS
Any Protest of a contract award following the termination of a procurement process must be filed in
writing and delivered to the Workforce Alliance, Inc. President/CEO within seventy two (72) hours of
the publication of the award. The time of the publication of the award shall be the earlier of:
The date at which notice of the award is published by Workforce Alliance, Inc. with respect to
procurements not subject to Workforce Alliance, Inc. Board approval, or
b. The date on which the Workforce Alliance, Inc. Board of Directors meet at a publicly noticed
meeting and vote on or approve the award.
a.
B.
Failure to file within seventy two (72) hours of the publication of the award shall constitute a waiver of
all rights and no other opportunity to protest the award of the contract will be considered.
C.
Only responsive entities or individuals who have submitted a responsive proposal within the
timeframe for submission published in the RFP or Bid may protest an award.
Protests of awards are limited to claims with respect to any violation of law and/or regulations,
or defect in the evaluation process. The written protest must shall separately number each
claim and at a minimum include:
b. A descriptive recital of the facts pertaining to the protest, and
c. A citation of the law and/or regulation, policy or procedure allegedly violated.
a.
D.
Following receipt of the protest a meeting shall be set within five to ten (5-10) days of receipt between
Workforce Alliance, Inc. senior management personnel or the President/CEO or his/her designee and
the Protester for the purpose of informally resolving the protest. If the parties agree that the protest is
meritorious Workforce Alliance, Inc. will take proper action to remedy the situation. If the matter is
resolved no further action shall be taken. The parties may also agree to waive their rights to further
relief. If the parties do not agree the protest will proceed through the grievance process established
herein. The results of the informal meeting shall be reduced to writing by Workforce Alliance, Inc. If the
parties agree to waive their rights to any further relief this decision shall be reduced to a writing and
signed by both parties prior to the close of the informal meeting. The party bringing the protest will be
barred from any other protest with respect to the RFP or Bid in question.
E.
If the Protestor is not satisfied with the decision of the Workforce Alliance, Inc. senior management
personnel or the President/CEO or his/her designee during the informal resolution meeting then
Workforce Alliance, Inc. shall assign the matter to a Hearing Officer to be selected by Workforce
Alliance, Inc.
F.
The hearing shall take place within twenty (20) calendar days of the informal meeting. All discovery
shall take place within ten (10) calendar days after the informal meeting and may include:
a.
b.
c.
A witness list from each party
Any documents whether electronic or hard copies relevant to the protest and not privileged
information.
Parties shall exchange witness lists and documents on the 10th day.
G. Both parties will have the opportunity to present witnesses and documentary evidence at the hearing.
Witnesses will be limited to three (3) for each side.
H.
The hearing before the hearing officer shall be recorded.
I.
The Hearing Officer shall issue a recommendation within ten (10) days of the hearing.
J.
The recommendations of the hearing officer shall be final.
5.
DISPUTES RELATED TO THE NEGOTIATION OF TERMS AND OR CONDITIONS OF
AGREEMENTS OR WITH RESPECT TO THE FULFILLMENT OF THE TERMS AND CONDITIONS
OF SERVICE PROVIDER AGREEMENTS FOLLOWING EXECUTION
A.
If the parties fail to reach an agreement during contract negotiations. Workforce Alliance, Inc. senior
management personnel or the President/CEO or his/her designee may elect to meet with the
prospective provider. A summary of the issues in dispute shall be prepared for the Workforce Alliance,
Inc. President/CEO and shall include all aspects of the negotiations that can not be resolved. A copy
of the report detailing the issues in contention along with a staff recommendation shall be provided to
the prospective contractor, who shall also have an opportunity to submit a summary of the issues and
the relief they are requesting along with reason and or rationale therefore. The two reports must be
prepared in accordance with the schedule for distribution to the Workforce Alliance, Inc.
President/CEO which shall be provided to the parties. Written documents related to the dispute will not
be allowed to be distributed the day of the Workforce Alliance, Inc. President/CEO meeting.
B.
The Workforce Alliance, Inc. President/CEO shall determine whether Workforce Alliance, Inc. should
proceed with the next best proposer or continue with the negotiation process. The Workforce Alliance,
Inc. President/CEO shall make the final decision and the contract process will continue reflecting that
decision.
C.
If during the course of providing services under a duly executed agreement Workforce Alliance, Inc.
and a provider have a dispute with respect to the terms and or conditions of the executed agreement,
Workforce Alliance, Inc. senior management personnel shall meet with the provider to try and resolve
the issue. If an agreement cannot be reached, Workforce Alliance, Inc. senior management personnel
shall forward the issues in dispute to the Workforce Alliance, Inc. President/CEO. A summary of the
issues in dispute shall be prepared for the Workforce Alliance, Inc. President/CEO and shall include a
statement with respect to matter(s) in dispute. A copy of the report detailing the issues in contention
along with a staff recommendation shall be provided to the contractor, who shall also have an
opportunity to submit a summary of the issues and the relief they are requesting along with reason
and or rationale therefore. The two reports must be prepared in accordance with the schedule for
distribution of the Workforce Alliance, Inc. President/CEO which shall be provided to the parties.
Written documents related to the dispute will not be allowed to be distributed the day of the Workforce
Alliance, Inc. President/CEO meeting.
D.
Both Workforce Alliance, Inc. and the contractor shall have an opportunity to make a statement to the
Workforce Alliance, Inc. President/CEO and may answer questions posed by the Workforce Alliance,
Inc. President/CEO.
E.
The Workforce Alliance, Inc. President/CEO shall then determine the issues and shall make the final
decision with respect to matter(s) in contention.
6. PROCEDURE FOR MONITORING AND AUDIT FINDINGS
A.
If as a result of federal state or local monitoring or audit any costs are found to be disallowed or
questioned, Workforce Alliance, Inc. shall set up an informal meeting or shall communicate in writing
to the contractor regarding the results of the findings in the report, at which time the contractor shall
have the opportunity to submit any primary documentation to disprove the negative findings.
B.
Following a review of the contractor’s response Workforce Alliance, Inc. shall issue a written
determination which will state whether or not questioned costs are allowed or disallowed and whether
or not corrective actions regarding any administrative findings are adequate.
C.
Any proposal regarding the resolution of the findings shall be subject to state and or federal approval
as appropriate. If Workforce Alliance, Inc. finds that the questioned costs are in fact disallowed it shall
include within its determination all repayment options that are available to the provider including but
not limited to an automatic reimbursement plan that will be deducted from the providers invoices or
such other relief as may have been set forth in the contract between the parties and other corrective
action related to the findings.
D.
If the findings are a result of state or federal monitoring, audit or reviews and Workforce Alliance, Inc.
elects to appeal the findings in accordance with the process provided by the State or Federal
authorities, the contractor shall cooperate with Workforce Alliance, Inc. in providing the necessary
information to respond to the findings and shall be bound by the decision of the state or federal
authorities. The decision of whether or not to appeal findings shall be solely at the discretion of
Workforce Alliance, Inc.
7. PROCEDURE FOR TERMINATION OF CONTRACT
A.
TERMINATION OF SUBRECIPIENT CONTRACT
TERMINATION FOR CONVENIENCE: Workforce Alliance, Inc. reserves the right to terminate the
contract at any time for any reason for convenience, upon giving Contractor no less than thirty (30)
calendar days written notice prior to the effective date of such proposed action. If said contract should
be terminated for convenience as provided herein, Workforce Alliance, Inc. will be relieved of all
obligations under said Contract and all compensation to Contractor under the contract shall cease
pending completion of a final Contract Closeout Report and any additional closing audit required by
Workforce Alliance, Inc. due to the termination of the contract. Such termination shall not be an
exclusive remedy but shall be in addition to any other rights, sanctions and remedies provided by law
or under this contract.
TERMINATION FOR BREACH: Unless the other Party’s breach is waived either Party, whether
Workforce Alliance, Inc. or Contractor, may terminate the contract for said breach upon no less than
thirty (30) calendar days written notice prior to the effective date of such proposed action. Under this
provision, the offended Party will provide the other Party with written notification of intent to terminate
the contract due to breach and will provide the other Party seven (7) calendar days to respond to the
notice of termination and propose a cure to the breach. The offended Party will, within seven (7)
additional calendar days from receipt of the other Party’s response issue a written decision either to
accept the other Party’s proposed cure or to proceed with the termination. Waiver of a breach of any
provision of the contract shall not be deemed to be a modification to the Contract. If said contract
should be terminated by Workforce Alliance, Inc. due to Contractor breach, Workforce Alliance, Inc.
will be relieved of all obligations under said contract and all compensation to Contractor under the
contract shall cease pending completion of a final Contract Closeout Report and any additional closing
audit required by Workforce Alliance, Inc. due to the termination of the contract. Such termination
WORKFORCE
ALLIANCE, INC.
ACCOUNTING POLICIES & PROCEDURES
MANUAL
Update: 3/9/09
WORKFORCE ALLIANCE, INC.
WORKFORCE ALLIANCE
TA B L E O F C O N T E N T S F O R A C C O U N T I N G P O L I C I E S & P R O C E D U R E S M A N U A L
I.
GENERAL INFORMATION
A. Organization Overview and Goal
B. Basis of Accounting & Chart of Accounts
C. Not-For-Profit Characteristics
D. Authoritative Sources
E. Program Cycle
II.
PEOPLE
A. Board of Directors and Finance Committee
B. Accounting Staff
III.
INTERNAL CONTROL
A. Internal Control Policy
B. Computer Security
C. Monitoring Activities for Agency & Service Providers
IV.
CASH & INVESTMENTS
A. General
B. Cash Receipts – Electronic Funds
C. Other Cash Receipts
D. Cash Disbursements
E. Investments
F. Reconciliation
G. Petty Cash
V.
BUDGETING
A. Planning
B. Monitoring
VI.
REVENUES AND RECEIVABLES
A. Revenue Recognition & Receivables
B. Revenue Sources
VII.
EXPENSES FOR PROGRAM & SUPPORTING SERVICES & ACCOUNTS PAYABLE
A. Purchasing
B. Encumbrances
C. Accounts Payable
D. Accounts Payable – One-Stop Operator Payments
E. Accounts Payable - Individual Training Agent (ITA) Payments
F. Accounts Payable - Support Service Payments
G. Accounts Payable – Payments for Grant Contracts
H. Employee Travel
I. Agency Credit Cards
2
WORKFORCE ALLIANCE
OUTLINE FOR ACCOUNTING POLICIES & PROCEDURES MANUAL
VIII.
PAYROLL & RELATED LIABILITIES
A. New Employee & Change in Employee Status Procedures
B. Payroll Procedures with ADP
C. Payroll Liabilities
D. Employee Advances
IX.
DEBT, LIABILITIES, & NET ASSETS
A. Debt & Other Liabilities
B. Net Assets
X.
PROPERTY & EQUIPMENT
A. Acquisition and Disposition of Fixed Assets
B. Depreciation
XI.
COST ALLOCATION PLAN
XII.
MONTH-END & YEAR-END CLOSING /REPORTING PROCEDURES
A. Month-End Closing/Reporting Procedures
B. Year-End Closing/Reporting Procedures
C. Annual Financial Audit
XIII.
HOUSEKEEPING
A. Computer Maintenance and Disaster Recovery
B. Records Retention
XIV.
APPENDIX
A. Copy of Articles of Incorporation & By-Laws
B. IRS Final Ruling Letter on Tax-Exempt Status
C. Copy of most recent IRS Form 990
D. Copy of most recent Audited Financial Statements
E. Accounting Staff Responsibilities
F. MIP Processing Procedures
3
I.A. ORGANIZATION OVERVIEW AND GOAL
Purpose: To provide an overview of Workforce Alliance and its mission.
Workforce Alliance, Inc. (WA) is a private non-profit organization and the
designated recipient of grants and awards. WA was organized on January
1, 1997 and operates under the Workforce Investment Act of 1998 and the
Florida Senate Bill 2050. The Organization assumed responsibilities of
the administration of Workforce Investment Act (WIA) grant funds as
well as other responsibilities from the Palm Beach County Private Industry
Council, Inc. (the Council) whose operation were terminated effective
December 31, 1996.
The Organization amended its bylaws to include the Work and Gain
Economic Self-Sufficient (the WAGES) Coalition. In fiscal year 2001,
the Florida legislature renamed WAGES to Welfare Transition Program
(WTP). WTP is funded primarily through the Federal Temporary
Assistance to Needy Families Program (TANF).
WA oversees the planning and implementation of workforce development
and WTP (TANF) programs for Palm Beach County. The overall goal of
WA is to provide employers and job seekers with innovative and
comprehensive services that will lead to business and personal success.
4
I.B. BASIS OF ACCOUNTING & CHART OF
ACCOUNTS
Purpose: To establish the basis of accounting and chart of accounts used by WA
when recording day-to-day transactions as well as issuing year-end
financial statements.
WA’s fiscal year end is June 30, which coincides with the program years
of most of its funding sources. WA uses a modified accrual basis of fund
accounting except at year end when full accrual accounting is used.
Revenue is recognized and recorded after the funds have been requested
(automated draw-down via State’s One Stop Management Information
System - OSMIS) from the funding source or when the funding source has
been invoiced. At fiscal year end all revenue receivable is recorded, and
expenses are accrued.
In order to ensure the observance of limitations, restrictions, and reporting
requirements placed on the use of the various funding available to the
organization, WA utilizes the MIP NonProfit Series fund accounting
software system. This system allows complex coding that accounts for
multiple programs (funds) within one general (G/L). The chart of accounts
is divided into seven segments as follows:







Program Year – used to record the program year of the funding source
Funding Source – used to record the specific program or pool.
General Ledger – accounts for assets, liabilities, net assets, revenues,
and expenses
Cost Category – used to record the cost category within a funding
source
Department – used to record the activity associated with each location
or department
FAS- use to record the asset category: unrestricted or restricted
Participant – to record the ID# of a client in the Gazelle program.
The Funding Source segment has been set up as a Fund Type, allowing the
system to report balance sheet information as well as revenue and expense
information for each program. The chart of accounts for WA is designed
to track and collect data related to each funding source by both program
year and cost category, allowing for integration between the accounting
system and the State of Florida’s One Stop Management Information
System (OSMIS). The chart of accounts allows for verifiable tracking of
all obligations for monitoring, reporting, and audit purposes.
5
The MIP Administrator has rights to add, edit, and delete chart of account
codes to the system. The CFO is the MIP administrator. Once activity has
been entered for a specific code, the system will not allow that code to be
deleted. Instead, the code can be discontinued from further use, but its
detail will always be maintained in the accounting system for audit trail
purposes. The general ledger accounts codes are alpha-numeric.
6
I.C. NOT-FOR-PROFIT CHARACTERISTICS
Purpose: To establish the accounting standards and guidelines that must be followed
by WA based on its not-for-profit status
WA is a private not-for-profit corporation registered under Section 501(c)(3)
of the Internal Revenue code, and is therefore exempt from federal income
tax. See the Appendix for a copy of the IRS Final Ruling Letter on taxexempt status. The Federal Form 990 information tax return is required to be
filed on an annual basis. The return is completed by WA or its outside
auditor.
WA is required to follow, and has implemented FASB Statement of
Accounting Standards No. 116, Accounting for Contributions Made and
Received and FASB Statement of Accounting Standards No. 117, Financial
Statements for Not-for-Profit Organizations.
The agency’s chart of accounts is set up in such a manner that it can track and
report activity by the fund classifications required by SFAS 116 & 117, which
are unrestricted, temporarily restricted, and permanently restricted. Due to the
nature of the funds received by WA, the Organization has no permanently
restricted assets. Temporarily restricted net assets represent property and
equipment purchased with grant funding that cannot be disposed of without
the granting agency’s approval. WA’s auditor reviews these classifications at
year-end.
7
I.D. AUTHORITATIVE SOURCES
Purpose: To establish the sources of guidance to be used by WA to ensure compliance
with GAAP, federal regulations and the Workforce Florida Act of 1996.
WA receives the vast majority of its funding as a sub-recipient of the Florida
Agency for Workforce Innovation, and other awards from the federal
government directly or other state agencies. As a result, WA complies with
the regulations promulgated in the OMB Circulars A-110, A-122 and A-133.
Allowable expenditures for program and administrative costs are also
governed by the following:



Workforce Investment Act (WIA)
Wagner-Peyser Act
Florida Workforce Innovation Act
The Florida Agency for Workforce Innovation (AWI) is the state oversight
agency for all of the State of Florida’s regional workforce development
boards. AWI maintains a website with all of its authoritative sources. All
AWI’s sub-recipients are required to adhere to its authoritative sources. The
Chief Financial Officer reviews these guides for any updates or changes.
8
I.E. PROGRAM CYCLE
Purpose: To establish the life cycle of all programs.
Each award received by WA provides funding for one or more programs. The life cycle of
all programs is:












An award letter or an NFA (Notice of Funds Availability) is received as
the official notice that the program can proceed.
The program is added to WA schedule of awards.
A program budget is established, including the amount of allocated costs
and the amount of costs that are necessary to meet requirements of the
program..
Expenditures are processed through accounts payable (A/P). This includes
the procurement and approval process and the general ledger (G/L) coding
to ensure that expenditures are charged to the correct program or cost
pool.
Cash advances are requested to fund immediate disbursements.
Cash is received from the grantor.
Cash is disbursed.
Pooled costs are allocated to programs.
Accruals and other adjustments may be posted to the G/L as part of the
month end closing procedures. Full accruals are booked at fiscal year-end
(June 30).
Interim reporting is submitted to the grantor each month (or as required).
The year-to-date program status is reported to WA management in the
monthly financial report. The most current YTD grant report is presented
at the Board Finance Committee meetings.
The program is subject to closeout procedures at the end date of the
program (including file retention and storage).
The procedures for each of these steps are described in detail in the applicable
section of this accounting manual.
9
II.A. BOARD OF DIRECTORS AND AUDIT/FINANCE
COMMITTEE
Purpose: To outline the accounting duties associated with the Board of Directors and
Audit/Finance Committee.
WA is governed by a Board of Directors (the “Board”). The Board is
comprised of individuals who represent private sector business, economic
developments, education, organized labor, community based organizations,
and state and local government agencies. WA provides adequate Directors
and Officers liability insurance for its Board of Directors.
The Finance Committee and Executive Committee are subcommittees of the
Board. A joint meeting is held for the Executive Board and the Finance
Committee.
The CEO and CFO attend these meetings and present the
Monthly Financial Reporting Package for the organization. In addition, the
Executive Board and Finance Committee are responsible for reviewing the
annual audit and compliance report.
The Board reviews, approves, and establishes the authority levels for property
and procurement processes and procedures. Effective March 5, 2009 all
checks over $20,000 require a board signature.
The authority levels are as follows:
Position
Check
Signers*
Check
Request/
Purchase
Order
Pres/CEO
Unlimited
250,000
CFO
ExecVice
President
VP/Dir
of
Programs
Senior Mgmt
Team
Board
Staff,
Managers,
Directors
None
Unlimited
Issue RFP
Approve
Selection of
Contractor
Negotiate
Contracts
Sign
Contract &
Amendment
Unlimited
250,000
Unlimited
250,000
5,000
10,000
None
None
None
None
Unlimited
Unlimited
None
None
Unlimited
5,000
None
None
Unlimited
None
None
5,000
None
None
Unlimited
None
Unlimited
None
Unlimited
None
Unlimited
None
Unlimited
None
Unlimited
Unlimited
Unlimited
None
*The VPs and the Director of Programs are the CEO’s onsite backup for signing
checks.
10
II.B. ACCOUNTING STAFF
Purpose: To summarize the positions in WA’s accounting department.
The accounting department is comprised of the following three positions:



Chief Financial Officer (CFO)
Sr. Accountant (Sr. Acc)
Accountant (3)
See Appendix A for a summary of accounting functions and staff members
assigned to each function. Employees are eligible for hire in the accounting
department only after employee references are contacted and upon an
acceptable criminal background and credit check.
The accounting staff may attend seminars during the year for training and
updates to the State’s OSMIS system. In addition, staff may attend training
classes or other professional development activities related to accounting upon
approval by the Chief Financial Officer (CFO) and Chief Executive Officer
(CEO). The CFO is responsible for educating the accounting staff on Federal
and State laws and regulations that affects WA.
2
III.A. INTERNAL CONTROL POLICY
Purpose: To document WA’s financial internal control policy.
WA recognizes that it is a steward of the public’s money, and that taxpayers
hold the organization accountable to use the funds wisely and to protect them
from loss while in their custody. As a result, a strong internal control policy
exists and is monitored to prevent misuse of funds.
The objectives of this system are to provide reasonable assurance that all
assets, including workforce development funds, are safeguarded against loss
from unauthorized use or disposition; that transactions are executed in
accordance with management's authorization; and that they are recorded
properly to permit the preparation of financial statements in accordance with
generally accepted accounting principles.
Segregation of duties reduces the likelihood that one person would be able to
completely control a process or function from beginning to end. Although the
accounting department is comprised of only four members, steps have been
taken to ensure adequate segregation of duties for the various transactions that
may occur during the course of business.
Members of the accounting staff are required to take Paid Time Off (PTO), at
which time another member of the accounting staff performs his/her duties.
Each staff member has another staff member that has been cross-trained on his
or her duties.
The MIP accounting system integrates obligations, budgets, disbursements,
payroll, and cost allocations in a centralized location, eliminating the risk of
error associated with manual spreadsheets and calculations. The chart of
accounts and all accounting procedures have been established to provide for
identifying receipts and expenditures of program funds separately for each
funding source.
Internal controls are monitored periodically by the CFO and monitors. A
review of the organization’s internal controls is also conducted as part of the
annual financial audit. WA’s internal control policies are known and enforced
by its executive management, and finance staff.
Please see the Employee Handbook for the following related internal control
issues: Code of Ethics, Standards of Employee Conduct, Conflict of Interest
3
Policy, Confidentiality Policy, Whistle-Blower Policy, Record Maintenance,
Property and Equipment Use, and the handling of perceived violations.
III.B. COMPUTER SECURITY
Purpose: To establish computer security procedures for the software programs used
by the accounting department.
Each computer workstation in the accounting department has a user name and
password required to log on to the network. The Technical Support Unit
manages the computer workstations and oversees the changing of password
every six (6) months.
The MIP accounting software has been set up to require a user name and
password to access the program. The Chief Financial Officer is the system
administrator for MIP and as such, has access to all MIP modules owned by
WA. The System Administrator assigns and deletes security rights to the
system based on the user’s job duties. In addition to the CFO, the IT Manager
has access to the Administrative MIP module.
Only accounting staff has access to MIP (other than view only for certain
staff). The security rights for each action in MIP are: View Only, Add
Records, Delete Records, Edit Records, and Process Records. In addition, the
MIP Administrator can set up entry dates to prohibit transaction entry to a
prior period or a future period. The MIP system does not allow entries to be
erased or deleted and maintains a history of all transactions in the
Administration module. It also maintains a log of all users and their time of
entry. The MIP Administrator immediately deactivates users of the MIP
accounting system upon termination. The IT manager reviews, on a random
basis, the individual access rights and the log of users to ensure that
unauthorized access has not been granted.
WA uses the State of Florida’s OSMIS system to enter cash draw requests and
provide expenditure reports to the State. OSMIS is a web based system. The
Accountant 2, Finance Director and the Chief Financial Officer have rights to
the system. Each person has his or her own unique user name and password.
The Manager of the Technical Support Unit is the Security Officer for the
system. The Security Officer creates users, assigns rights, and revokes access
to the system. Prior to performing any administrative responsibility, the
Security Officer receives authorization from the State. In order to initiate an
action, the State Form (“AWI – Security Agreement Form”) is completed by a
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WA supervisor and faxed to the State. The State then forwards the approval
to the Security Officer to perform the action.
III.C. MONITORING ACTIVITIES FOR WA AND ITS SUBRECIPIENTS
Purpose: To establish the financial monitoring procedures required by federal and
state regulations for the organization and its sub-recipients.
WA’s monitoring activities are performed by our quality assurance
department, outside consultants, and monitors sent by AWI. Monitoring of
activities are intended to determine whether records are being maintained in
sufficient detail to permit the preparation of all required reports and to ensure
that funds are being traced to a level of expenditure adequate to ensure that
they have been spent and allocated appropriately. WA contracts with an
outside firm that performs fiscal and programmatic monitorings of WA and its
subrecipients. For further details on WA’s monitoring activities review the
Monitoring Binder filed in the Chief Executive Officers office.
5
IV.A. CASH - GENERAL
Purpose: To identify all cash accounts currently used by WA and establish procedures
for the authorization of the use of these cash funds.
The following is a list of all current bank accounts used by WA:
Bank
Type of
Account
Use of Account
Riverside
Advantage
Interest
Checking
Account
General
Operating
Riverside
Advantage
Interest
Checking
Account
Accounts Payable
Authorized Signers
President/CEO,VP
Operations, VP
Programs, VP
Business Services and
several members of
WA’s Board
Same as above
General
Ledger
Number
1051
1050
As of October 3, 2008 all bank accounts are guaranteed by the FDIC for up to
$250,000. WA funds are not public deposits and are not covered by Florida
Statutes, Chapter 280, The Florida Security for Public Deposits Act.
The Board of Directors authorizes all bank accounts. The Board authorizes
new check signers as necessary. In addition, the bank is notified by WA of
any changes to the authorized check signer’s roster. The current check signers
are the President/CEO, the VP’s (excluding the CFO), the Director of
Programs, and three members of the Board. Two of these signatures are
required on every check. The CFO is not a check signer. Effective March 5,
2009, if the check request is for over $20,000, a Board member must be one of
the signers.
Checks are only made out to cash in rare situations. The practice of cashing
checks out of currency on hand is also prohibited. WA maintains a $500 petty
cash fund.
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IV.B. CASH RECEIPTS – ELECTRONIC FUNDS
Purpose: To establish policy and procedures for receiving and processing cash
receipts (electronic funds) from the State of Florida and Federal Agencies.
WA’s primary cash receipts are warrants deposited directly into the general
operating account by the State of Florida through electronic funds transfer
(EFT). Draw requests from the State of Florida are processed on a weekly
basis using the State’s online One Stop Management Information System
(OSMIS). Requests entered by Thursday of a given week are deposited into
the general operating account by Friday of the following week. (It is usually
on Tuesday).
WA may have other grants from which funds are either drawn down directly
over a secure website, or the grantor is sent an invoice.
STATE OF FLORIDA RECEIPTS
The Sr. Accountant is responsible for processing the draw request in OSMIS
as described in Section VI.A. – Revenue Recognition. The State of Florida’s
Comptrollers Office sends Workforce Alliance a notice of the EFT transaction
(Remittance Advice), after the funds have been deposited into the bank
account. The notice is received via US Mail. The Finance Department mail is
forwarded to the designated Accountant in the Accounting Department for
distribution. In addition WA performs periodic (at least weekly) online
review of its bank accounts to identify incoming transfers. The following
procedures are performed by the department to process the receipts:
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Periodic online review of bank accounts
Print out copy of bank statement for incoming transfers, record receipt in
cash log (Excel Spreadsheet) and forward copy to Accountant responsible
for coding and recording cash receipts in MIP accounting system. The
cash receipts log lists the date received, description, check number, check
date, deposit amount, and funding source.
Daily the designated Accountant opens and date stamps the mail. The
Accountant verifies that receipts for Remittance Advice received have
been recorded in the cash receipts log. The remittance advice is then
forwarded to the Accountant responsible for recording receipts in MIP.
The remittance advice is attached to the cash receipts entry.
Each week the Accountant records the week’s receipts (electronic funds
transfer and cash receipts) in the MIP accounting system as a Cash
Receipts Session (see – MIP Cash Receipt Processing). Each receipt is
entered separately using the fund code for that funding source. The
receipt is entered as debit to cash and a credit to A/R-cash requested, if a
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receivable was previously recorded. Funds received that have not been
previously recorded as A/R are debited to cash and credited to revenue.
The Accountant generates an Unposted General Ledger Transaction
Report from MIP for the Cash Receipt Session after it has been entered.
The report is attached to the remittance advice. This is then given to the
Finance Director for review and approval.
The FD/CFO reviews the transaction, posts the transaction in the MIP
accounting system, stamps and initials the unspotted report indicating
his/her review and posting of the transaction.
The package is returned to the Accountant for filing in the Quarterly Cash
Receipts Binder maintained in the Accounting Department. Cash receipts
documentations are filed by deposit dates.
FEDERAL AGENCY RECEIPTS
Request for reimbursement from other (non-AWI) sources are prepared by the
Contract Managers. The request for reimbursement is prepared in consultation
with the Accountant with fiscal responsibility for the program. The requests
are made via secure websites e.g. Division of Payment Management System
(for Biotech). The Contract Manager forwards a copy of the Reimbursement
Request and the online Request for Payment to the CFO. This documentation
is then forwarded to the Accountant to record the revenue and the accounts
receivable in the MIP accounting system.
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The Accountant records the revenue in MIP (debit to accounts receivable
and credit to revenue), and generates an MIP unposted transaction report.
The unposted report and supporting documentation are forwarded to the
FD/CFO for review and posting of the transaction and then returns the
package to the Accountant for filing.
Weekly the CFO reviews the operating bank account activities online. Upon
receipt of the transfer into the bank account, the following procedures are
performed:

Written notification of these transfers is forwarded to WA by the Federal
Agencies. In addition, the FLAIR system can be accessed online, allowing
up to date viewing of deposits made by the state.
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The receipt is recorded in MIP the week of the receipt (see State of Florida
Receipts for recording and processing procedures). Copies of the request
for reimbursement and the online Request for Payment are attached to the
MIP cash receipts entry.
8
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The Accountant performs the data entry, (debit to cash and credit to
accounts receivable) and generates an MIP Unposted Transaction Report.
The unposted report and supporting documentation are forwarded to the
FD/CFO for review and subsequent posting of the transaction. The
package is then returned to the Accountant for filing.
.
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IV.C. OTHER CASH RECEIPTS
Purpose: To establish policy and procedures for the handling of cash receipts that
provides for effective internal control.
WA’s primary cash receipts are made through electronic funds transfer from
the State of Florida and Federal Agencies as described in Section IV.B. Cash
Receipts – Electronic Funds. However, periodically the agency will receive
cash receipts (checks) directly and the following procedures are then
performed.
Daily, the administrative assistant receives the mail and forwards the finance
department mail to the designated Accountant in the Department. The
department performs the following procedures:
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The Accountant opens and date stamps the mail. All checks received are
copied (two copies), endorsed for deposit only and logged into the Cash
Receipt Log (Excel Spreadsheet) by the Accountant. The Cash Receipt
log lists the date received, description of funds, check number, check date,
amount, funding source and deposit amount. The receipt, a copy of the
checks and all supporting documentation are forwarded to the Sr.
Accountant for processing of the deposit and the recording of the receipt
in the MIP accounting system.
The Sr. Accountant reviews the receipt, codes it (6 segment general ledger
code) and reconciles it to the bill (if for invoice payment). Unknown
receipts are investigated.
The Accountant places the checks in the safe. Deposits are prepared at
least monthly. Prior to deposit, checks are kept in a locked safe. Two
members of the finance staff have access to the safe.
The Sr. Accountant prepares the deposit; records the receipt in MIP
accounting system as a Cash Receipts Session (see section IV.B. – State of
Florida Receipts for processing procedures); print out an Unposted
General Ledger Transaction Report; attaches all supporting
documentations and forwards the package to the CFO for review and
approval.
The CFO verifies the coding and initials the deposit slip indicating his/her
review and approval of the deposit and correct coding of the receipts.
Upon approval of the deposit slip, the FD/CFO reviews and posts the MIP
accounting system transaction. The deposit is given to the courier for
deposit, or another staff makes the deposit.
1
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The validated deposit slip is attached to the MIP accounting system cash
receipts transaction report.
The package is returned to the Sr. Accountant for filing in the Cash
Receipts Binder maintained in the Department.
At the end of the month, the Cash Log and supporting documentation for
the month’s receipts are included in the bank reconciliation package.
NON GRANT REVENUE
Non grant revenue is received for rental of space or equipment, fees/sponsors
for events, skills testing, and other fee for service activities. The revenue is
restricted to the program which created it. The deductive method is used
which applies income as a deduction of expenses. This method uses the
revenue currently and no program income needs to be reported.
For financial reporting purposes, a journal entry is made which reclassifies it
to program income and increases expenses.
If the income is unrestricted or a contribution, then it is just reported as
program income and it is available to be used at the discretion of WA. The
revenue is unrestricted if it resulted from activities that were not funded with
restricted (program) funds.
INTEREST INCOME
Interest earned on WIA Title I programs (WIA Adult, Dislocated, and Youth,
Job Corps, and the Veteran’s programs) is reported as program income using
the deductive method noted above. The income is used to decrease the
expenses of the program which earned that income.
For all other funding streams, the income earned is returned to the Grants
Management Office quarterly. Under OMB A-122 for Non-Profits, $250 in
interest can be kept as program income on these funds.
Interest earned on unrestricted income is additional unrestricted income.
Since separate bank accounts are not maintained for each fund, and it would
be impractical to determine which funds have checks that are outstanding and
the relative balances of the allocated expenses outstanding, a spreadsheet is
maintained to determine the allocation of interest earned between WIA Title I
Funds, other grants, and unrestricted funds. The spreadsheet looks at the
relative cash draws by (major)fund and the unrestricted cash on hand. A
journal entry is then made that records unrestricted interest income, program
income, and a payable for the amount due to the Grants Management Office.
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IV.D. CASH DISBURSEMENTS
Purpose: To establish policy and procedures for the disbursement of cash that
Accounts payable (AP) cash disbursements are made by check and disbursed
out of the Accounts Payable Bank Account. Exception: Credit Card payments
and Palm Beach Workforce Development Consortium are processed via
electronic funds transfer. The Accounts Payable bank account is a zero
balance account. The bank automatically transfers cash required to the
accounts payable account from the repurchase account for processing of all
payments and transfers presented against the account. The Accountants
prepare AP checks. After an Accounts Payable session has been posted in the
MIP accounting system (see Section VII.C. Accounts Payable), the invoices
become available for payment.
Checks are issued (generally on Tuesday) based on the prior week’s Aged
Payables By Due Date Report used to request cash (see Section VI.A.
Revenue Recognition) from the funding source. At the discretion of the CFO,
items may be paid prior to their draw down request. Staff reimbursements and
time sensitive payments are typically paid when approved. Cash needed is
requested from the funding source by Thursday. Cash requested on Thursday
is used to cover next weeks’ payments. The following procedures are
performed in order to issue, approve and disburse checks:

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The Accountant selects invoices to be paid in MIP and generates a report
(Invoices Selected By Funding) of the invoices selected.
The Accountant reviews the reports for reasonableness (e.g. difference
between cash requested and total dollar amount of checks to be issued).
Large differences are investigated, and any necessary corrections made.
Upon completion of the review process, the Accountant processes the
check run.
The Accountant creates a check-run session in MIP (Activities-Check
Writing-Pay Selected Invoices), retrieves the pre-numbered blank checks
from the safe and places the checks in the laser printer for printing. The
check stock is used in numerical order and is kept in the locked safe in the
accounting department before and after check runs. The keys for the safe
are kept in a locked desk drawer. The Accountant responsible for issuing
checks and his or her back up has access to the key for the safe.
The printed check is attached to the original vendor invoice or travel
voucher, the purchase order (if applicable), along with any other
supporting documentation.
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The Accountant verifies that the check agrees to the attachment. Upon
completion of the check run process, the Accountant notifies the CFO that
the check run was successful and requests him/her to post the check run.
After the check run has been posted, the Accountant generates the check
register.
Using the Invoices Selected by Funding report, the Accountant updates
and prints the Cash Disbursement schedule in Excel with the total checks
to be issued by funding source.
The checks, supporting documentation, and check register are forwarded
to the CFO for review and initialing of the checks.
The CFO reviews all checks and initials the bottom right hand corner
indicating his/her review. The checks and supporting documentation are
presented for signatures. All checks require two authorized signatures.
The Chief Executive Officer (CEO), VP’s, Director of Programs, and
several Board Members are authorized signatories. The individuals
signing the checks are independent of the voucher and check preparation
process. Signing blank checks and issuing checks for invoices and
reimbursement requests not authorized are strictly prohibited.
The check register, signed checks, and supporting documentation are
returned to the Accountant that issued the checks for final processing.
The Accountant or Administrative Assistant (AA) copies the check,
separates the check from the documentation, separates the bottom portion
of the check stub and staples the copy and the stub to the documentation.
The check and the required remittance (vendor copy of invoice etc.) are
placed in the envelope for mailing. Checks to be picked up are separated.
Using the postage machine, the Accountant/AA affixes the appropriate
postage on the envelope. Prior to mailing/pickup, the checks are kept in a
locked safe. Checks to be mailed are placed in a nearby mailbox.
The supporting documentation with the check copy and stub attached is
filed by the Accountant/AA alphabetically by vendor. The files are
located in the accounting department until the completion of the fiscal
year-end audit.
At year end, the prior year files are boxed, labeled and forwarded to
storage to make room for the files for the new year. The current year and
prior year files are kept on hand.
All voided and spoiled checks have VOID written across the check and the
signature section is removed from the bottom right hand corner. These voided
checks are retained and filed in numeric order.
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ELECTRONIC FUNDS TRANSFER
WA has the option to process payments electronically if the vendor accepts
electronic payment. Currently electronic payments are processed for credit
card payments. See VII.G. Credit Cards for details on processing credit cards.
Electronic payments processed for any additional vendors shall be authorized
in writing by the Chief Executive Officer prior to processing of the payment.
All requests must be properly coded and approved prior to the CFO’s written
authorization for processing of the payment. This process should only be used
for emergency payments or in cases where WA would not otherwise be able to
adhere to the vendors’ payment due date.
Electronic payments are normally done in accordance with the vendors policy
e.g. the vendor is given the next check number and authorized to process the
payment from WA’s bank account or the payment is processed online.
Electronic payments are entered into MIP accounting system as manual
checks. The confirmation number is used as the check number.
PAYROLL DISBURSEMENTS
All staff are employed by The Palm Beach Workforce Development
Consortium (PBWDC) and assigned to either a one stop location or the main
office. Workforce Alliance has an agreement with PBWDC to hire staff and
pay other fringe benefits to employees needed to provide the direct and
indirect services for all programs. Each pay period PBWDC invoices
Workforce Alliance for the actual cost of the payroll and benefits. Workforce
Alliance transfers the money to PBWDC prior to payment.
The majority of employees receive their paycheck through direct deposit.
When a new employee is hired, an actual payroll check is received for the first
or second pay periods until their direct deposit has been established.
Paycheck information is available to each employee through the Microix
timesheet module. Direct deposit vouchers are distributed to employees only
if a written request is submitted.
See Section VIII.B. Payroll Procedures
NOTE: Manual Checks
The MIP Accounting System has the capability to process manual checks.
Processing of manual checks is strongly discouraged. All payment requests
must be properly coded, and approved before the issuance of any check. The
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reason for the issuance of a manual check must be noted on the supporting
documentation for all manual checks.
IV.E. INVESTMENTS
Purpose: To establish the policies and procedures for investment transactions.
WA does not currently utilize investment vehicles due to the nature of the
funding it receives from the State of Florida (primarily cost reimbursement
grants). Should the Board of Directors authorize the use of investment
vehicles in the future, the following guidelines will be used.
The Chief Financial Officer (CFO) and the CEO/President will be responsible
for the research and recommendation of which investments to purchase and/or
sell. Their recommendation will be made to the Board of Directors. Only
investments that are of the type permitted by funding sources will be
considered. In addition, the investment income and gains will only be used
for the purposes authorized by laws, funding source regulations, and the
Board of Directors.
All investment transactions will be recorded in the MIP accounting system in
accordance with Financial Accounting Standard Board (FASB) Statement of
Accounting Standards. The investment transactions will be adequately
supported by documents from independent sources (i.e. broker’s
confirmations, bank advices, etc.) and the CFO will maintain the following
records:
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Description of the investment
Date of acquisition and purchase price
Interest/dividend/income rates and receipt dates
Investment reconciliations (performed in MIP in the same manner as bank
reconciliations. See Section III.F.)
The CFO will be responsible for presenting a quarterly review of the
investment portfolio to the CEO/President, including quality ratings, risk
assessment, market value, and quarterly earnings or losses.
6
IV.F. RECONCILIATION OF CASH
Purpose: To establish the monthly practice of reconciling all bank accounts.
The bank statements are delivered to the CEO/President unopened to ensure
that the statements are not tampered with prior to his/her review. The
CEO/President reviews the check copies in the bank statement to ensure that
the signatures are authentic, the vendors are legitimate, and the amounts are
reasonable. The statements (or a copy) are then given to the Accountant for
the preparation of the reconciliation.
The Accountants, FD, and CFO have access to the bank account information
online, so activity can be reviewed on an ongoing basis and interim
reconciliations can be preformed.
The Accountant completes the bank reconciliation by the 15th of each month,
using the MIP accounting system’s Bank Reconciliation module and Excel
(Alliance Bank Reconciliation Spreadsheet). The Accountant preparing the
bank reconciliation is independent of the cash receipt process. The
Accountant performs the following:
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Enter the months’ bank activities (beginning balance, interest, fees,
transfers, deposits etc.,) for all accounts on the Excel spreadsheet.
Enter preliminary MIP ending book balances on Excel spreadsheet.
Clear all checks in the accounting system that cleared the bank, comparing
amounts of the cleared checks on the bank statement to the amounts of the
checks recorded in the general ledger.
Enter reconciling items (e.g. total outstanding checks) on excel
spreadsheet to determine adjusted bank balance.
Reconcile adjusted bank balance to preliminary MIP ending book balance.
Prepare journal vouchers for unrecorded transfers, service charges, interest
earned, NSF checks, or other miscellaneous items in the general ledger (if
not previously recorded).
Clear all deposits in the accounting system that cleared the bank, ensuring
the amounts of the deposits on the bank statement agree to the amounts
recorded in the general ledger.
Clear any other cash items in the accounting system for any miscellaneous
debit and credit items on the bank statement.
7
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Investigate any irregular items including NSF checks, post-dated checks,
disputed items, unidentified receipts, and checks charged back by the
bank.
The completed bank reconciliations are forwarded to the CFO for her review
and approval. The CFO reviews the bank statement for unusual items (unusual
checks cashed from payroll account, unusual amounts, unusual transfers out of
account, balances in payroll and accounts payable accounts etc.). All unusual
items are investigated further. The CFO signs and dates the reconciliation
indicating her review and then forwards it to the CEO/President.
In addition to the reconciliation, the CEO/President reviews the check copies
in the bank statement to ensure that the signatures are authentic, the vendors
are legitimate, and the amounts are reasonable. The approved bank
reconciliations and supporting documentation is returned to the Accountant
for filing. The Accountant files the bank reconciliations.
The Accountant investigates all checks that have been outstanding for more
than 90 days, to determine the reason they have not cleared the bank. If it is
determined that the check has not been received by the payee, a stop payment
is placed on the original check, and a new check is reissued. WA adheres to
Florida Statutes for disposition of unclaimed property.
The QA department reviews the cancelled checks to ensure that they have not
been altered, and have been properly endorsed. When WA used Wachovia
bank, the copies of the endorsed checks was on a disk which was delivered
each month to the QA Department. WA moved to Riverside Bank in January
2007. Riverside Bank began sending hard copies of the cancelled checks in
the
bank statements.
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IV.G. PETTY CASH
Purpose: To establish policy and procedures for the handling of petty cash that
WA maintains a $500 petty cash fund in the finance department for
emergency use, or when it is more practical or economical to use cash for
transactions. The fund is managed by the Accountant 2 and kept in a locked
safe in the department. The Chief Executive Officer (CEO) must approve the
increase/decrease or termination of the petty cash fund. The maximum
amount per request for disbursement from the fund is $100.
Request for petty cash reimbursement must be accompanied by supporting
documentation (e.g. pre-approval from supervisor, receipt and supervisor’s
approval if the item has already been purchased). The payee must sign for the
cash reimbursement and cash advances. The custodian reconciles the fund and
replenishes it on an as needed basis (normally when the fund balance reaches
$150 or less). All employees are required to submit the receipts for petty cash
funds advanced to the custodian, and to return unused funds within one
business day.
In order to replenish the funds, the petty cash custodian gathers all the
receipts, prepares the petty cash status report (listing of all disbursements),
and the reconciliation. The status report and the reconciliation are attached to
the supporting documentation, and presented to the CFO for review and
approval. The approved package is forwarded to the CEO for final approval.
The package is returned to the Accountant for accounts payable processing
(see Section VII.C. Accounts Payable).
If the Petty Cash custodian function is reassigned to a new employee, the fund
shall be reconciled before the transfer occurs. The old custodian and the new
custodian must review and sign the reconciliation.
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V.A. BUDGETING - PLANNING
Purpose: To establish the policies and procedures for planning the WA’s annual
budget.
An annual budget authorizes and provides the basis for control of financial
operations during the program year. Beginning in late April, WA receives
planning estimates from the Florida Agency for Workforce Innovation (AWI)
of the funding levels for the next program year. At that time, the management
team convenes and decides the estimated percentage of funds that will be
spent on allocated costs, one-stop operations, ITA’s, support services and
other activities.
The percentages are entered into an Excel File (Budget Model Worksheet) by
the Chief Financial Officer (CFO) to develop the budget projection by
program. The projected budget is reviewed and revised to meet WA’s
anticipated funding and to adhere to the requirements of the funding source.
Funding source requirements include, but are not limited to, minimum ITA
costs, youth program minimums (after-school and out-of-school
expenditures), and 10% limit for administrative costs. The budget process is
decentralized. Program managers are involved in the development and
analysis of budgets, and the Vice Presidents are involved in the preparation of
line item budgets for their respective department. Upon completion of the
budget processes by the management team, the CFO prepares WA’s annual
operating budget. The proposed annual operating budget is reviewed and
approved by the Chief Executive Officer (CEO).
At the June meeting, only the budget total approved by the CEO is submitted
to the Audit/Finance Committee for approval, and to the full Board for its
approval.
The CEO has the authority to adjust the line items of the budget.
When additional funding is received during the year, the CEO and CFO create
the budget for the additional funding. The revised budget total may be
presented to the Audit/Finance Committee, but their approval is not required.
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V.B. BUDGETING - MONITORING
Purpose: To establish the policies and procedures for monitoring the organization’s
annual budget.
Once the Board of Directors approves the annual operating budget, the budget
is entered in the MIP accounting system Budget Module for each program
code and account line item. The budget is entered at the lowest level to allow
preparation of meaningful budget to actual expenditure reports.
As part of the monthly closing process, the CFO generates budget to actual
reports using the MIP accounting system for review. The CFO prepares the
WA’s Financial Reporting Package monthly, which provides budget versus
year-to-date expenditures for all programs and each major program
individually. The monthly financial reports are distributed to management, the
Audit/Finance Committee and the Board. Additional financial reports are
prepared as needed.
When any line item budget adjustments are approved by the CEO, the CFO
prepares the budget adjustment entry. The entry is recorded in MIP by an
Accountant. The CFO reviews and approves the entry after it is entered.
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VI.A. REVENUE RECOGNITION
Purpose: To establish the procedures for recognizing and recording revenue in the
accounting system.
Revenue is recognized and recorded after the funds have been requested
(automated draw-down via State’s One Stop Management Information System
- OSMIS) from the funding source or when the funding source has been
invoiced. The major revenue sources are awards and grants. Most of the
awards are federal pass through funds received from the Florida Agency for
Workforce Innovation. Grants are amounts received as a result of applications
filed with grantors.
OSMIS AUTOMATED DRAW-DOWN
OSMIS automated drawdown for cost reimbursement is processed by
Thursday. The following procedures are performed to determine the estimated
year-to-date disbursements as of the next week’s end, the basis for the amount
to be requested.
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The Accountant verifies that all accounts payable batches in the MIP
accounting system with an effective date of Tuesday or earlier and a due
date of the following Monday are posted.
After verifying that all batches have been posted, the Accountant
generates MIP year-to-date expenditure and revenue reports as of the draw
request preparation date. Year-to-date expenditure and revenue amounts
from the report, invoices in process (not in MIP), and other anticipated
disbursements not booked are entered onto the Cash Needs spreadsheet.
Using the built in formula on the Cash Needs Spreadsheet, the pool
amounts are allocated to the major grants. Any known reclassifications
are entered on the spreadsheet. The estimated next week’s year-to-date
disbursements are calculated by totaling year-to-date expenses, invoices in
process, payroll not booked and any reclassifications. Year-to-date
estimated disbursements less the year-to-date revenue amounts per
funding source equals the cash needs for the next week.
The cash needs for the week is compared to cash on hand (Bank Balance Excel spreadsheet) to determine the amount of funds to be requested. On a
program by program basis, when cash on hand is greater than the cash
needs, a cash draw request is not processed for that week. The cash needs
schedule and supporting documents are submitted to the CFO for review.
The CFO reviews the Cash Needs calculation ensuring that amounts agree
to the supporting documentation. The schedule is also reviewed for
reasonableness. The total cash needs per the schedule should agree to the
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Aged Payables in MIP plus any additional anticipated disbursements in
process, less cash on hand and a reasonable reserve. Discrepancies are
brought to the attention of the Accountant that prepared the schedule.
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The cash needs calculation is a tool used to determine the cash draw down
to be requested. The CFO reviews the schedule in conjunction with other
factors such as: vendor needs, and unrestricted cash available. The CFO
adjusts the requests as determined. Significant variances from the original
calculation are documented. When complete, the CFO signs and dates the
Cash Needs Schedule indicating his/her review and approval. The
package is returned to the Accountant for processing of the draw request
in the State’s One Stop Management Information System (OSMIS).

The Accountant prepares the journal voucher for recording the revenue
(debit to accounts receivable and a credit to revenue for each program).
The package is then forwarded to the Chief Financial Officer (CFO) for
review and approval.
Accountant 2 enters the request in OSMIS (see the Agency for Workforce
Innovation –One Stop management Information System Financial
Management Report Guide for OSMIS processing procedures), and prints out
copies of the final request screen. One copy of the final request screen is
attached to the Cash Needs Schedule and supporting documentation. Copies of
the cash needs request and the OSMIS printout are attached to the approved
journal voucher and submitted to one of the Accountants for recording the
revenue entry (debit accounts receivable and credit revenue) in MIP. An
Unposted Transaction Report is generated for the transaction, attached to the
package and submitted to the CFO for data entry review, posting in MIP and
filing.
INVOICED AND NON-OSMIS AUTOMATED DRAW DOWNS
Reimbursement requests processed via invoice and other automated drawn down
systems are recorded as revenue upon receipt of the supporting documentation
by the accounting department. These reimbursement requests are processed by
the program managers in consultation with the Accountant that has fiscal
responsibility for the program. The reimbursement request/invoice is reviewed
and approved by the Chief Financial Officer prior to submission to the funding
source. Notification of the billing or the draw down request is returned to the
Accountant with fiscal responsibility for the program. Using the documentation
as support, the Accountant records the revenue (debit accounts receivable and
credit revenue) and the accounts receivable in MIP through a journal voucher
session. An Unposted Transaction Report is generated, attached to the package
and submitted to the CFO for review and posting. The package is then returned
to the Accountant for filing.
13
Revenue and receivables balances are reviewed and analyzed by the CFO at
the end of each month.
14
VI.B. REVENUE SOURCES
Purpose: To recognize WA revenue sources, including direct federal funding, passthrough funding from the Florida Agency for Workforce Innovation (AWI),
program income, donations, and other miscellaneous revenue.
The primary annual recurring revenue sources of WA are federal funding (the
U.S. Department of Labor and the U.S. Department of Health and Human
Services) passed through:
Florida Agency for Workforce Innovation (AWI)

Welfare Transition Program (WTP)

Workforce Investment Act (WIA)

Wagner Peyser
In addition, WA periodically receives or applies for the following funding as
they are made available:

Direct Federal Funding

Other Pass-through Funding

Public and Private Grants
Donations to the agency are recorded in accordance with FASB Statement of
Received. Donations other than cash are recorded at fair market value at the
time of the donation. Donations with restrictions are tracked in the accounting
system under its own general ledger number, based on the type of restriction
placed upon the donation.
Revenues received from other sources not described above are recorded in the
accounting system as miscellaneous revenue or as an offset to the related
expense (such as sub-lease rent), unless the amount is deemed material
enough to warrant its own general ledger account.
NON GRANT REVENUE
Non grant revenue is received for rental of space or equipment, fees/sponsors
for events, skills testing, and other fee for service activities. The revenue is
restricted to the program which created it. The deductive method is used
15
which applies income as a deduction of expenses. This method uses the
revenue currently and no program income needs to be reported.
For financial reporting purposes, a journal entry is made which reclassifies it
to program income and increases expenses.
Workforce Alliance has a solicitation license and can accept donations.
Donations to the agency are recorded in accordance with FASB Statement of
Received. Donations other than cash are recorded at fair market value at the
time of the donation. Donations with restrictions are tracked in the accounting
system under its own general ledger number, based on the type of restriction
placed upon the donation.
If the income is unrestricted, then it is reported as program income and it is
available to be used at the discretion of WA. The revenue is unrestricted if it
resulted from activities that were not funded with restricted (program) funds.
Donations are generally unrestricted, unless the donor has placed restrictions
on the use of their contribution.
VII.A. PURCHASING
Purpose: To establish policies and procedures for the purchase of goods and services.
WA’s purchasing functions are decentralized and check requests and purchase
orders are used. The Operations Department generally handles purchases for
equipment and furniture. Supplies’ ordering is handled by the Accounting
Department. Other purchases are made on an as needed basis by the
employee/department requesting the item. All purchases $5,000 and over are
pre-approved by the CEO. Vice President’s and the Director of Public
Information may approve items below $5,000. Prior to purchasing of all items
budget availability must be verified, and the general ledger coding identified.
The Finance Department and all employees performing purchasing functions
are aware of WA’s purchasing policies. See WA’s Procurement Policies and
Procedures Manual.
The OMB Circular A-122 categorizes certain costs as unallowable.
Unallowable costs cannot be charged to a federal funding source. WA
employees authorizing and purchasing goods and services are aware of and
adhere to the OMB A-122 Circular regulations. A brief list of OMB A-122
unallowable costs is provided at the end of this section (See OMB A-122
Circular for the complete list and cost description).
16
Merchandise is purchased/ordered after receiving approval. Upon receipt of
the merchandise and the invoice, the employee completes a Check Request
Voucher if a Purchase Order was not issued for the purchase. A purchasing
checklist and other required documentation is attached for purchases of
$5,000 or more, and the package is forwarded for approval. Purchase Orders
are used whenever possible. The approved Check Request/Purchase Order is
forwarded to the Accounting Department. The Check Request
Voucher/Purchase Order is returned if it is not properly approved and/or if
adequate supporting documentation is not attached. All Check Requests over
$5,000 shall be approved by the CEO (see Section VII.C. – Accounts PayableNon Recurring Payments). Supplies and furniture are purchased from a WA
approved vendor under an annual contract. Supply purchases are made from
other vendors during emergency situations or if the approved vendor does not
have the items needed.
SUPPLIES
Workforce Alliance contracts with an office supply vendor that has online
ordering capabilities. There is a person in each office that can access the
website and place orders.




The person placing the order accesses the vendor’s website and inputs the
order. The order is routed to their supervisor and/or the COO for approval.
The order is then routed to the Accountant, who prints the order and gives it to
the CFO for review. After approval from the CFO, the Accountant will place
the order.
Upon receipt of the merchandise, the receiver signs and dates the packing
slip/invoice. The packing slip/invoice is removed and forwarded to the
Finance Department. The merchandise is delivered to the requester.
The Accountant receives the monthly bill. The packing slips/invoices are
reconciled to the monthly invoice. All discrepancies are resolved with the
vendor.
The Accountant prepares a Payment Voucher for the invoice. The Payment
Voucher lists the general ledger codes to be charged for each invoice. The
Finance Director reviews the package, signs and dates the Payment Voucher
indicating his/her review and approval.
OMB Circular A-122 Unallowable Cost
Under the terms of OMB Circular A-122, the following costs are examples of
unallowable cost items, and therefore cannot be charged to any federal
funding sources. See A-122 for more information.


