iowa - region 12 · f. memorandum of understanding and resource sharing…………... …..42 ......

Iowa Workforce Region 8 Customer Service Plan

July 1, 2013 ‐ June 30, 2017

REGION 8 RCSP 1

Table of Contents

Plan Signature Page

Region 8 Administration Designees, Board and Partner Contact Information……………………………..5

A. Executive Summary……………………………………………………………………………………..16

Purpose of the Regional Workforce Development Services Plan………………………………………………………….16

Geographic and One‐Stop Information………………………………………………………………………………………………….16

Chief Elected Official Board and Regional Workforce Investment Board Strategies and Priorities………..17

B. Strategic Plan……………………………………………………………………………………………….18

Needs Assessment Process…………………………………………………………………………………………………………………..18

Strengths, Weaknesses, Opportunities and Threats………………………………………………………………………………19

Vision Statement……………………………………………………………………………………………………………………………………20

Mission Statement…………………………………………………………………………………………………………………………………20

Values…………………………………………………………………………………………………………………………………………………….20

Business Objectives………………………………………………………………………………………………………………………………..20

Key Strategies including CEO and RWIB Priorities…………………………………………………………………………………..20

Major Goals…………………………………………………………………………………………………………………………………………….21

Strategic Action Steps……………………………………………………………………………………………………………………………..21

C. Annual Profile for Region 08…………………………………………………………………………………………………23

D. Regional Governance…………………………………………………………………………………….24

Chief Elected Official Board Roles and Responsibilities……………………………………………………………………………24

Region Workforce Investment Board Roles and Responsibilities…………………………………………………………….24

Joint Chief Elected Official and Region Workforce Responsibilities…………………………………………………………25

Region Workforce Ex‐Officio and Public Input…………………………………………………………………………………………26

Youth Advisory Council Role and Responsibilities……………………………………………………………………………………26

REGION 8 RCSP 2

E. Region 08 One‐Stop System for Service Delivery………………………………………………………27

Integrated Service Delivery Products and Services Available………………………………………………………………….27

Service Delivery System and Flowchart……………………………………………………….……………………..…….………….…30

Adult and Dislocated Worker Employment and Training services and Activities…………………………………….31

Youth Services and Activities including 10 WIA Youth Elements…………………………………………………………….31

Individual Training Accounts ……………………………………………………………………………………………………………..…..33

Veterans Priority………………………………………………………………………………………………………………………..………….33

Outreach Efforts and Services for Targeted Populations………………………………………………………………..………34

Services to Employers including Employers Council of Iowa Activities………………………………………….……….36

Skilled Iowa……………………………………………………………………………………………………………………………………………38

Regional Economic Development Partnerships……………………………………………………………………………………..38

Fee‐based Services…………………………………………………………………………………………………………………......………..38

Planned Expenditures and Enrollments and Cost Per Participant Estimates…………………………………..………38

Performance Summary and Anticipated Performance Levels………………………………………………………..………39

Negotiated Performance Goals……………………………………………………………………………………………..……..………..40

Skilled Iowa Metrics for Region 08………………………………………………………………………………………..…………..…..41

F. Memorandum of Understanding and Resource Sharing…………...…..42 (Attachment B)

Purpose of the Memorandum of Understanding (MOU)……………………………………………………………………..B‐1

Introduction/Background…………………………………………………………………………………………………………………….B‐1

Parties to the MOU………………………………………………………………………………………………………………………..…….B‐2

Partner Responsibilities ‐ Resource and Cost Sharing…………………………………………………………………………..B‐5

General Provisions……………………………………………………………………………………………………………………………….B‐6

Common Forms……………………………………………………………………………………………………………………………………B‐11

G. Region 08 Policies and Procedures…………………………………………………………………..……………..43

Outreach………………………………………………………………………………………………………………………………………………..43

Allowable Participant Services and Activities and Support Services, Including OJT…………………………………44

Eligibility Verification Requirements……………………………………………………………………………………………………….48

REGION 8 RCSP 3

Financial Needs Determination Policy and Procedures………………………………………………………………………..…49

Incentive and Bonus Policy for Youth Programs………………………………………………………………………………..…….49

Out‐of School Youth Local Policy……………………………………………………………………………………………………………..50

Complaint Policy and Procedures………………………………………………………………………………………………….………..50

Policy and Procedures to Modify Region 8 WIA Title I Program Activities and Services ………….…….………..54

Policy and Procedure to Modify Region 8 Budget Allocations Among WIA Title I Programs……………………54

Cost Sharing with Other Iowa Workforce Development Service Regions Policy………………………………………55

Local Review and Monitoring of Coordinating Service Provider and WIA Adult, Dislocated Worker

and Youth Service Provider Policy and Procedures………………………………………………………………..…………56

Service Provider Selection Policy and Procedures…………………………………………………………………………………..59

Regional Workforce Investment Board Bylaws……………………………………………………………………..Attachment A

Conflict of Interest Policy…………………………………………………………………………………………..………..Attachment C

Open Meetings Policy…………………………………………………………………………………………………………….……………….61

Procurement Policy and Procedures ……………………………………………………………………………….……Attachment D

Public Input Process and Legal Notices……………………………………………………………………………………………..……..61

Public Comments Received……………………………………………………………………………………………………………………..61

Attachments

A. Region 8 RWIB Bylaws

B. Partners Memorandum of Understanding and Region 8 Workforce Partner Services Matrix

C. Region XII COG Conflict of Interest Policy

D. Region XII COG Procurement Policy

E. Region XII COG Records Retention Policy

F. WIA/TRA Application and Financial Needs Assessment

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Region 8 Customer Service Plan Signature Page

Approved by the Regional Workforce Investment Board on: Printed Name of RWIB Chair: Barb Quandt Signature of RWIB Chair: Date: Approved by the Chief Elected Official Board on: Printed Name of CEO Chair: Guy Richardson Signature of CEO Chair: Date:

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Region 8 Administration Designees and Contact Information

WIA Title I Programs ‐ Adult, Dislocated, and Youth Region XII Council of Governments Contact Person: Beth Winquist, WIA Director 619 North Carroll Street Carroll, IA 51401 Phone: (712)792‐2685 X32 or (712)792‐9914 Email: [email protected]

Region’s One‐Stop Operator

Region XII Council of Governments Contact Person: Rick Hunsaker, Executive Director 1009 East Anthony Street Carroll, IA 51401 Phone: (712)792‐9914 ext 7800 Email: [email protected]

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Region 8 One‐Stop System Partner Contact and Site Information

CHIEF ELECTED OFFICIALS

Duane Deist Audubon Co. Board of Supervisors Audubon County Courthouse Audubon, IA 50025 Home: (712) 563‐3959 Work: (712) 563‐4346

Marty Danzer Carroll Co. Board of Supervisors Carroll County Courthouse Carroll, IA 51401 Home: (712) 792‐6013

Eric Skoog Crawford Co. Board of Supervisors Crawford County Courthouse Denison, IA 51442 Home: (712) 263‐5319 Work: (712) 263‐4191 Guy Richardson Greene Co. Board of Supervisors Greene County Courthouse Jefferson, IA 50129 Home: (515) 386‐2220 Office: (515) 386‐2191 Jerry Caraher Guthrie County Board of Supervisors Guthrie County Courthouse Guthrie Center, IA 50115 Home: (712) 651‐2292 Ranell Drake Sac County Board of Supervisors Sac County Courthouse Sac City, Iowa 50583 Mobile: (712) 210‐4288

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REGIONAL WORKFORCE INVESTMENT BOARD

Barbara Quandt, Board Chair Representing Business West Central Cooperative 406 1st Street Ralston, IA 51459 Phone: 712‐667‐3353 Barry Bruner, Vice Chair Representing Business & Econ. Devel. Bruner & Bruner Law Firm 225 East 7th Street Carroll, IA 51401 Phone: 712‐792‐3480 Karen Seivers Representing Business Prairie View Bed & Breakfast 2711 HWY 44 Guthrie Center, IA 50115 Phone: 641‐755‐4356 Becky Jacobsen Representing Business 1410 S Main Street Denison, IA 51442 Phone: 712‐263‐7499 Richard Henrich Representing Labor 1404 N Carroll Street Carroll, IA 51401 Phone: 712‐792‐3603 Pat Laursen Representing Community Based Services Howard Center, Inc. 1319 Early Street PO Box 250 Sac City, IA 50583‐0250 Phone: 712‐662‐7844

Judy Gronau Representing Education & Business 3245 K Avenue Vail, IA 51465 Phone: 712‐677‐2364 Denise Hubert Representing Partners DVRS 1525 Airport Road Suite 102 Ames, IA 50010 Phone: 515‐233‐5753 Peggy Smalley Representing Business 612 East Division Street Audubon, IA 50025 Phone 712‐563‐4322 Eric Skoog Representing Counties Cronk’s Café 812 4th Avenue South Denison, IA 51401 Phone: 712‐263‐2164 Esteban Martinez Representing Labor 1025 Broadway Denison, IA 51442 Phone: 712‐263‐2164 Pamela Beardmore Representing Business Carroll Coolers, Inc. 419705 Hwy 30 West Carroll, IA 51401 Phone: 712‐792‐6834

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Christy Jenkins Representing Community Based Services New Opportunities, Inc. PO Box 427 Carroll, IA 51401‐0427 Phone: 712‐792‐9266 Karen Kasperbauer Representing Business 23138 Hwy 30 East Carroll, IA 51401 Phone: 712‐792‐2863 Steve Schulz Representing Community Colleges Des Moines Area Community College 906 North Grant Road Carroll, IA 51401 712‐792‐1755 Steve Reitan Representing Business Job Corps 10 Opportunity Drive Denison, IA 51442 Holly Espenhover Representing Business 1005 N Crawford Street Carroll, IA 51401 Phone: 706‐987‐3719

Joan Godbersen Representing Cities PO Box 345 Odebolt, IA 51458‐3‐0345 Phone: 712‐668‐4474 Patricia Curtis Representing Business 301 E Division Audubon, IA 50025 Phone: 712‐563‐4649 Jim Ober Representing Business Scranton Mfg. Co. Inc. 101 State Street Scranton, IA 51462 Phone: 712‐652‐3396 Carla Grasty Representing Labor 2903 Wagon Road PO Box 424 Stuart, IA 50250‐4024 Phone: 515993‐4596 Terry Kluver Representing Labor 19594 Olympic Avenue Carroll, IA 51401 Phone: 712‐792‐6753

Chuck Wenthold Representing Labor 1679 235 Street Jefferson, IA 50129 Phone: 515‐386‐2922

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ADMINSTRATIVE AGENCIES AND ONE‐STOP PARTNERS

WIA Grants Fiscal Agent Region XII Council of Governments Contact Person: Kathy Pauli 1009 East Anthony Street Carroll, IA 51401 Phone: (712)792‐9914 Email: [email protected] WIA Programs Administrative Entity Region XII Council of Governments Contact Person: Rick Hunsaker 1009 East Anthony Street Carroll, IA 51401 Phone: (712)792‐9914 Email: [email protected] Region’s One‐Stop Operator Region XII Council of Governments Contact Person: Rick Hunsaker 1009 East Anthony Street Carroll, IA 51401 Phone: (712)792‐9914 Email: [email protected] WIA Title I Programs (Adult, Dislocated, and Youth) Region XII Council of Governments Contact Person: Beth Winquist 1009 East Anthony Street Carroll, IA 51401 Phone: (712)792‐2685 X32 or (712)792‐9914 Email: [email protected]

WIA Title II Programs (Adult Education and Family Literacy) Steve D. Schulz DMACC 906 N Grant Road Carroll, IA 51401‐2525 [email protected] 712‐792‐8322

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Susan Hardy Western Iowa Tech Community College 11 North 35th Street Denison, IA 51442 [email protected] 712‐263‐3419 WIA Title IV Program (Vocational Rehabilitation Services) Iowa Vocational Rehabilitation Services Contact Person: Denise Hubert 619 North Carroll Street Carroll, Iowa 51401 Phone: (712) 515‐233‐5753 Email: [email protected] Iowa Department for the Blind (IVRS) Contact Person: Richard Sorey 524 Fourth Street Des Moines, IA 50319 Phone: (515)281‐1333 Email: [email protected] Other WIA Title I Programs ‐ Jobs Corps Job Corps Contact Person: Steven Reitan 10 Opportunity Drive Denison, IA 51442 Phone: (712)265‐2301 Email: [email protected] Proteus Contact Person: Jesus Soto Address: 3850 Merle Hay Road, Suite 100 Des Moines, IA 50310 Phone: (515)271‐5306, X118 Email: [email protected] TANF (Iowa Department of Human Services, PROMISE JOBS, FaDSS) Iowa Department of Human Services (TANF) Contact Person: Carol O tool Address: 608 North Court suite C Carroll, IA 51401 Phone: (712)792‐5838 Email: [email protected]

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Native American Indian No office in Region 8 Housing & Urban Development (HUD) Employment and Training Programs Region XII Regional Housing Authority Contact Person: Ken Pedersen 108 West 6th Street Carroll, IA 51401 Phone: (712) 792‐5560 Email: [email protected] Welfare‐to‐Work Programs (Social Security Act Section 403(a)(5)): No office in Region 8 WIA Title III Programs (Wagner‐Peyser), TAA, UI, Re‐employment Services, Veterans) Iowa Workforce Development Contact Person: Todd Spencer 619 N Carroll Street Carroll, IA 51401 Phone: (712)792‐2685 X33 Email: [email protected] My Iowa UI Questions: Phone: (888) 848‐7442 Option 3 Email: [email protected] WIA Older Americans Act Title V (Senior Community Employment Services) West Central Community Action (WCCA) Contact Person: Ivy Nielsen PO Box 709 Harlan, IA 57537 Phone: (712)755‐5135 Email: [email protected] Dick Freeman Experience Works, Inc. 920 South Hancock Street Ottumwa, IA 52501‐5402 [email protected]

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Community Services Block Grant Employment and Training Programs West Central Community Action Contact Person: Joel Dirks PO Box 709 Harlan, IA 51537 Phone: (712)755‐5135 Email: [email protected] New Opportunities Contact Person: Chad Jensen PO Box 427 Carroll, IA 51401 Phone: (712)792‐9266 Email: [email protected] FaDSS West Central Community Action Contact Person: Joel Dirks 300 W. Broadway, Suite 35 Council Bluffs, IA 51503 Phone: (712)322‐5966 Email: [email protected] New Opportunities, Inc. Contact Person: Chad Jensen PO Box 427 Carroll, IA 51401 Phone: (712)792‐9266 Email: [email protected]

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ADDITIONAL ONE‐STOP SYSTEM PARTNERS

Western Iowa Transit Region XII Council of Governments Contact Person: Tom Feldman 1009 East Anthony Street Carroll, IA 51401 Phone: (712)792‐9914 Email: [email protected]

Kim Barker Elderbridge 603 N. West Street Carroll, IA 51401 [email protected] 712‐792‐3512

YOUTH ADVISORY COUNCIL RWIB Member Steve Reitan Job Corps 10 Opportunity Drive Denison, IA 51442 Email: [email protected]

Service Agency Representative Sherri Neddermeyer Department of Human Services 608 N Court Street Carroll, IA 51401 Phone: (712)792‐4391 X 224 Email: [email protected]

Local Public Housing Authority Region XII Regional Housing Authority Ken Pedersen, Executive Director 320 East 7th Street Carroll, IA 51401 Phone: (712)792‐5560 Email: [email protected]

REGION 8 RCSP 14

Job Corps Representatives Robin Adams 10 Opportunity Drive Job Corps Denison, IA 51442 Email: [email protected] Sandy Schnoor Job Corps 10 Opportunity Drive Denison, IA 51442 Email: [email protected] Kim Muhlbauer Job Corps 10 Opportunity Drive Denison, IA 51442 Email: [email protected]

Lanora Gollobit Job Corps 10 Opportunity Drive Denison, IA 51442 Email: [email protected] Kayla Morgan Job Corps Kayla Morgan 10 Opportunity Drive Denison, IA 51442 Email: [email protected] Connie Keairnes Job Corps 10 Opportunity Drive Denison, IA 51442 Email: [email protected]

Former WIA Youth Participant Talsha Johannsen Schleswig, IA 51461 Phone: 712‐269‐4954 Parent Representative Susan Boland Valley View Drive Schleswig, IA 51461 Phone: 712‐676‐3452 Youth Serving Organization Rhonda Johnson West Central Community Action 801 10th Street Onawa, IA 51040 Email: [email protected] Community College Renee Schon Des Moines Area Community College 906 North Grant Road Carroll, IA 51401‐2525 Email: [email protected]

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IWD & Promise Jobs Sherri Vaughn 619 North Carroll Street Carroll, Iowa 51401 Email: [email protected] Iowa Department of Vocational Rehabilitation Joleen Schulz 619 North Carroll Street Carroll, Iowa 51401 Email: [email protected] Workforce Investment Act Melissa Wenck Region XII COG 619 North Carroll Street Carroll, Iowa 51401 Email: [email protected] Beth Winquist Region XII COG 619 North Carroll Street Carroll, Iowa 51401 Email: [email protected]

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SECTION A ‐ Executive Summary

Purpose of the Regional Workforce Development Services Plan The purpose of this Customer Service Plan is to establish the standards and guidelines to govern the services and operation of the Region 08’s Workforce Development Center system. Although this plan deals with the Center system, an emphasis is placed on those services that are primarily funded by the Workforce Investment Act (WIA). The Strategic Plan addresses the status of the labor pool in context with the labor market, and identifies the workforce investment needs of business, job seekers, and workers in Region 08. It describes how the region will use its resources to address workforce needs in the region and prioritize funding. This plan also provides a description of programs and the dynamics of the region. This Customer Service Plan is effective July 1, 2013 and will expire June 30, 2017, unless authorization from Iowa Workforce Development allows for the extension of this date through action of the Region 08 RWIB/CEO. Region One‐Stop System Sites The following physical location is the site for delivery of service for the above‐identified local One‐Stop System:

One‐Stop Center 619 North Carroll Street Phone: (712) 792‐2685 Fax: (712) 792‐6605 Monday – Friday, 8:30 AM ‐ 4:30 PM Wednesday, 9:00 ‐ 4:30 PM

Virtual Access Points http://www.iowaworkforce.org/accesspoints Hundreds of access points are available across the state. The department has dedicated workforce professionals ready to assist from 8:00 a.m. to 8:00 p.m. Monday through Friday and 10:00 a.m. to 2:00 p.m. on Saturday’s via live chat at an access point or by calling 866‐239‐0843. New access points are added on a regular basis and the map is updated instantly to reflect the points of service. Access Point services include:

Job search and résumé development assistance

Access to thousands of employment opportunities

Skill assessment and testing tools

Information for veterans

Workforce data and trends

Job posting assistance for employers Electronic Access (Information regarding the One‐Stop System and/or services available via electronic access)

REGION 8 RCSP 17

Region 08 Website: http://www.iowaworkforce.org/region8/carroll.htm Unemployment Insurance Claims: https://uiclaims.iwd.iowa.gov/weeklyclaims/

Chief Elected Official Board (CEO) and Regional Workforce Investment Board (RWIB) Strategies and Priorities The Region 8 RWIB and CEO boards have the following priorities for the workforce system in this region:

1. This region must have a system that meets the needs of job seekers and incumbent workers by offering training that leads to gainful employment; jobs that will enable them to support their families and encourage them to live in the region. To this aim, resources will be focused on:

Encouraging job seekers to enroll in training programs that are in‐demand by businesses.

Training for both soft skills and hard skills needed by workers.

Provide training in basic skills, including computer literacy and English as a second language.

2. The system will meet the needs of local businesses by supplying them with a talented

workforce that will help their companies thrive. These priorities will include:

Regular communication with businesses to understand their needs.

Address the need for improved work readiness and work retention skills (soft skills)

Target the use of WIA training dollars to high demand /high wage jobs.

Increase opportunities for employers to access skilled workers.

3. The system will meet the needs of youth by providing training strategies, particularly

emphasizing educational attainment and productive employment that encourages

youth to work and live in the region.

Work with the community colleges and secondary schools to better prepare young people for work.

Develop support services that enable a youth to stay in school and complete their High School Diploma.

Develop vocational exploration training components that guide youth to career opportunities.

Provide training in soft skills that lead to job gains and job retention

REGION 8 RCSP 18

SECTION B ‐ Strategic Plan for Region 8 – IowaWORKS Audubon, Carroll, Crawford, Greene, Guthrie and Sac Counties

Needs Assessment Process The workforce needs of SDR08 take into consideration information about the six counties that comprise the region, which includes Audubon, Carroll, Crawford, Greene, Guthrie and Sac Counties. Trends in neighboring counties of Ida and Adair are included in some instances as these counties are also part of Western Iowa Advantage (WIAD), an eight‐county cooperative marketing consortium to promote economic development. This assessment was based upon information provided by WIAD through its Workforce Needs Assessment covering the period of July 2011 to January 2012. The assessment was made possible by the Iowa Legislature and also partially funded by the WIAD partners. It was completed through Iowa Workforce Development and was released July 2012. In considering the needs of the region, much consideration was given to labor market information and trends of the 6 county area. An RWIB special committee met on November 29, 2012. The committee listened to a presentation of the WIAD Workforce Needs Assessment delivered by Chad Schreck (Executive Director, Midwest Partnership Corporation), who also discussed the Comprehensive Economic Development Strategy (CEDS) for the region and a presentation on the Region XII COG Long Range Transportation Plan by COG Transportation Planner Chris Whitaker. That information has been an important element in conversations, planning and the decisions that are reflected in this plan. The Workforce Needs Assessment Data reveals that the region has a relative high demand in the healthcare; wholesale and retail trade; and manufacturing industries. By occupational category, the survey shows a relative high demand in the healthcare support; transportation and material moving; and, sales and related occupational categories. The region has a large number of estimated job vacancies in healthcare related occupations including health diagnosing, treating practitioners, and nursing and home heal‐aide occupations. There is an additional demand for health technicians and technologists. Together, these occupational categories account for 26.1 % of all reported job vacancies, signaling a large number of opportunities for students and workers in related industries. Almost all of the current job vacancies (91.3%) reportedly require an undergraduate degree or associates degree. Nearly one‐tenth (8.7%) of current job vacancies require an undergraduate degree or higher. Slightly more than half (50.2%) of the current job vacancies reportedly require no experience, while 33.4% require experience totaling less than two years. Vacancies due to upcoming retirements are showing, in total , slightly higher requirements than current job vacancies, where 46.7% of jobs will require a high school education, 20.2 percent will require technical training/certification and 6.7 % will require an undergraduate degree. Job

REGION 8 RCSP 19

Vacancies due to retirements will also require slightly more experience than current job vacancies, with 35.7% requiring no experience and 50.0% requiring experience totaling less than two years. As a result of this survey, Region 8 will be able to identify the gap between the existing workforce and the strengths in the region and the existing needs of industries. At the November 2012 RWIB meeting, the board discussed the best way to proceed with gathering local input regarding the needs of businesses, job seekers and incumbent workers. A needs assessment and strategic planning session was set for November 29, 2012. A group of individuals were present at that session, including RWIB members and Region 8 Workforce Partners to facilitate new initiatives to address workforce issues. Strengths, Weaknesses, Threats and Opportunities This strategic plan addresses the following key strengths, weaknesses, opportunities and threats (SWOT) for Region 8 that were identified during the Needs Assessment session.

Strengths

Business and community interest in workforce issues as demonstrated by the local Chambers of Commerce

A strong economy indicated by the low unemployment rate

Support and input of regional economic developers

Businesses that recognize the issues and are willing to help address them

Responsive and involved training providers. Western Iowa Tech Community College and Des Moines Area Community College each have a campus in the region.

Job Corps campus in the region

Strong secondary schools

Weaknesses

High percentage of job vacancies in the Region in Health Care, Wholesale and Retail Trade and Manufacturing.

Many workers lack digital literacy skills

Job seekers lack basic literacy and numeracy skills needed for available jobs

Difficult for businesses (especially in rural areas) to recruit skilled workers. Need to do a better job of preparing new Iowans (especially those with limited English)

for jobs with local businesses

Workers lack soft skills – good work ethics and behaviors, as well as communication and interpersonal skills

Applicants lack occupational Skills. Particularly skills in Analytical thinking, business communication and machine operation.

Opportunities

Community Colleges in the region are receptive to the regions workforce needs and offer training in high demand fields.

REGION 8 RCSP 20

Job seekers with soft and hard skills have opportunities to advance in their careers. 13.5% of all job vacancies are due to permanent business growth or expansion.

The Skilled Iowa Initiative lends state support to local efforts to promote the National Career Readiness Certificate (NCRC) usage

Work with the STEM advisory council to promote tech skills

Threats

The talent deficit could cause businesses to leave the region. Business have a difficult time filling open positions with qualified applicants

Baby boomers leaving the workforce place additional strain on businesses who struggle to find skilled workers. 11.3% of job vacancies in the region are replacing retiring employees.

The information gathered through the analysis helped to form vision, mission and values statements to guide the board and staff over the next five years. Mission Statement To Promote and support an effective workforce system that offers employers, individuals and communities the opportunity to achieve and sustain economic prosperity. Vision Statement To empower those who are unemployed or underemployed to achieve self‐sufficiency while developing and promoting strategic partnerships that contribute to a model workforce and a vital community. Values Statement Our Core Value is to provide service with integrity and commitment to meet the needs of all stakeholders in Region 8. Business Objectives The longer term business objectives for Region 8 are summarized as follows:

Region 8 will support the Skilled Iowa initiative by promoting the credentialing of workers through the use of the National Career Readiness Certificate (NCRC).

The region will coordinate with the Regional STEM (Science, Technology, Engineering and Math) Council to increase the number of job seekers who pursue STEM‐ related training and employment opportunities.

We will partner with the regional Community Colleges and Secondary Schools to develop workforce efforts with education and economic development that produce skilled workers who work and live in the region.

Key Strategies The strategies below are intended to enhance strengths, minimize weaknesses, capitalize on opportunities and mitigate threats.

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1. Target the use of WIA training dollars to high demand /high wage jobs, such as those in

Wholesale and retail trade, advanced manufacturing and health care.

2. Work with businesses and the community college to develop short term training programs that meet the immediate needs of employers and job seekers.

3. Communicate with area businesses to understand and respond to their needs.

4. Build partnerships to maximize the resources across K‐12 system, economic

development, WIA, community colleges, high school/career exploration and apprenticeship.

5. Address the need for improved work readiness and work retention skills (soft skills)

Major Goals

1. Develop Region 8 IowaWORKS as a comprehensive career and employment resource, which is user friendly, accessible and customer focused.

2. Align community college training efforts with business and the public workforce system activities to meet the skills training needs of high growth industries.

3. Actively pursue youth training strategies, particularly emphasizing educational attainment and productive employment that encourages youth to work and live in the region.

4. Increase opportunities for employers to access skilled workers. 5. Explore support for private and public sector partnerships to ensure the development of

workers' skills in demand occupations based on industry needs. Strategic Actions

Action Steps

Partners

Timeline

1. The focus on training for high demand jobs

will be reflected in WIA training enrollments, with at least 50% of enrollments meeting this criterion.

2. Increase youth participants enrolled in vocational exploration training components, with at least 20% of WIA youth enrolled in such activities.

3. The need for improved soft skills in job

WIA, IWD, Promise

Jobs

WIA, IWD, K‐12s, youth service organizations, local employers

2013 through

2017

By 2017

REGION 8 RCSP 22

seekers will be addressed by offering Key Train work readiness training.

4. Increase training opportunities in basic

literacy and numeracy sills, including computer literacy and English as a Second Language.

IowaWORKS, K‐12s IowaWORKS, K‐12s, Community Colleges

By 2014 2013 through 2017

Major Goals and Strategic Action Steps will be reviewed annually at the CEO/RWIB joint meeting in May. Goals and action steps may be modified to reflect current training needs and local employment dynamics in the region.

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SECTION C ‐ Economic and Workforce Information

The July 2012 Workforce Needs Assessment commissioned by Western Iowa Advantage and made possible by funding from the Iowa Legislature contains relevant statistics about the region’s employment conditions, including largest employers, census data, average wages and other pertinent information. The full report is included in this document.

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SECTION D ‐ Regional Governance

Chief Elected Official (CEO) Board Roles and Responsibilities The CEO structure follows state guidelines. A chairperson and vice‐chairperson are elected each year. There are no standing committees of the board. The board meets jointly with the RWIB once per year and all meetings are open to the public. Meeting notices are sent to interested parties (including the media), posted at Region XII COG and the Carroll Workforce Center, and will be posted on the COG and Region 8 websites. The CEO will meet the second Thursday of every month. The RWIB will meet Quarterly in the months of February, May, August, and November on the fourth Thursday of the month. The CEO’s primary responsibilities are:

Select a fiscal agent from proposals received from eligible entities as a result of a procurement process.

Appoint members of the Regional Workforce Investment Board, soliciting nominations from required sectors upon notice of an RWIB vacancy.

For RWIB positions that are jointly selected by the Governor, the CEO submits a list of nominees for board vacancies to IWD in accordance with stipulated guidelines. RWIB members are selected only after both the CEO and Governor are in agreement on the list of acceptable nominees.

Notifying persons selected to fill vacancies on behalf of the CEO and the Governor. Regional Workforce Investment Board Roles and Responsibilities The Regional Workforce Investment Board (RWIB) plays a leading role in establishing policy for the region’s Workforce Development Center system. The RWIB jointly selects the WIA service providers, directs the activities of the Youth Advisory Council, and shares responsibility for a variety of duties with the CEO board, including selection of the Coordinating Service Provider and overseeing the regional Workforce Development Center system’s service delivery.

The RWIB structure follows state guidelines. A chairperson and vice‐chairperson are elected annually. There are no standing committees of the board, but committees are periodically appointed to address issues as they arise. The board meets at least one per year with the CEO and all meetings are open to the public. Meeting notices are sent to interested parties (including the media), posted at Region XII COG and the Carroll Workforce Center, and may be posted on the COG and Region 8 websites. The RWIB and CEO are responsible for the development and oversight of the Regional Customer Service Plan (RCSP). The workforce partners mentioned in this document participate in the process in an advisory capacity. At each RWIB meeting, the board reviews the employment and training activities within the

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region and hears reports on enrollments, success stories and WIA performance. All partners have the opportunity to participate and provide information relative to the employment and training activities within the region. Joint Chief Elected Official and Regional Workforce Investment Board Responsibilities The RWIB and CEO jointly share power in a variety of ways.

1. Select the one‐stop operator(s) for the region in a process stipulated in the WIA Handbook. (The RWIB and CEO appointed Region XII COG to be the coordinating service provider.)

2. Select the eligible youth service providers based on the recommendations of the youth council, and identifying eligible providers of adult and dislocated worker intensive services and training services.

3. Select the Region 8 youth service provider after receiving a recommendation from the Youth Advisory Council (YAC). The Region 8 youth service provider has been selected to perform outreach and intake services, conduct eligibility determinations and operate the Youth program in accordance with the process stipulated in the WIA Handbook. (Region XII COG has been selected as the youth service provider effective March 31, 2012).

4. Select the Adult and Dislocated Worker service provider. (The RWIB and CEO Board selected Region XII COG to continue as the Adult and Dislocated Worker service provider.) The service provider was selected to continue to perform outreach and intake services, conduct eligibility determinations and operate the Adult and Dislocated Worker program.

5. Develop an annual budget for the purpose of carrying out the duties of the local board. Region XII COG will submit annual budget figures provided by the state entity to the RWIB and CEO. Region XII COG will prepare an operation and program budget using the provider’s budget and fiscal system. This budget will be submitted to the RWIB for their review.

6. Negotiate and reach agreement on the region’s performance measures with Iowa

Workforce Development. IWD, the RWIB and CEO will evaluate regional performance and the appropriateness of the negotiated standards. Formal negotiation will be conducted for two‐year periods after regional planning has been completed. IWD will establish a minimum acceptable level of performance for each measure, based upon levels established through negotiation between the state and the Department of Labor and historical data. Negotiation will focus on the adjusted level of performance, which will serve as the regional objective

7. Coordinate workforce investment activities with economic development strategies and

Region 8 RCSP 26

developing employer linkages. Region Workforce Ex‐Officio and Public Input Currently, there are no ex‐officio members of the RWIB. However, representatives from partner organizations that represent older workers, economic development, individuals with disabilities, veterans, and youth serve advisors to the RWIB & CEO and are invited to attend meetings. These representatives present relevant information to the boards on an as‐needed basis. Public input is encouraged by notifying the public of meetings. The notification is published via agency websites and/or through local media Youth Advisory Council Role and Responsibilities The Region 8 Youth Advisory Council (YAC) will meet Quarterly in the months of February, May, August, and November on the third Wednesday of the month. The Youth Advisory Council (YAC) provides guidance for, and exercises oversight of, local youth programs operated under WIA. In addition the Council provides expertise in youth policy and assists the RWIB:

1. Developing and recommending local youth employment and training policy and practice;

2. Broadening the youth employment and training focus in the community to incorporate a youth development perspective;

3. Establishing linkages with other organizations serving youth in the local area; and 4. Taking into account a range of issues that can have an impact on the success of youth in

the labor market. The Region 8 YAC performs the following duties and other functions as necessary and proper to carry out its responsibilities.