Bad debt
Contingencies
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






Contributions and donations to others
Entertainment
Fines and penalties
Interest
Fund-raising
Lobbying
Goods or services for personal use
In addition, certain costs are only allowable if prior approval is received from
the funding source. Examples are: capital expenditures for equipment with a
unit cost of $5,000 or more, and capital expenditure for improvement to land
or buildings that materially increase their value or useful life.
VII.B. ENCUMBRANCES
Purpose: To establish policies and procedures for recording purchase orders,
individual training agent vouchers (ITA’s), and support service vouchers as
encumbrances in the accounting system.
The MIP accounting system used by the WA allows for the entry of
encumbrances, which are maintained in an encumbrance ledger separate from
the general ledger. This allows the accounting department to better track
obligated funds and decreases the possibility of overspending. WA started
using the encumbrance ledger in July 2005. Purchases orders (using Microix
software) have been used since in July 2005. When a P.O. is approved by
Finance, either an encumbrance is created or it can be moved directly to
accounts payable.
Finance will not approve a PO/check request given until adequate
documentation and approval is received. The Microix PO system allows
invoices and other backup to be scanned and attached and electronically
submits the PO for approval.
Gazelle software is used (starting July 2005) to track ITA and support service
authorizations. Gazelle reserves a portion of the overall budget for a specific
participant. As vouchers for authorized services are entered into Gazelle, the
encumbrance is recorded on a real-time basis).
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VII.C. ACCOUNTS PAYABLE
Purpose: To establish the policies and procedures for the accounts payable function.
Accounts payable can either be directly input into the MIP accounting system
or transferred from the Microix Purchase order system.
If an approved check request or invoice is received, it will be directly input in
the accounts payable system.
When mail is received by Finance it is opened and date stamped. Invoices
received are filed alphabetically and reviewed daily. The invoice is matched
with open purchase orders/check requests, and credit card purchases.
Customer statements are reviewed and filed in the vendor file.
If there is no open document indicating approval of the above invoice, a
purchase order is created in the Microix Purchase Order system. The invoice
and any supporting documentation is scanned and attached, and then
submitted electronically for approval. Once approval is received the purchase
order can be moved directly into the accounts payable system.
Purchase Orders and check requests need appropriate approval prior to
purchasing. Documents are sent to Finance and kept in the above file pending
receipt of the approved invoice. See the Procurement Policies and Procedures
Manual for additional information.
Upon receipt of the approved invoice by Accounting, the following
procedures are performed within 48 hours:


The Accountant reviews the invoice for mathematical accuracy, taxes (WA is a
non-profit organization as a result it is exempt from paying sales taxes), past
due amounts, late fees, adequate supporting documentation, coding and proper
approval. A copy of WA’s tax-exempt certificate must be forwarded to all
vendors whose invoice includes taxes, and the taxes are not paid. All late fees
and past due amounts are researched. The Accountant notes the status of all
past due amount on the invoice. Missing supporting documentation and proper
approval are obtained if necessary. The Accountant works with the preparer of
the Check Request Voucher/Purchase Order to resolve all discrepancies.
NOTE: Check Request Vouchers/Purchase Orders that cannot be
processed within 48 hours shall be brought to the CFO’s attention. The
CFO provides guidance on how to proceed.
The Accountant batches the invoices and enters them in the MIP accounting
system as an Accounts Payable Session (See Section -) with a Monday due
19


date. The Accountant generates an Unposted MIP transaction report for the
batch entered, attaches the report to the package and submits the package to the
CFO for data entry review and posting in MIP.
The CFO reviews the transaction report for data entry error, proper supporting
documentation and approval. After his/her review and approval, the CFO posts
the transaction in MIP. Posted transactions are available for payment and are
included in the calculation for the weekly cash draw.
Checks are cut in accordance with the cash disbursement procedures outlined
in Section IV.D. Cash Disbursements.
RECURRING PAYMENTS (not contractor payments)
The Accountant completes a payment voucher for each recurring invoice.
Payment Vouchers are used for processing rents, leases, phone bills,
professional service contracts etc. Payment Vouchers are approved by the
program or operations VP. Exception: Payments vouchers for rent do not
need monthly approval. The following procedures are performed to process a
payment voucher.





The Accountant reviews the invoice for mathematical accuracy, taxes (WA is a
non-profit organization as a result it is exempt from paying sales taxes), past
due amounts, late fees. A copy of WA’s tax-exempt certificate must be
forwarded to all vendors whose invoice includes taxes, and the taxes are not
paid. All late fees and past due amounts are researched. The Accountant notes
the status of all past due amounts on the invoice. NOTE: Invoices that
cannot be processed within 48 hours shall be brought to the CFOs’
attention that then provides guidance on how to proceed.
The Payment Vouchers are forwarded to the appropriate employee for approval
e.g. phone bills, and equipment leases are forwarded to Vice President of
Operations.
The Accountant batches the invoices and enters them in the MIP accounting
system as an Accounts Payable Session (See Section -) with a Monday due
date. The Accountant generates an Un-posted MIP transaction report of the
batch entered, attaches the report to the package and submits the package to the
CFO for review and posting.
The CFO reviews the report for data entry errors and posts the batch in MIP.
Posted transactions are available for payment and are included in the
calculation for the weekly cash draw.
Checks are then cut in accordance with the cash disbursement procedures
outlined in Section IV.D. Cash Disbursements.
Vendor’s month-end statements are filed with the paid invoices after review
of outstanding amounts. If it is determined that there are outstanding invoices
that have not been paid, the AP accountant will notify the vendor, request a
20
second invoice, investigate the reason payment was missed, and make prompt
payment if deemed appropriate.
The Accountant files original vendor invoices in alphabetical order in the paid
invoice files. Copies of check documentation are made when required by
parties outside of the accounting department.
Effective March 2007, WA started using Positive Pay at Riverside Bank.
Each time checks are prepared, a file that lists the vendor, amount, and check
number is sent electronically to the bank. If any of the check information is
different, the bank will hold the check and send a variance report to the CFO.
If Riverside doesn’t receive instructions from the CFO to pay the check by
1:00pm the next day, the check is returned to the customer.
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VII.D. ONE-STOP OPERATOR PAYMENTS
Purpose: To establish the policies and procedures for processing payments to one-stop
operators.
The one stops are run by the Chief Operations Officer, who reports to the
Advisory Council. The Advisory council is not paid.
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VII.E. INDIVIDUAL TRAINING ACCOUNT (ITA)
PAYMENTS
Purpose: To establish the policies and procedures for processing payments for
individual training accounts.
WA contracts annually with Individual Training Providers. The original
contracts are kept on file in the Operations Department and a copy is placed in
a folder on the network that can be accessed by all WA staff. Training
Providers receive payment by submitting an invoice, the completed voucher,
and other documentation needed to support payment.
Upon determining the participant’s eligibility for service, the Case Manager
allocates a participant budget in the Gazelle system out of the unallocated
budget. He/She then creates an ITA Training Voucher in the Gazelle software,
and also enters it in OSMIS (One Stop Management Information System) or
OSST (One Stop System Tracking) depending on the program. The
participant and case manager sign the Voucher. The Voucher is then given to
the participant, who takes it to the Training Provider. The Training Provider
registers the participant for the program, and completes the Provider Section
of the Voucher. The completed Voucher is sent to the Finance Department for
processing. The Accountant performs the following procedures:






Review the Voucher Form to ensure that all required sections have been
completed.
Verify voucher information in OSMIS/OSST. In OSMIS the Accountant
enters the program start date. The start date is entered in OSST by the
case manager. All discrepancies are brought to the attention of the WA
program manager.
The original voucher is returned with the first payment request.
Documentation required (program outcome form) must be submitted with
the final payment request for payment to be processed.
Upon receipt of the invoice from the vendor with the vendor’s initial and
supporting documentation, if required, the Accountant enters the payment
request in the MIP accounting system as an Accounts Payable Session,
and selects the encumbrance to pay.
The Accountant prints out an Unposted transaction report from MIP,
attaches the report to the batch and forwards the package to the CFO for
review and posting. The package is forwarded to the Accountant
responsible for issuing checks (see Section IV.D. Cash Disbursement)
After issuance and distribution/mailing of the check, the invoice along
with a copy of the check and the check stub attached are returned to the
Accountant to be filed.
23
In addition to tuition payments, Providers may be paid for books, supplies,
and other costs required by the participant to complete the program. WA
receives the invoice from the Training Provider with a copy of the course
syllabus. The participant must sign the invoice/receipt. Upon receipt of the
invoice and syllabus, the Accountant performs the following procedures:








Verify that the participant signed the receipt.
Verify in OSMIS/OSST that the payment request is for a WA participant.
Identify the funding source.
Print out OSMIS/OSST report indicating training program and funding
source.
Verify that items invoiced are listed on the syllabus as required for the
course. WA only pays for books, supplies and other items required for the
course.
All discrepancies are brought to the attention of the program manager.
The Accountant creates and prints out a purchase order from the Purchase
Order System for each invoice. The purchase orders are attached to the
invoices, batched together and entered into the MIP accounting system as
an Accounts Payable Session.
Upon completion of the data entry, the Accountant prints out an Unposted
transaction report from MIP, attaches the report to the batch and forwards
the package to the CFO for review and posting.
The batch is forwarded to the Accountant responsible for issuing checks (see
Section IV.D. Cash Disbursement). After issuance and distribution/mailing of
the check, the invoice, along with a copy of the check, and the check stub
attached are returned to the Accountant to be filed.
24
VII.F. SUPPORT SERVICE PAYMENTS
Purpose: To establish the policies and procedures for processing support service
payments.
Support service payments are made for vouchers issued on the participant’s
behalf by the one-stop operators. The Case Managers at the Service Center
determines eligibility for support service. Vouchers are issued using the
Gazelle system, and this creates an encumbrance. Each voucher issued by the
Case Manager is also entered in the appropriate State system. The systems are
One-Stop Management Information System (OSMIS) and One -Stop System
Tracking (OSST). Upon issuance, the voucher is given to the participant who
takes it to the vendor. The vendor provides the merchandise or service and
submits an invoice to WA for payment.
The invoice is received via the mail/email/fax, date stamped, and forwarded to
the designated Accountant in the Finance Department. The following
procedures are performed upon receipt of an invoice for support service
payment.







The Accountant verifies that the voucher has been properly completed e.g.
participant signature, vendor signature.
The Accountant logs onto OSST and verifies that all program
requirements have been met, and that the required information has been
entered in the system.
The voucher is also submitted to the program manager for review if it is an
auto repair, auto insurance or other unusual items. Problems with the
issuance of the voucher are brought to the attention of the one-stop
operator, and issues with the delivery of the service are referred to the
vendor.
The Accountant enters the MIP accounting system and an Accounts
Payable session, and selects the item from the encumbrance system.
Transaction report from MIP, attaches the report to the batch and forwards
the package to the CFO for review and posting.
The batch is forwarded to the Accountant responsible for issuing checks
(see Section IV.D. Cash Disbursement).
After issuance and distribution/mailing of the check, the invoice, along
with a copy of the check and the check stub attached are returned to the
Accountant for filing.
25
VII.D. CONTRACTOR PAYMENTS
Purpose: To establish the policies and procedures for processing payments related to
contracts.
In addition to the annual federal pass through funds received from the state,
WA also applies for and receives private or public grants as funds become
available. Grants are normally applied for by WA and the services will be
provided by one or more community partners. WA administers the grant and
the partners perform the service. If a partner is not included in the grant
agreement, a sub-recipient is contracted after the grant agreement has been
finalized. Copies of all contracts and contract amendments are forwarded to
the finance department. The contracts are distributed to the designated
accountant. Contracts may also be negotiated with sub-recipients (or vendors)
using formula fund awards (i.e. WIA and WTP).
Upon receipt of a contract, the Accountant performs the following procedures:
Create contract binder.
 Review contract payment terms and budget.
 Create an Excel file for the contract. Within the Excel file the Accountant
creates different sheets as deemed necessary e.g. budget sheet listing the
line item budget from the contract, invoice summary sheet that lists each
invoice paid and date paid. The Excel file in used for tracking and
monitoring of grant activities.

The Accountant receives invoices monthly from the contractors.
receipt of the invoice the following procedures are performed:





Upon
The Accountant logs the invoice into the Grant Invoice Year-To-Date
Summary Excel Spreadsheet, and updates the spreadsheet with any
missing payment information (check and payment date etc.). Payment
information is obtained from the MIP accounting system.
The Accountant submits the invoice to the program manager for review
and approval to process the payment. The program manager resolves all
discrepancies.
The approved invoice is returned to the Accountant for processing.
The Accountant reviews the invoice for accuracy e.g. mathematical
calculations, rates, and unallowable cost.
The Accountant codes the invoice, prepares a payment voucher, and
attaches it to the invoice and supporting documentation. The package is
forwarded to the CFO for review and approval. A copy of the invoice
summary report is printed from Excel and attached to the package, along
with a MIP report that shows all prior payments on the contract. Each
grant has its own general ledger funding code. The cost category segment
26

of the general ledger code is used to identify the types of expenditure.
Discrepancies noted are brought to the Accountant’s attention for
correction. Particular attention is paid to the coding. The CFO signs and
dates the package indicating his review and approval of the package. The
package is returned to the Accountant for processing in MIP
The Accountant enters the invoice in MIP as an Accounts Payable Session
(See Section- VII.C. Accounts Payable –Recurring Payments).
27
VII.F. EMPLOYEE TRAVEL
Purpose: To establish policies and procedures for the authorization of employee
travel.
Only approved business-related travel expenses paid for by the employee in
the course of conducting activities on behalf of the organization will be
reimbursed. Employees are to take advantage of Workforce Alliance’s tax
exempt status whenever possible. Workforce Alliance expects each employee
to exercise good judgement in incurring business travel expenses, and to
obtain proper prior approval.
OUT OF TOWN TRAVEL
Out of town travel is documented on a Travel Request and Expense Voucher
and approved in advance by an employee’s Vice President or Chief Operating
Officer and the Chief Executive Officer. If any of the costs for the travel have
been paid in advance using the agency credit card, or if the individual
traveling will be using the agency credit card, it must be documented on the
Travel Request Voucher. Reimbursement Requests not submitted timely may
be denied. Travel reimbursement requests for out of town travel shall be
supported by the meeting agenda, and a trip report and shall be submitted
within 31 days of the return from the travel.
Travel costs include: transportation to and from the location of the event,
lodging, meals, and related expenses. Mileage will be reimbursed based upon
the Federal IRS rate rounded down to the even cent. Meals are reimbursed
based on the actual cost incurred if reasonable and supported by a receipt, or
an employee may elect to be paid for meals based on the per diem rates
determined by the Government Services Administration for the city of travel
for the date of the travel. (See www.gsa.gov).
For partial days of travel the per diem will be prorated amongst the meals in
accordance with the GSA guidelines. Travel must begin before 6:00 am to
claim breakfast and end after 8:00 to claim dinner.
Upon receipt of a travel reimbursement request the following procedures are
performed:


The Accountant verifies that the Travel Request and Expense Voucher has
been properly completed and approved.
Verify that all required receipts are attached.
28




Verify that required documentation (trip report and meeting agenda) is
attached.
Recalculate the request for mathematical accuracy.
Code the request and enter it into the MIP accounting system as an
accounts payable session (See Section VII.C. Accounts Payable).
transaction report from MIP, attaches the report to the batch and forwards
the package to the Finance Director for review and posting. The batch is
forwarded to the Accountant responsible for issuing checks (see Section
IV.D. Cash Disbursement).
LOCAL TRAVEL
A completed and approved Mileage Voucher is required for local mileage
reimbursement. The Mileage Voucher includes the mileage to and from
the home office and the place traveled, the purpose of the travel, and the
amount of miles traveled. It must be approved by the employee’s supervisor
prior to submission for reimbursement. Upon receipt of an approved Mileage
Voucher the procedures listed above under OUT OF TOWN TRAVEL are
performed. The CEO/President and the VP of Business Development receive
a gas credit card. As a result they are not reimbursed for local travel.
Travel that does not require overnight stay does not qualify for meal
reimbursement.
Note: All mileage is from the home office to the event. If travel is from
another location, the mileage paid will be the excess over the employee’s
commuter mileage. Mileage to and from their main office is an employee’s
responsibility which they agree to upon accepting a position.
29
VII.G. AGENCY CREDIT CARDS
Purpose: To establish policies and procedures for the use of WA’s credit cards.
WA has four (4) company credit cards. The cards are an American Express,
Visa, Home Depot, and a Shell Fleet credit card. All cards are issued in the
Chief Executive Officer’s (CEO) and Workforce Alliance names. The
American Express card remains with the CEO and is managed by him/her.
The other cards are kept in a locked safe in the Finance Department.
Approval for use of the cards in the safe shall be obtained from the
CEO/President.
All credit card usage shall be documented on the WA’s Credit Card Voucher
Form. The user of the card must follow WA’s Procurement of Goods and
Services/Employee Travel Policies and Procedures for items charged to the
credit card. In addition, authorization for credit card usage is required prior to
using the cards. Upon completion of the purchase, the employee submits the
approved Credit Card Voucher to the designated Accountant within (2)
business days. The Accountant files the voucher in the credit card file until
the receipt of the monthly bill. The Accountant prepares a summary of
charges (Excel spreadsheet listing expenditures) and completes a Payment
Voucher and submits the package for review. The package is reviewed by the
FD/CFO and the CEO. Each reviewer signs and dates the package indicating
their review and approval. The approved package is returned to the
Accountant for processing in the MIP accounting system. The final package
is reviewed by a Board member prior to filing.
The American Express payment is due upon receipt of the bill. As a result
each month at the close of the billing cycle the Accountant accesses the
account online and prints out the statement. Prior to receiving the supporting
documentation, the Accountant processes the payment online. The expenses
are recorded in the MIP accounting system against a balance sheet clearing
account. Upon receipt of all supporting documentation, the procedures listed
above are performed. After receipt of all approvals, a Journal Voucher is
processed for removing the expense from the clearing account and charging
them to the proper general ledger expense accounts. The Journal Voucher is
reviewed, posted and approved by the CFO after it has been entered in MIP.
The package is returned to the Accountant for filing.
Personal use of company credit cards is discouraged and subject to prompt
reimbursement.
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VIII.A. NEW EMPLOYEE AND CHANGE IN EMPLOYEE
STATUS PROCEDURES
Purpose: To establish policies and procedures related to new employees as well as a
change in status of current employees.
The Human Resources Manager performs WA’s human resource activities
and supervises payroll processing functions. The Chief Executive Officer
(CEO) approves all new hire and pay rate changes for all employees. WA
strictly prohibits discrimination based on race, sex, age, or marital status, as
outlined in its Personnel Policy and Procedures Manual. For more details on
WA’s human resource policies see the Personnel Policy and Procedures
Manual. New employees and changes to employee payroll data are initiated
by the Human Resources Manager . See Section VIII.B. -Payroll Procedures
With Microix for payroll processing procedures.
VIII.B. PAYROLL PROCEDURES WITH MIP
Purpose: To establish the procedures for processing and recording the semi monthly
payroll.
Payroll is processed semi monthly internally using the MIP payroll module
and Microix, the electronic timesheet module. All employee changes (new
hires, position changes, benefit changes, etc.) are given to Accountant A by
the Human Resources Manager. When the changes are made, the accountant
stamps entered on the change form and files it in the payroll file for that
period. The system is password driven. .
All employees are required to register their hours and activities daily in
Microix (electronic timesheet). At the end of the pay period, each employee
submits their timesheet (electronically). Any leave is submitted electronically
31
and inserted into the timesheet prior to submission timesheet. The timesheet
is routed electronically in accordance with the predetermined workflow. The
timesheet is reviewed and either approved or rerouted back to the employee
for correction. The last stop is accounting where it is reviewed for
completeness, and reasonableness. The approved timesheets must be received
first business day after the pay period ends.
The procedures are as follows:
1) All employees must complete their timesheets in Microix, including details of the
daily activities.
2) Employees without access to Microix either have the information input by
someone else or complete a manual form and send it to Finance.
3) Changes to Default timesheets must be made prior to transferring microix
timesheets to MIP payroll.
4) Completed and approved timesheets are transferred to MIP Payroll.
5) Input any manual timesheets into MIP payroll – regular timesheet for the current
period.
6) Make any needed adjustment to individual employees regular timesheets. (ie:
additional deductions, fitness enrollment, leave changes)
7) Follow MIP activities:
A)Print and review timesheets for accuracy (Reports>Processing>Quick
Timesheets).
B) Calculate payroll (Activities>Calculate Payroll).
If there are any problems with the calculation, the system displays an error
message indicating the specific problems encountered during the calculation
process.
C) Review and/or edit calculated payroll (Activities>Review/Modify Calculated
Payroll).
To view a printout of the calculated payroll register, use the
Reports>Processing>Quick Calculated Check Register form. This supplies a
register of calculated—but not printed—payroll checks and vouchers.
D) CFO approves the payroll register prior to printing checks/vouchers and
creating the direct deposit file.
E) Print the payroll checks and direct deposit vouchers (Activities>Print
Checks/Vouchers). Remember that a payroll cannot be edited after confirming
that the checks have been printed correctly.
F) Print the payroll's check or voucher register for review and filing
(Reports>History>Quick Check/Transaction Register).
32
G) Create a Direct Deposit File (Reports>Processing>Voucher Register). Print
the direct deposit report, and/or export the direct deposit information to the
appropriate file format (using an *.ACH file application).
H) Enter information about payroll checks that were neither calculated nor
printed by the system (Activities>Enter Manual Checks).
I) Review the Pre-Transfer Register (Activities>Transfer to Accounting>PreTransfer button). It creates the transfer data to be used in the
Reports>Processing>Pre-Transfer Register.
J) Transfer the payroll data to the Accounting system (Activities>Transfer to
Accounting). Note that this process creates unposted transactions in
Accounting.
K) Post transactions in the Accounting system (Activities>Manage Sessions>Post
Transactions).
To edit checks, use the Transactions>Edit System Generated Checks>Payroll
System Checks, Payroll Manual Checks, or Payroll Void Checks forms in the
Accounting system. Select the batch of checks on the Session form, and then
change the check information or transaction entry line items on the
Transaction Entry form.
L) If necessary, undo a previously transferred payroll in the event that a
correction needs to be made (Activities>Undo Transfer to Accounting).
8) Go online to Riverside Bank – select ACH and Upload Direct Deposit file and
Initiate processing
9) Complete ACH origination form and fax to Riverside Bank
10) Transfer money from WA to PBWDC to cover payroll
11) Perform any needed allocations on PBWDC prior to preparing invoice.
12) PBWDC – invoice WA for payroll and record Revenue (wire)
13) WA- record payment of invoice (wire)
14) Run tax reports and make payments on line through EFTPS
15) EFPTS: WA Tax ID# 65-0709274 PIN
16) EFTPS: PBWDC Tax ID# 42-1738314 PIN
17) Record tax payments in MIP
18) Monthly – pay FRS via telephone 1-866-268-2937
The checks are signed by the CEO/President and another signor. The
CEO/President signs the payroll check/voucher register to indicate that it was
reviewed. (If an error is found a reversal for an ACH payment can be snet within
five days of the original effective date).
All W-2 forms and quarterly 941 forms are processed and filed by Finance.
33
Leave balance information for each employee is maintained in the MIP/Microix
system. The PTO is accrued each pay period. The accrual amount is based on the
position and length of service of each employee. At the beginning of the fiscal
year, the Human Resources Manager provides Finance with the updated
employee’s PTO accrual if they have reached a milestone in years of employment.
WA allows employees to carryover or bank up to 160 hours unused PTO at the end
of the fiscal year .
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VIII.C. PAYROLL LIABILITIES
Purpose: To establish the procedures for recording all liabilities associated with
payroll.
When the Accountant records the payroll as a Journal Voucher, the following
payroll liabilities are recorded:



Employee Health and Life Insurance Payable
Retirement Payable (401K Plan)
Other Payable e.g. United Way Payable
The Accountant is responsible for paying the Employee Health and Life
Insurance and other liabilities listed above through MIP’s AP module,
following the procedures in Section VII.C. Accounts Payable. Payment of the
liability for the retirement plan contributions is made via electronic funds
transfer from the operating account. The transfer is processed by the Human
Resources Manager.
Employees earn Paid Time Off (PTO) based upon their length of employment
with the company. When an employee leaves the company, their PTO is
prorated and the remaining leave balance is paid to them. At the end of each
fiscal year, the Human Resources Manager calculates the liability for unused
PTO. The adjustment to expense and liability is recorded in the MIP
accounting system via Journal Voucher by one of the Accountants.
35
VIII.D. EMPLOYEE ADVANCES
Purpose: To establish policy regarding employee payroll advances
Employee advances are not considered an ordinary, necessary, or reasonable cost
for the administration of a federal grant. Thus, it is determined to be an
unallowable cost according to the OMB Circular A-122, Cost Principles for
NonProfit Organizations. Therefore employee advances are strictly prohibited.
36
IX.A. DEBT & OTHER LIABILITIES
Purpose: To establish policies and procedures for the accounting of debt and other
liabilities.
Due to the nature of the funding sources WA receives from the State of
Florida (primarily cost reimbursement grants); it is highly unlikely that the
agency will incur debt or other long- term liabilities. However, cash advances
are allowed by most funding sources, and these may be unearned revenue at
times. At year end, a journal entry is made to classify revenue in excess of
expenses, by funding sources, as either Deferred Revenue or a Payable
depending on the specifics of the particular grant.
37
IX.B. NET ASSETS
Purpose: To establish policies and procedures for the accounting of net assets.
Net Assets are recorded and reported as unrestricted, and temporarily
restricted as required by SFAS 117.
Accounting entries are not made to the net asset account during the year. The
MIP accounting system automatically closes all revenues and expenses to the
net assets account during the year-end closing process.
38
X.A. ACQUISITION AND DISPOSITION OF FIXED ASSETS
Purpose: To establish policy and procedure for the acquisition and disposition of
fixed assets.
The Operations Department handles acquisition and disposition of Fixed
Assets. Fixed Asset Acquisitions are recorded as expenses during the year.
This allows WA to report the items as expenditures in order to be reimbursed
by the funding source for the cost incurred to purchase the item(s).
Maintenance and repairs made to equipment and property are charged to
expense as incurred.
All assets are recorded in the general ledger at cost. At year end a journal
entry is made to reclassify the applicable items from expense to the
appropriate fixed asset account for financial reporting purposes. Individual
items costing over $5,000 are capitalized and depreciated annually. Such
items require individual prior approval from AWI.
Any donated property or equipment is recorded at its fair market value on the date it is
received. Assets purchased by WA with federal funds are managed in accordance with
the property management requirements of OMB Circular A-110.
During the year the Operations department retains copies of invoices and
supporting documents for property and equipment purchased over $1,000.
This allows WA to track additional property and equipment under the $5,000
limit, if necessary. See SOP FO-003 Fixed Asset Control for more
information.
The Operations Department notifies the Finance Department annually of all
fixed asset disposals. The removal of the asset from the books is done at the
end of the year as part of the year-end procedures performed by the Finance
Department. This is done in conjunction with the depreciation calculations.
These calculations are reviewed and approved by the Chief Financial Officer
(CFO). Gains or losses are recorded upon receipt of notification of the
disposal from the Operations Department.
39
X.B. DEPRECIATION
Purpose: To establish the procedures for recording depreciation of the agency’s fixed
assets.
The Finance Department is responsible for performing the depreciation
calculations annually as part of the year-end closing procedures. Depreciation
is calculated using the straight-line method over the estimated useful lives.
WA’s estimated useful lives for property and equipment are: 3-5 years for
furniture and equipment, and data processing equipment; and 5 years for
vehicles. The Chief Financial Officer reviews and approves the depreciation
calculation. Depreciation expense and accumulated depreciation are recorded
in MIP through a Journal Voucher Session. The MIP entry is made by an
Accountant. The CFO reviews the data entry and posts the transaction in
MIP.
40
XI. COST ALLOCATION PLAN
Purpose: To establish the method in which the WA allocates costs.
WA’s cost allocation plan methodology is in accordance with Generally
Accepted Accounting Principles and with OMB Circular A-122, and it is
approved by AWI annually. See the current approved Cost Allocation Plan.
FUNDING DECISION MODIFICATIONS
WA has structured this cost allocation plan in accordance with OMB Circular
guidance. It should be noted that the Circulars provide a distinction between
cost allocation and funding allocations. Management is aware of this
distinction and makes funding decision modifications as needed.
Cost allocations are performed monthly by the CFO (See Section XII.A –
Month End Closing/Reporting Procedures). In addition to the monthly cost
allocation, WA uses pre-designed MIP distribution codes to allocate joint
costs (rent, security, postage, supplies, copier, maintenance, etc.) during the
month. The distribution codes are using the applicable allocation base (Labor
Hours). Each location has its own distribution code. If a service center
location cannot be identified, the cost is charged to an operations pool
department (service center pool). Upon receipt of an invoice, the Accountant
reconciles it to the purchase requisition/order. Purchase requisitions/orders
are coded with the appropriate six (6) segment general ledger code prior to
submission to the Accounting Department. The second segment of the
general ledger code identifies the pool or funding source to apply the cost.
The coding is reviewed by the Accountant during the invoice processing and
by the CFO prior to posting of the transaction to the general ledger. Within a
distribution code, costs can be charged directly to a program or to a cost pool.
The distribution codes are updated at least quarterly.
41
XII.A. MONTH-END CLOSING/REPORTING PROCEDURES
Purpose: To establish WA’s procedures for performing month-end closings of the
accounting records and the reporting of financial activities.
The following steps are completed each month in order to close the
accounting records and generate monthly reports:

The Accountants prepare month end closing entries as necessary. Since
cash reimbursement may only be drawn as disbursements are made, there
is no real need to record monthly accruals. However, full accruals are
made each 12/31 and 6/30. Each Accountant performs entries for their
designated programs, vendors etc. The accrual and accrual reversal entries
are performed at the same time. The effective date for the accrual shall be
the last day of the current month, and the first day of the next month for
the accrual reversal.