1. Identify youth employment and training needs; 2. Coordinate youth activities in the Region; 3. Assist in developing the Youth section of the Regional Customer Service Plan; 4. Make recommendations for funding of WIA youth programs; and 5. Conduct oversight of selected service providers of youth activities.

The Region 8 YAC will consist of between seven and twelve members who represent organizations that serve youth. The Region 8 YAC will carry out its primary responsibilities as follows:

Region XII COG will provide reports to the Region 8 YAC, updating the council on the region’s youth performance and progress towards meeting performance standards.

The Region 8 YAC will review and evaluate the youth performance and, if necessary, determine actions to be taken to improve performance;

The Region 8 YAC will review and make a recommendation to the RWIB on the selection of the Region 8 Youth Service Provider.

Region 8 RCSP 27

SECTION E ‐ One Stop Delivery System

Designated One Stop Operator The Chief Elected Officials (CEO) and the Region 8 Regional Workforce Investment Board jointly appointed Region XII Council of Governments the Regional One Stop Operator at a joint meeting on February 10, 2000. The CEO and RWIB jointly designated Region XII Council of Governments to continue as the One Stop Provider at a joint meeting on 8‐18‐2011. Integrated Service Delivery Products and Services Available In keeping with the vision, goals and priorities set forth in this Customer Service Plan, the Region 8 One‐Stop offers a wide array of workforce services for customers. Core Services will include:

Determination of eligibility for WIA Title I Programs

Outreach, intake and orientation to the information and services available through the Workforce Development Center System

Initial assessment of skill levels, aptitudes, abilities, and supportive service needs

Job search and placement assistance, and where appropriate, career counseling

Provision of employment statistics information, including job vacancy listings, the skills necessary to obtain those jobs, and information relating to local occupations in demand and the earnings and skill requirements for those occupations

Performance information and program cost information on eligible providers of training services

Information on how the region is performing on the WIA performance measures, and the overall Workforce Development Center system measures

Provision of accurate information relating to the availability of support services, including child care and transportation available in the local region and referral to such services as appropriate;

Delivery system performance information;

Information on other Workforce Development Center System Partner services and support services;

Assistance regarding filing claims for unemployment compensation

Assistance in establishing eligibility for programs of financial aid assistance for training and education programs

Job referrals (informational, e.g. job scouts, referrals in non‐exclusive hiring arrangements, short‐term or seasonal placements);

Internet browsing (job information and training searches);

Internet accounts;

Talent referrals (informational, e.g. talent scouts, staff referrals or resumes without

Region 8 RCSP 28

further screening).

Follow‐up services, including counseling regarding the workplace, for participants who are placed in unsubsidized employment

At the integrated one‐stop center in Carroll, all eligible (through self‐attestation and verification of age) members will have the opportunity to participate in one of two service strategies developed using staff assisted core services. Staff‐Assisted Core Services offered at the One‐Stop Center and on itinerant basis in other locations, as needed, include:

Staff‐assisted job search and placement assistance, including career counseling (JSP), (G&C);

Screened job referrals (such as testing and background checks) (SJR);

Staff assisted job development (working with an employer and job seeker) (SJD); and

Staff assisted workshops, pre‐employment training and job clubs (PET, JBC). If members are not successful at finding employment or the assessments done through these staff assisted core services indicate a need for more intensive or training services members may be offered (if additional verifications of eligibility are provided and verified) the following array of services as identified and needed. Intensive Services offered at the one‐stop center and on an itinerant basis, as needed, include:

Comprehensive and specialized assessments of skill levels and service needs, including diagnostic testing and use of other assessment tools and in‐depth interviewing and evaluation to identify employment barriers and appropriate employment goals;

Development of an individual employment plan, to identify the employment goals, appropriate achievement objectives, and appropriate combination of services for the participant to achieve the employment goals;

Out‐of‐area Job Search

Leadership Development

Individual counseling and career planning

Case management for participants seeking training services

Short‐term prevocational services, including development of learning skills, communication skills, interviewing skills, punctuality, personal maintenance skills, and professional conduct, to prepare individuals for unsubsidized employment or training

Short Term Skill Upgrading

Limited Internships

Mentoring

Vocational Exploration

Work experience

Region 8 RCSP 29

Training services offered at the one‐stop center and on an itinerant, as needed, basis (these must be approved by the CSP designee – Region XII COG) include the following activities:

Occupational skills training, including training for nontraditional employment;

Programs that combine workplace training with related instruction, which may include cooperative education programs;

Training programs operated by the private sector;

Retraining;

Entrepreneurial training;

Customized training; and

Adult education and literacy activities are provided in combination with other allowable training services.

Following is the list of training services offered within the region:

Customized Training (CUS);

Entrepreneurial Training (ENT);

Institutional Skill Training (IST);

On‐the‐Job Training (OJT);

Remedial and Basic Skill Training (RBS); and

Secondary Education Certificate (SEC). Additional services which may be offered within the region include:

Enhanced resume development

Job Description development

Extensive employee/potential employee testing

Corporate Mentoring

Workshops for employers (such as employee retention)

Work site employee development programs (such as team building)

Expanded employee workshops for individual employers

All Workforce Development Center System Partners agree to develop a common method to refer customers among the partners. The “common intake/case management” system will be used by those partners providing services using WIA Title I funding and by some IWD staff. If the common intake/case management system is not used, referrals will be made between partners in a timely manner and a follow‐up contact will be made with the customer to ensure service was provided. The CSP is responsible for conducting the overall case management to ensure that all customers referred for services are receiving needed services. Customers, including employers, will be served by IowaWORKS staff and through internet services. Those services include:

Job search and placement services for job seekers, including counseling, testing,

Region 8 RCSP 30

occupational and labor market information, assessment, and referral to employers.

Appropriate recruitment services and special technical services for employers.

Providing services for workers who have received notice of permanent layoff or impending layoff.

Labor market and occupational information. Adults, dislocated workers and youth will be served by WIA Title I service providers and by IWD service providers. The services will be provided at the primary One‐Stop Center in Carroll. Further descriptions of the services available are included later in this plan. WIA Partner services are further described in the Memorandum of Understanding. Service Delivery System and Flowchart In the integrated center in Region 8, the customer flow will be as follows:

1. Greet/Identify Purpose of Visit 2. Determine Membership Status and/or 3. Conduct Service Triage 4. Recommend Services 5. Membership Application 6. Self‐attestation 7. Co‐enrollment evaluation 8. Introduce to Skills Development Team and/or 9. Provide Appropriate Partner Referrals and/or 10. Determine WIA eligibility for intensive/training services

When services beyond those available inside the One‐Stop are needed, referrals to other agencies and partners will be offered to ensure adequate services are available to the member so they can reach their employment goal. This may happen at any point in the above flowchart as needs are identified. Integrated Customer Flow Based on an initial basic assessment, customers will progress through services in a unified, standard flow organized by “function” rather than “program.” Customers start with membership services (stream‐lined program enrollment and initial triage); advance to skill development services (to build occupational and job seeking skills), and then either referral to recruitment and placement services (with connections to hiring employers) or referral to more intensive and, if warranted, training services. All one‐stop center customers will move through a standardized membership process that co‐enrolls them into multiple programs based on eligibility. This unified customer pool will be shared and served by multiple partners within the Center. When eligibility permits, every member must be co‐enrolled into all qualifying programs for staff assisted core services. Within this flow, customers will be recommended to one of two general service cohorts: career

Region 8 RCSP 31

advancement for new workers or workers in transition; and employment express to quickly return skilled workers to the workforce. Services will continue to be customized to meet individual customer needs. Skill Development comprises a hub of employment and training service delivery. Process steps and procedures are designed to meet one of the core missions of the workforce development system: that all individuals have the opportunity to “know their skills, grow their skills and get the best job possible with their skills.” To that end, an assessment of skills is a universal service delivered to each member of Skills Development. The outcome of service delivery in the Skills Development area is a relevant pool of talent – with skills in demand and job‐search know‐how. When members have completed Skills Development, have the tools and knowledge for an effective job search, and meet specific criteria, they are introduced to the Recruitment and Placement Team/staff. If additional services are identified as needed, the skills development team will make the appropriate referrals to participate in WIA funded intensive and/or training services Adult and Dislocated Worker Employment and Training Services and Activities Region XII COG, as the WIA Administrative Entity, will maintain responsibility for conducting eligibility determinations for adults and dislocated workers. Core Services, Staff‐Assisted Core Services, Intensive and Training Services include all of the services listed on pages 27‐29 of this document. Youth Services and Activities including 10 WIA Youth Elements Following are the ten required youth services as identified in the WIA. The Region 8 Needs Assessment has evaluated the extent which these services are available in our seven counties and has identified gaps in existing services. The Region 8 Youth Advisory Council will review the implementation of the 10 youth elements annually to insure goals and strategic action steps reflect the most current needs and local employment dynamics in the region.

Tutoring and study skills: Secondary and post‐secondary schools currently offer tutoring and study skills training at no cost to their students. Region XII COG will refer participants to these institutions when a need is identified. When these services are not available or the student needs services beyond the above offerings tutoring services will be purchased.

Alternative Education: Alternative high schools are available to students in all counties in the region at no additional cost. Again, Region XII COG will refer students as needed to these schools.

Summer Employment Opportunities: Region XII COG will continue to facilitate summer employment opportunities throughout the region. Paid work experiences will be provided when funding is available and services are appropriate.

Work Experience: Paid and unpaid work experiences will be made available to students.

Region 8 RCSP 32

Paid work experiences will be provided when funding is available and services are appropriate. There are currently opportunities through programs at some area high schools that will help to meet this need.

Occupational Skills Training: Post‐secondary vocational training will be offered by both educational institutions and private employers (through on‐the‐job training).

Leadership Development: Leadership development activities are currently offered by community colleges, many of the local school districts and community service providers who are concerned about youth development. WIA participants will be referred to these activities WIA funding is available for these when appropriate.

Support Services: The primary supportive services identified by the RWIB are child care and transportation. Whenever another source of funding for these expenses exists, a referral will be made. Region XII COG along with other service providers will partner in providing the needed services to allow participants to take part in training activities. Mentoring: Some of the local schools have begun offering mentoring programs and youth will be referred to existing programs whenever possible. When a need is identified and there is no appropriate program available to a young person, staff or community volunteers will be contacted to serve as adult mentors.

Follow‐up/Post Program Services: Participants who have been exited from the program will be contacted quarterly or as many times as needed to assure the youths continued success, for 12 months after all WIA activities have ended to determine if further assistance is required from the program. Cost limit on Follow‐up services that remove barriers to successfully completing post‐secondary training or employment is $500.

Comprehensive Guidance and Counseling: Guidance and Counseling will be provided by Region XII COG WIA staff. Referrals to agencies and organizations which offer various counseling services will be made when appropriate. Many services available are free to disadvantaged individuals. Eligible youth in need of such counseling will be assisted in accessing the services.

Once participants have completed WIA services and are exited from the program, they may still be eligible for follow‐up services. At a minimum all youth will be contacted within 30 days of exit. The first contact must be a personal contact (in person or by telephone). The second contact must occur within 90 days after the first day of exit. Contacts are required quarterly thereafter for the next three quarters. These contacts will be designed to identify any problems or needs which might prevent the youth from obtaining employability goals or remaining employed. Follow up may include: Leadership development, regular contact with the youth’s employer, assistance in securing a better job, work‐registered peer support groups, adult mentoring, and tracking the progress of youth in employment, postsecondary training, or advanced training. All information regarding participants’ results will be collected and entered into the I‐Works Management Information System so that outcome can be analyzed and reported to the Youth Council and the Regional Workforce Investment Board. Performance data will be used to refine program design so that the desired results can be achieved. Youth service priorities identified for Region 8 are:

Region 8 RCSP 33

Provide work based learning for youth that leads to increased career opportunities. Provide activities and support that remove barriers that cause a youth to not be

successful in gaining a high school diploma.

Youth career development activities that lead a youth to participating and completing Vocational Training and becoming employed in their field of study.

Work readiness skills and independent living skills. Developing soft‐skills that lead to making good decisions that lead to success on the job and maintaining a productive lifestyle.

Individual Training Accounts (ITA) An Individual Training Account (ITA) is to be used to assist a participant with the cost of training (tuition, books, fees, and required materials for coursework). To be eligible for an ITA, a participant must be unable to obtain sufficient grant assistance from sources other than WIA to pay for the training costs (tuition, books, fees, and required materials for coursework). Funding for an ITA for the WIA Adult and Dislocated Worker programs will be limited to a maximum of $2,000 per year per participant. The maximum dollar amount of any training or support services may be exceeded at the discretion of the WIA Director. To be considered for enrollment in any baccalaureate degree program in which WIA funding is authorized, the applicant/participant needs to demonstrate all of the following requirements:

when the vocational goal is among regional demand occupations; and

when the participant has two academic years or less to complete the baccalaureate degree; and

when the participant has not already earned a baccalaureate and/or post‐graduate degree (unless he/she may require a short‐term endorsement or certification), or the previous baccalaureate degree is substantially outdated; and

When sufficient funding exists through WIA regional allocations to sustain the baccalaureate degree goal.

Veterans Priority In the Jobs for Veterans Act, a veteran is an individual who served in the active military, naval or air service and was discharged or released from such service under conditions other than dishonorable. This includes National Guard or Reserve personnel called to active duty. A military spouse is defined in the Act as an individual who is married to an active duty service member, including National Guard or Reserve personnel on active duty. The surviving spouse of an active duty service member that lost his or her life while on active duty service in Afghanistan, Iraq or other combat‐related areas, is considered to be a military spouse. Eligibility for the WIA Adult and Dislocated Worker program is not affected by the veterans’ priority. The Jobs for Veterans Act provides priority service only to veterans or military spouses

Region 8 RCSP 34

who meet the program’s eligibility requirements. Region 8 will give priority for enrollment into WIA for all levels of services to veterans and military spouses who seek assistance in WIA Adult and Dislocated Worker program. Veterans will be informed through verbal and written notice of this priority of service. If a person meets the eligibility and selection criteria for services and there are insufficient resources to cover all requests for assistance, Region 8 will give priority for services to eligible veterans and military spouses. If there is insufficient money for training or other services and activities eligible veterans and military spouses will be given preference for the remaining funds. When there are no funds for services a waiting list will be maintained. The eligible veterans and military spouses will be placed at the top of the waiting list in order of their application date. In the Jobs for Veterans Act, a veteran is an individual who served in the active military, naval or air service and was discharged or released from such service under conditions other than dishonorable. This includes National Guard or Reserve personnel called to active duty. A military spouse is defined in the Act as an individual who is married to an active duty service member, including National Guard or Reserve personnel on active duty. The surviving spouse of an active duty service member that lost his or her life while on active duty service in Afghanistan, Iraq or other combat‐related areas, is considered to be a military spouse. One Stop Center Partnerships are included as part of the training curriculum on veteran issues for the center. Topics covered in the training include topics dealing with VET preference, the referral process of veterans to obtain case management from DVOPS and sources for community service referrals for veterans. The WIA staff has access to the same information as the IWD staff in terms of serving our veteran clients. Each partner organization will serve as a gateway to workforce services, such as cross‐referral, outreach, capacity building and cross training of staff. In order to qualify for veteran’s preference a person must provide a copy of his/her DD214, which shows a discharge of “Honorable” and meet the eligibility criteria for the respective program.

OUTREACH EFFORTS AND SERVICES FOR TARGETED POPULATIONS NOTE: All populations are offered the same menu of services from the One‐Stop. Many local employers embrace these populations as they seek out the candidates who can fill their jobs. Recommendations are made to employers based on skills and abilities as well as capacity to learn without regard to these demographics. Partners who also serve these populations are referral sources for the One‐Stop. A benefit of the Integrated model is that partnerships are better understood by all One‐Stop staff so that all members can be served by a single model, with partner referrals used to fill out needed services that the One‐Stop cannot provide. A book of regional services is provided to each member upon completion of membership as well as referrals as appropriate.