The CFO verifies that all entries (cash receipts, journal vouchers,
expenditures etc.) have been recorded and posted in the MIP accounting
system for the month.

The CFO ensures that the accounts payable sub-ledger agrees to the
accounts payable control account.

The Accountant completes the bank reconciliation for all cash accounts
utilizing the Bank Reconciliation module in MIP and the Excel
Spreadsheet.

The CFO reviews and analyzes the general ledger and trial balance for any
unusual items, and prepares adjusting or correcting journal vouchers, if
needed. Entries prepared by the CFO are entered by one of the
Accountants.

The CFO reviews and approves all journal vouchers prior to recording the
entry in the MIP accounting system.

The pool allocation is done on a year to date basis. As a result, the prior
month’s allocation must be reversed prior to beginning the allocation for
the new month.

The CFO performs the cost allocation for each cost pool. The allocation
for pools 1,2, and 3 are calculated in Excel and entered into the MIP
accounting system via journal voucher. .
42

Print out and review the cost allocations. The cost allocation is reviewed
by the CFO for review and approval prior to posting in MIP.

Print the MIP Statement of Revenues and Expenditures – Job Cost by
Funding for the one stop pools. The balance should be zero. All variances
are researched and resolved immediately. Attach the report to the journal
voucher and supporting documentations, then file.

A summary report “expenses by program” and individual program
expense reports are printed and used for the preparation of the monthly
OSMIS reports. (See below for OSMIS reporting procedures).

The monthly grant report is prepared which identifies each individual
grant. It details the total available for the year, the year to date expenses,
the current obligations, the estimated recurring expenses, and the amount
still available. This is an Excel report which is reconciled to MIP and
OSMIS. This report is given to the Finance Committee and the Board of
Directors.

The monthly WA Financial Summary is a one page legal size Excel report
that has columns for each funding type and lists the major expenses
categories. It also shows the total budget and budget variance. This report
is reconciled to the monthly grant report. This report is given to the
Executive team, Program directors and managers.
MONTHLY REPORTING REQUIREMENTS

WA – Monthly Financial Reports – Due to management after month end.

State Monthly Expenditure (via OSMIS) Reporting – Due on or before the
20th of each month
. PROCEDURES FOR PREPARING STATE MONTHLY REPORTING

Verify that all month end closing procedures (cost allocation,
reconciliations etc.) have been completed.

Print year-to-date Statement of Revenues and Expenditures - Job Cost by
Funding or Grouping reports from MIP accounting system.

Review MIP Statement of Revenues and Expenditures reports for
reasonableness.

Use year- to- date expenditures from statements of revenues and
expenditures to update Excel Spreadsheets used to reconcile MIP to
OSMIS.
43

Print year- to -date Financial Report Summary by program and year from
OSMIS to determine amounts previously reported.

Calculate the difference between year- to- date expenditures on MIP’s
statement of revenues and expenditures reports and accrued expenses
recorded in OSMIS (Financial Report Summary). The difference
represents current month’s expenditure to be recorded in OSMIS.

Total year to date expenditures recorded in OSMIS and current month’s
expenditures to be recorded in OSMIS. The sum of both numbers should
equal the year-to-date expenditures in MIP.

Using the OSMIS cost categories, input current month expenditures into
the system by program. For details of the OSMIS cost categories and data
entry instructions see the Agency for Workforce Innovation One Stop
Management Information System Financial Management Report Guide.

Print out the updated year to date Financial Report Summary and attached
to the MIP reports and other supporting documents used to prepare the
OSMIS reports.

Submit the package to the CFO for review and approval. The CFO
reviews the report, signs and dates it to indicate his review and approval of
amounts entered in OSMIS. The package is submitted to the
CEO/President for review and approval

File all documents in the Monthly Financial Statement Folder by month.
The folders are kept in the accounting department cabinet for Monthly
Financial Statements.
44
45
XII.B. YEAR-END CLOSING/REPORTING PROCEDURES
Purpose: To establish WA’s procedures for closing the accounting books at the end of
the fiscal year and preparing financial reports.
The following steps are completed at the end of the fiscal year in order to
close the accounting books and prepare for the annual financial audit:

The Chief Financial Officer (CFO) notifies all departments of the last date
to receive supporting documentation for expenditures incurred during the
fiscal year.

The CFO notifies all service providers and training agents of the last date
to receive invoices and supporting documentation for expenditures
incurred during the fiscal year. Reimbursement requests/invoices not
received by the closing date will not be honored.

The Accountants review and analyze the general ledger accounts for each
sub-recipient.
The MIP Administrator updates the date restrictions in the MIP
Administration module to warn users of entries made into the prior fiscal
year and prohibit entry into any future fiscal years.


The CFO is responsible for ensuring that the accounting staff records all
transactions on the accrual basis of accounting at year-end. Transactions
paid after June 30 are identified and properly recorded in the period they
are incurred, not paid.

The Finance department prepares all year-end entries e.g. depreciation,
liability for compensated absences. Entries prepared by the CFO are
entered by one of the Accountants. Prior to performing the data entry, all
entries shall be approved by the CFO.

The CFO reviews the dates of the payroll to determine whether a material
amount of the pay period should be accrued into the current fiscal year.

The Finance Department performs audits of each balance sheet account,
and analyzes the revenue and expenditures for reasonableness.
Any
needed reconciliations are prepared.

The VPA complete Grant Close-Out Forms for the organization’s funding
sources, if necessary.
46

The Finance Department prepares schedules requested by the auditor.

Upon completion of the annual financial audit, the Finance Department
prepares journal vouchers for all audit adjustments. The journal vouchers
are entered in the MIP accounting system by one of the Accountants.
These entries are made in the AUD funding segment to indicate that they
are audit entries.
Thus, reports can easily be run in MIP to
include/exclude audit entries. Entries prepared are reviewed and approved
by the CFO prior to being entered by one of the Accountants.

Once all of the audit entries have been entered into the accounting system,
the MIP Administrator performs the Year-end Closing in MIP. This
automatic function closes all of the revenue and expense accounts to fund
balance and net assets.

After closing the fiscal year, the MIP Administrator updates the date
restrictions in the MIP Administration module in order to prohibit users
from making entries into the closed fiscal year.
ANNUAL REPORTING REQUIREMENTS





Annual Audited Financial Statements – Due to Agency for Workforce
Innovation by March 31st.
Single Audit Reports in Accordance with OMB Circular A-133- due nine
months after the end of the audit period (March 31) or within 30 days of
receipt of the audit report, whichever occurs first. The data collection
form and a copy of the report must be submitted to the Federal Audit
Clearing House.
Distribution of 1099’s by January 31st.
Prior approval request form by June 15th.
WTP certified forward request by July 15th.
47
XII.C. ANNUAL FINANCIAL AUDIT
Purpose: To establish the policies related to obtaining and completing an annual
financial audit.
An independent financial and compliance audit is conducted annually by a
certified public accountant. WA prepares and submits an audit plan to its
grantor agency for approval by the due date specified each year. The plan is
prepared by the CFO and complies with the requirements of AWI.
The audit is procured competitively in accordance with AWI special guidance
for audit procurement (FG 05-019). Proposals for audit services are received
based upon predetermined specifications. The proposals are reviewed and
ranked by WA management. WA staff negotiates the cost of the audit with
the highest ranked firm.
Upon completion of the audit, the management team is responsible for
responding to any Reportable Conditions and Management Letter
Recommendations found during the financial and compliance audits. The
financial statements and audit reports are then presented to Management for
review. The reports are then presented to the Executive Board and
Audit/Finance Committee by the Auditors and CEO/CFO.
Within 30 days after completion of the audit, WA transmits two copies of the
audit report to AWI. If the report contains any findings related to the
programs, a corrective action plan is also submitted.
48
XIII.A. COMPUTER MAINTENANCE AND DISASTER
RECOVERY
Purpose: To establish policies & procedures related to computer software
maintenance and to ensure that accounting records can be recovered in the
event of a disaster.
COMPUTER MAINTENANCE
The MIP Administrator performs the following computer software
maintenance:

Periodically performs data integrity checks in the Administration module

Renews the annual support and maintenance agreement with MIP to
ensure that the agency will receive any updates to the system, and have
reliable support available

The IT Department Installs all updates received from MIP in a timely
manner, reviews all changes made by the update, and educates staff on
these changes
The CFO is responsible for ensuring that the IT Department performs all
necessary updates to any other software utilized by the accounting
department.
DIASTER RECOVERY
The IT Department does nightly backups of MIP and the network files. The
back up is replicated to another WA location. Each WA location is backed-up
to another location.
See Workforce Alliance Disaster Plan for further information.
49
XIII.B. RECORDS RETENTION
Purpose: To establish the policy and procedures for retaining accounting records.
Records are maintained in sufficient detail to permit the preparation of all
required reports and provide for the tracing of funds to a level of expenditure
adequate to ensure that the funds have not been spent unlawfully. WA retains
financial records and supporting documentation for seven (7) years from the
end of each fiscal year.
Financial records and supporting documentation are retained by the
Accounting department on-site for the current and past fiscal year. The past
fiscal year records are kept on file until the completion of the annual financial
and compliance audits. Upon completion of the audits, the records are boxed
and sent to WA’s storage facility. A log of all boxes shipped to storage. WA
sub-recipients are required to maintain financial records in accordance with
their contract.
50
XIV.A. MIP CASH RECEIPTS PROCESSING
1. Entering Cash Receipts
 Enter your cash receipts using the TransactionsEnter Cash Receipts.
Cash receipts session:
 Session ID – CR/WeekEnding/DATE (E.G.CR/WE/03/25/05).
 Status – Should be BP (Batch to Post so you can review before posting)
 Description – Use Session ID.
 Date – Use today’s date.
 Start Key - This will begin the session.
Entering the Cash Receipts:
 Receipt Number- Use the check number for checks, payment number (from
Remittance Advice) for State of Florida transfer, and WIRE BT for BIO-TECH
transfer. Be consistent with receipt numbering system for wire transfers.
 Date – This is the deposit date.
 Amount – Enter the amount of the check or wire transfer.
 Description – Use session ID/Funding Source or description of receipt.
 Deposit Number – Use receipt number.
 Recipient ID – Not used.
 1st line in the grid:
o Enter a code- for each segment in your chart of accounts. If no code is
appropriate, use 000 (Pools Only).
o Credit– Enter your amount here.
o Entry type – for Cash Receipts, the type is always N for normal
o Effective Date – This date is automatically the same as the deposit date
and will therefore be the day it is recorded in your general ledger.
o Description – This will be the same as the description you already entered
above. You can accept this, override this or add more detail. This is what
will appear in your general ledger detail.
o Enter as many lines as necessary.
 Hit the offset button for the automatic debit to operating cash account. This
is the 6th green & red button from the left above the receipt number.
 You can now memorize this document for future use or hit Save to move to a
new receipt.
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2-Review Unposted Cash Receipts
 After entering all receipts, print a list of the receipts that you just entered
using the ReportsTransaction ReportsUn-posted General Ledger
Transactions. Pull up the cash receipts edit report. You must filter by the
session ID you just entered to print only your un-posted cash receipts. Go to
filter tab and select your session under criteria 1 box.
 Verify your receipts against this report and make any necessary additions or
corrections to the batch before posting.
 To correct a receipt go to TransactionsEnter Cash Receipts.
 In the session ID box, select your session from the drop down and hit start.
 In the receipt box, select the receipt you are correcting. Correct the receipt
and hit the offset key again to make sure your entry balances. Hit save and
correct another or close the form.
 You can then reprint your receipts using Step 2.
 Submit your Unposted report, Cash Receipts and supporting
documentation to the CFO for review and posting.
3 - Post Cash Receipts
 Post this batch of receipts using the ActivitiesManage SessionsPost
Transactions.
4 – Print Posted Report (optional)
 Now that you've posted the transactions, you can verify that they posted using the
ReportsTransaction ReportsPosted General Ledger Transactions. You must
filter by the session ID you just entered to print only your posted batch.
52
XIV.B. MIP ACCOUNTS PAYABLE PROCESSING
 Remember, each accounts payable transaction requires a vendor ID. Consequently,
the first step in the A/P process should be entering vendors (MaintainVendors), but
the system has the capability to enter vendors "on-the-fly", so for this checklist, we'll
assume you have already set up your vendors.
1. Entering Invoices
 Enter your batch of invoices using the TransactionsEnter A/P Invoices form.
A/P Invoice Session:
 Session ID – Employee Initial/Today’s Date/API/Batch Number e.g.
OM/040705/API-01.
 Status – Should be BP (Batch to Post so you can review before posting)
 Description – This could be “Daily or Weekly Batch”, “Invoice for New
Computer”, etc. It is a good idea to use some type of description that indicates the
reason for initiating the session.
 Date – Use today’s date
 Start key - This will begin the session
Entering the Invoice:
 Invoice – Use the vendors invoice number if given.
o If no number is given use - either invoice date and your initial, the date of
service and the initials of the vendors name or the account number and the
month. For e.g. Bellsouth invoice number for January 2001 invoice could
be 011501BS. Remember: You will not be able to use this invoice
number again in this batch or for this vendor. Therefore if you were
paying two Bellsouth bills in the same session, the 1st one would be
011501BS-01 and the second 011501BS-02. Choose a numbering
system and be consistent.
 Date – This is the date of the vendors invoice. If the vendor gives you no date,
you can use the date of service.
 Amount – Enter the total amount of the invoice
 Description – This is what will appear on the top of the check for the payee to
see. This is also what will appear in your general ledger. For this reason it is
important to use some description e.g. “Service for June” or “Payment on account
123456”.
 Vendor – Either select from the list or if not on the list go to MaintainVendors
and enter the vendor there. You must hit save before going back to the invoice.
You do not have to close the invoice to enter a new vendor. Both can be open at
the same time.
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 Due Date –
Monday’s date.
Transactions entered from Monday through
midday Wednesday of the current week should have a due date of Monday next
week. Transactions entered after midday Wednesday through Friday of the
current week should have a due date of Monday of the week after next.
o
o
o
o
o
o
Enter a code for each segment in your chart of accounts. If a cost
category cannot be determined use 000 (Pools Only).
Debit – enter your amount here.
Entry type – for A/P, the type is always N for normal
Effective Date – Monday of next week. NOTE: If you want the
expense to be recorded in a specific month, enter the month you want the
expense to be recorded in.
Description – This will be the same as the description you already entered
Enter as many lines as necessary
 Hit the offset button for the automatic credits to accounts payable. This is
the 6th green & red button from the left above the invoice number.
new invoice.
2-Review Unposted Invoices
 After entering all invoices, print a list of the invoices that you just entered
using the ReportsTransaction ReportsUnposted General Ledger
Transactions. Pull up your AP Edit Report. You must filter by the session
ID you just entered to print only your un-posted invoices. Go to filter tab and
select your session under criteria 1 box.
 Verify your invoices against this report and make any necessary additions or
corrections to the batch before submitting your batch for review and posting.
 To correct an invoice go to TransactionsEnter A/P Invoices.
 In the invoice box, select the invoice you are correcting. Correct the
invoice and hit the offset key again to make sure your entry balances. Hit
save and correct another or close the form.
 You can then reprint your invoices using Step 2.
 Submit your Unposted report, Invoices and supporting documentation to
the CFO for review and posting.
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3 - Post Invoices
 Post this batch of A/P invoices using the ActivitiesManage SessionsPost
Transactions.
 Once these transactions are posted, you can use MaintainEnter A/P Credit Memos
or Enter A/P Manual Checks, or ActivitiesCheck WritingPay Selected A/P Invoices
to credit, pay, or partially pay these invoices.
Generating Checks
1. In order to generate checks, you'll need to select the invoices that you want to pay
using the ActivitiesCheck WritingSelected Invoices to Pay.
 Select invoices to be paid based on aged accounts payable report from last
week (report used to request cash needs) or Use the pay criteria button
(red arrows) located in the top left corner to filter for the due date you
want.
2. You can print a report to ensure that the correct invoices are selected for payment
using the ReportsA/P AnalysisInvoices Selected for Payment.
3. Now, let's print checks using the ActivitiesCheck WritingPay Selected A/P
Invoices form.
 Your session ID will be same as above except the type is APS instead of
API. Status is BP, give a meaningful description, today’s date and the date
you want to appear on the checks.
 Put in your starting check number.
 Select Laser A/P Checks (Default).
 DO NOT say YES to “Did all forms print correctly” until you are positive
they did!
4. Post the check run after you print checks using ActivitiesManage
SessionsPost Transactions.
5. Print a list of posted checks using the ReportsCheck Register.
55
XIV.C. MIP JOURNAL VOUCHER PROCESSING
Journal Vouchers are used for recording various transactions (e.g. accruals,
reclassifications, revenue, accounts receivable, and adjusting entries) into the general
ledger. All Journal Vouchers must be reviewed and approved by the Chief Financial
Officer prior to being entered in the MIP accounting system.
1. Entering a Journal Voucher
 Enter your journal voucher using the TransactionsEnter Journal Voucher.
Journal Voucher Session:
 Session ID – Year/JV/Month/Initials/Number/ (ie: 05JV02NL01). The number is




prefaced by the following to identify the purpose of the JV: S=Special,
R=Reversal, Acc=Accrual, PR= Payroll, PL=Pool
Status – Should be BP (Batch to Post so you can review before posting)
Description – Description of entry e.g. March Accruals.
Date – Use today’s date.
Start Key - This will begin the session.
Entering Journal Voucher:
 Voucher Number- Use the Session ID.
 Date – Use the effective date for Journal Voucher.
 Description – Use session ID/Entry Description (e.g. March Payroll Accrual).
o Enter a code for each segment in your chart of accounts. If no code is
appropriate, use 000 (Pools Only).
o Debit – Enter your amount here.
o Entry type – Journal Voucher, the type is always N for normal. The type
for year end adjusting entries is A.
o Effective Date – This date is automatically the same as the date entered
above and will therefore be the day it is recorded in your general ledger.
If you want this entry to be recorded in a different month, override this
date and put the month you want the entry to be recorded in.
o Description – This will be the same as the description you already entered
o Repeat the steps above (start at enter a code) for the credit side of the
entry.
o Enter as many lines as necessary
new voucher.
56
2-Review Unposted Journal Voucher
 After entering all journal vouchers, print a list of the vouchers that you just
entered using the ReportsTransaction ReportsUn-posted General Ledger
Transactions. Pull your journal voucher edit report. You must filter by the
session ID you just entered to print only your un-posted journal voucher
session. Go to filter tab and select your session under criteria 1 box.
 Verify your vouchers against this report and make any necessary additions or
corrections to the batch before posting.
 To correct a voucher go to TransactionsEnter Journal Voucher.
 In the Journal Voucher box, select the voucher you are correcting. Correct
the voucher and verify that the entry is in balance. Hit save and correct
another or close the form.
 You can then reprint your vouchers using Step 2.
 Submit your Un-posted report, Journal Voucher and supporting
documentation to the CFO for review and posting.
3 - Post Journal Vouchers
 Post this batch of vouchers using the ActivitiesManage SessionsPost
Transactions.
57
XIV.D. MIP BANK RECONCILIATION PROCESSING
The Accountant signs on to MIP by entering their User ID and Password and completes
the steps listed below. Upon completions, the Accountant signs the reconciliation and
submits it to the Chief Financial Officer for Review and Approval.
 Select “Activities” option from the menu bar.
 Select “Reconcile Cash Account” from the menu bar.
 Enter the general ledger cash account number.
 Enter the reconciliation date.
 Select the tab for “Checks” and check-off checks that have cleared the bank.
 Select the tab for “Deposits” and check-off deposits that have cleared the bank.
 Select the tab for “Other Cash Items” and clear accordingly.
 Select the “Summary” tab and enter the ending bank statement balance.
 Print the Bank Reconciliation Statement.
 Go to the “Report” tab on the menu bar and select “Bank Reconciliation
Analysis” and print the supporting outstanding checks and deposits.
 Review sign and approve the bank reconciliation.
 Submit the signed reconciliation and all supporting documentation to the Chief
Financial Officer for review and approval.
 Submit the signed reconciliation and all supporting documentation to the
CEO/President for review and approval
58
Back to Main Menu
TITLE:
Policy,Eligibility & Funding for Dislocated Worker
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-055
ISSUE NUMBER:
01
EFFECTIVE DATE:
07/18/2007
AUTHOR NAME:
Reggie OConnor
LAST UPDATE DATE:
2007-06-18 11:55:15
BY:
Reggie OConnor
AREA OR PROGRAM AFFECTED: WIA
DOCUMENT TYPE:
POLICY
Initial Issue (Replaces SOP OC-006)
DOCUMENT HISTORY
ISSUE EFFECTIVE DATE
01
07/18/2007
DESCRIPTION OF CHANGE
1.0 PURPOSE:
1. To provide guidance to the Direct Services Provider (DSP) staff in conducting participant
eligibility for the Workforce Investment Act (WIA) Dislocated Worker Program.
2.0 APPLICATION:
1. To provide guidance to the Direct Services Provider (DSP) staff in conducting participant
eligibility for the Workforce Investment Act (WIA) Dislocated Worker Program.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
WIA - Workforce Investment Act
TOL - Targeted Occupation List
SOP - Standard Operating Procedure
DSP - Direct Service Provider
DW - Dislocated Worker
EFM - Employ Florida Marketplace
WARN - Workers Adjustment Retraining Notification
1. Regional Targeted Occupations List 07-08
http://www.labormarketinfo.com/wec/tols/07-08_prelim_000021.pdf
2. Workforce Investment Act Final Rules 2000
http://www.doleta.gov/regs/statutes/finalrule.pdf
3. WIA Forms - Path on the "P" Drive to the Forms
P:\MASTER FORMS INDEX-Directory\WIA Forms
4. Coordinating of Funding For Training - SOP 052
http://sqlserver.pbcalliance.com/SOP/frmViewSopDoc.aspx?DocNo=PO-052,%
20Issue=01&SopFormId=119
1. Access to the Employ Florida Marketplace system
2. Access to the Gazelle tracking system
3. Access to the Unemployment Insurance records
6.0 POLICY:
BACKGROUND/AUTHORITY:
Participants may be determined eligible for the Dislocated Worker Program programs and
services funded by the Workforce Alliance if they meet the eligibility requirements as set forth in
the following rules and regulations: a) the Workforce Investment Act of 1998, Public Law 105220, Section 101 (9) and (10); and b) the WIA Final Rules 2000, 20CFR Part 652, and as further
defined by the Alliance.
To be eligible for services in the Dislocated Worker (DW) program, individuals must meet the
following criteria:
1. Be 18 years of age or older (CFR 663.110), AND
2. Meet one of the following four categories:
Category 1: An individual who:
(a) has been terminated or laid off, or who has received a notice of termination or layoff,
from employment; AND
(b) is eligible for or has exhausted entitlement to unemployment compensation or has
been employed for a duration sufficient to demonstrate to the Direct Service Provider
(DSP) “attachment to the workforce” but is not eligible for unemployment
compensation due to insufficient earnings or having performed services for an
employer that was not covered under State unemployment compensation law; AND
(c) is unlikely to return to a previous industry or occupation.
(a) has been terminated or laid off or has received a notice of termination or layoff as
a result of any permanent closure of, or substantial layoff at, a plant, facility or
enterprise; OR
(b) is employed at a facility at which the employer has made a general announcement that
such facility will close within 180 days; OR
(c) for purposes of eligibility to receive ONLY core services, is employed at a facility at
which the employer has made a general announcement that such facility will close.
was self-employed (including employment as a farmer, rancher or fisherman), but is
unemployed as a result of general economic conditions in the community in which the
individual resides or because of natural disasters; or
is a displaced homemaker -- an individual who has been providing unpaid services to
family members in the home and who
a) has been dependent on the income of another family member but is no longer
supported by that income; AND
b) is unemployed or underemployed and is experiencing difficulty in obtaining or
upgrading employment.
TERMINOLOGY
The following definitions explain some of the terms used above.
1. “Attachment to the
Means that the individual worked for at least 7 days prior to
workforce”
eligibility determination
2. “Unlikely to return” has
Applicant’s occupation or industry of dislocation is not in
been defined by the
demand (e.g. not on the Alliance’s Targeted Occupation List
Workforce Alliance to
(TOL), or not in local demand as determined by local labor
mean one of the
market surveys) AND there are 3 or less job listings of the
following:
applicant’s occupation or industry of dislocation within
commuting distance (35 miles) of the applicant’s residence.
OR
The applicant’s skill level from the occupation or industry of
dislocation no longer meets the entry requirement of that
occupation or industry as determined by an unsuccessful 30day job search in the applicant’s occupation or industry of
dislocation. (Minimum of 12 job searches, at least 3 per
week, over a 30-day period in occupation or industry of
dislocation, and registered in the Employ Florida Marketplace
EFM system); OR.
An individual who is unable to return to their occupation or
industry or dislocation due to a physical incapacity
documented by a letter from their doctor stating the individual
cannot return to this job.
“Substantial layoff”
 Any reduction in force which is not the result of a plant
closing and which results in an employment loss at a single
site of employment during any 30-day period for
 At least 33% of employees (20+ hours per week) –
minimum 50 employees
“General announcement”
a public announcement including newspaper articles and news
releases.
Eligibility for DISLOCATED WORKER Program
Terminated or Laid Off or
 Letter from employer; Notice of Termination (“pink slip”)
Received a Notice of Termination  Unemployment Compensation claims information
of Layoff
supporting the layoff status
Eligible for or exhausted
 Documentation from Unemployment Compensation
entitlement to unemployment
compensation
Unlikely to return
Permanent closure of plant,
facility or enterprise

(See definition above), also see attached "Dislocated
Worker & General Eligibility Checklist" form.
 Workers Adjustment Retraining Notification (WARN)
notice
 Public announcement, including newspaper article and
News Release. (Workers who have not received an
individual notice of termination but who are employed at a
facility for which the employer has made a public
Substantial layoff


announcement of planned closure shall be considered
eligible for the Dislocated Worker program and will
receive Core Services.)
Workers Adjustment Retraining Notification (WARN)
notice
Letter from employer which indicates the percentage of
affected workers (see substantial layoff definition above.
Verification of age and documentation of substantial
barriers to employment (defined as loss of occupational
choices of a class or group of jobs by reason of age).
Business license
Documentation of earnings and expenditures
Income tax statement
Older Individuals with substantial
barriers by reason of age

Self-employed (including farmers
and ranchers)



General Economic Conditions
Verification of:



Natural Disasters



Failure of one or more businesses to which the selfemployed individual supplied a substantial proportion of
projects or services.
Failure of one or more businesses from which the selfemployed individual obtained a substantial proportion of
products or services.
Substantial layoff(s) from, or permanent closure(s) of, one
or more plants or facilities that support a significant portion
of the state or local economy.
Copy of Proclamation by the Governor
Newspaper article announcing the Proclamation of the
Governor
Notification of National Declaration of Disaster Public
Announcement (such as a news release)
(The categories of natural disasters include, but are not limited to,
hurricane, tornado, storm, flood, high water, wind-driven water, tidal
wave, earthquake, volcanic eruption, landslide, mudslide, drought,
fire, or explosion.)
7.0 FLOWCHARTS:
N/A
Attachment Files:
View File Attachment: WIA-012 Dislocated Worker Eligibility Checklist.doc, WIA Dislocated
Worker Eligibility Checklist
SIGNATURE PAGE
DOCUMENT APPROVALS
NAME
DOCUMENT NO: PO-055 ISSUE NO: 01
TITLE
SIGNATURE
DATE APPROVED
Reggie OConnor
Author
Reggie OConnor
06/18/07
Maria Heredia
Reviewer
Maria Heredia
06/18/07
Don Scantlan
Administrator
Don Scantlan
06/18/07
Jan Cook
Approver 1
Jan Cook
06/18/07
Joyce Fisher
Approver 2
Joyce Fisher
06/18/07
Ike Powell III
Approver 3
Ike Powell III
06/18/07
NAME
Kathryn Schmidt
FINAL APPROVAL
TITLE
SIGNATURE
President/CEO
Kathryn Schmidt
DATE APPROVED
07/18/07
Back to Main Menu
TITLE:
Policy, Eligibility & Funding Priority-WIA Adult
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-054
ISSUE NUMBER:
01
EFFECTIVE DATE:
07/18/2007
AUTHOR NAME:
Reggie OConnor
LAST UPDATE DATE:
2007-06-14 09:56:57
BY:
Reggie OConnor
AREA OR PROGRAM AFFECTED: WIA,WTP
DOCUMENT TYPE:
POLICY
DOCUMENT HISTORY
01
02
07/18/2007
Issue No. 02
1.0 PURPOSE:
1. To direct the One-Stop Operator and/or direct services staff in determining eligibility
and funding priority for participants in the Adult Program of the Workforce
Investment Act (WIA)
2.0 APPLICATION:
1. This document applies to all Career Consultants that assist with WIA eligibility
determination.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
WIA - Workforce Investment Act
LLSIL - Lower Living Standard Income Level
TOL - Targeted Occupation List
SOP - Standard Operating Procedure
1. Lower Living Standard Income Level (LLSIL) and Federal Poverty Guidelines for
2006
http://www.floridajobs.org/pdg/communique/06-08_2006LLSIL_061206.pdf
2. Regional Targeted Occupations List 07-08
http://www.labormarketinfo.com/wec/tols/07-08_prelim_000021.pdf
3. Workforce Investment Act Final Rules 2000
http://www.doleta.gov/regs/statutes/finalrule.pdf
4. WIA Forms - Path on the "P" Drive to the Forms
P:\MASTER FORMS INDEX-Directory\WIA Forms
5. Coordinating of Funding For Training - SOP 052
1. Access to the Employ Florida Marketplace system
2. Access to the Gazelle tracking system
6.0 POLICY:
BACKGROUND/AUTHORITY:
Participants may be determined eligible for programs and services funded by the
Workforce Alliance if they meet the eligibility requirements under the Adult Program set
forth in the Workforce Investment Act of 1998 (WIA), Public Law 105-220, the WIA Final
Rules, 20CFR Part 652, and as further defined by the Alliance.
This Standard Operating Procedure (SOP) establishes the policy for determining eligibility
and funding priority under the WIA Adult Program. Authority is WIA section 134(d)(4)
(E)
POLICY:
WIA section 134(d)(4)(E) states that in the event that WIA funds allocated to a local area
for Adult employment and training activities are limited, priority shall be given to
recipients of public assistance and other low income individuals for intensive services and
training services. The Workforce Alliance has determined that there are not sufficient
WIA Adult Program funds to pay the training costs of all adults in Palm Beach County who
could benefit from training. Therefore, the Workforce Alliance has developed this
Standard Operating Procedure (SOP) to establish a funding/eligibility priority.
Other funding sources such as PELL Grants and Welfare Transition funds are to be
considered when funding individuals for training. Where possible, the Alliance seeks to
utilize PELL Grants or Welfare Transition funds as a first resource to fund training for
public assistance recipients. Use of WIA Adult Program funds will be based on the priority
of service categories outlined below.
Priority of Service:
Priorities #1, 2 and 3, defined below, shall be in effect unless otherwise directed by
the Workforce Alliance.
 Priority #1: Low income (as defined in WIA Section 101(25))
 Priority #2: Employed Worker
 Priority #3: Barrier and unable to pay for needed service
 Priority #4: Barrier or unable to pay for needed services
 Priority #5: Customer pays based on sliding scale
Determine priority-funding level. Use the attached forms - "Personal Finance Review" the
"Self Sufficiency Worksheet" the "Income Applicant Statement" and the "Income
Worksheet" - they can be found on the "P" drive under the Master Forms Index, see path
above, to determine funding priority for Priorities 2-4. Note: Priority #1 & 2 are the first
choice for determining eligibility.
 #1 An individual determined to have low income (as defined in WIA section 101
(25)) during eligibility determination will receive the first priority for intensive
and/or training funds.
 #2 An individual who is employed at the time of eligibility determination and
who's individual or family income meets the local definition of “lacks selfsufficiency” - earning $30 per hour or less, or is at risk of being laid off, will
receive the second priority for intensive and/or training funds.
 #3 An individual who is not low income OR employed at time of eligibility, BUT
who has at least one documented barrier to employment, AND cannot pay for
intensive and/or training services, will receive third priority for intensive and/or
training funds.
 #4 An individual who is not low income OR employed at time of eligibility , but
who has at least one documented barrier to employment, OR cannot pay for
intensive and/or training services based on completion of a Financial
Assessment, will receive fourth priority to intensive and/or training funds
 #5 This priority is yet to be developed, but will provide the latitude to offer
services to customers who ARE ineligible for WIA funds and can pay for all or
part of the cost of intensive and/or training services. . NOTE: This is a future
category and is not available at this time.
Terminology:
Below are definitions of (1) Low Income, (2) Employed Worker and Lacks Self-Sufficiency,
(3) Barriers, and (4) Unable to Pay.
(1) Low Income:
 An individual who meets any one of the following 4
definitions qualifies for the WIA Adult Program
under "low income". A "low income" individual is
one who:
a. receives, or is a member of a family that receives,
cash payments (TANF, SSI, etc.) under a
Federal, State, or local income-based public
assistance program; OR
b. receives an income (or is a member of a family
that received a total family income) for the 6month period prior to application that, in relation
to family size, does not exceed levels in the Low
Income table. (See link above for Low Income
Levels and Federal Poverty Guidelines; OR
c. is a member of a household that receives (or has
been determined within the 6-month period prior
to application to be eligible to receive) food
stamps pursuant to the Food Stamps Act; OR
d. qualifies as a homeless individual.
(2) Employed Worker:
An individual who is employed at the time of eligibility
determination. This individual must meet one of the
following conditions for eligibility.
 Lacks self-sufficiency – earning $30 per hour or less
Back to Main Menu
TITLE:
WTP Support Services Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-002
ISSUE NUMBER:
02
EFFECTIVE DATE:
09/03/2008
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-08-18 12:00:08
BY:
Carol McNamee
AREA OR PROGRAM AFFECTED: WTP
DOCUMENT TYPE:
DOCUMENT HISTORY
EFFECTIVE
ISSUE
DATE
PROCEDURE
Increase in support services dollar limit; monthly
transportation limit;employment application fee;
01
09/17/2007
Initial Issue
02
09/03/2008
Increase in support services dollar limit; monthly transportation
limit;employment application fee;
1.0 PURPOSE:
To provide guidance to staff on the issuance of Support Services to participants of the Welfare Transition
Program (WTP) that is not to exceed $1000 per program year (excluding child care).
2.0 APPLICATION:
This document applies to all Workforce Alliance Staff and Career Center Staff who are responsible for the
supervision and management of the Welfare Transition Program as it relates to the issuance of Support
Services.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
1.
2.
3.
4.
5.
6.
7.
Applicant - an individual who has applied for but who has not yet been approved for TCA
AWI-Agency Workforce Innovation
DCF – Department of Children and Families
Gazelle - a web application that manages support services and training accounts for participants
IRP-Individual Responsibility Plan
Mandatory - TANF case is still open; receiving TCA
OSST-One Stop Service Tracking
Program Year – July 1st-June 30th
TANF - Temporary Assistance for Needy Families
TCA - Temporary Cash Assistance
Transitional - Employed; TANF case is closed due to earned income
WTP-Welfare Transition Program
1. AWI Communiqué - Lower Living Standard Income Level (LLSIL) and Federal Poverty Guidelines
2.
3.
4.
5.
6.
for 2008, http://www.floridajobs.org/PDG/communique/08-10_2008_LLSIL_061708.pdf
Florida Statutes Chapter 445.025 - Other Support Services,
http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&Search_String=&URL=Ch0445/SEC025.HTM&Title=-%3e2005-%
3eCh0445-%3eSection%20025#0445.025
Florida Statutes Chapter 445.031 Transitional Transportation,
3eCh0445-%3eSection%20031#0445.031
WTP Automobile Repairs' Policy, PO009 http://sqlserver.pbcalliance.com/SOP/frmViewSopDoc.aspx?DocNo=PO-009,%
WTP Child Care Services Policy, PO-011:
WTP Domestic Violence Policy, PO-041,
7. WTP Relocation Assistance Policy, PO-006:
8.
9.
10.
11.
WTP Support Services Policy, PO-001,
WTP Support Services Work Instruction, PO-077,
UP-Front Diversion Policy, PO-018: http://sqlserver.pbcalliance.com/SOP/frmViewSopDoc.aspx?
DocNo=PO-018,%20Issue=02&SopFormId=214
WTP Work Registration Policy, PO-046,
1.
2.
3.
4.
5.
Access to OSST
Access to FLORIDA
Access to Gazelle
Childcare Authorization and Referral Form AWI, 5002 - available on the Forms Index
Notice of Change in Child Care Status, AWI 5235 - available on the Forms Index
6.0 PROCEDURE:
A. The Career Consultant will provide the WTP participant with Support Services ONLY after
verification that the participant is eligible, remains in compliance and is engaged in an appropriate
activity(s) for no less than 35+ hours. All support services must be entered into OSST and/or
Gazelle, depending on the type of support service.
B. The following forms of documentation must be provided to the Career Consultant in order for
participants to receive any type of support services:
1. For all applicant cases, the participant must provide the original DCF Communication
and Work Activity Referral, Form #CF-ES 2097.
2. All open mandatory cases, the Job Participation Rate screen must be current, in
compliance (35+ hours) and provide either time-sheets, pay stubs, school attendance,
job search forms, etc. that relate to their current Core and Core plus activities.
3. For all Transitional participants, the participant must have provided an employment
verification form and/or pay stubs. If they have lost employment within 30 days job
search forms are to be provided.
C. Participant must be advised by the WTP Career Consultant if purchases are for items other than
what the clothing voucher was intended, the participant will be required to reimburse Workforce
Alliance the exact cost of unauthorized purchases or participant will be prohibited from receiving
any further support services.
Note: Please refer to the WTP Support Services Work Instruction, PO-077 for specific support
services to provide to all participants in the program.
DATA ENTRY REQUIRED IN OSST TO - Issue WTP Support Services
WTP Applicants, Mandatory or Transitional Participants – Activity Type Section



The following appropriate activities must be entered in OSST in order to provide any
support services:
Applicants = Orientation

Mandatory Participants = Core/Core Plus Activities, 35+ hours

Transitional Participants = Proof of Employment or Job Search

The start date of the activity for which they are receiving a support service must be on or
before the service was issued.
Appropriate documentation must be placed in the hard copy file.
WTP Applicants, Mandatory or Transitional Participants – Service Type Section

All support services must be entered on the Skill Development screen under “Service” in
OSST

The provider for any support services must correspond to the center the career consultant
is located (West Career Center, Central Career Center, South Career Center).

Transportation, Clothing, Tools, Licenses/Fees/Books, Transitional Transportation,
Transitional Tools, Transitional Clothing, Transitional Licenses/Fees, etc. must be
entered.

The “Service Recipients in House” section does not need to be checked unless
the participant is receiving a child care support service.

The actual start date is the first date the participant was issued any type of approved
support services.

The anticipated end date for:
Applicants = up to 3 days for bus passes, 1 day for $20 gas card and 10

business days (or 20 calendar days) for child care referral.

Mandatory Participants = 3 months after the start date for a child care
referral; monthly for bus passes.
Transitional Participants = 6 months after the start date for a child care

referral; monthly for bus passes.
 To Update the Service Budget on the Service Plan screen: Select the Service Budget
hyperlink and update the amount of the support service for accounting purposes. The
support service should be updated to reflect the current program year.
WTP Applicants, Mandatory or Transitional Participants – Need/Barrier Section of the IRP
For any support services that are provided to the participants, or that a career consultant has identified
must be listed on the IRP in the Plan Development screen under “Barriers”.

Select the Need/Barrier that pertains to the participant.
The status should be “identified” and the “date identified”, is the date the participant has

made a statement that the support service(s) is in fact a need/barrier, but has not yet
received the support service(s).
Once the participant receives a support service, the status “identified” must be changed

to “In Progress”.
The date must be changed to the date the participant was issued their first support

service.

Enter an expected Resolution Date when the need/barrier is expected to be achieved.
The radio button must be checked "yes" under "Barriers" in the IRP for any support

services provided.

(The Resolution Date is not filled unless the need/barrier has been resolved, unresolved,
etc).
WTP Applicants, Mandatory or Transitional Participants – Steps to Self-Sufficiency Section of the
IRP
Select Plan Development screen in OSST and enter a step under the steps to self
sufficiency section describing the step needed for the participant.

Enter a scheduled completion date as the date the step should be completed.

Enter the person(s) responsible to over-come the need/barrier

The status is “open”.

(The Completion Date is not filled unless the step has been closed).
Back to Main Menu
TITLE:
WTP Medical Incapacity & Deferral Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-013
ISSUE NUMBER:
03
EFFECTIVE DATE:
02/11/2010
AUTHOR NAME:
Maryann Garrett
LAST UPDATE DATE:
2009-08-14 17:13:21
BY:
Maryann Garrett
AREA OR PROGRAM AFFECTED: Welfare Transition
DOCUMENT TYPE:
PROCEDURE
Amended Gas Card Allowance for partial participation
DOCUMENT HISTORY
01
09/11/2007
Initial Issue
02
09/03/2008
Initial Issue
03
02/11/2010
Amended Gas Card Allowance for partial participation
1.0 PURPOSE:
1.
The purpose of this document is to provide a procedure for the case management of
a participant who may or may not be able to participate in required work activities due to
medical incapacity or other deferral reasons.
2.0 APPLICATION:
1.
This document applies to all Workforce Alliance Staff and Career Center Staff who are
responsible for the supervision and management of the Welfare Transition Program as it relates
to the medical incapacity and medical deferral procedure of the program.
3.0 DEFINITIONS:
1. Applicant = an individual who has applied for but who has not yet been approved for cash
assistance
2. ARP = Alternative Responsibility Plan
3. AWI = Agency for Workforce Innovation
4. IRP = Individual Responsibility Plan
5. Mandatory = TANF case open; receiving TCA
6. SAMH - Substance Abuse and/or Mental Health
7. SSI = Supplemental Security Income
8. SSDI - Social Security Disability Income
9. TANF – Temporary Assistance for Needy Families
10. TCA – Temporary Cash Assistance
11. Transitional = Employed; case is closed due to earned income
12. WTP = Welfare Transition Program
1. Deferral Definitions:
◦ Medical Deferral (Less than 90 days) – Use only if a specific time frame is indicated on the
form
◦ Medical Deferral (90 days or more) – Use only if deferred for a longer period of time
◦ Alcohol, Drug, Mental Deferral (Less than 90 days) – Use only if the participant is receiving
treatment at a SAMH facility.
◦ Alcohol, Drug, Mental Deferral (90 days or more) – Use only if the participant is receiving
treatment at a SAMH facility.
◦ Deferred – High Risk Pregnancy – “High risk” must be identified by a physician. All
pregnancies are not high risk.
◦ Deferred – Lack of Child Care – Based upon a lack of availability of services (such as
providers that don’t accept infants) and not upon a parent’s preference for a particular
provider.
◦ Deferred – Lack of Transportation – Based upon a lack of the availability of public
transportation in a participant’s residence and/or ability to participate in required activities.
◦ Deferred – Domestic Violence – Participant’s disclosure is minimum amount of
documentation needed to enter this deferral.
◦ Deferred – SSI Applicant – Must be accompanied by official paperwork from the Social
Security Administration that demonstrates application for SSI or SSDI.
◦ Deferred – Other – Must be accompanied by a case note that explains the reason for the
deferral, i.e., temporarily caring for a disabled family member prior to being determined
exempt by DCF. (This is rarely used)
◦ Deferred – State Emergency – Do not use this code; it is issued only by the State of Florida
for case managers to use in the event of a natural disaster, emergency, etc.
1. AWI Final Guidance - Domestic Violence,
http://www.floridajobs.org/pdg/guidancepapers/026%20Domestic%20Violence.rtf
2. AWI Final Guidance – Medical Incapacity,
http://www.floridajobs.org/pdg/guidancepapers/051MedicalIncapacity100505.pdf
3. Department of Vocational Rehabilitation, http://www.rehabworks.org/
4. Florida Administrative Code (FAC) 65A-4.206, https://www.flrules.org/gateway/RuleNo.asp?
ID=65A-4.206
5. Florida Statute 414.065 (4)(d), http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&Search_String=&URL=Ch0414/SEC065.HTM&Title=-%3e2007
-%3eCh0414-%3eSection%20065#0414.065
6. Florida Statute Chapter 414.0655, http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&Search_String=&URL=Ch0414/SEC0655.HTM&Title=-%
3e2007-%3eCh0414-%3eSection%200655#0414.0655
-%3eCh0414-%3eSection%20105#0414.105
-%3eCh0445-%3eSection%20024#0445.024
9. Florida Statute Chapter 458, http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&URL=Ch0458/titl0458.htm&StatuteYear=2007&Title=%
2D>2007%2D>Chapter%20458
10. Florida Statute Chapter 459, http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&URL=Ch0459/titl0459.htm&StatuteYear=2007&Title=%
2D>2007%2D>Chapter%20459
11. WTP Assessments & Development of IRP/ARP Procedure, PO-022,
12. WTP Assessments & Development of IRP/ARP Work Instructions, PO-076,
13. WTP Domestic Violence Procedure PO-042,
14. WTP Hardship Extension Procedure, PO-012,
http://sqlserver.pbcalliance.com/SOP/frmNewSopDoc.aspx?SopFormId=76
15. WTP Medical Incapacity and Deferral Policy PO-003,
16. WTP Medical Incapacity and Deferral Work Instruction PO-075,
17. WTP Work Penalties and Pre-Penalty Counseling Procedure PO-039,
All of the forms listed below are available on the Forms Index:
1.
2.
3.
4.
5.
6.
7.
8.
Alternative Responsibility Plan WTP-002
Medical Verification Form, AWI-WTP 2288(a) (pages 1 & 2)
Medical Verification Form WTP-001- Page 3 (replaces only page 3 of AWI-WTP 2288(a))
SSI/SSDI Agreement of Understanding Extension of Time Limits, AWI-2287
SSI/SSDI Time Limit Extension Review Form, AWI-2289
Statement of Need for Care, CF-ES 2094
Substance Abuse and Mental Health Treatment Form, CF-ES 2299
WTP-034 Medical Calendar
6.0 PROCEDURE:
If a participant is unable to fully participate with their required work activities he/she may be deferred or
partially deferred from participation based on the documentation received. The participant continues to be
mandatory and may be required to participate in core/core plus activities or alternative activities through a
treatment facility, domestic violence shelter, etc.
1. The Career Consultant will give the participant the Medical Verification form AWI WTP 2288 (a)
(only pages 1 & 2) and WTP-001 Medical Verification Form- Page 3 to present to their physician to
complete and sign. The physician must be licensed under Florida Statute Chapters 458 or 459 (an
M.D. or a D.O). The form must have a hand-written signature, NOT a stamped signature. Once
completed, the participant will then return the completed forms to the Career Consultant.
2. Once the medical verification form has been either mailed, hand-delivered, faxed, scanned, emailed to a participant or that a participant verbally states that they are not able to participate in the
required WT activities, 35+ hours a week in a core/core plus activity is still required regardless.
WTP participation must continue until all signed medical documentation mentioned in Step 3 has
been returned, (including mandatory information) to the Career Consultant and there is no suspicion
of fraud or altered documents.
3. In the event that the above mentioned forms are not signed by a physician for whatever reasons
beyond the participant’s control, the participant may also provide correspondence from their
physician (an M.D. or D.O.) as long as it includes mandatory information (listed below) outlined in
the Medical Verification Form, AWI-WTP 2288(a) and Medical Verification Form, WTP-001 – Page
3
◦ Statement from physician (on letter-head) specifying the nature of disability or incapacity
◦ Duration of disability or incapacity
◦ Number of hours per week the individual can participate in activities
◦ Any other limitations on participation and/or work activities
Note: All verification/correspondence submitted must be original, unaltered documents and dated within
the last 30 days. Stamped signatures by the physicians are Not accepted.
4. The Career Consultant will determine whether or not the participant is 100% medically deferred.
The medical verification form and/or physician’s correspondence noted above must be reviewed
for accuracy of completion and the possibility of fraud.
5. If a WTP participant cannot participate in the required hours of work activity due to a need to
become or remain involved in outpatient mental health or substance abuse counseling or
treatment, the participant may be exempted. The exemption from the work activity may be for up
to 5 hours per week, not to exceed 100 hours per year. A participant may not be excused from a
work activity unless a mental health or substance abuse professional, recognized by DCF certifies
the treatment protocol and provides verification of attendance at the counseling or treatment
sessions each week. The Substance Abuse and Mental Health (SAMH) form, CF-ES 2299 must
be completed by a mental health or substance abuse professional.
6. If the WTP participant is not able to participate in core/core plus activities due to a need to take
care of another family member, the participant may be exempted. The person that they are
providing care for must be residing in the home of the participant and have the physician complete
the Statement of Need for Care form, CF-ES 2094. Once the form has been completed and
returned to the career consultant, the participant must be deferred and DCF must be notified. By
submission of the form via fax, scan or by the participant at the DCF office, DCF will review the
information and exempt the participant from the WT program.
6.1
For participants that are 100% medically deferred, the following steps must be followed:
1. The participant should be placed in the deferral status by opening the Alternative Screen in OSST
and entering the information from the Medical Verification Form AWI WTP 2288 (a), WTP-001
Medical Verification Form-Page 3, and/or Physicians Correspondence.
2. The Career Consultant and participant are required to complete an Alternative Responsibility Plan
together by utilizing the IRP wizard and case noting in the record that this is now an Alternative Plan
because of the Medical Deferment (See WTP Assessments & Development of IRP/ARP Procedure
and Work Instruction for specific OSST Data Entry instructions).
3. The participant should be counseled as to the possibility of applying for Supplemental Security
Income (SSI) and/or Supplemental Security Disability Income (SSDI);
4. Contact the participant on a monthly basis to update their medical and SSI status.
6.2
For participants that are NOT 100% medically deferred, the following items must be followed:
1. The participant should be placed in the deferral status by opening the Alternative Screen in OSST
and entering the information from the Medical Verification Form-Page 3, and/or Physicians
Correspondence (See section 6.3 below on how to enter the information step by step).
2. The Career Consultant and participant are required to complete an Alternative Responsibility Plan
together by utilizing the IRP wizard and case noting in the record that this is now an Alternative Plan
because of the Medical Deferment (See WTP Assessments & Development of IRP/ARP Procedure
and Work Instruction for specific OSST Data Entry instructions).
3. Refer the participant to the Division of Vocational Rehabilitation, if applicable, to be evaluated for
the participant's ability to participate in activities.
4. Determine together the most appropriate activity for the participant to complete their required hours
as per the hours on their medical verification form. The following activities must NOT be assigned
to deferred participiants because they are time-limited: Vocational Training and Job Search/Job
Readiness.
5. Provide and discuss the WTP-034 Medical Calendar and enter all medical and activity information.
All information entered on the calendar will consist of steps from their ARP, assignments and
appointments with career consultants and physicians. The medical calendar is to be reviewed with
the participant by the 10th of every month and failing to provide the calendar without good cause
would start the penalty process.
Support Services
The following support services are available for medically deferred participants as long as funds are
available:
Transportation - Gas Cards:
1-10 hours/week - $10 gas card - every two weeks
11-20 hours/week - $15 gas card - every two weeks OR $30.00.month ($20+$10)
21-34 hours/week - $20 gas card - every two weeks
35+ hours/week - $25 gas card - every two weeks
Transportation - Bus Passes:
1-10 hours/week - 2 days bus pass
35+ hours/week - 31 days bus pass
Child Care: A deferred participant may receive a minimum of 20 hours of child care as long as they are
partially deferred and are participating 20+ hours a week in core and/or core plus activities.
A) If a participant is deferred and participating in WT activities (core/core plus) or partial employment,
please refer to the WTP Medical Incapacity and Deferral Work Instruction PO-075 for step by step
instructions on how to assign participants to specific activities based upon their medical verification
form.
B) The completed medical verification forms must be placed and maintained in the participant’s hard
copy file and updated on the OSST Alternative Screen for deferral entries.
C) All participants with an existing medical verification form will be contacted by Workforce Alliance’s
Center Staff and provided with a “Request for Medical Verification” form AWI-WTP 2288(a) and WTP001 Medical Verification Form- Page 3 for completion at a minimum of every 90 days while the
participant is deferred. This will help to determine whether the participant’s deferral status needs to
continue or come to an end.
D) If it has been determined that a participant’s medical status is to continue, close out the old medical
deferral in OSST and enter the updated/new medical deferral. This is to show a history of a
participant’s medical deferral status.
E) In the event that there is a deferred SSI/SSDI participant within their 48th month time limit, a hardship
extension will
be reviewed with the career consultant and the Registered Nurse/Medical Deferment Coordinator.
This will help to
make a professional decision as to whether the deferred participant may need to have an extension of
their time
limits.
6.3 DATA ENTRY REQUIRED IN OSST TO ENTER - NEW REFERRALS
Deferrals are entered in the OSST system on the Alternative Plan Screen: Click the "Add" tab to
begin entry of a deferral. A blank Deferral/FSET Good Cause Information Screen will appear. Follow the
below steps 1 - 10.
1. Select one of the ten (10) deferral codes that populate the drop down box, except 'SSI-Applicant' .
(If they are an SSI-Applicant, use either 'Medical Deferral' codes).
2. Answer, ‘Was the Medical Form CF-ES 2288 received”? If a “Medical Deferral” or “High Risk
Pregnancy” was selected in Step 1, the response must be “yes”. Full participation is required until
the signed verification form is received.
3. Was SSI/SSDI application filed? If the participant filed an SSI/SSDI application, the response must
be ‘yes'.
4. Is participant enrolled in a SAMH outpatient treatment program? If the reason for deferral was
“SAMH Deferral”, the response must be “yes”.
5. Begin Date – This is the date the participant returns verification to the career consultant and the
date the deferral is effective.
6. Referral Date – This is the date the CF-ES 2288 or other verification document was signed by the
physician or SAMH provider. If you are receiving the case for the first time, and notice that there is
not a date entered in the “referral date” field, use the date entered in the “Begin Date” field.
7. Anticipated End Date – For a deferral that is less than 90 days, enter a date that is a week prior to
the date the deferral is expected to end. If the deferral is expected to last longer than 90 days,
enter a date that is 80 days from the Referral Date. By entering a date prior to the anticipated end
date, the Anticipated End Date will generate an alert to remind the career consultant of a deferral
that is on the verge of ending or needs an update of verification. The participant should be seen
either for assignment to a countable activity, update their IRP/ARP or to receive a new CF-ES 2288
before their original deferral ends. If you are receiving the case for the first time, and notice that
there is not a date entered in the anticipated end date field, determine when the participants’
Back to Main Menu
TITLE:
WTP Up-Front Diversion Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-019
ISSUE NUMBER:
01
EFFECTIVE DATE:
07/28/2008
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-06-25 11:24:31
BY:
Carol McNamee
DOCUMENT TYPE:
PROCEDURE
Procedure Changes
DOCUMENT HISTORY
01
07/28/2008
Procedure Changes
1.0 PURPOSE:
The purpose of this document is to provide procedures for the processing of an Up-Front Diversion
request for potentially eligible Welfare Transition Program applicants in Region #21, Workforce Alliance,
Inc., Palm Beach County, Florida.
2.0 APPLICATION:
supervision and management of the Welfare Transition Program as it relates to the processing of the UpFront Diversion Request.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
AGAR - verify if they’re a protective payee
AIID - verify their household composition/income, social security number & for each applicable child
AOIE- Sanction History Screen in FLORIDA
ARCA- Welfare Reform Cash Data (DCF Florida system screen)
CC-Career Consultant
CLRC- case note screen in FLORIDA – DCF system
FLORIDA – DCF system
IQAA- Assistance Group Inquiry (DCF Florida system screen)
IQCH-Cash Assistance Issuance History (DCF Florida system screen)
RWB- Regional Workforce Board
TCC- Transitional Child Care
UFD- Up-Front Diversion
WTP-Welfare Transition Program
1.
2.
3.
4.
5.
AWI Final Guidance-Up-Front Diversion,
http://www.floridajobs.org/pdg/guidancepapers/013UpFrontDiversionWTP.rtf
Communication and Work Activity Referral (CF ES 2097),
http://www.dcf.state.fl.us/publications/eforms/es2097.pdf
Florida Statute Chapter 445.017, http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&Search_String=&URL=Ch0445/SEC017.HTM&Title=->2005>Ch0445->Section%20017#0445.017
Florida Statutes, Chapter 445.031, http://www.flsenate.gov/statutes/index.cfm?
Florida Statutes, Chapter 445.032, http://www.flsenate.gov/statutes/index.cfm?
6.
7.
8.
9.
10.
WTP Child Care Services Policy, PO-011,
WTP Support Service Procedure, PO-002,
WTP Up-Front Diversion Policy # PO-018,
WTP Work Registration Procedure, PO-038,
1. Access to FLORIDA
2. Access to OSST
3. Diversion Services Emergency Criteria Form, AWI 0001,
http://www.floridajobs.org/PDG/wt/Forms/rtf/WT_0001EmergCritForDivrsServ010207_010607.rtf
4. Up-Front Diversion Screening Form, AWI-WTP 2073,
http://www.floridajobs.org/PDG/wt/Forms/rtf/WT_2073CombUpFrntRelScrng010207_010607.rtf
5. WTP-025 UFD Staff/Supervisor Review Form – available on the Forms Index
6.0 PROCEDURE:
A. Up-Front Diversion Requirements and Process
The WT Up-Front Diversion program is available only to applicants as an alternative to on-going
Temporary Cash Assistance.
The applicant begins the WT Work Registration process by attending the WTP orientation that
includes information about the Up-Front Diversion program. If the applicant expresses an interest in
the Up-Front Diversion program instead of on-going TCA, the applicant must be screened to
determine whether (s)he meets the eligibility criteria for TCA and for Up-Front Diversion. UFD is a
Once in a lifetime payment of up to $1000 per family.
Note: Applicants that are in the process of going through Up-Front Diversion must continue to
complete work registration requirements until their UFD payment is approved or denied. In the event
that the UFD is denied, the applicant will continue to go through the work registration process and if
eligible, be approved for cash assistance.
1. Career consultant will determine if the family applying for Up-front Diversion is currently
sanctioned by reviewing the Alternative Plan screen in OSST and/or the AOIE screen in the
FLORIDA system for active sanctions. Sanctioned families, including families receiving
TCA through a Protective Payee, are not eligible for Up-Front Diversion.
2. The career consultant will review the following FLORIDA screens to determine if the
applicant is potentially eligible for the TCA and UFD.