Region 8 RCSP 35

Veterans:

Priority of Service to Veterans (when funds for intensive & training services are limited)

Partnership with community entities for special events (ex. Veterans Day breakfast)

Relationship with ESGR so recruiting efforts include Guard members

Relationship with ESGR employers

Relationship with businesses who have hired veterans Low‐Income population:

A majority of the Adults who are served in Intensive and Training services in the Adult program are low‐income by WIA definition

Assessment of TANF individuals occurs in the One‐Stop so offers of other services can be recommended as needed

Non‐English speaking population:

Region 08 non‐English populations are included in outreach efforts through bi‐lingual posters for recruiting events that are posted in locations where they are most likely to see them (specialty grocery stores, gas stations, etc.)

Language Link is available for translation services

ESL classes are held at Western Iowa Tech Community College in Denison and Des Moines Area Community College in Carroll in this region and referrals are made to those services

Older Workers:

Offer digital literacy training to older workers to encourage them to attend our classes in order to grasp basic elements they can use to job search in the technology age.

Refer older workers to ABE classes at WITCC and DMACC when One‐Stop center classes are not appropriate to get them the skills needed to reach their employment goals

Partnership with Experience Works (SCSEP) –workshops that target older workers needs TANF recipients:

All DHS referrals to the Promise Jobs program may become members of the One‐Stop when they attend orientation so they are fully aware that services from this office are intended to help them reach employment

The full menu of services and workshops are offered to recipients so that they are able to learn alongside other job seekers which in itself can be a learning experience

When Promise Jobs and DHS services are incomplete in assisting a recipient in reaching their goals, the other programs within the One‐Stop may be offered as appropriate to provide the necessary resources that will result in employment. (example: WIA Adult or Youth services). Outside referrals will be made as appropriate to support individual goals to reach success.

Disconnected and Disadvantaged Youth:

Outreach to all high schools in the region is on‐going

Meet with youth in locations they can reach

Region 8 RCSP 36

Relationships with special education teachers and guidance counselors

Relationship with Juvenile Justice system

Relationship with IVRS

Relationship with community college programs that serve this population (TRIO and Dis‐ability Support Services)

Relationship with businesses who have hired these youth in summer work experiences Migrant and Seasonal Farm workers:

Relationship with MSFW IWD staff who meet these workers where they work

Partnership and co‐enrollments with PROTEUS Ex‐Felons:

Relationship with businesses who will consider ex‐felons for hire

Federal Bonding offered to help secure hires

Testimonials from successful hires

Testimonials from employers who have had good results with hires

Use On‐the‐Job training funds when available to advance a chance for an individual Disabled:

Outreach to all high schools in the region is on‐going

Relationships with special education teachers and guidance counselors

Relationship with Juvenile Justice system

Relationship with IVRS to partner

Relationship with community college programs that serve this population (TRIO and Dis‐ability Support Services)

Relationship with businesses who have hired

Ticket‐to‐Work is part of One‐Stop programming Homeless population:

One‐Stop services can be offered, including employment services

Additional outreach to other agencies in the region

Services to Employers Services for employers in Region 8 include:

Recruiting ‐ IWD staff seeks to match job seekers against the employment needs of prospective employers, and to make appropriate referrals. No fees are charged and job listings are posted on several internet sites.

Outreach ‐ Region 8 provide area employers assistance with recruitment needs, coordination of large‐scale recruitment such as career and employment fairs, and marketing of IWD products and services. Career and Employment Fairs offer employers and job seekers the opportunity to interact at a single location.

Testing Services ‐ IWD staff can administer, at no charge to the employer or job seeker, proficiency tests for typing, 10 key and spelling. OPAC ‐ the Office Proficiency Assessment and Certification System is an office skills testing suite. With an array of over 30 tests the OPAC System is the perfect tool to measure job applicant PC and office skills.

Region 8 RCSP 37

Reverse Referrals ‐ This service directs all interested job seekers to apply for openings at the IWD offices, freeing the employer’s time for other tasks.

Work Keys & NCRC ‐ A system developed by American College Testing (ACT) for documenting and improving work place skills. Work Keys is implemented in three steps: Job Profiling, Assessments, and Training Targets. Work Keys allows employers to screen employees with needed skills, determine training needs of entry level and current employees, and provide schools with information on how to prepare students for the workplace. The National Career Readiness Certificate (NCRC) is the work‐related skills credential. The certificate provides fair and objective measurement of workplace skills that can be accepted nationwide. Region 8 will work to further the Skilled Iowa Initiative, a partnership between the state, businesses, and economic development that works to see that workers in the state have the skills necessary to help businesses advance and remain competitive.

Tax Credits ‐ The Work Opportunity Tax Credit (WOTC) and Welfare to Work Tax Credit (WtWTC) offers employers federal income tax credit if they hire persons from certain qualified groups, such as the low income or disabled.

Labor Market Information ‐ Current Labor Market Information is available on various economic trends and occupations, including data on prevailing wage rates and projected job outlooks.

Child Labor Forms ‐ IWD staff authorizes Work Permits/Certificates of Age to young people seeking to enter the job market. Anyone who is less than age 18 and planning to go to work must secure this verification that they are old enough for the job in question, and that the job is safe for them to perform.

Required Posters ‐ General requirements and ordering information is available for state and federal required employer posters. These posters are available at no cost to the public from IWD.

Business Closings/Downsizing ‐ Should a business experience closing or restructuring, IWD staff and its partners are ready to help employees make the transition to other employment. Laid‐off workers are provided access to services, including financial support and training.

Unemployment Insurance Tax Forms and Publications ‐ A number of commonly required or requested forms are available on‐line.

Unemployment Insurance Fraud – IWD’s fraud detection program attempts to prevent and detect unemployment benefits paid to claimants through willful misrepresentation or error by the claimant, through IWD error, or misrepresentation by others. Better detection and prevention of improper unemployment insurance benefit payments results in a decrease in benefits payouts, which in turn decreases employer taxes.

Six Step Workshops ‐ This series of workshops is available for job seekers, dislocated workers, students, and other customers interested in updating their job seeking skills, deciding on a career, going back to school, budgeting, etc. There is no cost to attend any of these workshops.

Iowa Works ‐ Businesses can use Iowa Works to submit job openings electronically, find the average wage paid for Iowa occupations, print posters required for Iowa workplaces, link their website to our Business Directory.

Region 8 RCSP 38

Skilled Iowa – Links job seekers with firms looking to hire and who are willing to provide job‐sills training. All workers are prescreened and matched with employer needs.

Outreach Efforts and Services for Targeted Populations West Central Community Action and Experience Works as partner organizations operate older worker programs in this region. Their participants are utilized in many of the partner organizations around the region. Region 8 is a part of the IWD Ticket to Work Employment Network and encourages the assignment of tickets with One‐Stop Center members. Proceeds from the Employment Network are used to increase the capacity of the center to serve individuals with disabilities. Western Iowa Tech Community College in Denison and Des Moines Area Community College in Carroll in partnership with Region XII COG are developing offerings digital literacy classes and English as a Second Language non‐credit workshops.

Regional Economic Development Partnerships Region XII COG, the WIA administrative entity for SDR08, is also the recognized Economic Development District by the US Department of Commerce – Economic Development Administration. The COG annually prepares the Comprehensive Economic Development Strategy for the region in cooperation with the six county economic development organizations. In addition, Region XII COG through its Region XII Development Corporation, is a partner in the 8‐county Western Iowa Advantage. Fee‐Based Services At this time, Region 8 does not offer any fee‐based services but will explore opportunities as they arise.

Planned Expenditures and Enrollments and Cost‐Per‐Participant Estimates The following information contains cost information for Region 8 for the most recently completed program year. The statewide information, for the given year, has also been included so an estimate can be made of anticipated costs for future years.

Region 08 WIA PY 2011 Participant Rates

Title or Program Total Part.

Average Cost/Part.

Adult 29 $941

Dislocated Workers 102 $1493

Youth 14 $2764

Total All Programs 145 $5198

Region 8 RCSP 39

Statewide WIA PY 2011 Participant Rates

Title or Program Total Part.

Average Cost/Part.

Adult 43,337 $73

Dislocated Workers 3,221 $1,385

Youth 1,304 $3,145

Total All Programs 47,862 $291

With the above information in mind, the following are estimates of anticipated cost per participant figures. It is difficult to anticipate the number of Dislocated Workers that will be enrolled due to the ever‐changing economy. Over the past several years, the region has seen an increase in the number of business closures and/or substantial layoffs. The combined cost per participant exceeds the statewide average due to the total planned enrollments of a smaller region.

Estimated Cost‐Per‐Participant

Title or Program Planned

Enrollments Planned Cost Per Participant

Adult 908 $75

Dislocated Workers 112 $1500

Youth 30 $2500

Total All Programs 1050 $4075

Performance Summary and Anticipated Performance Goals Region XII COG will provide the RWIB and the CEO boards with performance and fiscal data on an annual basis and as requested. The boards will use that information and public comment to evaluate performance and to determine the need for continuous improvement activities. Region XII COG staff has developed and implemented performance tracking documents that helps to ensure that the region will meet the negotiated performance standards. Region XII COG staff regularly produces performance reports to monitor progress toward meeting the negotiated standards. Region 8 has a long history of working collaboratively with various partners within the region. Ongoing partner meetings have been held with multiple providers to determine what services are currently being offered through various programs and identify gaps within the current service structure. In this way, partners are able to maximize services and funding levels and the participants benefit by having a more complete, comprehensive service plan to reach self‐

Region 8 RCSP 40

sufficiency. In turn, the region is more likely to meet performance goals. Performance Oversight Region XII COG will provide regular reports to the CEO and RWIB, updating the boards on the region’s performance and progress towards meeting performance standards. The RWIB and CEO boards will evaluate the performance and, if necessary, determine actions to be taken to improve performance. If a significant problem with WIA performance is identified, the RWIB/CEO will conduct an evaluation of the service provider. The RWIB and CEO will review and if appropriate make comment on all federal and state monitoring reports as provided by those monitoring/auditing entities.

Performance Goals Required performance measures are primarily focused on job seeker customers. IWD and Region 8 are committed to achieve and exceed our negotiated performance indicators. (Statutory WIA measures have been waived and replaced with Common Measures) WIA Requirement at Section 136(b) Iowa Statewide Performance

Goal for PY13 (July 1, 2012 through June 30, 2013)2

Region 8 Performance Goal for PY13 (July 1, 2013 through

June 30, 2014)*

Adults: Entered Employment Rate Employment Retention Rate Average Six‐Months Earnings Certificate Rate

65% 82% $11,700 Not applicable

65% 82% $11,700 Not applicable

Dislocated Workers: Entered Employment Rate Employment Retention Rate Average Six‐Months Earnings Certificate Rate

77% 92% $15,000 Not Applicable

77% 92% $15,000 Not Applicable

Youth, Aged 19‐21: Entered Employment Rate Employment Retention Rate Six‐Months Earnings Certificate Rate

Not Applicable for Common Measure States


Youth, Aged 14‐18: Skill Attainment Rate Diploma or Equivalent Attainment Rate Retention Rate



Youth Common Measures1

Placement in Employment or Education Attainment of Degree or Certification Literacy and Numeracy Gains

74.6% 56.2% 35%

74.6% 56.2% 35%

Customer Satisfaction: Participant Customer Satisfaction

Not Applicable for Common

Not Applicable for Common

Region 8 RCSP 41

Employer Customer Satisfaction Measure States Measure States Additional State‐Established Measures

Not Applicable Not Applicable

W‐P Requirement at Section 13(a) Performance Goal Entered Employment Rate Employment Retention Rate Average Six‐Months Earnings

65%82% $13,000

65% 82% $13,000

* Areas that have negotiated and been approved for local PY 2013 standards should insert their final approved local standards.

Region 08 Skilled Iowa Metric Based on Statewide Skilled Iowa Metric

Current Region Member Business (recognizes, prefer or recommend NCRC)

80% of Goal 8.00%

100% of Goal 10.00%

Current Region Member Business Employment

80% of Goal 16.00%

100% of Goal 20.00%

Current Region Employed NCRC Holders

80% of Goal 4.00%

100% of Goal 5.00%

Current Region Unemployed NCRC Holders

80% of Goal 16.00%

100% of Goal 20.00%

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SECTION F ‐ MEMORANDUM OF UNDERSTANDING The Memorandum of Understanding (MOU) between the RWIB, CEO, and participating partner organizations may be found in the attachments section of this document. To ensure that the reader has the most recent MOU in force, he or she may wish to check with Region XII COG.

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SECTION G ‐ Region 08 Policies and Procedures

1. OUTREACH The outreach strategy has been designed to maximize the opportunities for the eligible population to become aware of and apply for WIA services. Field staff travel to all counties within Region 8 on an as‐needed basis. Such a policy enables applicants with transportation barriers to meet with WIA staff who can initiate registration and training activities. Staff also has designed a process where their normal schedules and service areas can be modified or suspended in order to assist when an uncommon situation arises. An example of this would be a major employment dislocation and rapid response requirements. In addition to providing outreach services directly to potential WIA applicants, the staff has developed contacts with multiple partner agencies. As an example, PROMISE JOBS registrants and individuals who are participating in reemployment workshops at the IowaWorks Center are routinely referred to WIA and because of the proximity of staff are often jointly staffed at intake. Eligibility for Core/Staff assisted Core services for the Adult and Dislocated Worker WIA program will be established through the membership process. The membership process is designed to ensure that each customer who comes into the workforce center for employment and training services receives at a minimum, the following (1) staff‐assisted core services:

Assessment of a participant’s career objectives, education or skills in order to assist participant in deciding on appropriate next steps in the search for employment, training and related services, including job referral; and assist participants in accessing other related services necessary to enhance their employability and individual employment related needs.

Delivery of this staff‐assisted core service meets the TEGL 17‐05 definition of “significant” staff

assistance (regardless of length of staff time involved), and as such is one of the triggers for

program enrollment. Based on eligibility determinations and receipt of a service with significant

staff assistance, co‐enrollment into multiple programs occurs simultaneously into each program

that in whole or in part contributes funds. According to TEGL 17‐05, “the determination as to

whether or not to include a participant in WIA, WP or other partner programs’ performance

calculations is based on whether the services, staff, facility or activity was funded in whole or in

part by WIA, WP or partner programs.” In co‐located Centers, at a minimum, it is determined

that all core services are funded by multiple programs, i.e., at a minimum, both WP and WIA

funds.

In terms of the membership policy in Iowa, (2) significant staff assistance and (3) co‐funding

have predetermined application to all members. Therefore, eligibility determinations are the

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only unique, individualized activity affecting co‐enrollment decisions. For co‐enrollment

between WIA Adult and Dislocated Worker Program, the regional leadership team will create

local policy. Otherwise, when eligibility permits, every member will be co‐enrolled into all

qualifying programs.

1. The full Membership process applies only to customers seeking employment and training services, and does not apply to customers visiting the center for other services. Only the WIA Service provider (Region XII COG) will approve moving participants from intensive into training services.

2. Having met the three (above) determinants for co‐enrollment, each member is in each of the relevant programs’ performance pool. The only exclusion described in TEGL 17‐05 ‐‐ those customers that have only received self‐service or informational activities – does not apply to members, as all will go through the Membership process.

3. In addition to co‐enrollment procedures, the Membership function includes provision of the required staff‐assisted core service described above: initial basic assessment based on a standardized list of customer questions, this initial assessment will triage customers into one of three recommended service cohorts: career development, career advancement, or employment express.

If additional services are identified as needed, the skills development team will make the appropriate referrals or gather all eligibility verifications necessary to participate in WIA‐funded intensive and/or training services. The Skills Development Team will verify all required documentation for 100% of those individuals needing WIA intensive or training services from the date the need is established. The Skills Team will follow the eligibility guidelines established in Section 11 of the WIA Handbook as well as any applicable Field memos.

For Adults and Dislocated Workers who are employed at enrollment: Region 8 will allow adults and dislocated workers who are employed to be enrolled in Intensive and Training services if they are low‐income adults or adults or dislocated workers who are earning under the Region 8 self‐sufficiency definition. Region 8 local definition for self‐sufficiency: The Region defines self‐sufficiency as a wage determined adequate to the individual’s situation and is negotiated between the participant and case manager. The case manager will document the negotiation and the wage determined as self‐sufficient into a case note.