Review the AIID to verify their household composition/income, social security
number & for each applicable child
Review the IQCH screen to ensure that the applicant hasn’t actually started
receiving TCA.


Review the AGAR to verify if they’re a protective payee
Review the IQAA screen and determine whether the applicant is applying for
TCA and the status of the application, i.e., pending, denied, closed, etc., etc.
(Pending status would be acceptable.) and if they received UFD in the past.
Review the ARCA screen to determine if the applicant hasn't already met the
TCA lifetime limit of 48 months. (This applicant can’t apply if they have used all
their lifetime limits, hence they are not potentially eligible for on-going TCA)
Review the CLRC screen for additional comments regarding the TCA
application.




If the applicant is potentially eligible for TCA, the CC and the applicant will complete the
Up-Front Diversion Screening Form, AWI WTP-2073. The date at the bottom of the
completed Up-Front Diversion Screening Form, AWI WTP-2073, is the official date
the Up-Front Diversion process begins.
The CC will review the information with the applicant to ensure that the applicant is a
good candidate for Up-Front Diversion, for example;



Would the applicant be more appropriately served with diversion rather than
cash assistance?
Does the applicant have a history of retaining employment?
If the emergency or unexpected situation is resolved, would the applicant
become employed and/or remain employed?
CC will verify the applicant's eligibility; document the applicant's emergency need; and
their ability to meet their on-going monthly needs and document all information in a case
note.
4. Enter the Up-Front Diversion service under the Skill Development screen with an Actual
Start Date.
5. When the applicant has provided documentation of secured employment and has been
determined eligible for diversion services, the appropriate supportive services should be
provided to ensure the applicant begins work and retains the employment.
6. When the applicant has not secured employment, the applicant should be referred to
employment opportunities in our resource rooms and complete a diligent job search (as
part of the work registration process).
3.
Note: Once an applicant has been approved for UFD and they are employed within 90 days after the
UFD process started, their applicant case must change to a transitional case in OSST and be served
transitional services if applicable. If the applicant is not employed within 90 days after the UFD
process started, wait until 90 days and the close the applicant case in OSST.
B. Support services may be provided so the applicant may:
Participate in a diligent job search;

Make contact with the employment opportunities provided the Workforce Alliance centers;

Initiate the WT Work Registration process; and

Be diverted from on-going cash assistance.

Applicant support services are short-term benefits to assist the TCA applicant with completing the TCA
application process and obtaining or retaining employment. Applicant support services are:
Transportation assistance – (if requested): not to exceed 3 daily bus passes or a $20 gas

card
Child Care assistance - not exceed 30 days from the date the Up-front Diversion process

officially started due to DCF's time standard to approve or deny a TCA application.
Note: The 30 day child care referral is not to be in addition to the 20 days of child care that are
provided to TCA applicants going through the Work Registration process. It only means for those
applicants that are already receiving 20 days of child care and subsequently are found eligible for
UFD, if requested, they may receive and addition 10 days of child care.
C. Up-Front Diversion payment versus Up-Front Diversion as a Provision of Services
An applicant who is being considered for Up-Front Diversion may or may not require a cash payment
of up to $1000.00 to divert the family from receiving recurring TCA. (S)he may need a basic support
services to secure employment, secure child support or overcome an emergency.



The TCA applicant may be provided with applicant support services to assist the applicant
with job search activities, obtaining employment, initiating the WT Work Registration process
and/or retaining employment;
The applicant may be provided with Up-Front diversion services as an alternative to TCA;
Childcare for applicants of Up-Front Diversion should be provided for 30 days from the date
the Up-Front Diversion process was officially started. If the applicant receives an Up-Front
Diversion payment or provision of services, (s)he must secure employment to receive TCC.
D. Approval of the Monetary Benefit and/or Provision of Services:
1.
2.
3.
4.
5.
6.
Complete the UFD Staff/Supervisor Review form, WTP-025 to ensure the accuracy and
thorough completion of the Up-Front Diversion process.
Complete the Up-Front Diversion Screening, AWI-WTP 2073 four page document (be
sure to include the amount of the UFD payment on page 3 of 4).
Retain a copy of the UFD paperwork in the hard file.
Enter the outcome of the Up-Front Diversion payment under the Service Plan on the Skill
Development screen in OSST.
Enter a case note indicating the approval of the UFD payment.
A copy of the -Front Diversion Screening, AWI-WTP 2073 is faxed to Mary Lints (DCF) –
fax # (561) 837-5366.
E. Denial of the Monetary Benefit and/or Provision of Services:




Explain to the applicant the rationale why they didn’t meet the diversion eligibility.
Retain a copy of the Up-Front Diversion Screening, AWI-WTP 2073, and their work
registration paperwork in the applicant’s hard file.
Instruct the applicant to follow through with the completion of the WTP Work Registration
process.
Enter a case note of the denial of the UFD payment.
F. Data Entry in the OSST System







Enter all supportive services provided under the Service Plan section on the Skill
Development screen in OSST.
Enter UFD in OSST under the Service Plan section on the Skill Development screen.
Enter the Actual Start Date to indicate the date of the request for UFD.
Update the UFD service if the payment request was approved or denied of a payment
under the Service Plan section on the Skill Development screen in OSST.
Close the UFD service in OSST by entering an Actual End Date when the service is
approved or denied. If the applicant receives the service or benefit, the Reason for
Outcome should be completed.
In the service outcome field, the financial outcome must be entered. The two options
available under the Financial Outcome section are, “was the applicant provided with RWB
funded Up-Front Diversion as a service,” and “was the applicant provided with Up Front
Diversion payment of up to $1000 through the Department of Children and Families on the
electronic benefit card (EBT)?” A selection of yes or no must be selected for each
question for the data to be saved.
Enter a case note during each phase of the diversion process. A case note should be
entered regarding the reason for qualification (emergency or unexpected need), the
supervised job search, the completion of the agreement and Up-Front Diversion forms, as
well as Up-Front Diversion payment amount and/or services rendered.
7.0 FLOWCHARTS:
Back to Main Menu
TITLE:
WTP Relocation Assistance - Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-020
ISSUE NUMBER:
01
EFFECTIVE DATE:
08/18/2008
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-06-19 17:24:14
BY:
Carol McNamee
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
08/18/2008
Initial Issue
1.0 PURPOSE:
supervision and management of the Welfare Transition Program as it relates to providing relocation
assistance.
2.0 APPLICATION:
supervision and management of the Welfare Transition Program as it relates to providing relocation
assistance.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
AWI - Agency for Workforce Innovation
CC - Career Consultant
DCF - Department of Children and Families
FLORIDA - Florida Online Recipient Integrated Data Access
Mandatory - TANF case open; receiving TCA
OSST - One-Stop System Tracking
RFA - Request for Assistance
TANF - Temporary Assistance to Needy Families
TCC - Transitional Child Care
UFD - Up Front Diversion
WTP - Welfare Transition Program
1. AWI Final Guidance - Domestic Violence http://www.floridajobs.org/pdg/guidancepapers/026%
20Domestic%20Violence.rtf
2. AWI Final Guidance - Relocation Assistance
http://www.floridajobs.org/pdg/guidancepapers/023RelocationWTPrev062104.rtf
3. Florida Statute Chapter 445.021 http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&Search_String=&URL=Ch0445/SEC021.HTM&Title=->2005->Ch0445
->Section%20021#0445.021
4. WTP Domestic Violence Policy PO-041
http://sqlserver.pbcalliance.com/sop/frmViewSopDoc.aspx?DocNo=PO-041,%
5. WTP Domestic Violence Procedure PO-042
6. WTP Relocation Assistance Policy PO-006
1. WTP Support Services Procedure PO-002
7. WTP Up Front Diversion Policy PO-018 http://sqlserver.pbcalliance.com/sop/frmViewSopDoc.aspx?
DocNo=PO-018,%20Issue=02&SopFormId=214
8. WTP Up Front Diversion Procedure PO-019
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Access to FLORIDA System
Access to OSST
Diversion Services Emergency Criteria, AWI WTP-0001
Relocation Assistance Program Checklist, AWI WTP-2279
Relocation Assistance Program Transfer Letter, AWI WTP-2278
Relocation Budget Worksheet, AWI WTP-0002
TANF Eligibility Form for TANF funded Services, AWI WTP-0005(a)
http://www.floridajobs.org/PDG/wt/Forms/doc/TANF_EligFormNew010207_010607.doc
TANF Eligibility Form for TANF funded Services, AWI WTP-0005(b) (short version)
http://www.floridajobs.org/PDG/wt/Forms/doc/TANF_EligFormSortVer010207_010607.doc
Up Front Diversion/Relocation Screening Form, AWI WTP-2073
Verification of Employment, CF-ES 2620
Telephone Employment Verification form, WTP-024
All forms are available on the forms index (except #7 & 8)
6.0 PROCEDURE:
The individual must be a mandatory participant of TCA or an applicant for TCA and meet all eligibility
criteria for Up-Front Diversion. The family must demonstrate a need for relocation and a contributing
factor to achieving self-sufficiency as a result of the relocation. Once this has been determined, the
following procedures must be followed:
A. Reviewing & Approving Relocation Requests;
1. Determine if the individual is receiving TCA, is a TCA-eligible applicant, or is an Up-Front Diversion
applicant and all requirements for Diversion would likely be met. If the individual has met their
TCA lifetime limit and is not approved for a hardship extension, they cannot receive
Relocation Assistance.
2. Determine that there is sufficient information to ensure that relocation will assist the individual in
attaining self-sufficiency.
3. Establish a written relocation plan, which includes:
a.
A relocation budget using Relocation Budget Worksheet, AWI WTP-0002. Budget should
include relocation expenses (written estimates for relocation expenses and employment
related costs) and provisions to prevent abuse/misuse of the relocation assistance payment.
b.
Documentation from the individual to ensure that relocation funds will be expended properly
and that the relocation will take place. Refer to the Relocation Budget Worksheet for
examples of documentation required.
c.
Assurance that the relocation will be successful without relying on TCA and be prepared to
meet future expenses without relying on recurring TCA once the relocation has been
approved.
d.
Provisions to protect the safety of victims of domestic violence and avoid provisions that
would place him/her in anticipated danger.
4. Career Consultant should make contact with the receiving One Stop/Workforce Board (in or out of
the state of Florida) and ensure that it has the capacity to provide needed services and
employment opportunities. Information regarding the community must be captured on the
Relocation Assistance Program Checklist, AWI WTP-2279.
a. If in the state of Florida, go to http://www.floridajobs.org/onestop/onestopdir/index.htm and
locate the region of relocation and counterparts in the local community. The Career
Consultant advises the One Stop/Workforce Board of individual's case and applicable
services needed. Details (contact's name, telephone number, One Stop location R/C/U,
services to be provided) are documented in OSST case notes.
b. If out of state, use directory assistance and/or the Internet to locate DCF and One-Stop
counterparts in the local community. Career Consultant advises the One Stop/Workforce
Board of individual's case and applicable services needed. Details (contact's name,
telephone number, One Stop location R/C/U, services to be provided) are documented in
OSST case notes.
5. The individual must relocate within 90 days of the receipt of relocation assistance.
6. Career Consultant conducts a phone survey 30 days after the participant has relocated. The
survey is to verify the family has relocated, assess the success of the relocation and the adequacy
of services being provided in the new area. All information from the survey must be documented
in the case notes in OSST.
B. TCA Applicant Procedures
The TCA applicant must complete the Request for Assistance (RFA) and be determined potentially
eligible for TCA. The Career Consultant is responsible for approving or denying the application for
Relocation Assistance within ten (10) business days from the date of the RFA.
1. Initiate the WT work registration process. For the purposes of Relocation Assistance, the
applicant should be engaged in the process of securing employment in their chosen relocation
area (if employment is not already secured).
2. Complete the diversion process, see UFD Policy & Procedure. The career consultant will
complete the UFD Pre-Screening Form to determine if the family has a situation that will be
resolved by Relocation Assistance as a diversion instead of ongoing TCA.
3. The career consultant will counsel the applicant and discuss the feasibility of relocating to the
chosen community.
4. Select the Skill Development screen in OSST and enter the Relocation Assistance service
under the Service section.
5. The provider should be the career center where the relocation assistance request originated.
6. Enter an Actual Start Date and an Anticipated End Date of the Relocation Service ten (10)
business days from the date of the RFA.
7. Enter a detailed case note.
Non-Completion: If the applicant has not completed the process, or has not demonstrated a need for
relocation and the ability to sustain residence in the community of relocation by the tenth (10th)
business day:
1.
2.
3.
4.
5.
The Relocation Assistance request should be denied, forwarded to DCF & indicated on
Relocation Assistance Program Checklist, AWI WTP-2279 under Section B.
The RFA will be processed by DCF as a request for ongoing TCA.
The applicant must fully complete the work registration process for approval for ongoing TCA.
Enter an End Date of the Relocation Assistance service in OSST and the outcome.
Enter a detailed case note.
Completion: If the applicant has completed the process, they will begin Relocation Assistance
planning:
1.
2.
3.
4.
5.
6.
7.
8.
Once the applicant has secured employment in the community (s)he wants to relocate,
the applicant must provide either the employment verification form and/or a written offer of
employment on company letterhead indicating start date, salary, job title and number of
weekly hours required to work must be submitted along with a contact person and phone
number.
Once verification of employment has been received by the CC, the CC must verify the
employment with the employer upon receipt of the documentation.
If the applicant has not secured employment in the chosen community, they should
continue the job search process to secure employment.
The applicant should begin the budgeting process & complete the Relocation Budget
Worksheet, AWI-WTP- 002.
The applicant should begin to secure a living space in the chosen community. If the
applicant is a domestic violence victim, they may provide information for temporary
residence in a protective shelter. Relocation applicants who are not moving due to
domestic violence must secure independent housing.
The applicant should begin to locate local support service agencies in the chosen
community. The career consultant will verify that such support services are available by
contacting the receiving community. The applicant will provide a forwarding address as
well as a contact name and phone number for follow-up purposes.
The career consultant will complete Section A of the Relocation Assistance Program
Checklist, AWI WTP-2279.
The applicant will complete the Budget Worksheet, AWI WTP-0002. The applicant is
responsible for securing documentation for any projected amounts in the budget. The
career consultant must review the budget, as well as accompanying documentation to
support the relocation budget to ensure accuracy.
Approval
1.
2.
3.
4.
5.
6.
Provide the applicant/participant with a copy of the completed and signed Relocation
Assistance Program Checklist, AWI-WTP 2279 (according to service being provided) to
place in the drop box at the local DCF office: PLEASE NOTE: DCF does not need copies
of the supporting documentation. DCF only needs a copy of the completed and signed
approval form.
Fax a copy of the appropriate approval form (completed and signed) to Mary Lints (DCF)
– fax # (561) 837-5366.
Provide the applicant with the Relocation Transfer Letter, AWI WTP-2278 to take to the
receiving community and place a copy in the hard file.
Career Consultant conducts a phone survey 30 days after the participant has relocated.
The survey is to verify the family has relocated, assess the success of the relocation and
the adequacy of services being provided in the new area. All information from the survey
must be documented in the case notes in OSST.
C. Mandatory Participant Procedures
1.
The career consultant must initiate the screening process by using the Relocation
Assistance Program Checklist, AWI WTP-2279 to determine if a situation exists that can
be resolved by relocation instead of ongoing TCA. This determination must reflect if the
relocation will enable the TCA recipient to obtain and/or retain employment. Because the
family is currently receiving TCA, the ten (10) business day time standard does not apply.
2.
The career consultant should complete Section A of the Relocation Assistance Program
Checklist, 2279 & indicate that the individual is a TCA recipient by checking OSST and
FLORIDA.
Select the Skill Development screen in OSST and enter the Relocation Assistance
service under the Service section.
4. The provider should be the career center where the relocation assistance request
originated.
5. Enter an Actual Start Date of the Relocation Service.
3.
6.
Non-Completion: If the recipient has not completed the process, or has not demonstrated a need for
relocation and the ability to sustain residence in the community of relocation.
Unless they are relocating due to domestic violence, the application should be denied &
retained in the recipient’s hard file, because they are currently receiving TCA. DCF does
not need to be notified of the denial
2. Enter an End Date of the Relocation Assistance service in OSST and the outcome.
3. Enter a detailed case note.
1.
Completion: If the recipient’s application for relocation assistance has been approved, they must
begin or complete the following:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Once the applicant has secured employment in the community (s)he wants to relocate, the
applicant must provide either the employment verification form and/or a written offer of
employment on company letterhead stating start date, salary, job title and number of weekly
hours required to work must be submitted along with a contact person and phone number.
Once verification of employment has been received by the CC, the CC must verify the
employment with the employer upon receipt of the documentation.
Begin the budgeting process & start to complete the Relocation Budget Worksheet, AWI WTP
-0002.
Ensure that the participant continues the job search process to secure employment in the
area they would like to move to.
Have the participant secure a living space in the area they are moving to. If relocating due to
domestic violence, they may not be able to secure independent housing. However, they may
provide information for temporary residence in a protective shelter or with a family member.
Locate support service agencies (transportation & child care assistance) in the area
of relocation.
The career consultant and the recipient will: determine barriers to employment, demonstrate
that relocating to the new area will increase the likelihood of obtaining employment, job
retention & self-sufficiency.
The career consultant must complete Section B of Relocation Assistance Program Checklist,
AWI
WTP-2279
Review the Relocation Budget Worksheet, AWI WTP-0002 for accuracy.
Contact the receiving community to verify the community has support services.
Approve or deny the application and indicate it on Relocation Assistance Program Checklist,
AWI WTP-2279 under section B.
Approved
1.
2.
3.
4.
5.
6.
7.
8.
Provide the applicant/participant with a copy of the completed and signed Relocation
Assistance Program Checklist, AWI-WTP 2279 (according to service being provided) &
the Relocation Budget Worksheet, AWI WTP-0002 to place in the drop box at the local
DCF office. PLEASE NOTE: DCF does not need copies of the supporting
documentation. DCF only needs a copy of the completed and signed approval form.
Retain the original documentation in the hard file.
Fax a copy of the appropriate approval forms (completed and signed) to Mary Lints (DCF)
– fax # (561) 837-5366.
Provide the applicant with the Relocation Transfer Letter, AWI WTP-2278 to take to the
receiving community and place a copy in the hard file.
Once approved, they are ineligible to reapply for TCA in Florida for 6 months after the
receipt of the payment.
Career Consultant conducts a phone survey 30 days after the participant has relocated.
The survey is to verify the family has relocated, assess the success of the relocation and
the adequacy of services being provided in the new area. All information from the survey
must be documented in the case notes in OSST.
D. Right to Withdraw
If the participant decides not to relocate, the career consultant will check the withdrawn category on
the bottom portion of Section B of Relocation Assistance Program Checklist, AWI WTP-2279 & enter
the date the participant withdrew the relocation request. The withdrawal request should be completed
prior to the relocation assistance payment being applied to the EBT card & local TANF funds being
expended by the vendors. The withdrawn paperwork must be forwarded to DCF & a copy retained in
the hard file.
E. Monitoring Relocation
The family is required to relocate within ninety (90) days of receiving the Relocation Assistance funds.
The definition of “receiving funds” is as follows:
For the purpose of amounts placed on the Electronic Benefits Transfer (EBT) card, the 90

days starts from the date the funds are applied to the card.
The career consultant is required to monitor the family’s relocation status by conducting a phone
survey 30 days after the participant has relocated. The survey is to verify the family has relocated,
assess the success of the relocation and the adequacy of services being provided in the new area. All
information from the survey must be documented in the case notes in OSST.
F. Multiple Relocation Assistance Requests



The number of times an eligible individual may apply for Relocation Assistance is limited to
once per lifetime. The actual Relocation amount may not exceed $2,500.
In a case of domestic violence, there is an exception to the once per lifetime rule.
Any Relocation service amount that exceeds the $2,500 must be submitted for Board staff
approval.
G. Relocation & Support Services



Child Care - Applicants = available for up to thirty (30) days for TCA applicants who are
requesting a diversion/relocation assistance
Child Care - Mandatory Participants = According to Florida Statute 455.021(c), individuals
who relocate are eligible for TCC. Once the individual arrives in the receiving community and
has requested services from the receiving One-Stop Career Center, (s)he may receive
support services.
Transportation, Clothing, etc - Applicants & Mandatory - should not be included as a
separate voucher but to be included as part of the participants original request on the
Relocation Budget Worksheet.
H. Relocation & Domestic Violence
The number of times a participant or family applies for Relocation Assistance is not limited. However, any
subsequent relocation application must be evaluated to determine why the previous relocation was
not successful and should be a factor in determining the appropriateness of future relocations.
Relocation may be provided to a participant that is located in a domestic violence shelter. All

efforts must be made to work in conjunction with the counselor of the domestic violence
shelter to assist the individual.
There is no Federal or State minimum required distance a relocation recipient must move

when relocating due to domestic violence.
The career consultant should contact the receiving community to verify the availability of

shelter & protection to secure an emergency plan for victims of domestic violence.
The career consultant should ensure the relocating family is not moving into a potentially

dangerous situation.
Verification that the relocating family will be able to receive supportive services assistance in

the receiving community.
Back to Main Menu
STATUS:
WTP Assessments & Development of IRP/ARP
Procedure
RELEASED
DOCUMENT NUMBER:
PO-022
ISSUE NUMBER:
02
EFFECTIVE DATE:
09/03/2008
AUTHOR NAME:
Carol McNamee
TITLE:
LAST UPDATE DATE:
2008-08-05 13:54:52
BY:
Carol McNamee
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
09/11/2007
Initial Issue
02
09/03/2008
Initial Issue
03
Initial Issue
1.0 PURPOSE:
1. To provide assistance and guidance to all Workforce Alliance staff on initiating assessments and
providing formal assessments. This is to include the development the Individual Responsibility Plan and
the Alternative Requirement Plan for all Welfare Transition Participants.
2.0 APPLICATION:
This document applies to all Workforce Alliance Staff and Career Center Staff who are responsible for
the supervision and management of the Welfare Transition Program as it relates to providing
assessments, the development of the Individual Responsibility Plan and Alternative Requirement Plan.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
ARP – Alternative Requirement Plan
AWI - Agency Workforce Innovation
CFR - Code of Federal Regulations
IRP – Individual Responsibility Plan
OSST - One Stop Service Tracking
WTP – Welfare Transition Program
Initial Assessments – the completion of all Work Registration documents at Orientation and sitting
with the participant for the first time with a career consultant.
12. Formal Assessments - provides the foundation for the development of an Individual Responsibility
Plan (IRP) and builds on information discovered in the initial assessment through assessment tools,
such as, TABE, SAGE, E-Choices etc.
13. Individual Responsibility Plan - includes linking participants with appropriate activities based on
initial and formal means of assessing participant’s skills and abilities. It also includes tracking
participant performance on an ongoing and consistent basis.
14. Alternative Requirement Plan - provides a vehicle for addressing the barriers to self-sufficiency
while the participant is deferred from the work requirements within the Welfare Transition program.
It is used for participants due to domestic violence, drug/alcohol addiction/counseling, medical
problems, mental health or other problems that prevent them from participating.
1. Florida Statute Chapter 414.065 - Non Compliance with Work Requirements and
ARPs http://www.flsenate.gov/statutes/index.cfm?
App_mode=Display_Statute&Search_String=&URL=Ch0414/SEC065.HTM&Title=>2007->Ch0414->Section%20065#0414.065
2. Interim Final Regulations http://www.floridajobs.org/workforce/WT_FedLegis.html
3. Statutory Requirements – 45 CFR Part 261.11 http://frwebgate.access.gpo.gov/cgibin/get-cfr.cgi?TITLE=45&PART=261&SECTION=11&YEAR=1999&TYPE=TEXT
7. TANF State Plan and TANF Work Verification Plan
http://www.floridajobs.org/workforce/WT_StLegis.html
8. WTP Assessment & Development of IRP/ARP Policy PO-017,
9.
10.
11.
12.
13.
14.
WTP Assessment & Development of IRP/ARP Work Instruction, PO-076,
WTP Domestic Violence Procedure, PO-042,
WTP Medical Incapacity & Deferral Policy, PO-003,
WTP Medical Incapacity & Deferral Procedure, PO-013,
WTP Medical Incapacity & Deferral Work Instruction, PO-075,
1.
2.
3.
4.
5.
Access to the OSST System
WTP-002 Alternative Requirement Plan
WTP-009 Customer Goals
WTP-010 Customer Registration/Initial Assessment form
WTP-014 Gulfstream Goodwill Industries Referral
6.0 PROCEDURE:
A. Initial assessments looks at issues related to finding employment, exploring marketable
skills, and identify needs, barriers, strengths, weaknesses, motivation/commitment levels,
work history, education, and career goals of the participant.
1.
The career consultant will initiate an assessment for every applicant that becomes eligible
for Temporary Cash Assistance (TCA) within 30 days of a ‘new case’, ‘end applicant’,
‘reopen’, ‘transfer’ and ‘status change’ alert.
2. The documentation that will initiate an assessment with a participant is the required
documents completed during the Work Registration/Orientation process. (See Section 5.0
-Materials Required above).
3. In the event that a participant does not complete an assessment for reasons beyond the
career consultant’s or participant’s control, the initial assessment
paperwork/documentation must be completed at the next appointment with assigned
career consultant.
B. Formal assessment tools – TABE, SAGE, E-Choices, etc. are used for assessing a
participant’s skills, knowledge, interests and abilities.
All formal assessments are completed for Mandatory participants only, exceptions are
those participants that are currently employed and 100% medically deferred. If referring a
mandatory participant to complete a formal assessment, the WTP-014 Gulfstream
Goodwill Industries Referral form must be utilized.
2. In the event that a participant does not complete an assessment for reasons beyond the
career consultant’s or participant’s control, assign the mandatory participant to complete a
formal assessment, depending upon their employment and medical status.
3. Participant’s in a GED activity - Prior to entry into a GED activity, the participant must
complete a state approved standardized tests, such as the Test for Adult Basic Education
(TABE). The participant will be retested no less frequently than every five months and the
scores compared and recorded in OSST as long as they remain in a GED activity.
1.
C. An Individual Requirement Plan is a contract or agreement between the participant and the
career consultant that outlines what the participant must do to secure employment or prepare
for work that will lead to self-sufficiency through required participation through the WT
Program. It should contain all the information obtained at and during the initial assessment
with the participant (needs, barriers, goals, etc.) that is mutually agreed upon and followed up
on a continuous basis between the career consultant and the participant.
At the first appointment with the mandatory participant, the career consultant will:
Update, revise or create the IRP as necessary utilizing all the assessments that
were conducted, i.e. initial assessment documentation/paperwork and formal
assessments.
b. Discuss formal assessment results with participant
c. Determine the most appropriate core/core plus activity(ies) for the participant
based upon their IRP.
d. Refer the participant to appropriate community resources as applicable.
e. Enter a short or long term employment goal.
Enter a scheduled or expected completion date of all steps to self-sufficiency,
f.
barriers and goals in the IRP.
a.
The IRP is initiated at the time of the Work Registration process that begins by having
participant’s complete the “Customer Goals” worksheet, WTP 009 (part of work
registration packet).
2. Once the participant’s case is open to TCA, the assigned career consultant will use the
“Customer Goals” worksheet as a guide to begin completing the IRP in OSST before the
participants next scheduled appointment.
1.
D. Alternative Requirement Plan should be updated & revised as necessary when
circumstances change for every deferred participant due to the following reasons: domestic
violence, medical deferrals, substance/mental heath treatment, etc. The IRP should be
updated to reflect the participant's ARP status by including steps needed to end their deferral
status.
Currently in OSST, there is not a physical place to enter an ARP, however, we capture
an ARP through the current or to be developed IRP on a participant’s case.
At any appointment with the mandatory participant, the career consultant will:
Update, revise or create the ARP as necessary utilizing all the assessments that
a.
were conducted, i.e. initial assessment documentation/paperwork and formal
assessments.
Discuss formal assessment results with participant.
b.
Determine the most appropriate core/core plus activity(ies) for the participant, if
c.
applicable, based upon their medical documentation.
Use the WTP-002 Alternative Responsibility form to capture the activities that the
d.
participant is engaged in other then core/core plus activities as indicated in the
Assessment & Development of the IRP/ARP Policy, PO-017. For example: a
Back to Main Menu
TITLE:
Legal Aid Society Referral Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-029
ISSUE NUMBER:
01
EFFECTIVE DATE:
04/09/2007
AUTHOR NAME:
Linda Karon
LAST UPDATE DATE:
2007-04-03 10:30:14
BY:
Linda Karon
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
04/09/2007
Initial Issue
1.0 PURPOSE:
1. This document provides instructions for the referral of Region 21,
Workforce Alliance, Inc., Palm Beach County, Florida, WTP Medically
Deferred SSI/SSDI applicants to the Legal Aid Society of Palm Beach
County for legal representation to obtain benefits.
2.0 APPLICATION:
1. This document applies to Region 21 DSP WTP Medical Deferral Career
Consultants and Supervisors, Workforce Alliance Medical Reviewer and
the staff and attorneys of the Legal Aid Society of Palm Beach County.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
WTP – Welfare Transition Program
SSI – Supplemental Security Income
SSDI – Social Security Disability Insurance
DSP – Direct Service Provider
SSA – Social Security Administration
LAS - Legal Aid Society of Palm Beach County, Inc.
1. Medical Incapacity and Medical Deferral Policy - PO-003:
http://sqlserver.pbcalliance.com/SOP/frmViewSopDoc.aspx?DocNo=PO003,%20Issue=01&SopFormId=58
2. Medical Incapacity & Deferral Procedure - PO-013:
1. Internet and Intranet Access
2. Quality Documentation System
Back to Main Menu
TITLE:
WTP Automobile Repairs' Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-037
ISSUE NUMBER:
01
EFFECTIVE DATE:
03/17/2009
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-10-07 08:16:14
BY:
Carol McNamee
DOCUMENT TYPE:
DOCUMENT HISTORY
EFFECTIVE
ISSUE
DATE
01
03/17/2009
PROCEDURE
To clarify eligibility criteria and extend period of
eligibility of benefits to 180 days
To clarify eligibility criteria and extend period of eligibility of
benefits to 180 days
1.0 PURPOSE:
The purpose of this document is to provide instructions for the processing of auto repair service requests
on behalf of eligible Welfare Transition Program transitional participants in Region # 21, Workforce
Alliance, Inc., Palm Beach County.
2.0 APPLICATION:
This document applies to all Workforce Alliance Staff and Center Staff who are responsible for the
supervision and management of the Welfare Transition Program as it relates to the issuance of auto repair
services.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
P.O. - Purchase Order
TANF - Temporary Assistance to Needy Families
Transitional - Employed; TANF case closed due to earned income
VIN - Vehicle Identification Number
1. Florida Statute Chapter 445.025 - Other Support Services
3eCh0445-%3eSection%20025#0445.025
1. Florida Statute Chapter 445.031 - Transitional Transportation
3eCh0445-%3eSection%20031#0445.031
->Section%20904#0559.904
1. WTP Automobile Repair Services Policy, PO-009,
2. WTP Support Services' Policy, PO-001,
2. WTP Support Services' Procedures, PO-002
3. WTP Support Services' Work Instruction, PO-077,
1.
2.
3.
4.
Access to OSST System
Access to Gazelle System
Access to Florida
UNI-017 Auto Repairs Expense Check List – available on the Forms Index
6.0 PROCEDURE:
Prior to gathering all documentation required for the auto repair expense to be approved:
a. Determine if the WTP participant meets eligibility requirements for transitional status within
the last 180 days of the mandatory case closure date. (For transitional eligibility
determination, please refer to WTP Support Services Procedure, PO-002.
b. Determine if the WTP Transitional participant is employed/maintaining employment for no
less than 30 hours weekly.
1. Career Consultant begins the process with UNI-017 Auto repair checklist located in the WTP forms
index. Each item on the checklist must be checked or enter n/a if the item is not applicable to the
participant’s request.
2. Career Consultant must establish contact with the selected vendor and explain the PO voucher
process by explaining to the vendor:
a. They are to sign off on the original PO voucher
b. Indicate the identifying vehicle ID # on the PO voucher (top left) and invoice.
c. Attach the invoice and any relevant information pertaining to the vehicle
d. Return original PO voucher to the administrative office.
e. Explain to the vendor that the payment process may take up to 30 days after receipt of
invoice and PO voucher.
3. Career Consultant then generates an auto repair Purchase Order (PO) from the Gazelle System.
The purchase order must indicate:


Automobile make, model and year
Vehicle VIN number information must be printed on the PO voucher. (See Special
Instructions Section of Gazelle PO)
Note: Workforce Alliance will not reimburse an auto repair completed without advanced approval
from the WT Program Director.
4. Career Consultant then updates then OSST information on the Skill Development screen under the
Service Plan Section.
5. The following documentation must be obtained prior to signing the PO voucher:
Back to Main Menu
TITLE:
WTP Work Registration Procedures
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-038
ISSUE NUMBER:
01
EFFECTIVE DATE:
12/10/2007
AUTHOR NAME:
Marie Monroe
LAST UPDATE DATE:
2007-12-05 09:52:58
BY:
Marie Monroe
AREA OR PROGRAM AFFECTED: Welfare Transition Program
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
02
12/10/2007
Initial Issue
Procedure Updates
1.0 PURPOSE:
1. The purpose of this document is to provide "Local Procedural Guidelines" for the
processing of the Welfare Transition program Work Registration Process either directly to
or on behalf of TANF Applicants in Region 21, Workforce Alliance, Inc., Palm Beach
County, Florida.
2.0 APPLICATION:
1. This document applies to all Workforce Alliance Staff, DSP Staff and Career Center Staff
who are responsible for the supervision and management of the Welfare Transition
Program as it relates to the Work Registration Process.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
Gazelle - System used to issue support service vouchers
UFD - Up-Front Diversion
Family Central - agency that processes the child care referrals
IRP - Individual Responsibility Plan
EFM - Employ Florida Marketplace
UI - Unemployment Insurance
DCF - Department of Children and Family Services
FLORIDA - DCF Eligibility System
1.
Florida Statutes: Chapter 414.095 Work Registration
Florida Statutes: Chapter 414.024 Work Activities
Florida Statutes: Chapter 445.025 Other Support Services,
Florida Statutes: Chapter 445.031 Transitional Transportation
1. WTP Applicant Work Registration Policy, Document # PO-046 http://sqlserver.pbcalliance.com/SOP_test/frmViewSopDoc.aspx?DocNo=PO
-046,%20Issue=01&SopFormId=113
1. WTP Support Service Procedure, Document # PO-002 -
http://sqlserver.pbcalliance.com/SOP_test/frmViewSopDoc.aspx?DocNo=PO
1. WTP Upfront Diversion Procedure, Document # PO-019 http://sqlserver.pbcalliance.com/SOP_test/frmViewSopDoc.aspx?DocNo=PO
1. Welfare Transition Upfront Diversion #AWI FG 04-113
Guidance-Up-Front Diversion
1.
WTP Relocation Assistance Policy, Document # PO-006
1. Welfare Transition Relocation Assistance #AWI FG 01-023
Guidance-Relocation Assistance
1.
WTP Work Registration Flyer
1.
2.
3.
1.
Access to the OSST System
Access to DCF FLORIDA System
Access to the Gazelle System
Communication and Work Activity Referral (CF ES 2097)
2.
Customer Work Registration forms as follows:
Opportunities and Obligations Form, AWI-0008
Workforce Alliance Complaint and Grievance Procedures Form WTP-006
Workforce Alliance Release Agreement Form WTP-021
Transitional Services Reminder AWI WTP 0010
Customer Work Registration Agreement Form WTP-011
Workforce Alliance Work Registration Requirement WTP-029
Work Registration Checklist WTP-028
WTP-015 Initial Assessment Form
WTP - 010 Customer Registration
6. Access to Employ Florida Marketplace (EFM)
6.0 PROCEDURE:
A. Department of Children and Families (DCF):
DCF Initiates the Communication and Work Activity Referral Form, CF-ES 2097, 5/2005 (See
Attachment A)
DCF will direct the applicant to report to the appropriate One Stop Career Center for orientation
as noted on Workforce Alliance Flyer (See Attachment B)
B. The Temporary Cash Assistance (TCA) Applicant:
Applicant brings form CF-ES 2097 to the specific Career Center to begin the work registration
process by attending a WTP Work Registration Orientation.
The applicant must be on time for the orientation or they will be rescheduled for another day and
time within the allowable ten(10) working days.
Unless required to work register themselves, friends or family members of the applicant are not
permitted to accompany the applicant in the WTP Work Registration Orientation.
Children are not permitted in the WTP Work Registration Orientation.
If the applicant has no options for childcare, a childcare referral for ten working days (2 Weeks)
may be issued.
The applicant will meet with WTP Center Staff to obtain the childcare referral.
WTP Center Staff will arrange an appointment with the Early Learning Coalition or its contractor
(currently Family Central) to get the childcare started.
C. The WTP Center Staff:
WTP center staff will retain the applicant's Communication and Work Activity Referral Form
until the Work Registration process has been completed.
If an applicant shows for the WTP Work Registration Orientation without the Communication
and Work Activity Referral Form, the applicant must be referred back to DCF to obtain another
form.
D. The WTP Work Registration:
The WTP Work Registration Orientation must emphasize the benefits of gainful employment
versus receiving on-going cash assistance.
During the WTP Work Registration Orientation the applicants will receive assistance with
completing the standard required forms:
Initial Assessment/Customer Registration Forms
Opportunities and Obligations Form, AWI-0008
Workforce Alliance Complaint and Grievance Procedures Form
Workforce Alliance Release Agreement Form
Transitional Services Reminder AWI-WTP 0010
Workforce Alliance Work Registration Requirement/Customer Work Registration
Agreement Forms
Once the Initial Assessment/Customer Registration form is completed, WTP Center Staff will
enter the information in the One Stop Tracking System (OSST) as an applicant.
Upon completion of all required forms, applicants will be assessed for possible Upfront Diversion
or Relocation eligibility. Refer to SOP procedures for required forms and processes.
E. Required Activities
All applicants will be assigned activities to complete over the next ten (10 ) working days from
the date of Orientation. Activities will include but are not limited to the following:
One Workshop per week
Job Search
Assessments
Initiate an Individual Responsibility Plan (IRP) or Alternative Responsibility Plan (ARP)
Self Registration in Employ Florida Marketplace
Other career center services as needed and assigned
F. Transportation Assistance may be provided as needed in the form of the following:
A one-day bus pass or $10.00 gas card
G. All required documentation for the completed activities must be returned no later than
the tenth working day from the date of WTP Work Registration Orientation. If the
applicant exceeds the tenth working day, then applicant must start over with the WTP Work
Registration process, with the exception that good cause exist.
1. Good cause exceptions are for WT applicants who are temporarily unable to complete the
Work Registration process within the ten working days due to circumstances beyond their
control. The applicant may be given up to an additional ten working day to complete the
process. These circumstances may include:
a)
b)
c)
d)
e)
f)
g)
Temporary care for a disabled family member, who resides in the WTP applicant's household
and when the need for care has been verified by a licensed physician and alternative care is
not available. Need for Care form is required.
Unexpected "Loss of Shelter" due to fire, flood, natural disaster. Supporting documentation is
required.
Eviction may also be considered; proper documentation such as an eviction notices must be
presented.
The WTP applicant was institutionalized and/or hospitalized. Example: in-patient treatment.
The WTP applicant must submit documentation.
Incarceration; supporting documentation is required.
Death of an immediate family member; parents, grandparents, legal spouse, siblings,
children. The WTP applicant must present supporting documentation such as an obituary.
The maximum time allowed under this category for good cause is three (3) days.
If the WTP applicant is unable to participate in work requirements due to domestic violence.
H. Completion of the WTP Work Registration Process:
Once the WTP Work Registration Activities have been completed, the applicant profile is
updated in OSST under Skills Development. The original Communication and Work Activity
Referral Form is signed. A copy is retained in the applicant's file.
COASTAL CAREER CENTERS: Work Activity Referral Form is signed in RED ink and
given to applicant to return to DCF. Note: It is the applicant's responsibility to ensure that the
signed Communication and Work Activity Referral for is returned to DCF.
WEST CAREER CENTER: Work Activity Referral Form is signed and faxed/scanned directly
to DCF.
I. WTP Applicants to WTP Mandatory Participants:
The WTP Unit (career center) waits for the new or reopen case alert for the mandatory
participant. Upon receipt of the alert from DCF, the WTP Career Consultant will schedule an
appointment for the participant to be assigned an appropriate countable activity.
J. If the applicant does not complete the eligibility requirements by DCF or is determined
ineligible
1. Allow 30 days after from the date of the completion of Welfare Transition Orientation and we
have not received notice from the DCF. Review DCF mainframe screens IQAA, CLRC and in
OSST case note the applicant's record of the outcome of the case.
2. Review and close all activities and support services.
3. Close the applicant case in OSST.
4. The DSP can shred the Work Registration paperwork.
Back to Main Menu
TITLE:
WTP Work Penalties & Pre-Penalty Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-039
ISSUE NUMBER:
01
EFFECTIVE DATE:
07/28/2008
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-06-24 14:25:18
BY:
Carol McNamee
AREA OR PROGRAM AFFECTED: Welfare Transition Program
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
07/28/2008
Initial Issue
1.0 PURPOSE:
The purpose of this document is to provide "Local Procedure Guidelines" for the internal adoption,
operations and management of the WTP Work Penalties & Pre-Penalty Counseling procedures as it
pertains to Welfare Transition Program participants in Region #21, Workforce Alliance, Inc., Palm Beach
County, Florida.
2.0 APPLICATION:
supervision and management of the Welfare Transition Program as it relates to Work Penalties and PrePenalty Counseling procedures.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
AICI – Address screen in FLORIDA – DCF system
ARP - Alternative Responsibility Plan
CC – Career Consultant
DCF - Department of Children and Families
FLORIDA - Department of Children Eligibility computer system
OSST- One Stop Service Tracking System
1. AWI Final Guidance – Domestic Violence,
http://www.floridajobs.org/pdg/guidancepapers/026 Domestic Violence.rtf
2. AWI Final Guidance – Transitional Child Care,
http://www.floridajobs.org/pdg/guidancepapers/020transitionalchildcare.rtf
3. AWI Final Guidance - Work Penalty and Pre-Penalty Counseling,
http://www.floridajobs.org/pdg/guidancepapers/037wrkpenaltyprepenaltywtrev012104.rtf
6. WTP Assessment & Development of IRP/ARP Policy, PO-017,
7. WTP Assessment & Development of IRP/ARP Procedure, PO-022,
8. WTP Assessment & Development of IRP/ARP Work Instructions, PO-076,
9. WTP Domestic Violence Policy PO-041,
10. WTP Medical Incapacity and Deferral Policy, PO-003,
11. WTP Medical Incapacity and Deferral Procedure PO-013,
12. WTP Work Penalty and Pre-Penalty Policy, PO-036,
1. Access to OSST
3. WTP-020 Pre-Penalty Post Sanction Counseling Checklist – available on the Forms Index
6.0 PROCEDURE:
A.
If a participant is non-compliant with a work requirement, the Individual Responsibility
Plan and/or the Alternative Responsibility Plan:
1.
2.
3.
4.
5.
6.
7.
8.
B.
Initiate the Notice of Failure to Participate and Possible Sanction, form AWI WTP 2290 to
the participant within two working days after the first failure.
Select the Alternative Plan hyperlink in OSST and under the sanction section, select the add
tab and the Pre-penalty screen will appear.
Enter a brief statement explaining the failed requirement and the actual date of failure in the
"failed to" field.
Enter the date the participant failed.
Once completed, OSST automatically generates a Notice of Failure to Participate and
Possible Sanction. form, AWI WTP 2290.
Print two copies of the Notice of Failure to Participate and Possible Sanction form, AWI
WTP 2290.
Mail the Notice of Failure to Participate and Possible Sanction form, AWI WTP 2290 to the
participant within two working days after the first failure and maintain a copy in the hard
file.
Attempt verbal contact via phone and document the results of such attempt in the case
notes in OSST. If the participant does not have a phone, or the number is disconnected,
document in the case notes that an attempt was made.
If the verbal attempt to contact the participant is not successful, allow the participant

10 calendar days after the "date mailed" on the 2290 to respond with a reason for
non-compliance. Staff should create a "case to do alert" to signify the end of the ten
(10) day pre-penalty process.
If the verbal attempt to contact the participant is successful, advise the participant

that a 2290 is in the process of being mailed due to failure to comply with work
activities.
If the verbal contact is successful and/or the participant responds prior to the 10 calendar
days ending:
Provide the Pre-Penalty Post Sanction Counseling checklist, WTP-020 and discuss each
item with the participant.
2. Determine if "Good Cause" exists for the failure; clearly document the Good Cause in OSST
case notes. (For specific examples of Good Cause reasons refer to WTP Work Penalties and
Pre-penalty Counseling Policy, PO-036.
1.
3.
4.
5.
Place any supporting documentation in the hard file.
Assign the participant to an activity or other work requirement 35+ hours a week.
Update the IRP/ARP accordingly with any changes to the goals, steps to self sufficiency and
program requirements
If good cause is determined:
Select the Pre-Penalty Counseling hyperlink on the Alternative Plan screen in OSST.
The hyperlink changes to the ‘Edit Pre-penalty Counseling’ screen.
Select "Provided Good Cause" and enter the reason.
The end date should be the same as the failure date.
Enter a detailed case note indicating that good cause was provided and the reason it was
provided.
6. Assign the participant to an activity or other work requirement 35+ hours a week.
7. Update the IRP/ARP accordingly with any changes to the goals, steps to self sufficiency and
1.
2.
3.
4.
5.
If good cause is not determined but the participant agrees to demonstrate satisfactory
compliance:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Provide the Pre-penalty and Post Sanction counseling checklist, WTP-020 and discuss each
item with the participant.
Determine the services the participant may need that would assist s(he) in becoming
compliant.
Select “Complied” and enter the reason.
The end date should be the date the participant agreed to comply.
Enter a detailed case note of the steps taken during counseling.
NOTE: During the counseling session, the participant must be informed that a sanction will be
requested if they are non-compliant again, without good cause, within 30 calendar days of their first
failure.
C.
If the participant does not respond to the Notice of Failure to Participate and Possible
Sanction, AWI WTP 2290 after allowing 10 calendar days:
1.
2.
3.
4.
5.
6.
7.
A sanction must be requested after allowing the 10 calendar days for the participant to
respond.
Select “Request Penalty” and enter the reason.
The request date is the date the sanction is being requested.
Request the appropriate level penalty based on non-compliance history in the Alternative
Plan screen.
Review Alternative Plan screen for previous sanctions by selecting the “show all”

tab.
Determine the latest sanction level

Review if the latest sanction was lifted with ‘complied’ within the past six (6) months.

 If yes, request the next level sanction
 If no, request a level (1) sanction

If the latest sanction (regardless of level) was lifted with ‘good cause’ within the past
six (6) months, the sanction is voided as if it never happened and a level one (1)
must be requested.
Completing these steps will automatically generate a Notice of Failure to Demonstrate
Satisfactory Compliance form, AWI WTP 2292.
8.
Mail the Notice of Failure to Demonstrate Satisfactory Compliance, AWI WTP 2292 to the
participant and retain a copy in the hard file.
9. Enter a detailed case note as to why the sanction was requested.
D.
Failure to Demonstrate Satisfactory Compliance
Demonstrating satisfactory compliance is defined as having no more than one failure without good
cause within a 30 calendar day period. It is extremely important that sanctions are not imposed if the
participant has good cause, or demonstrates satisfactory compliance.
If there is a second failure within the 30 day compliance period:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
E.
If the participant is non-compliant again within 30 calendar days of the first failure, allow
three working days after the date of the second failure for the participant to report good
cause.
Set a future case alert or “To Do” in OSST for three working days after the failure to be
reminded of the impending sanction request.
Document the second failure and date of the second failure in OSST in the alternative plan
screen.
If good cause is reported, update the case notes in OSST, and do not request a sanction
(see section B above).
If good cause is not reported within the three working days, a sanction must be requested in
OSST under the Alternative Plan screen.
The request date is the date the sanction is being requested.
Select the Request Penalty hyperlink; the hyperlink changes to the Penalty Request
Information screen.
Request “Request Penalty” and the appropriate level penalty based on non-compliance
history in the Alternative Plan screen.
Review Alternative Plan screen for previous sanctions by selecting the “show all”

tab.
Determine the latest sanction level

Review if the latest sanction was lifted with ‘complied’ within the past six (6) months.

 If yes, request the next level sanction
 If no, request a level (1) sanction
If the latest sanction (regardless of level) was lifted with ‘good cause’ within the past

six (6) months, the sanction is voided as if it never happened and a level one (1)
must be requested.
Enter the date the participant failed.
Completing this procedure will automatically generate a Notice of Failure to Demonstrate
Satisfactory Compliance form, AWI WTP 2292,
Mail the Notice of Failure to Demonstrate Satisfactory Compliance, AWI WTP 2292 to the
participant and retain a copy in the hard file.
Enter a detailed case note as to why the sanction was requested.
If the participant has obtained employment and this is a level one sanction request:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Advise the participant that they must contact the Department of Children and Families to
report their employment.
The CC must verify the employment and enter the information on the Skills Development
screen in OSST.
Select the Pre-penalty counseling hyperlink on the Alternative Plan screen in OSST
The hyperlink changes to the ‘Edit the Sanction’
End the penalty by selecting “compliance”
The lift date or end date is the date the participant agreed to comply with assignment or
work requirement.
Enter a detailed case note indicating the reason for the sanction lift, information on the
employment and how the employment was verified.
10. If the participant does not have another failure without good cause within 30 calendar days
from the date of the first failure, the sanction process ends.
F.
Sanctions and Transitional Benefits
According to Florida Statute Chapter 445.032, former TCA recipients who leave cash assistance and
have earned income due to employment may receive TCC to support job retention. . The participant
must have secured employment prior to case closure by DCF. The participant’s case should
have closed with earned income in conjunction with one of the following reasons:
1.
2.
3.
4.
5.
The earned income was budgeted by DCF, and the amount of earned income terminated
recurring TCA;
The participant requested and received Cash Assistance Severance Benefit;
The participant “opted not to receive cash assistance”;
The participant’s TCA time limit expired; or
The participant began to receive or there was an increase in child support payments.
This does not mean that the TCA case must be closed in the FLORIDA system with a specific reason
code it only means the case closes for one of the above reasons and employment began prior to the
TCA case being closed. The case must have closed for a reason other than a sanction. If the
participant’s case is terminated by DCF, and the participant subsequently reports employment that
started prior to case closure, the participant may be able to receive TCC. These situations should be
reviewed on a case-by-case basis.