2. ALLOWABLE PARTICIPANT SERVICES, ACTIVITIES AND SUPPORT SERVICES No more than $5000 per participant, per program year will be available to assist individuals with their training and supportive service needs with the exception of On‐the‐Job Training (OJT) contracts. The maximum dollar amount of any training or support services may be exceeded at the discretion of the WIA Director. In addition, the activities listed below have additional stipulations. Those are:

Institutional Skill Training (IST) Those applicants who have already completed one or

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more terms must submit copies of grades earned. A 2.0 (out of a possible 4.0) grade point average is required to be considered for enrollment in WIA. Students whose cumulative GPA falls below a 2.0 in a given semester will be given one probationary term to elevate their GPA to the required level. No one who is in default on student loans will be enrolled unless that person has demonstrated that he/she is taking action to repay the loans. No advanced degrees will be funded. However, required certifications for specific occupations, such as teaching, are allowable. Those pursuing baccalaureate degrees must be enrolled in programs that provide specific job skills for which there is a demand in the labor market. The maximum length of enrollment for those enrolled in IST is 48 months of actual training time.

Limited Internship (LIN) Adults and youth will be paid less than the state determined minimum wage for time spent in the LIN activity.

Skill Upgrading (SUG) This activity will not exceed 26 weeks except in the case of ESL, which will not exceed 52 weeks. SUG does not lead to a credential.

Work Experience (WEP) WEP wages will be paid no less than the state determined minimum wage.

Post Program Services (PPS) The cost of Post Program Services may not exceed a maximum of $500.00 per participant per program year. Activities and services that are included as a part of Post Program Services shall not exceed the training and supportive service limits identified in this section.

Support Service Payments Support service payments may be provided when necessary to enable a participant to participate in WIA activities. Support service payments can be made only when the participant cannot afford to pay for such services and when they are unable to obtain the service through other programs providing such services. The need for any amount of support service payments will be documented in the participant’s Individual Service Strategy (ISS) or Individual Employment Plan (IEP). Support services payments in the region will be as follows:

Clothing ‐ No more than $250 per participant, per year

Counseling ‐ Not to exceed $500 per participant per year

Dependent Care ‐ $20 per day for everyday of documented participation in a WIA activity as described in the participants plan.

Financial Assistance ‐ No more than $500 per participant, per year.

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Health Care ‐ Up to $300 annually per participant.

Miscellaneous Services ‐ Not to exceed $300 per participant, per year.

Relocation ‐ A maximum of $1000 per participant.

Residential/Meals Support ‐ No more than $60 per day for meals and lodging while the participant is away from home for required training. Campus housing costs for college students will not exceed $1,000 per semester plus $500 for summer sessions.

Services for Individuals with Disabilities ‐ No more than $250 per participant per year.

Stipend – Amounts granted should be based on individual need not to exceed $500 per participant per year.

Supported Employment and Training ‐ Not to exceed 6 months of training per participant.

Transportation ‐ A maximum of $0.20 per mile, with a minimum of 10 miles round‐trip and a maximum daily payment of $20.00.

The maximum dollar amount of any training or support services may be exceeded at the discretion of the WIA Director.

On‐The‐Job Training (OJT) The purpose of OJT is to train a participant in an actual work situation that has career advancement potential in order to develop specific occupational skills or obtain specialized skills required by an individual employer.

1. Wages and Benefits Since OJT is employment, State and Federal regulations governing employment situations apply to OJT. Participants in OJT must be compensated at the same rates, including periodic increases, as trainees or employees who are similarly situated in similar occupations by the same employer. Wages paid must not be less than the highest of Federal or State Minimum Wage or the prevailing rates of pay for individuals employed in similar occupations by the same employer. Participants in OJT must be provided benefits and working conditions at the same level and to the same extent as other trainees or employees working a similar length of time and doing the same type of job. Each participant in OJT must be covered by Worker's Compensation in accordance with State law.

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2. Payment and Training Length Payment by WIA to employers is compensation for the extraordinary costs of training participants, including costs of classroom training, and compensation for costs associated with the lower productivity of such participants. A trainer must be available at the employment site to provide training under an OJT contract. For example, a truck driving position where the driver drives alone or without immediate supervision or training would not be appropriate for OJT. The payment by WIA must not exceed 50 percent of the wages paid by the employer to the participant during the period of the training agreement. Wages are considered to be monies paid by the employer to the participant. Wages do not include tips, commissions, piece‐rate‐based earnings or non‐wage employer fringe benefits. Holidays may be used as the basis for OJT payments only if the participant actually works and receives training on the holiday. Overtime hours are not eligible to be covered by WIA payments. An OJT contract with an employer can be written for a maximum of six (6) calendar months unless the contract is for a part‐time OJT of less than 500 hours, in which instance the contract period may be extended to a maximum of twelve (12) months. Under no circumstances can an OJT contract be written for a participant if the hours of training required for the position in which the participant is to be trained is determined to be less than 160 hours. The number of OJT training hours for a participant must be determined using the following standardized chart. The hours specified must be considered as a departure point for determining actual WIA training hours. If the total number of training hours for the OJT position cannot be provided during the maximum contract length allowable, as many training hours as possible must be provided.

Specific Vocational Preparation Level Hours

1 80 2 160 3 520 4 1040 5 2080 6+ 4160

A guide to the Specific Vocational Preparation Level may be found in the publication titled “Stratifying Occupational Units by Specific Vocational Preparation (SVP),” located at http://www.onetcenter.org/dl_files/SVP.pdf

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The OJT training hours for a participant must be reduced if a participant has prior related employment or training in the same or similar occupation. Previous training or experience, which occurred so long ago that skills gained from that experience are obsolete, may be disregarded to the extent that those skills need to be relearned or reacquired. The number of training hours for a participant may be increased based upon the individual circumstances of the participant such as disability. The number of hours of training for any participant as well as the process for extending or reducing those training hours from the basic method of determination must be documented in the participant's IEP.

3. Employer Eligibility OJTs may not be written with temporary help agencies or employee leasing firms for positions, which will be "hired out" to other employers for probationary seasonal, temporary or intermittent employment. The only instance in which a temporary employment agency may serve, as the employer of record is when the OJT position is one of the staff positions with the agency and not a position that will be "hired out." In situations where an employer refers an individual to the WIA program for eligibility determination, with the intent of hiring that individual under an OJT contract, the individual referred to WIA may be enrolled in an OJT with the referring employer only when the referring employer has not already hired the individual and an objective assessment and the IEP have been completed which support the development of an OJT with the referring employer. Prior to re‐contracting with an OJT employer, the past performance of that employer must be reviewed. An OJT contract must not be entered into with an employer who has previously exhibited a pattern of failing to provide OJT participants with continued long‐term employment as regular employees, with wages and working conditions at the same level and to the same extent as similarly situated employees. OJT participants that voluntarily quit, or are terminated for cause, or are released due to unforeseeable changes in business conditions, need not result in termination of employer eligibility for future OJT contracts. An employer that has been excluded from OJT contracting because of the requirement described above may again be considered for an OJT placement one year after that sanction was imposed. In this re‐contracting situation, if the employer fails to retain the participant after the OJT ends, and there is no apparent cause for dismissing the employee, the employer must not receive any future OJT contracts.

3. ELIGIBILITY VERIFICATION REQUIREMENTS Region XII COG staff will be solely responsible for conducting eligibility determinations for

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Youth, Adults, and Dislocated Workers. One hundred percent (100%) of all participant intensive and training case files will be selected for eligibility verification. All eligibility items for these files will be reviewed to insure that appropriate determinations have been made. If the verification process reveals that an individual is not eligible, any funds expended for that individual will be reimbursed to the program by Region XII COG and he/she will be referred for other appropriate services.

4. FINANCIAL NEEDS DETERMINATION POLICY AND PROCEDURES The Financial Needs Determination (FND) will provide documentation for participation in institutional skills training. In addition, the FND will be used to justify support services, including the amount of unmet need. The Financial Needs Determination developed by the State will be used for all Region 08 WIA participants who are enrolled in Institutional Skills Training and entrepreneurial training. When determining the amount of WIA funds that will be obligated on behalf of a participant, only the education and related expenses and the education and related resources portion of the FND form will be utilized. If a WIA participant is Trade/Dislocated Worker co‐enrolled, however, the actual household living expenses and resources in addition to education and related expenses and resources will be used in accordance with state guidelines. Since both expenses and resources often change, the need for financial support of training will be reviewed annually at a minimum, or when significant changes in expenses, financial aid, or resources occur.

5. INCENTIVE AND BONUS POLICY FOR YOUTH PROGRAMS Incentive and bonus payments may be provided for youth participants when necessary to motivate a youth to complete his/her WIA activities. Examples may be an award for attendance or achievement of significant benchmarks as identified on the participant’s Individual Service Strategy. Specific benchmarks may include:

Attendance‐based payments. These may be issued to participants based on participation in classroom activities. Payment is $10 per day, not to exceed $1000 per person per year. Attendance must be documented and verified by an instructor.

Achievement‐based payments. Participants may be eligible to receive payments for achieving the following milestones:

1. High School Diploma Awarded $200

2. GED Attainment* $200

3. Work Readiness Skills Completion $75

4. Occupational Skills Competency Completion $75

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5. Basic Skills or Literacy & Numeracy Goal Completion $75

6. Successful Completion of Academic Learning Component $150

*May be issued as a lump sum upon GED completion, or given in $25 payments upon passing each of the five GED tests, with the remaining $75 awarded upon GED completion.

6. SPECIFIC YOUTH POLICIES Youth 5% Window Up to five percent of youth enrolled in the Youth program do not have to meet the minimum income criterion, if they meet one or more of the following criteria:

School dropout (this does not include individuals enrolled in an alternative school);

Basic skills deficient (has English reading, writing, or computing skills below the 8th grade level);

One or more grade levels below the grade level appropriate to the individual’s age;

Pregnant or parenting;

Disabled, including learning disabled;

Homeless or runaway;

Offender; or

At‐Risk Youth*. *At‐Risk Youth: are potential dropouts, substance users, low academic achievers, abused or homeless individuals, youth offenders, economically deprived, minorities, culturally deprived, culturally different, those with sudden negative changes in performance due to environmental or physical trauma and those with language barriers, gender barriers, and disabilities.

Out‐of‐School Youth Set‐Aside At least 30 percent of the WIA funds available to the region for youth programs will be used to provide services to out‐of‐school youth. According to Field Memo #6‐03, an out‐of‐school youth is one who is a school dropout or who has received a secondary school diploma or its equivalent but is unemployed, underemployed, or basic skills deficient as defined in Field Memo #6‐03. Prioritization of Enrollments Since it is possible that more youth will apply for assistance than funding will accommodate, priority will first be given to 16 to 21 year olds who meet eligibility criteria. Secondary consideration will be given to youth who are out‐of‐school. Third consideration will be youth who are not eligible for assistance through other programming.

7. COMPLAINT PROCEDURE This section contains the procedure to be used to file a WIA‐related complaint in Region 8. Complaints may be filed with the Coordinating Service Provider (CSP) to resolve alleged violations of the WIA Federal or State regulations, the grant agreement, contract or other agreements under the Act.

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Filing a Complaint Any interested person, organization or agency may file a complaint, within 90 calendar days of the alleged occurrence. Content of the Complaint Complaints must be clearly portrayed as such and meet the following requirements:

Complaints must be legible and signed by the complainant or the complainant’s authorized representative;

Complaints must pertain to a single subject, situation or set of facts and pertain to issues over which the State has authority (unless appealed from the local level);

The name, address and phone number (or TDD number) must be clearly indicated. If the complainant is represented by an attorney or other representative of the complainant’s choice, the name, address and phone number of the representative must also appear in the complaint;

Complaints must state the name of the party or parties complained against and, if known to the complainant, the address and telephone number of the party or parties complained against;

Complaints must contain a clear and concise statement of the facts, including pertinent dates, constituting the alleged violations;

Complaints must cite the provisions of WIA regulations, grant agreements, or other agreements under WIA believed to have been violated, if applicable. Complaints alleging a program violation not covered under the WIA will be referred to the appropriate organization;

Complaints must state the relief or remedial action(s) sought; and

Copies of documents supporting or referred to in the complaint must be attached to the complaint; and

Complaints must be addressed to:

Complaint Officer ‐ WIA Region XII Council of Governments PO Box 768 Carroll IA 51401

Acknowledgement of a Complaint and Notice of Opportunity for a Hearing A complaint is deemed filed when the CSP has received it and it meets the requirements

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outlined above. Upon receipt of a complaint, the CSP will send a copy of the complaint and a letter of acknowledgement and notice to the complainant and any persons or entities cited in the complaint within ten calendar days. The letter of acknowledgement and notice will contain the filing date and notice of the following:

The opportunity for informal resolution of the complaint at any time before a hearing is convened; and

The opportunity for a party to request a hearing by filing with the CSP within seven calendar days of receipt of the acknowledgement of the complaint.

a. Failure to file a written request for a hearing within the time provided constitutes a waiver of the right to a hearing, and a three‐member panel will rule on the complaint based upon the information submitted;

b. If a hearing is requested within seven calendar days of receipt of the

acknowledgement of the complaint, the hearing will be held within 20 calendar days of the filing of the complaint;

c. The opportunity for a party to submit written evidence, statements, and documents

in a time and manner prescribed by the complaint officer. Complaint Resolution The CSP shall convene a review panel of 3 representatives and 1 RWIB member to review complaints within 20 calendar days of the receipt of the complaint. The review panel may, at its discretion, request oral testimony from the complainant and the parties complained against. Within 30 calendar days of the receipt of the complaint, the review panel will issue a written decision including the basis for the decision, and, if applicable, remedies to be granted. The decision will detail the procedures for appeal to IWD if the complainant is not satisfied with the decision. Parties may appeal the decision by filing an appeal in accordance with the State Complaint Procedures of the Workforce Development Center System Handbook. If no appeal of the decision is filed within the time provided, the decision shall become final. Complaints determined not to be under the jurisdiction of these procedures will be returned to the complainant within 7 days of receipt of the complaint advising the complainant of the appropriate authority. Informal Settlement A complaint may, unless precluded by statute, be informally settled by mutual agreement of the parties any time before a hearing is convened. The settlement must be effected by a settlement agreement or a statement from the complainant that the complaint has been

Region 8 RCSP 53

withdrawn or resolved to the complainant’s satisfaction. The CSP must acknowledge the informal settlement and notify the parties of the final action. With respect to the specific factual situation which is the subject of controversy, the informal settlement constitutes a waiver by all parties of the formalities to which they are entitled under the terms of the Iowa Administrative Procedure Act, Iowa Code Chapter 17A, WIA, and the rules and regulations under WIA. Hearings Upon receipt of a timely request for a hearing, a review panel will give all parties at least seven days written notice either by personal service or certified mail of the date, time and place of the hearing. The notice may be waived in case of emergency, as determined by the panel, or for administrative expediency upon agreement of the interested parties. The notice of hearing will include:

A statement of the date, time, place, nature of the hearing;

A brief statement of the issues involved; and

A statement informing all parties of the below opportunities at the hearing:

a. Opportunity for the complainant to withdraw the request for hearing before the hearing;

b. Opportunity to reschedule the hearing for good cause, provided the hearing is not held later than 20 days after the filing of the complaint;

c. Opportunity to be represented by an attorney or other representative of choice at the complainant’s expense;

d. Opportunity to respond and present evidence and bring witnesses to the hearing;

e. Opportunity to have records or documents relevant to the issues produced by their custodian when such records or documents are kept by or for the state, contractor or its subcontractor in the ordinary course of business and where prior reasonable notice has been given to the Complaint Officer;

f. Opportunity to question any witnesses or parties;

g. The right to an impartial review panel; and

h. A final written agency decision shall be issued within 60 days of the filing of the complaint.

Appeal Any party receiving an adverse decision at the local level may file an appeal within 10 calendar

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days to the IWD Complaint Officer. In addition, any complaint filed at the local level with no decision within 60 days of the date of the filing may be reviewed by IWD. The request to review the complaint must be filed with the Complaint Officer within 15 calendar days from the date on which the decision should have been received. The appeal or request for review must comply with the procedures as prescribed in this section for filing a complaint. The parties involved will be afforded the rights and opportunities as prescribed in this section for filing a state level complaint. An appeal to the IWD Complaint Officer must be filed within 10 calendar days from the issuance date of the decision and include:

The date of filing the appeal; and

The specific grounds upon which the appeal is made. Those provisions upon which an appeal is not requested will be considered resolved and not subject to further review.

Appeals must be addressed to:

Complaint Officer Division of Workforce Development Center Administration Iowa Workforce Development 150 Des Moines Street Des Moines, Iowa 50309

Labor Standards Violation Alleged violations of labor standards must be filed in accordance with the applicable collective bargaining agreement. All other alleged violations must be within the purview of either the CSP or RWIB to resolve. Complaints Alleging Discrimination Questions or complaints alleging a violation of the nondiscrimination provisions of WIA may be directed or mailed to:

Director, Civil Rights Center U.S. Department of Labor, Room N4123 200 Constitution Ave., NW Washington D.C. 20210

8. RCSP AMENDMENTS AND MODIFICATIONS The WIA Director will submit a proposed modification to the appropriate state‐level program coordinator(s) for review at least 30 days prior to the date of the RWIB/CEO meeting at which the modification will be addressed. The proposed modification shall be submitted in writing or electronically accompanied by a brief narrative describing or highlighting the proposed

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change(s). Within 10 working days of receipt, state program staff will review the proposed modification and notify the WIA Director, in writing or electronically, of any recommendations and required changes to the proposed modification. Any necessary changes will need to be re‐submitted, within 10 working days, to the appropriate state program coordinator for review. State program staff will send written or electronic notice to the WIA Director that the proposed modification is approvable and is to be referred to the RWIB and CEO for approval. The effective date of the RCSP modification is the date of the RWIB and CEO approval, whichever date is latest. Once the RCSP modification is approved by the RWIB and CEO, copies of the approved modification and a completed and signed RCSP Modification Transmittal Form will be sent to:

Division Administrator IWD Division for Workforce Center Administration 150 Des Moines St. Des Moines IA 50309

Within 10 working days of the receipt of the modification and signed RCSP Modification Transmittal Form, a letter will be sent to the RWIB Chair and CEO acknowledging the receipt of the modification and noting the effective date of the modification. General Modification Procedure This procedure applies to all non‐WIA program specific portions of the RCSP, including the Attachments. Once the RCSP modification is approved by the RWIB and CEO, copies of the approved modification and a completed and signed RCSP Modification Transmittal Form will be sent to:

Division Administrator Iowa Workforce Development Division for Workforce Center Administration 150 Des Moines St. Des Moines, IA 50309

9. INTER‐REGIONAL AGREEMENTS Region XII COG has entered into an agreement with Iowa Western Community College (administrative entity for Iowa Region 13) to provide the services of the WIA Director. This agreement is subject to annual review and renewal. Additional sharing agreements may be entered into from time to time as it is deemed mutually beneficial to do so, and may include activities related to client services, financial management, grants, and staffing.

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10. MONITORING ACTIVITIES Region XII COG, as Grant Recipient and Administrative Entity for Service Delivery Region 8, will perform financial and compliance monitoring of funds received by the COG and their sub recipients. The monitoring procedure will provide review, oversight, and evaluation of whether or not the entity or their sub recipients have complied with all applicable laws and regulations as set forth in WIA. A monitoring report on each entity monitored will be prepared and maintained along with documentation of corrective action. Once during each program year, the COG will monitor each contract written for $25,000 or more. The COG will also monitor the following:

A random sample of ten percent (10%) of all non‐OJT financial contracts under $25,000 which start during the quarter;

A random sample of ten percent (10%) of non‐financial activity of service contracts which start during the quarter,

A random sample of ten (10%) of all participant files of participants enrolled or transferred into adult program,

A random sample of ten (10%) of all participant files of participants enrolled or transferred into dislocated worker program and,

A random sample of ten (10%) of all participant files of participants enrolled or transferred into youth programs during the quarter, and

All on‐the‐job training contracts during the second thirty‐day period of activity under the contract and at least every 90 days thereafter.

Contract monitoring and participant file monitoring will be the responsibility of the WIA Director or their designee. Monitoring will be conducted on a quarterly basis and will conform to the guidelines established in this document and the Iowa Workforce Investment Handbook. Sampling Procedures For participants, the WIA director will maintain a list of participants’ files which will be selected by drawing a list by title from the participant file universe generated from the WIA Information system. From this list a research randomizer will be used to select files for the 10% monitoring. Other monitoring criteria for participant files are:

The monitoring sample must be drawn after the end of the quarter being sample and monitored no later than thirty days (30) after the last day of the quarter being sampled;

A participant concurrently enrolled in more than one program must be included in the universe for each program in which the participant is enrolled;

A participant must be included in the sample only in the quarter the participant is enrolled; and

A participant who has been transferred must be included in the sample for the quarter during which the transfer occurred.

For contracts, the WIA Director will maintain a list of financial and non‐financial contracts

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(other than the Administrative Entity contract) and contracts over $25,000 as they are approved. From this list, a random sample will be drawn to select the required ten (10) percent. All contracts will be included in the sample for the quarter within which their effective date falls. Other monitoring criteria for contracts are:

The ten percent (10%) monitoring sample of all non‐OJT contracts below $25,000 must be drawn after the end of the quarter being sampled and monitored but no later than thirty (30) days after the quarter being sampled; and

A contract must be included in the sample for the quarter within which its effective date falls.

Compliance Review For participant file monitoring,‐there will be a review of:

The participant record;

A sample of direct payments to the participant;

A sample of time and attendance records;

Compliance with Federal and State regulations and the customer training plan; and

Required documents For contract monitoring‐and OJT contracts, there will be a review of:

The service provider record;

A sample of fiscal transactions;

Payroll and time and attendance records, as appropriate;

Compliance with the Federal and State regulations and the RCSP;

Compliance with equal opportunity regulations;

Compliance with the work statement, training outline, and all other contract provisions contained in the contract.

Monitoring Reports Once the contracts have been selected and the monitoring completed, a monitoring report will be prepared. The report will indicate the date the contract was monitored, the contractor’s name, the monitor’s name, the type of contract, the contract number, the contract dates, and names of the participants engaged in services provided by the contract. The report will also list each of the monitoring findings along with recommendations for the resolution of any problems. In the event findings are identified, the following corrective action will be implemented:

The WIA Director and the individual who negotiated the contract will meet to review the situation and determine corrective actions.

If the finding is the result of the COG’s staff neglect or error, a staff meeting will be held to explain the problem and possible consequences.

If the COG’s policies and procedures are the problem, a meeting with the Executive

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Director and the WIA Director will be held to correct the situation. If the problem is a serious nature, suggestions and policy direction will be requested of the RWIB.

If the finding is a result of sub‐recipient records or transactions, a meeting will be held between the sub‐recipient, the WIA Director, and the person responsible for negotiating the contract to correct the situation, and a report detailing any findings and corrective action will be sent to the sub‐recipient.

If the finding involves a question of financial operations, a meeting will be held between the Executive Director, possibly the sub‐recipient and the COG Fiscal Officer.

All corrective action will be detailed in writing, signed by the parties involved, and placed in the contract file. Follow‐up on any such corrective action will be the responsibility of the individual who negotiated the contract. All sub‐recipients monitored will receive a verbal or written notice of monitoring findings and any corrective action required if applicable within fifteen (15) days after the initial report is reviewed. In the event of finding requiring corrective action, the sub‐recipient will receive written notice and be required to respond to the findings within twenty (20) days of notification. There is a maximum of fifteen (15) days to respond to financial findings. Upon receiving the sub‐recipient’s response, if further corrective action is determined necessary, a second report will be sent to the sub‐recipient within twenty (20) days of receiving the sub‐recipient’s response. The sub‐recipient shall have fifteen (15) days to respond to the second report. A final determination will be issued within twenty (20) days of receipt of the sub‐recipient’s final response. If required corrective action is not taken by the sub‐recipient, the COG reserves the right to refuse utilizing the sub‐recipient in future contracts. If the corrective action involves repayment of monies, the COG will utilize the debt collection procedure. If a concurrently‐enrolled participant is drawn in the sample for more than one program for the same quarter, only one monitoring report may be completed as long as it includes both activities. Summary of Monitoring Reports A summary report will be completed for each program monitored for each quarter by the end of the subsequent quarter and will include:

1. A list of all participants enrolled or transferred into a program during the quarter; 2. A list of all participants that were monitored during the quarter; 3. A list of all contracts for $25,000 or more with effective dates that fall with in the

quarter; 4. A list of all OJT contracts that were active during the program year with effective dates; 5. A list of all non‐OJT contracts (financial and non‐financial) for less than $25,000 with

effective dates that fall with in the quarter; 6. A list of all non‐OJT contracts that were monitored during the quarter; and

Region 8 RCSP 59

7. A list of OJT contracts that were monitored including the dates monitored 8. The completed reports will be maintained in the participants file and a copy provided to

the Program Director/RWIB/CEO upon request. In place of the lists in items 1, 2, and 4 above, a computer generated list derived from the program provided by IWD may be used. The above‐required lists may be included in one document or can be separate documents. The RWIB and CEO will use all of the above information to evaluate the service delivery process and service providers’ performance. As priorities are met, new ones will be negotiated with the service providers to continue to improve the system. In the event, goals and /or standards are not being met; the RWIB will conduct a dialogue and work with the CSP to offer ideas on how to resolve the issues.

11. SELECTION OF ADULT AND DISLOCATED WORKER SERVICE PROVIDERS WIA requires that core and intensive services for the Adult program and the Dislocated Worker program be provided through the Workforce Development Center. The Act also indicates that these services, for the two separate WIA programs, may be provided by one entity or a number of different entities. If the role of the CSP includes the provision of core and intensive services for adults and dislocated workers, then the selection of adult and youth service providers may be combined with the selection of the CSP. The RWIB and CEO must therefore determine the most effective and efficient manner to provide these services in the region. The RWIB and CEO must also determine which service providers will be responsible for ensuring that WIA performance standards are met, and that the service providers responsible for performance have the authority to make enrollment decisions for the participants for whom they are responsible for performance. Below is an example of the procedure that the RWIB and CEO may use the in selecting service providers. Designation Procedure At a minimum, the procedure to designate the Adult/Dislocated Worker service providers must include the following items.

Public Notice. A public notice must be published. The public notice must indicate that the RWIB/CEO will hold a meeting to select the service provider(s) to provide core and intensive services for the Adult and Dislocated Worker programs under Title I of the Workforce Investment Act. The notice must list the criteria that will be used in the selection of the service provider(s), and must also invite interested entities to give presentations and answer questions relating to the selection criteria listed below. Notices should also be mailed to potentially interested entities within the local region. Public Meeting. The RWIB/CEO must conduct a public meeting to obtain information from entities interested in providing core and intensive services in the local region and to reach an agreement as to the selection of the service provider(s).

Region 8 RCSP 60

Criteria for Selecting Service Providers. Criteria should be established to help select the service provider(s). This may include, in addition to others chosen by the RWIB/CEO:

The effectiveness of the agency or organization in delivering comparable or related services based on documentation of: achievement of performance and service level requirements, previous audit and monitoring reports and capability of the agency’s fiscal unit to manage a similar type of program or project;

The likelihood of meeting performance goals based upon factors such as past performance, staff commitment, and availability of staff; and

The effectiveness of the agency or organization in minimizing the duplication of services, while at the same time maximizing the coordination with other agencies and organizations to provide the highest quality activities and services to the participants in the program.

12. SELECTION OF YOUTH SERIVCES PROVIDERS WIA requires that Youth service providers be selected via a competitive process, and based on recommendations of the Youth Advisory Council. Since the delivery of the youth services could be accomplished through a number of different Service Providers, the RWIB should initially designate a Youth service provider to coordinate the operation of the Youth Program and to provide eligibility, enrollment, objective assessment and individual service strategy services for youth. Additional Youth service providers could be designated at a later date. After following Request for Proposal (RFP) procedures The Region 8 Chief Elected Officials (CEO) designated Region XII Council of Governments as the regional WIA Youth provider at a meeting on February 16, 2012. The Region 8 Regional Workforce Investment Board (RWIB) designated Region XII Council of Governments as the WIA Youth Provider for the region at a meeting following the CEO meeting on February 16, 2012. Designation Procedure At a minimum, the procedure to designate the Youth service provider(s) must include the following items:

Public Notice. A public notice must be published. The public notice must indicate that the RWIB/CEO will hold a public meeting to select a Youth service provider to coordinate the operation of the Youth Program, and to provide eligibility, enrollment, objective assessment and individual service strategy services for youth. The notice must list the criteria to be used in the selection of the Youth service provider(s) and must require that written proposals be submitted by a specific date. The notice must also invite interested entities that have submitted written proposals to give presentations and answer questions relating to the selection criteria at the public meeting. Notices must also be mailed to potentially interested entities within the local region. Public Meeting. The RWIB/CEO must conduct a public meeting to review the written proposals received, to obtain any additional information from entities submitting written

Region 8 RCSP 61

proposals, and reach an agreement as to the selection(s). Criteria for Selecting Youth Service Providers. Criteria should be established to help select the service provider(s). This may include, in addition to others chosen by the RWIB/CEO:

The effectiveness of the agency or organization in delivering comparable or related services based on documentation of: achievement of performance and service level requirements, previous audit and monitoring reports and capability of the agency’s fiscal unit to manage a similar type of program or project;

The likelihood of meeting performance goals based upon factors such as past performance, staff commitment, and availability of staff; and

The effectiveness of the agency or organization in minimizing the duplication of services, while at the same time maximizing the coordination with other agencies and organizations to provide the highest quality activities and services to the participants in the program.

13. OPEN MEETING POLICY Public notices will be published or distributed in one or more of these following manners: on the Region XII COG website, posted at Region XII COG’s headquarters on the exterior bulletin board, posted at the Carroll Workforce Center, sent to the media and/or other interested parties, or published as a legal notice in the newspaper. Posted notices will occur at least 24 hours prior to any board meeting. Minutes of these public meetings will be posted on the Region XII COG website.

14. PUBLIC INPUT PROCESS AND LEGAL NOTICES A detailed input process was followed by the Region 8 RWIB and CEO in the development of this plan. The process began with copies of the plan being provided to various individuals and made available to the public. This began a public comment period, notice of which was published through the Region XII COG website and through notices to the media. A public hearing was held on Wednesday, March 27, 2013 and the formal comment period ended on Tuesday, April 30, 2013. This resulted in a comment period of over 30 day’s duration. Public Comments Any public comments received will be recorded in the minutes of the May, 2013 RWIB‐CEO meeting.

Region 8 RCSP 62

ATTACHMENTS

Attachment A Region 8 RWIB By‐laws

Attachment B Partners Memorandum of Understanding and

Region 8 Workforce Partners Services Matrix

Attachment C Region XII COG Conflict of Interest Policy

Attachment D Region XII COG Procurement Policy

Attachment E Region XII COG Records Retention Policy

Attachment F WIA/TRA Application and

Financial Needs Assessment

Attachment A

Region 8 RWIB By‐Laws

Attachment B

Partners Memorandum of Understanding

and

Region 8 Workforce Partners Services Matrix

Attachment C

Region XII COG Conflict of Interest Policy

Attachment D

Region XII COG Procurement Policy

Attachment E

Region XII COG Records Retention Policy

Attachment F

WIA/TRA Application

and

Financial Needs Assessment

Regional Workforce Investment Board Bylaws Region 8

1. Board Officers 2.

The Officers of the Regional Workforce Investment Board of Directors are the Chairperson and Vice Chairperson.

2 Election and Term of Office

A. The Chairperson and Vice Chairperson shall be elected for a one year term. The Chairperson and Vice Chairperson shall not be from the same political party.

B. Selection of the Chairperson and Vice Chairperson shall be done by the

Regional Workforce Investment Board in May of each year. C. The Chairperson and Vice Chairperson shall assume office upon election. D. If the position of Chairperson or Vice Chairperson becomes vacant, the vacancy

shall be filled by Regional Workforce Investment Board action.

3. Chairperson

A. The Chairperson shall represent the Regional Workforce Investment Board and

has the authority to speak on its behalf at local forums, public hearings, etc. B. The Chairperson shall preside at the meetings of the Regional Workforce

Investment Board. C. The Chairperson shall appoint chairs and members of all standing committees

and may appoint such other ad hoc committees as deemed necessary. D. The Board shall meet at the call of the Chairperson or when a majority of

members of the Board file a written request with the Chairperson for a meeting. Written notice of the time and place of each meeting shall be given to each member of the Regional Workforce Investment Board.

E. The Chairperson shall provide leadership to the Regional Workforce Investment

Board and shall orient the new Regional Workforce Investment Board. 4. Vice Chairperson

A. The Vice Chairperson shall, in the absence of the Chairperson perform the

duties of the Chairperson.

B. The Vice Chairperson shall assist the Chair in the orientation of new Regional Workforce Investment Board members.

C. The Vice Chairperson shall perform other duties assigned by the Chairperson or

the Regional Workforce Investment Board. 5. Alternate and Ex Officio Members

A. Regional Workforce Investment Board members may select alternates to

represent them during the Regional Workforce Investment Board meetings. Alternates do not have voting privileges.