Sanctioned participants are not eligible for transitional benefits such as transportation,
education and training, or childcare during the sanction period.
If a participant had a work sanction lifted, does not return to assistance and subsequently obtains or
provides documentation of employment, s(he) should be provided with referrals to agencies for
community assistance, including but not limited to the local (Palm Beach County) Early Learning
Coalition’s provider.
If the participant’s TCA did not terminate for one of the above reasons in conjunction with securing
employment, s(he) is not eligible for transitional benefits and services, including a referral for TCC.
G.
Protective Payee
If a sanctioned participant of the WT program has secured a protective payee to receive cash
assistance for the family’s children and subsequently obtained employment, (s)he is not eligible for
TCC. If the sanctioned participant reports the employment to the CC, (s)he should be advised to
comply to lift the sanction. Individuals under a level two or three sanction must serve the penalty
period prior to complying to lift the sanction, as well as receiving support services to comply to lift the
sanction.
H.
Fair Hearings
In the event of a Fair Hearing, the Hearing Officer may request specific information that is provided
on the Notice of Failure to Participate and Possible Sanction (AWI WTP 2290) and the Failure to
Demonstrate Satisfactory Compliance (AWI WTP 2292) forms. The documentation is for the hearing
officer to:





Ensure that the participant was given the correct information regarding the counseling time
period.
Advised of the failure, date of failure and the right to provide good cause.
Contains the participant’s mailing address.
Contains the contact information for the Career Consultant.
Identifies and explains the sanction level.
Preparing for a Fair Hearing:
1.
Select the case notes hyperlink.
2.
3.
Print any and all case notes that lead up to the reason why the hearing was requested.
Print the system generated case note (labeled as ‘S’) of when the 2290 and/or the 2292 was
entered on the Alternative Plan screen. The system note will give the participant’s address
that is on the Case at a Glance screen as provided by the FLORIDA system, the user signed
-in to OSST and the primary unit (Center Location). The system note will also provide the
date and time the system generated the alert.
NOTE: When generating any Pre-Penalty (2290) or Sanction forms (2292), the address on the forms
for the participant is the address that is displayed from the Case-at-a-Glance screen in OSST. This
address is a reflection as to what is displayed and reported to DCF by the participant on the AICI
screen in FLORIDA. In the event that a participant has a temporary address or has notified DCF of a
change in address, the address must be captured by selecting the “Edit” tab on the Case-at-a-glance
screen under the Primary Contact Information section.
Therefore, when generating these forms, it’s important to determine if there is another address for
the participant other than what is displayed when pulling up the case in OSST. If there are two
different addresses as indicated on the Case-at-a-glance and when the “Edit Tab’ is selected under
the Primary Contact Information section on the Case-at-a-glance screen, mail the generated form to
both addresses to ensure that the participant is in the process of being sanctioned.
I.
Saving the Generated Forms:
All information must be retained according to law and guidance and subject to confidentiality laws.
Workforce Alliance, Region #21 has opted to print the system notes and detailed personal case
notes for the purpose of Fair Hearings to demonstrate the date, time and forms that were printed and
provided to the participant (by mail, hand delivery, etc). All documentation and case information is
subject to the rules of retaining case files.
7.0 FLOWCHARTS:
N/A
Attachment Files:
View File Attachment: WT_SancFlowChart061406_070306.ppt, WT_SancFlowChart 061406
SIGNATURE PAGE
DOCUMENT APPROVALS
NAME
TITLE
SIGNATURE
DATE APPROVED
Carol McNamee
Author
Carol McNamee
06/24/08
Maryann Garrett
Reviewer
Maryann Garrett
06/24/08
Don Scantlan
Administrator
Don Scantlan
06/25/08
Elena Polanco
Approver 1
Elena Polanco
06/25/08
Marta Roque
Approver 2
Marta Roque
06/26/08
Maria Bobst
Approver 3
Maria Bobst
07/02/08
Reggie OConnor
NAME
Kathryn Schmidt
Approver 4
TITLE
Reggie OConnor
FINAL APPROVAL
SIGNATURE
President/CEO
Kathryn Schmidt
07/03/08
DATE APPROVED
07/28/08
Back to Main Menu
TITLE:
WTP Domestic Violence Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-042
ISSUE NUMBER:
01
EFFECTIVE DATE:
10/20/2008
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-10-03 11:24:01
BY:
Carol McNamee
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
10/20/2008
Initial Issue
1.0 PURPOSE:
The purpose of this document is to provide a procedure for the case management of
a participant who may or may not be able to participate in required work activities due to domestic
violence.
2.0 APPLICATION:
1. This document applies to all Workforce Alliance Staff who are responsible for the
supervision and management of the Welfare Transition Program as it relates
to providing assistance to participants who are victims of domestic violence.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
ARP - Alternative Requirement Plan
Domestic Violence - any assault, aggravated assault, aggravated battery, sexual assault, stalking,
aggravated stalking, kidnapping, false imprisonment, or any criminal offense that results in the
physical injury or death of one family or household member by another.
DV - Domestic Violence
FLORIDA - Florida Online Recipient Integrated Data Access (DCF system)
OSST - One Stop Tracking System
TANF – Temporary Assistance for Needy Families
TCA – Temporary Cash Assistance
Transitional - Employed; case is closed due to earned income
1. AWI Final Guidance - Domestic Violence, http://www.floridajobs.org/pdg/guidancepapers/026
2.
3.
4.
5.
6.
Domestic Violence.rtf
Florida Coalition Against Domestic Violence, http://www.fcadv.org/
Florida Statute Chapter 414.0252 (4), http://www.flsenate.gov/statutes/index.cfm?
3eCh0414-%3eSection%200252#0414.0252
Florida Statute Chapter 414.065 (4) (b) and (c), http://www.flsenate.gov/statutes/index.cfm?
3eCh0414-%3eSection%20065#0414.065
Florida Statute - 414.095 (9)(g) and (14)(d), http://www.flsenate.gov/statutes/index.cfm?
3eCh0414-%3eSection%20095#0414.095
Florida Statute - 414.157, http://www.flsenate.gov/statutes/index.cfm?
3eCh0414-%3eSection%20157#0414.157
7. Florida Statute Chapter 445.006 (6)(a)(5), http://www.flsenate.gov/statutes/index.cfm?
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
3eCh0445-%3eSection%20006#0445.006
Florida Statute - 445.021, http://www.flsenate.gov/statutes/index.cfm?
3eCh0445-%3eSection%20021#0445.021
Personal Responsibility and Work Opportunity Reconciliation Act of 1996 - Section 402 (a)(7),
http://wdr.doleta.gov/readroom/legislation/pdf/104-193.pdf
WTP Assessments & Development of the IRP/ARP Procedure, PO-022,
WTP Hardship Extension Procedure, PO-012,
WTP Medical Incapacity and Deferrals Procedure, PO-013,
WTP Medical Incapacity and Deferrals Work Instruction, PO-075,
WTP Relocation Assistance Procedure, PO-020,
WTP Support Services Procedure, PO-002,
1. Access to OSST
3. WTP-002 Alternative Requirement Plan
6.0 PROCEDURE:
A. Identification and/or Disclosure of Domestic Violence
Once a participant has disclosed that they are or have been a victim of domestic violence or that there is
evidence to suggest that there is a presence of domestic violence at any point in time (i.e. during WTP
orientation, workshops, one-on-one appointment, group appointments, etc) while they are an applicant,
mandatory or transitional participant, the career consultant will need to address and inform the individual
(s) of the following items:
1.
2.
Assure the participant(s) that any information disclosed will remain confidential.
When a DV case file is not under the direct control of staff, the case file will be secured in a
separate locked file cabinet within each career center's locked file room.
3. Develop an IRP or ARP that includes a safety plan.
4.
5.
6.
7.
8.
Information on local Domestic Violence Shelters
Information regarding counseling services or any other resources
Information on the local Florida Coalition Against Domestic Violence telephone number
Information on Relocation Services & Up Front Diversion
Information on assessments and referrals to support services
Note: Participants are encouraged to voluntarily disclose domestic violence information, but cannot be
forced to disclose or accept services. CC's who have not been trained in Domestic Violence should not
attempt to counsel victims.
B. Confidentiality
Batterers use a wide variety of information and methods to locate their current or former partners,
therefore participant information must be protected.
a. All information must be kept in a designated location in a separate designated file and not
included in the participant's hard copy case file. Information includes, but is not limited to,
current addresses, phone numbers, training sites, job placement sites, employment
addresses, health providers, children's schools, next appointment date and time to see their
assigned CC, etc.
b. Confidential settings (separate room) should be used to provide privacy during screenings,
interviews, and referrals to appropriate services.
1. Domestic Violence is confidential whether the information is provided by the victim or by a third
party.
2. In the event the CC is contacted to release any information pertaining to the participant, please
refer all questions to the WTP Program Director at Workforce Alliance.
Note: The absence or proof of "official" verification that a participant is a victim of domestic violence,
such as police intervention or protection orders, shall in no way indicate the absence of violence or the
lack of credibility of the participant. An attestation by the participant is sufficient.
C. Determination of Deferment and Possible Work Activities:
1. There are some domestic violence victims that are able to continue in assigned work
activities with few, if any, restrictions or need for special services. Therefore, the CC and the
participant will develop an IRP to assist the individual toward self-sufficiency and assign
them to the most appropriate core/core plus activity(ies) 35+ hours a week.
2. In the event that the victim is not able to participate in required work activities due to physical
or mental impairments related to the abuse, the CC will:
a. Utilize the WTP-002 Alternative Requirement Plan form that serves as a time sheet to
capture the activities the participant may be participating in at a community shelter,
facility, etc.
b. Defer the participant for domestic violence in OSST under the Alternative Plan screen.
c. Develop an ARP with the participant or work in conjunction with a counselor from a
shelter, facility, etc. The following activities may be incorporated as elements of the
ARP:
i. Work with Domestic Violence advocate/counselor
ii. Participate in peer support groups
iii. Apply for an injunction for protection or other legal assistance
iv. Participate in case management activities at a victim services agency
v. Attempt temporary or permanent relocation
vi. Participate in parenting classes, life skills training, stress management, etc.
vii. Participate in mental health counseling.
Note: Currently in OSST, there is not a physical place to enter an ARP, however, we
capture an ARP through the current or to be developed IRP on a participant’s case.
D. Support Services
1. Support Services for participants who are able to participate in activities on a partial or full time
basis.
Transportation - Gas Cards:
Transportation - Bus Passes
1-10 hours/week - $10 gas card
1-10 hours/week - 2 days bus
pass
11-20 hours/week - 1 month bus
pass
21-34 hours/week - 1 month bus
pass
35+ hours/week - $25 gas card
35+ hours/week - 1 month bus
pass
Child Care Referral:
Partially deferred - a minimum of 20 hours/week child care
2. Support Services for participants who are 100% deferred.
Support services may be provided if there is a proven emergency and the participant is
working with an advocate or agency. However, each situation would need to be
reviewed on a case by case basis. The final approval to provide support services in
these cases would rest with the WTP supervisor. If approved, the support services
mentioned above would apply.
E. Relocation Assistance
• Relocation may be provided to a participant that is located in a domestic violence shelter. All efforts
must be made to work in conjunction with the counselor of the domestic violence shelter to assist
the individual.
• There is no Federal or State minimum required distance a relocation recipient must move when
relocating due to domestic violence.
• The career consultant should contact the receiving community to verify the availability of shelter &
protection to secure an emergency plan for victims of domestic violence.
• The career consultant should ensure the relocating family is not moving into a potentially dangerous
situation
• Verification that the relocating family will be able to receive supportive services assistance in the
receiving community.
Note: Refer to WTP Relocation Assistance Procedure, PO-020 on how to process relocation
assistance.
F. Sanctions
Victims of Domestic Violence are subject to pre-penalties and/or sanctions if they fail to follow their
ARP and/or work activity requirements and did not provide good cause reasons.
G. Hardships
Victims may be granted a hardship extension if the effects of domestic violence delay, interrupt, or
adversely affect the individual's participation in the WT program and ability to achieve selfsufficiency.
H. Additional Information
• Florida Domestic Violence Hotline = 1-800-500-1119
• Florida Domestic Violence Hotline TTY Number = 1-800-621-4202
• Florida Coalition Against Domestic Violence Web Site = http://www.fcadv.org/
Back to Main Menu
TITLE:
WTP Child Care Services Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-043
ISSUE NUMBER:
01
EFFECTIVE DATE:
09/11/2007
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2007-07-12 10:15:53
BY:
Carol McNamee
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
02
09/11/2007
Initial Issue
Initial Issue
1.0 PURPOSE:
To provide guidance to staff on the issuance of Child Care and Transitional Child Care to participants of
the Welfare Transition Program (WTP). Child Care shall be provided, if resources permit, to assist
participants in satisfying their work activity requirements or alternative requirement plans. It may be
available to applicants, mandatory and transitional participants based upon availability.
PARTICIPANT
PURPOSE
SUPPORT SERVICE-Child Care
WTP Applicants
For those applicants
attending the WTP Work
Registration &
Orientation.
If requested: Child Care: 10 business days childcare
referral
WTP Mandatory
Participants
For individuals who are
participating in an
assigned activity
Sanctioned Participants (Level 1): If requested, 10
business days childcare referral.
Sanctioned Participants (Level 2,3): are not eligible
for child care during their penalty period
WTP Transitional
Participants
For those that are working
and the case closes from
TANF for over-income
due to employment, or
Cash Severance
Relocation
Participants
For those participants
who are approved for
relocation assistance
Up-Front
Diversion
Participants
For the participant who
have been approved for
up-front diversion & is
currently employed or
seeking employment
For the participants that are no longer employed,
child care services are only available for 30 calendar
days of notification to assigned career consultant.
The codes in FLORIDA for earned income and cash
severance are: 241, 242, 491, 492, 210; subject to
income eligibility which is less than 200% of the
current year federal poverty guidelines.
See WTP SOP Relocation Assistance Policy &
Procedure
A 30 calendar day child care referral may be
provided from the date the applicant is eligible for
Up-Front Diversion
See WTP SOP Up-Front Diversion Policy &
Procedure for additional information
2.0 APPLICATION:
This document applies to all Workforce Alliance Staff, Direct Service Provider Staff and Career Center
Staff who are responsible for the supervision and management of the Welfare Transition Program as it
relates to the issuance of child care support services of the Welfare Transition Program.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
UFD - Up Front Diversion
AWI - Agency for Workforce Innovation
DCF - Department of Children and Family
Mandatory - TANF case open; receving TCA
Transitional - Employed; case is closed due to earned income
F.S. - Florida Statute
4C Agency - Family Central
Final Guidance - Transitional Child Care, June 2004
http://www.floridajobs.org/pdg/guidancepapers/020transitionalchildcare.rtf
Florida Statute 402.301
http://www.flsenate.gov/statutes/index.cfmApp_mode=Display_Statute&Search_String=&URL=Ch0402/SEC30
->2005->Ch0402->Section%20301#0402.301
http://www.flsenate.gov/statutes/index.cfmApp_mode=Display_Statute&Search_String=&URL=Ch0445/SEC023
->2005->Ch0445->Section%20023#0445.023
http://www.flsenate.gov/statutes/index.cfmApp_mode=Display_Statute&Search_String=&URL=Ch0445/SEC032.HTM&T
->2005->Ch0445->Section%20032#0445.032
AWI PowerPoint Presentation Post-Employment Support Services (see attachment)
SAMPLE - Child Care Authorization Referral (see attachment)
SAMPLE - Notice of Change in Child Care Status Form (see attachment)
1.
2.
3.
4.
Child Care Application and Authorization, Form AWI 5002 - available on the Forms Index
Notice of Change in Child Care Status, Form AWI 5235 - available on the Forms Index
Access to OSST
Access to FLORIDA
6.0 PROCEDURE:
A. Applicant & Mandatory Child Care Eligibility
• Applicants - Individuals that are participating in the 10 day WTP work
registration/orientation process that have
the required DCF Work Activity Overview Referral Form-CF 2097
• Mandatory - TCA recipients who are participating in an assigned activity.
Note: Available for children under the age of 13 meeting the criteria established in section
402.3015, F. S
B. Transitional Child Care Eligibility
The participant must have secured employment prior to case closure by DCF. The participant's
case should
have closed with earned income in conjunction with one of the following reasons:
- Individuals that are working and the case closes from TANF for over-income due
to employment
- Individuals that received Relocation Assistance or Cash Severance
- Individuals that are no longer employed that are seeking employment
- Individuals that were applicants of TCA who have been redirected from cash assistance
through Up-Front
Diversion
- Individuals whose TCA time limit expired
- Individuals that began to receive or there was an increase in child support
payments.
I
This does not mean that the TCA case must be closed in the FLORIDA system with a specific
reason code; it only
means the case closes for one of the above reasons and employment began prior to the TCA case
being closed.
The case must have closed for a reason other than a sanction.
Individuals who are receiving TCC, should be required, at minimum, to provide documentation of
continued
employment at the job follow-up intervals (30, 60, 90, 180 days) provided in OSST and for an
additional year and a
half while they are receiving child care, for a total of 2 years.
Note: Available for children under the age of 13 meeting the criteria established in section
402.3015, F. S
C. Child Care Authorizations/Referrals
 DSP's authorize child care and make referrals to Family Central.
 Be authorized for the number of hours assigned to the work, or other activity, including
reasonable transportation time to and from the child care provider.

Initial authorization should be for 10 business days for applicants. Mandatory participants
receive a 3-month child care authorization; transitional participants receive a 6-month child
care authorization and subsequent authorizations should be for six-month intervals up to two
years within income eligibility guidelines.

All authorizations/updates should be made using the Child Care Application and
Authorization, Form AWI 5002. (see Sample form in the attachment on how to complete the
authorization form).
 Updates also should be provided to families, child care providers, and other affected parties
using the Notice of Change in Child Care Status, Form AWI-5235. (see Sample form in the
attachment on how to complete the change in child care status form).
 Child care providers may be contacted by the DSP or Family Central
Note: WT participants are not guaranteed or entitled to child care and may not be sanctioned for non
-compliance
if child care is not available, but they will continue to be subject to time limitations.
D. Tracking Child Care & Notice of Change in Child Care Status
Once the participant has received an on-going child care referral, (s)he must provide proof of
continued eligibility.
Applicants = Attendance at the WTP Work Registration/Orientation
Mandatory = Completing 30+ hours of participation in an assigned activity
Transitional = Pay stubs on a monthly basis or Job Search forms on a two-week basis (for those
that lost
employment, see Section E.)
Notice of Change in Child Care Status
If the individual fails to attend WTP Orientation, appointments, provide documentation, verify
continued employment, complete 30+ hours a week, etc. the referral should be terminated utilizing
the Notice of Change in Child Care Status, AWI 5235 & distributed to both Family Central and the
participant.
If the participant has demonstrated compliance or good cause before the Notice of Change in Child
Care Status form has been distributed to Family Central for termination, the form may be voided.
To void the form, indicate 'void' on the original form in the hard file and reopen the participant's child
care. Enter a case note as to the reason for voiding the form and the compliance/good cause
reason.
E. Limitations & Loss of Employment for Transitional Participants
Participants receiving TCC may lose employment for various reasons. If the participant loses
employment, (s)he may continue to receive TCC for up to 30 calendar days to complete job search
activities. The 30 calendar days begins the date the DSP was informed of the participant's loss of
employment via DCF or the participant. Good cause reasons for loss of employment include:
1.
2.
3.
4.
5.
6.
7.
Position ends (i.e. job layoffs, business closure)
Job requirements are illegal or against moral or religious beliefs of the participant
Working conditions or job duties may be harmful to physical or mental health
Sexual or racial discrimination or harassment on the job.
Change in job requirements for which participants aren’t qualified
Change in hours or locations that aren’t feasible due to childcare or transportation
arrangements.
Family or health problems requiring an extensive time off, which the parent is unable to
arrange with the employer
F. Data Entry Requirements in OSST
WT Applicants, Mandatory or Transitional Participants – Child Care Support Services
1. Select "add" on the Skill Development screen under “Service” in OSST.
2. The provider for child care support services must be the 4C Agency (Family Central) that is
providing the service located in the area of the career center.
3. For Applicant and Mandatory, select the service "Welfare Transition Child Care." For Transitional
customers, select the service, "Transitional Child Care."
4. The “Service Recipients in House” section needs to be checked to indicate which child(ren) will be
receiving child care services. If the child is over 13 years of age, a prompt will display indicating
that the child(ren) is not eligible to receive child care. If a child's name is not displayed and they
are currently in the household, (verify with DCF first), then the child will need to be added to the
participant's case on the "case at a glance" screen in OSST.
5. The actual start date is the first date the participant was issued the child care referral form.
• The anticipated end dates for child care are:
◦ Applicants = 10 business days for child care referral.
◦ Mandatory = 3 months after the start date.
◦ Transitional = 6 months after the start date
6. Once saved, OSST will generate the Child Care Application and Authorization Form (AWI 5002) for
completion.
7. To terminate or update a child care service: enter the reason for service outcome, a detailed reason
and the date
the notice-date in child care status changed. Once saved, OSST will generate the Notice of Change
in Child Care
Status Form (AWI 5235) for completion.
8. If for some reason any of the above mentioned forms are not generated in OSST, select the
"Searches" hyperlink
and pull up your participant by selecting "Participant Search." Once the participant name is
displayed, select
the drop down box next to "mail merge options" that will display all OSST letters/forms that are
generated by the
system. Select the form you would like to complete and choose the first button next to where it
states "have the
server provide a mail merge document" and select continue. This will now pull the form that was to
be generated
along with all of the participant's information.
7.0 FLOWCHARTS:
N/A
Attachment Files:
View File Attachment: PostEmploymentSupportServ050905.ppt, AWI PowerPoint
Presentation Post-Employment Support Services Spring 2005
View File Attachment: SAMPLE Child Care Authorization.rtf, SAMPLE - Child Care
Authorization Form
View File Attachment: SAMPLE Notice of Change in Child Care Status.rtf, SAMPLE - Notice of
Change in Child Care Status Form
SIGNATURE PAGE
DOCUMENT APPROVALS
NAME
TITLE
SIGNATURE
DATE APPROVED
Carol McNamee
Author
Carol McNamee
07/12/07
Marie Monroe
Reviewer
Marie Monroe
07/17/07
Don Scantlan
Administrator
Don Scantlan
07/17/07
Sandy Simmons
Approver 1
Sandy Simmons
09/11/07
Maryann Garrett
Approver 2
Maryann Garrett
09/11/07
Ike Powell III
Approver 3
Ike Powell III
09/11/07
NAME
Kathryn Schmidt
FINAL APPROVAL
TITLE
SIGNATURE
President/CEO
Kathryn Schmidt
DATE APPROVED
09/11/07
Back to Main Menu
TITLE:
WTP Cash Assistance Severance Benefit Procedure
STATUS:
RELEASED
DOCUMENT NUMBER:
PO-045
ISSUE NUMBER:
01
EFFECTIVE DATE:
09/03/2008
AUTHOR NAME:
Carol McNamee
LAST UPDATE DATE:
2008-08-13 09:25:22
BY:
Carol McNamee
DOCUMENT TYPE:
PROCEDURE
Initial Issue
DOCUMENT HISTORY
01
09/03/2008
Initial Issue
1.0 PURPOSE:
To provide employed recipients the option of choosing a one-time lump sum payment of $1,000 in lieu of
ongoing cash assistance payments. The Cash Assistance Severance Benefit is an alternative to receiving
TCA if a participant is working and has reported earned income.
2.0 APPLICATION:
supervision and management of the Welfare Transition Program as it relates to the processing of the Cash
Assistance Severance Benefit.
3.0 DEFINITIONS:
1.
2.
3.
4.
5.
1.
6.
7.
8.
9.
10.
11.
12.
CC-Career Consultant
CLRC - case notes section in the FLORIDA DCF system
FLORIDA - DCF system
RWB - Regional Workforce Board
1. AWI Final Guidance, WTP Cash Assistance Severance Benefit
http://www.floridajobs.org/pdg/guidancepapers/024%
20CashAssistanceSeveranceBenefWTPrev012104.rtf
2. Florida Statute Chapter 445.026 http://www.flsenate.gov/statutes/index.cfm?
->Section%20026#0445.026
3. WTP Cash Assistance Severance Benefit Policy PO-062
1.
AWI WTP 2286 Cash Assistance Severance Benefit
2.
AWI WTP 0001 Diversion Services Emergency Criteria
3.
AWI WTP 0008 Opportunities & Obligations
All forms listed above are available via the Forms Index
6.0 PROCEDURE:
A. Eligibility Requirements:
An individual may choose to receive a one-time lump-sum payment of $1000 in lieu of ongoing
cash assistance payments provided the individual meets the following criteria:







Is employed and receiving earnings
Has submitted documentation and earnings verification to the Department of Children
and Families, which when budgeted, is not enough income to close the TCA
Has received cash assistance for at least six consecutive months in the state of Florida
since 10/1/96
Expects to remain employed for at least six months
Chooses to receive a one-time lump-sum payment instead of ongoing monthly TCA
Provides employment and earnings information to the center staff, so that the family’s
eligibility for severance benefits can be evaluated; and
Signs an agreement not to apply for or accept temporary cash assistance for six months
after the receipt of the one-time payment unless an acceptable emergency is
demonstrated to the center staff..
Note: Sanctioned individuals, who become employed, who comply to have the sanction lifted and are
ineligible for on-going cash assistance due to their earned income, are not eligible for the
cash severance payment.
B. Processing Cash Assistance Severance Payment
The participant reports employment to DCF and provides documentation to determine if
TCA will be approved as “on-going”.
2. The participant provides the career consultant with the employment/earnings
documentation to verify that (s)he is employed and is potentially eligible for the Cash
Assistance Severance Benefit.
The AFEI screen in the FLORIDA system verifies that the participant has

reported the employment and income.
The IQAA screen in the FLORIDA system verifies that the participant is eligible

for on-going TCA.
1.
3. The participant reads and signs Section A of the Cash Assistance Severance Benefit form,
AWI 2286 form. By signing Section A, the participant acknowledges:
(s)he understands that (s)he may be eligible to receive the cash severance

payment;
(s)he has received six consecutive months of TCA in Florida since 10/01/96;

(s)he cannot reapply for TCA for six months unless an acceptable emergency is

demonstrated to the RWB; and
(s)he may be eligible for transitional services including child care, Medicaid and

food stamps if eligibility criteria for the individual programs are met.
(s)he is employed and expects to remain employed for at least six months.

4. A copy of the form is faxed to Mary Lints (DCF) – fax # (561) 837-5366 requesting that
Section C of the Cash Assistance Severance Benefit form be completed and the Cash
Assistance Severance Payment be issued if appropriate.
5. The original Cash Assistance Severance Benefit form, AWI 2286 is retained in the case
file and a copy is provided to the participant with instructions that they are to submit the
AWI 2286 into the drop box at their local DCF office. PLEASE NOTE: DCF does not
need copies of the supporting documentation. DCF only needs a copy of the
completed and signed approval form.
6. Before the cash severance payment is issued, the DCF worker verifies on Section C of the
Cash
Assistance Severance Benefit form, AWI 2286 that the participant:
Has received six consecutive months of TCA in Florida since 10/01/96 AND

Is currently receiving TCA and his/her earnings and income are within the

eligibility guidelines to remain eligible for on-going TCA; AND
Has requested the Cash Assistance Severance Benefit prior to the last month of

the established time limit or extension of time limit.
7. If DCF determines that the participant is not eligible for a cash severance payment, DCF
informs the center staff and Workforce Alliance via e-mail and/or FLORIDA system that a
cash assistance severance payment has been denied and identifies which criteria the
participant fails to meet on the CLRC notes.
Note: Participants must be eligible for on-going TCA for the month in which the payment is issued.
The participant cannot receive the $1,000 cash severance payment if they have already
received their last month (48th) of TCA. The request should not be backdated to a month that the
participant was eligible for ongoing cash assistance. If the participant is no longer receiving TCA or
eligible for TCA in the month of the payment request, even if they have met all of the other cash
severance eligibility criteria, DCF will not authorize a cash severance payment, nor will they approve
payment if the application has been backdated.
C. Transitional Benefits
Once a participant has been approved for Cash Severance and the closure alert has been received from
DCF, the case will be moved from mandatory to transitional. The participant may be eligible to receive
transitional benefits such as childcare for up to 2 years. Other transitional benefits may be available
including transportation services, education/training and other support services depending upon eligibility
and funding availability. Receipt of Medicaid and Food Stamp benefits are provided by DCF and are
subject to eligibility requirements of those programs.
D. Reapplying for TCA due to an Emergency
1. If the participant returns to DCF prior to the end of the six months and submits a Request For
Assistance (RFA), DCF shall accept the RFA and refer the participant to Workforce Alliance center
staff for a determination of whether the family has an acceptable emergency. The following are
considered acceptable emergency situations:
■ Hospitalization or illness documented by a physician licensed under Florida Statute Chapter
458 or 459, resulting in a significant loss of income or loss of employment
■ Loss of earned income for reasons other than resignation without good cause or termination
for cause;
■ Loss of housing;
■ Natural disaster (for example a flood or hurricane) responsible for destruction of the family's
major property;
■ Other situations of similar nature affecting the individual's employment;
■ Domestic Violence.
2.
The CC will evaluate whether the participant meets the emergency criteria listed on the Diversion
Services Emergency Criteria form, AWI WTP-0001. If the participant meets the emergency

Attachment 1 - CareerSource Palm Beach County

Transcription

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