B. Ex Officio members are allowed at the discretion of the Regional Workforce

Investment Board. Ex Officio members do not have voting privileges. 6. Board Meetings - Quorum

A. A simple majority of the voting members (excluding vacancies) of the Regional

Workforce Investment Board constitutes a quorum. If a quorum is present at a meeting of the Regional Workforce Investment Board, the approval of a simple majority of the voting Regional Workforce Investment Board members present is required to take action.

B. If a member of the Regional Workforce Investment Board has an interest, either

direct or indirect, in a purchase agreement, contract or award to which the Department is or is to be a party, the interest shall be disclosed to the Regional Workforce Investment Board in writing and shall be sit forth in the minutes of a meeting of the Regional Workforce Investment Board. The member having the interest shall not participate in any action by the Regional Workforce Investment Board on any contract involving the member's interest.

This provision does not limit the right of a member of the Regional Workforce Investment Board to acquire an interest in bonds, or limit the right of a member to have an interest in a bank or other financial institution in which the funds of the Department are deposited or which is acting as a trustee or paying agent under a trust indenture to which the Department is a party.

7. Committees

The Regional Workforce Investment Board may establish standing or temporary committees as necessary. Any standing committee created will be modified into these Bylaws. Executive Committee: The Chairperson, Vice Chairperson and three members of the Regional Workforce Investment Board (elected by the Regional Workforce Investment Board) shall make up this Committee. The Executive Committee

shall be empowered to transact Business between scheduled meetings of the Regional Workforce Investment Board or when there is a lack of Quorum at meetings, and to act in emergencies.

8. Revision of Bylaws

The Regional Workforce Investment Board Bylaws may be modified with the consent of the Board with the exception of items 2 (A-C), 3 (D), and 5 (A-B).

Adopted February 10, 2000

1

MEMORANDUM OF UNDERSTANDING

Region 08 Chief Local Elected Officials, Workforce Investment Board and the One‐Stop System Partners

__________________________________________________________________ I. PURPOSE OF MEMORANDUM OF UNDERSTANDING A. PURPOSE: The Memorandum of Understanding (MOU) is to provide information about the

relationship between the parties to the MOU regarding their respective roles, duties, obligations and responsibilities for implementation of the provisions of section 121(c)(2) of Title I of the Workforce Investment Act (WIA) of 1998. This MOU is also intended to contribute to a cooperative and mutually beneficial relationship between the Chief Local Elected Officials (CEO), Regional Workforce Investment Board (RWIB), and the various partners, to coordinate resources to prevent duplication and ensure the effective and efficient delivery of workforce services. The MOU also strives to establish joint processes and procedures that will enable partners to integrate the current service delivery system resulting in a seamless and comprehensive array of activities that increase the employment, retention, and earnings of participants, and increase occupational skill attainment by participants, and, as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the region. Parties to this document propose to coordinate and perform the activities and services described herein within the scope of legislative requirements governing the parties’ respective programs, services and agencies. This MOU also documents the importance of WIA performance measures and continuous improvement initiatives.

B. PERIOD OF RELEVANCE: This MOU was designed to serve as a record of the relationship of the signatories from July 1, 2013 through June 30, 2017 unless modified by the partners. A review will be conducted annually for modification and/or amendment. Upon agreement by the parties, the MOU will be renewed for each state fiscal year biennium period based on the annual reviews and subsequent modification and/or amendment.

II. INTRODUCTION/BACKGROUND A. BACKGROUND: The Region 8 RWBI, CEO, and One‐Stop Center partners developed this

memorandum of understanding to ensure that the following principles of WIA are implemented: Universal Eligibility: All customers, including those with special needs and barriers to employment, will have access to a core set of services at each one‐stop center, designed to provide information to make career and labor market decisions. Core, intensive, training and support services will be made accessible on‐site. One‐Stop Approach: All customers may explore work preparation and career development

2

services and have access to information on a range of employment, training and adult and occupational education programs. Services will be made available through the one‐stop center. Individual Choice: Customers will have access to a multitude of career, skill, employment and training information to obtain the services and skills they need to enhance their employment opportunities, based on their individual needs. Regional Development: To develop a workforce development system that upgrades the regional area workplace skills and enhances the economic development of the area. Services such as tax credits and labor market information will be made accessible on‐site. Cost Effective: All customers will have access to a system that minimizes costs, enhances the participation of employers and job seekers served through the system, and does not duplicate services.

B. MISSION, VISION, AND VALUES STATEMENTS:

Mission Statement To promote and support an effective workforce system that offers employers, individuals and communities the opportunity to achieve and sustain economic prosperity.

Vision Statement To empower those who are unemployed or underemployed to achieve self‐sufficiency while developing and promoting strategic partnerships that contribute to a model workforce and a vital community.

Values Statement Our core values are to provide service with integrity and commitment to meet the needs of all stakeholders in Region 8.

III. PARTIES TO THE MEMORANDUM OF UNDERSTANDING A. PARTIES AND THEIR ROLES: WIA clearly identifies the one‐stop system as the service

delivery system for programs funded under the Act and its partner programs. The Region 8 workforce system is a collaboration of partners that are responsible for administering workforce investment, educational and other human resource programs and funding streams. The following parties are involved in the administration of the WIA and the Region 8 one‐stop system.

1. The Region 08 Chief Elected Officials (CEO) who oversee the local workforce development system and represent the local governing authorities.

2. The Region 08 Workforce Investment Board (RWIB) designated to work in

3

partnership with the Region 8 CEO and to establish policies and oversee the workforce development system.

3. Region XII COG has been designated by the CEO as the administrative and fiscal agent for Title I WIA funds and other related funding sources allocated for workforce development activity and has been designated by the RWIB as the One‐Stop Operator and Coordinating Service Provider (CSP) responsible for administration, management and coordination of activities at the physical one‐stop site as described below:

Provide overall customer management and tracking, including responsibility for results of enrollments.

Facilitate the implementation of the RWIB/CEO strategic priorities documented

in the Regional Customer Service Plan.

Coordinate the activities of the required partner agencies and the other agencies

selected by the RWIB in the operation of the regional workforce system. The CSP

will support the partner agencies in fulfilling their roles in making their services

available through a one‐stop service delivery system as described in the MOU

that the partner agencies have with the RWIB and the CEO.

Coordinate a collaborative system approach in responding to the needs of

regional businesses, workers, job seekers and youth through its role in

facilitating regular partner agency meetings.

Facilitate RWIB action in changing the RCSP as progress is made with strategic

activity, as economic and other conditions might suggest considerations of

change in priorities and as other changes occur in the service delivery system.

Ensure that performance standards and customer satisfaction goals for the Workforce Development Center system are met and reports made to the RWIB regularly, as supplied to Region XII COG by the state.

Provide information and feedback to the RWIB and CEO concerning the delivery of the services outlined in the RCSP versus the needs and priorities identified in the regional needs assessment and analysis.

Develop and submit an annual report to the RWIB.

Determine eligibility for training services.

4. Required One‐Stop System partners. a. Region XII COG as the designated administrative entity for WIA Title I federal workforce investment programs (WIA adult, dislocated worker and youth programs). The COG also operates Western Iowa Transit, the regional public transit authority for the region.

b. Iowa Department of Human Services (IDHS) is responsible for Temporary

4

Assistance to Needy Families (TANF) services, which include the Iowa PROMISE JOBS, FaDSS in‐home case management program, child care, transportation and other support services.

c. Iowa Department of Education (IDOE) is the grant recipient and administrative entity of WIA Title II funds for Adult Education and Family Literacy Programs.

d. Des Moines Area Community College (DMACC) is a provider of post‐secondary vocational education activities under the Carl Perkins Vocational and Applied Technology Education Act. e. Western Iowa Tech Community College (WITCC) is a provider of post‐secondary vocational education activities under the Carl Perkins Vocational and Applied Technology Education Act. f. Iowa Central Community College (ICCC) is a provider of post‐secondary vocational education activities under the Carl Perkins Vocational and Applied Technology Education Act.

g. Iowa Department of Vocational Rehabilitation is the recipient of funds under WIA Title IV for the administration and provision of vocational rehabilitation services and employment assistance to eligible individuals with disabilities. h. Iowa Department for the Blind also receives funding through WIA Title IV for the administration and provision of vocational rehabilitation services and employment assistance to eligible individuals who are blind or have vision impairments.

i. Iowa Workforce Development (IWD) is the recipient of funds under WIA Title I and Title III for the administration and provision of Wagner‐Peyser program activities, Unemployment Insurance, Worker Re‐employment Services, Trade Adjustment Assistance, NAFTA Transitional Adjustment Assistance and Veterans Employment and Training Programs (under Chapter 41, Title 38 U.S.C.). In addition, IWD provides coordination of the PROMISE JOBS – IWD SDR Component in collaboration with IDHS. IWD is the grant recipient and provider of services of WIA Title I funds for the Migrant and Seasonal Farm Worker Program and the Veteran’s Workforce Program. In addition, when applicable, IWD will serve as the grant recipient for Youth Opportunity Grants, and/or Demonstration/Pilot Programs, and/or National Emergency Grants.

j. West Central Community Action (WCCA) is a grant recipient and provider of services under the Community Services Block Grant for employment and training activities to the economically disadvantaged through various educational, child

5

care, health, employment, emergency food and medical support services. WCCA also provides employment services to seniors through the Senior Community Services Employment Program. k. New Opportunities is a grant recipient and provider of services under the Community Services Block Grant for employment and training activities to the economically disadvantaged through various educational, child care, health, employment, emergency food and medical support services.

l. The Region XII Regional Housing Authority (RHA) provides employment and training support services through HUD funds for individuals who are residents of public housing. m. Denison Job Corps is a training program authorized by Title I‐C of the Workforce Investment Act that helps young people ages 16 through 24 improve the quality of their lives through career technical and academic training.

IV. PARTNER RESPONSIBILITIES – RESOURCE AND COST SHARING A. RESOURCE SHARING ‐ SERVICES TO BE PROVIDED: Each partner is responsible for the

provision of services associated with the One‐Stop system site. The levels of service begin with a core set of services available to the universal population. Further assessments may necessitate the need for more intensive and/or training services. These services, customized and based upon Region 8 needs, are described in a detailed narrative and are outlined in matrix format in Attachment A to the document.

1. Partner Services Responsibilities and Shared Services Pool Matrices: The levels of service begin with a core set of services available to the universal population. Further assessments may necessitate the need for more intensive and/or training services. 2. Methods of Referral: The referral process provides convenience of services to individuals and businesses using the Region 8 one‐stop center and makes available all core services at the system site(s). This process also provides for a continuum of services and follow‐up to ensure individual and business needs have been met. All partners agree to follow the Region 8 one‐stop center referral process:

a. Customer Work Flow: A diagram of the Region 8 one‐stop center customer work

flow and descriptions of referral methods is described in the RCSP. b. Partner Referrals: Referrals will be tracked using the Region 8 common

intake/referral form. Other appropriate means may also be used to refer participants to services that are partner organizations or other entities that may offer assistance.

6

Eligibility requirements in certain programs require that specific criteria be met prior to accepting a referral from a partner. For the IWD State Veterans Program, any veteran or eligible spouse is considered a universal core customer until such time as an assessment has been completed and/or it has been determined that a barrier to obtaining employment exists. Upon this determination by a partner, a formal referral can be made to the IWD State Veterans Program.

Region XII COG is responsible for ensuring the consistency of the common intake referral process, maintenance of records and regular reporting to the RWIB.

B. COST SHARING ONE‐STOP OPERATIONAL COSTS: Only partners physically located at the Carroll One‐Stop Center will share in the operational costs of the center. The provision of direct services to individuals and businesses is a key component in the Region 8 one‐stop system. Each partner serves various segments of the population and provides services that benefit those individuals. Each partner is responsible for the funding of their direct program services. Each partner located in the One‐Stop Center at 619 N Carroll Street, Carroll, Iowa, has an cost agreement that identifies the percentage of costs each is responsible to provide to cover the costs of their direct operations. IWD covers 60% of costs, MATURA, the Promise Jobs provider, covers 20% of the costs and Region XII COG Covers 20% of costs.

V. GENERAL PROVISIONS A. PERFORMANCE GOALS: All partners have agreed to work together to meet and exceed the

WIA performance measures for the Region 8 one‐stop system. These measures are for Adult, Dislocated, Older and Younger Youth Services and Customer Satisfaction. Region XII COG will report regularly on the progress of these measures and all partners agree to discuss ways of mutually attaining these performance measures to reach shared outcomes. The WIA performance measures can be found in the RCSP. A partner that is an eligible training provider will post their performance information at their service delivery location.

B. PERFORMANCE REPORTING: Region XII COG and IWD have agreed to participate in a

common intake, referral and individual tracking system operating through the Region 8 one‐stop center. Whenever WIA funds are expended in part or whole for service on an individual, all partners agree to enter/maintain that individual information into the IWorks data collecting system.

C. CONTINUOUS IMPROVEMENT: All partners will participate in a process of program review

and continuous improvement to offer the best possible services and seize opportunities for further integration. To assure that services are responsive to the needs of the community, partners will survey customers to obtain feedback on customer satisfaction. All partners will participate in the ongoing development and improvement of the Region 08 one‐stop center

7

procedures, policies and operational management. All partners will be part of a joint planning process that will continuously review the needs of the Region 8 workforce and business community and refine the services of the one‐stop system based upon those needs. In addition, the partners will encourage, accommodate staff, and/or provide training and cross training, as deemed appropriate, to ensure that all partner staff are familiar with all programs represented within the Region 8 One‐Stop System in order to integrate services, reduce duplication, and improve overall service delivery.

D. INFORMATION SHARING/CONFIDENTIALITY: All partners agree to develop a common method to refer customers among the partners. All partners who are a part of this MOU will abide by the confidentiality standards written in the Iowa Administrative Code 217.30. These standards allow the employees of the partner agencies to release safe data (as defined by policy) to other partners, only on an as need to know basis. If a partner does not follow the standards of Iowa Administrative Code 217.30, then the agency will need to show they abide by comparable standards by requesting a standards test review to the MOU support team. As allowed by Iowa Administrative Code 217.30, or approved comparable standards, safe data can be released to all partners needing to know without requiring a written consent. All partners will abide by their policies of confidentiality when exchanging customer secured data. Exchanging customer information with non‐partners will follow agency policies of confidentiality.

E. AMENDMENTS:

Except as set forth below, the information contained in this MOU may be modified or amended by written consent of all of the partners. Any request to amend a provision should be made in writing to the RWIB and must be agreed to by all partners. The RWIB will notify the other partners of the details of any modification request. The MOU may be modified from time to time to add new one‐stop partners. These new members may sign the MOU in its existing form as of the time that they are being added. All partners to the MOU will be notified of additional parties joining in the MOU. Any adjustment of resource/cost sharing items will be reviewed prior to adding additional partners. It is understood by the parties that each should be able to fulfill its One‐Stop role in full accordance with any Federal and State laws and policies which govern or affect their activities. If at any time any party is unable to perform its functions under this MOU consistent with Federal, state or local statutory, regulatory or policy mandates, the affected party will provide written notice to all other parties of their intent to amend or modify the MOU at least 30 days in advance of effectuating the amendment or modification. No consent from the other parties will be requested if an amendment or modification is made pursuant to this provision.

8

Periodically the Resource/Cost Sharing Agreement may require adjustments based upon reconciliation of projected costs to actual expenses and/or minor adjustments to cost sharing items. In addition, other non‐substantive modifications to the MOU, such as grammatical corrections, clarifications, etc., may be needed from time to time. Minor modifications of this type will not require a formal amendment signed by all partners to the MOU but it is agreed partners will be notified by of any such written amendments o modifications.

F. SUPPLEMENTAL AGREEMENTS: To ensure utmost flexibility for all partners, it is understood that the RWIB may enter into separate legally enforceable agreements with each partner, or a combination of partners, which will specify the rights and obligations of that particular partner and the RWIB. Region XII COG will provide copies of any such agreements to all other partners.

G. IMPASSE RESOLUTION: In the event that an impasse should arise between the partner(s)

and/or the RWIB regarding terms and conditions, the performance, or administration of this MOU, the following procedure will be initiated:

A written document detailing the impasse will be submitted to the One Stop Operator. The One‐Stop Operator will attempt to resolve the issue. The RWIB and the partner(s) should document the negotiations and efforts that have taken place to resolve this issue.

If the impasse is not resolved, the RWIB will appoint a special committee to review and attempt resolution of the impasse.

In the event an agreement cannot be reached, the RWIB Chair will meet with the CEO and/or the partner(s) and/or the One‐Stop Operator based on the nature of the impasse to resolve the issue and will make a recommendation within thirty (30) working days of receiving the dispute. The whole process should be completed within ninety (90) days.

Impasses involving state level partners will have the participation of their respective executive director/administrator, or their designees, in all resolution activities.

H. WITHDRAWAL: Partners having legally enforceable agreements relating to their

participation in the One‐Stop may be bound by the terms contained therein, but since this is an informational document, any partner to this MOU may withdraw as a signatory from this MOU. It is requested that written notice be provided to all other parties setting forth their intent to withdraw at least thirty (30) days prior to their last anticipated day as a signatory. Withdrawal by one or more partners to the MOU will only result in withdrawal of the MOU for the remaining partners if the service or funds provided by the withdrawing partner(s) is/are essential to the continuing viability of the One‐Stop center, and the withdrawing partner(s) cannot be easily replaced.

I. NON‐DISCRIMINATION: All partners to this MOU are equal opportunity employers. All

understand they must comply with 29 C.F.R. 37.30 which states it is against the law for a

9

partner to discriminate on the following basis: against any individual in the United States, on the basis of race, color, religion, sex, national origin, age, disability, political affiliation or belief; and against any beneficiary of programs financially assisted under Title I of the Workforce Investment Act of 1998 (WIA), on the basis of the beneficiary's citizenship/status as a lawfully admitted immigrant authorized to work in the United States, or his or her participation in any WIA Title I‐financially assisted program or activity, including Section 188 of the WIA. The recipient must not discriminate in any of the following areas: deciding who will be admitted, or have access, to any WIA Title I‐financially assisted program or activity; providing opportunities in, or treating any person with regard to, such a program or activity; or making employment decisions in the administration of, or in connection with, such a program or activity.

J. MISCELLANEOUS:

1) NO INDEMNIFICATION AND LIABILITY: By executing this MOU each partner agrees to work together to deliver Region 8 one‐stop services for employers, employees and those seeking employment. However, the partners are not legally “partners” to the extent that term encompasses joint liability. Each partner under this MOU is responsible for its own employees, representatives, agents and subcontractors. This MOU is not a legally binding document. Each partner shall have the ability to renegotiate resource sharing at any time upon written notice to all partners. No partner shall be held accountable to supply an amount of resources that is equal to what is listed in the MOU. 2) MUTUAL RESPECT OF ORGANIZATIONAL PRACTICES: All partners identified in this MOU or in supplemental agreements to this MOU will respect each other’s organizational practices and management structures in the provision of services under the MOU. 3) RECORDS MAINTENANCE: Region XII COG is responsible for all records pertaining to the administration and operation of the Region 8 one‐stop center. This includes all fiscal and accounting records, budgets, performance measures, referral tracking records, customer service surveys and any other pertinent records. 4) CROSS‐TRAINING: The partners will encourage, accommodate staff and/or provide training and cross‐training, as deemed appropriate, to ensure that all partner staff are familiar with all programs represented within the Region 8 one‐stop system in order to integrate services, reduce duplication and improve overall service delivery. 5) PRIORITY OF SERVICE FOR VETERANS AND ELIGIBLE SPOUSES: All U.S. Department of Labor funded programs administered by any One‐Stop partner will follow state and local area “Priority of Service for Veterans and Eligible Spouses” policies and ensure priority of service will be extended to veterans and/or covered persons as established by Title 38 U.S.C., Ch.42, §4215 and the Jobs for Veterans Act P.L. 107‐288. 6) ONE‐STOP POLICIES AND PROCEDURES: The Region 8 partners have agreed to maintain

10

operational control and responsibility for staff assigned to the Region 8 one‐stop, while assuring staff adhere to policies and procedures of the Region 8 One‐Stop system. IWD and Region XII COG staff will follow the Region 8 One‐stop Policies and Procedures, as described in Section F of the RCSP. Where there is a conflict between those policies and procedures and those of either Region XII COG or IWD, the agency’s policies and procedures shall take precedence. The partner agencies and the Region 8 One‐Stop shall work together to minimize such conflicts.

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REGION 08 ONE‐STOP SYSTEM MEMORANDUM OF UNDERSTANDING SIGNATURE PAGE

By signing this Memorandum of Understanding (MOU), all partners have reviewed the MOU and find it accurately reflects a general understanding of their involvement in the Region 8 One‐Stop System.

This is not a legally binding agreement. The intent of this MOU is to document agreement to be a partner of the Region 8 Workforce System so that the entire Region 8 Workforce System of partners can see the combined value of the resources shared by the regional partnership. ________________________________________________________________________ Signature Date ________________________________________________________________________ Organization and Title

Template for Attachment EPartner Services Matrix

Area #/System Name: Effective Date:

Partner IWD WIA Title I PJ/IDHS ABE Voc Ed. IVRS Exp. Wrks Reg 12 Grantee Other New Opp IDHS New Hope WCDC

Partner Program

Program Funding Source Title I (VETS)Title III (WP,

UC, TAA) Title I TANF Title II Perkins Title IV Title V HUD DNR Title IV CSBGA TANF TANF

One-Stop Sites

One-S

top

Satellite O

ffice

Local A

rea

One-S

top

Satellite O

ffice

Local A

rea

One-S

top-Dubuque

Satellite O

ffice - Decorah

Local A

rea-E

lkader,Waukon,C

resco,O

elwein

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local A

rea

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

One-S

top

IWD

Satellite O

ffice

Local area

Total Partner Contribution $

Core Services

Assistance in determing eligibility for WIA services FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X X O X

Assistance in establishing eligibility for other non-WIA employment and training programs FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X FT O X O O

Assistance in establishing eligibility for programs FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X FT X O X O O

Outreach, Intake & Orientation FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O X O O

Initial Assessment of Skills, Aptitudes, Abilities and Support Service Needs FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X FT X O X PT FT

Job Search & Placement Assistance FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O X PT FT

Provide employment statistics information including local, regional, state and national labor market information, including: FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X X O X

Job Vacancy listings in labor markets FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O

Information on job skills necessary to obtain the jobs listed FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O X

Information relating to local occupations in demand, earnings and skill requirements for these occupations FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O X

Assisting training providers on program cost information and performance requirements FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X FT X O X O O

Providing information regarding local area's performance measures FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X X X O X

Providing information relating to the availability of support services including child care and transportation FT PT FT FT FT PT O FT FT X X X X X X O X FT X O X O O

Information on other Workforce Development System partner services and support services FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O X O O

Information on filing Unemployment Insurance claims FT PT FT FT FT PT O FT FT X X X X X X X X X X X O O

Youth Services A A A A FT PT O X X X X X X X X FT O PT FT

Intensive Services

Comprehensive Assessment FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X X X O X O O FT PT O

Development of Individual Empl. Plan FT PT FT FT FT PT O FT FT X X X X X X X X FT X O X O PT PT

Group Counseling FT PT FT FT FT PT O FT FT X X X X X X X X X X O X O

Individual Counseling & Career Plan FT PT FT FT FT PT O FT FT FT PT PT FT PT PT O X FT X O X O O PT FT O

Short-term Pre-vocational Services FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X X X O X O FT FT

Locally Defined Intensive Services FT PT FT FT FT PT O FT FT X X X X X X X X X X O X O O

Training Services

Occupational Skills Training FT PT FT FT FT PT O FT FT FT PT PT FT PT PT X X FT X O X O FT FT

On The Job Training FT PT FT FT FT PT O X X X X X X X X FT X O X O PT FT

WITCC Elderbridge

Advocacy for Seniors

Community College

Community Action FaDSS

DMACC

Community College

Title VNew Hope

$250,000 $193,000 $0

Dept of the Blind

Proteus

$250,000 $0

Job Corps - CCC

HUD E &TAdvocacy for

Seniors

SCSEPIDB

Experience WorksServices for the

DisabledHuman Service

AssistanceCommunity

Action FaDSS

REGION 8 Region XII Council of Governments

Rehab ServicesPost SecondaryAdult Ed / Literacy

PROMISE JOBS-

MATURA

WIA (Adult, Dislocated

Worker, Youth)

WP, UC, TAA, NAFTA, Reemployment Services, Vets

Programs

Workplace & Cooperative Education FT PT FT FT FT PT O FT PT PT FT PT PT X X X X O X O

Private Sector Training FT PT FT FT FT PT O FT PT PT FT PT PT X X FT X O X O

Skills Upgrading & Retraining FT PT FT FT FT PT O FT PT PT FT PT PT X X FT X O X O PT FT

Entrepreneurial Training B B B B FT PT O FT PT PT FT PT PT X X FT X O

Non-traditional Training B B B B FT PT O FT PT PT FT PT PT X X FT X O X O PT FT

Job Readiness Training FT PT FT FT FT PT O FT PT PT FT PT PT X X FT X O X O FT FT

Adult Education and Lit. Programs B B B B FT PT O FT PT PT FT PT PT X X FT X O X

Customized Training B B B B FT PT O FT PT PT FT PT PT X X FT X O X O PT FT

Incumbent Worker Training B B FT FT FT PT PT FT PT PT X X X

Locally Defined Training Services B B FT FT X X X X X X X X X X O X O

Legend:(FT) = On-Site Staff Full Time (PT) = On-Site Staff Part Time (B) = Brochure / Handout (O)= Other(P) = Posting at One Stop Office (T) = Access via Telephone (A) = Access via Austomated System(C ) = Contracted Service on-Site Full Time (C/PT) = Contracted Service On-Site Part(C/Off) = Contracted Service Off-Site

COG Conflict of Interest Policy Page 1

Region XII Council of Governments, Inc. Conflict of Interest Policy

It is in the best interest of Region XII Council of Governments, Inc. (the COG) to be aware of and properly manage all conflicts of interest and appearances of a conflict of interest. This Conflict of Interest Policy is designed to help directors, officers, employees and volunteers of the COG identify situations that present potential conflicts of interest and to provide the COG with a procedure to appropriately manage conflicts in accordance with legal requirements and the goals of accountability and transparency in the COG’s operations. Conflict of Interest Defined. In this policy, a person with a conflict of interest is referred to as an “interested person.” For purposes of this policy, the following circumstances shall be deemed to create a Conflict of Interest:

a. A director, officer, employee or volunteer, including a Commission member (or family member of any of the foregoing) is a party to a contract, or involved in a transaction with Region XII COG for goods or services.

b. A director, officer, employee or volunteer, (or a family member of any of the foregoing) has a material financial interest in a transaction between the COG and an entity in which the director, officer, employee or volunteer, or a family member of the foregoing, is a director, officer, agent, partner, associate, employee, trustee, personal representative, receiver, guardian, custodian, or other legal representative.

c. A director, officer, employee or volunteer, (or a family member of the foregoing) is engaged in some capacity or has a material financial interest in a business or enterprise that competes with the COG.

Other situations may create the appearance of a conflict, or present a duality of interests in connection with a person who has influence over the activities or finances of the COG. All such circumstances should be disclosed to the board or staff, as appropriate, and a decision made as to what course of action the organization or individuals should take so that the best interests of the COG are not compromised. Accepting gifts, entertainment or other favors from individuals or entities can also result in a conflict or duality of interest when the party providing the gift/entertainment/favor does so under circumstances where it might be inferred that such action was intended to influence or possibly would influence the interested person in the performance of his or her duties. This does not preclude the acceptance of items of nominal or insignificant value or entertainment of nominal or insignificant value which are not related to any particular transaction or activity of the COG. Definitions. "Conflict of Interest" is any circumstance described in Part 1 of this Policy.


"Interested Person" is any person serving as an officer, employee, member of the Board of Directors of the COG or a major donor to the COG or anyone else who is in a position of control over the COG who has a personal interest that is in conflict with the interests of the COG. A "Family Member" is a spouse, parent, child or spouse of a child, brother, sister, or spouse of a brother or sister, of an interested person. A "Material Financial Interest" in an entity is a financial interest of any kind, which, in view of all the circumstances, is substantial enough that it would, or reasonably could, affect an Interested Person’s or Family Member's judgment with respect to transactions to which the entity is a party. A "Contract or Transaction" is any agreement or relationship involving the sale or purchase of goods or services, the providing or receipt of a loan or grant, the establishment of any other type of financial relationship, or the exercise of control over another organization. The making of a gift to the COG is not a Contract or Transaction. Procedures. Prior to board or committee action on a Contract or Transaction involving a Conflict of Interest, a director or committee member having a Conflict of Interest and who is in attendance at the meeting shall disclose all facts material to the Conflict of Interest. Such disclosure shall be reflected in the minutes of the meeting. If board members are aware that staff or other volunteers have a conflict of interest, relevant facts should be disclosed by the board member or by the interested person him/herself if invited to the board meeting as a guest for purposes of disclosure. A director or committee member who plans not to attend a meeting at which he or she has reason to believe that the board or committee will act on a matter in which the person has a Conflict of Interest shall disclose to the chair of the meeting all facts material to the Conflict of Interest. The chair shall report the disclosure at the meeting and the disclosure shall be reflected in the minutes of the meeting. A person who has a Conflict of Interest shall not participate in or be permitted to hear the board's or committee's discussion of the matter except to disclose material facts and to respond to questions. Such person shall not attempt to exert his or her personal influence with respect to the matter, either at or outside the meeting. A person who has a Conflict of Interest with respect to a Contract or Transaction that will be voted on at a meeting shall not be counted in determining the presence of a quorum for purposes of the vote. The person having a conflict of interest may not vote on the Contract or Transaction and shall not be present in the meeting room when the vote is taken, unless the vote is by secret ballot. Such person's ineligibility to vote shall be reflected in the minutes of the meeting.


Interested Persons who are not members of the Board of the COG, or who have a Conflict of Interest with respect to a Contract or Transaction that is not the subject of Board or committee action, shall disclose to the Executive Director, or the Chair, or the Chair's designee, any Conflict of Interest that such Interested Person has with respect to a Contract or Transaction. Such disclosure shall be made as soon as the Conflict of Interest is known to the Interested Person. The Interested Person shall refrain from any action that may affect the COG’s participation in such Contract or Transaction. In the event it is not entirely clear that a Conflict of Interest exists, the individual with the potential conflict shall disclose the circumstances to the Executive Director or the Chair or the Chair's designee, who shall determine whether full board discussion is warranted or whether there exists a Conflict of Interest that is subject to this policy. Confidentiality Each director, officer, employee and volunteer shall exercise care not to disclose confidential information acquired in connection with disclosures of conflicts of interest or potential conflicts, which might be adverse to the interests of the COG. Furthermore, directors, officers, employees and volunteers shall not disclose or use information relating to the business of the COG for their personal profit or advantage or the personal profit or advantage of their Family Member(s). Review of policy. Each director, officer, employee and volunteer shall be provided with and asked to review a copy of this Policy and to acknowledge in writing that he or she has done so. Annually, all newly appointed directors and new employees will be required to complete the disclosure form unless a Conflict of Interest occurs as a result of a change in relationships, positions or circumstances with current directors, officers, employees and volunteers. Such relationships, positions or circumstances might include service as a director of or consultant to another nonprofit organization, or ownership of a business that might provide goods or services to the COG. Any such information regarding the business interests of a director, officer, employee or volunteer, or a Family Member thereof, shall be treated as confidential and shall generally be made available only to the Chair, the Executive Director, and any committee appointed to address Conflicts of Interest, except to the extent additional disclosure is necessary in connection with the implementation of this Policy. This policy shall be reviewed annually by each member of the Board of Directors. Any changes to the policy shall be communicated to all employees and volunteers. Violations. Each director, officer, or volunteer who violates this Conflict of Interest Policy may be dismissed from the Board. COG Staff will be subject to Section 9.2D of the COG’s Personnel Policy. I, _________________________, received and read this Policy on _______________________.


Conflict of Interest Disclosure Form

Date: Signature: Entity (check all that apply): Region XII COG Policy Council Region XII Development Corporation Board of Directors Council of Governments, Inc. Board of Directors Region XII Housing Corporation Board of Directors Loan Review Committee (Business loans through RDC) Region 8 Regional Workforce Investment Board Region 8 Local Elected Officials Board Position (employee/volunteer/board member): Please describe below any relationships, transactions, positions you hold (volunteer or otherwise), or circumstances that you believe could contribute to a conflict of interest between Region XII COG and your personal interests, financial or otherwise: _____ I have no conflict of interest to report

Region XII COG Procurement Policy Pg. 1

REGION XII COUNCIL OF GOVERNMENTS

PROCUREMENT POLICY July 2010

This procurement policy is to be utilized for all programs and activities administered by Region XII Council of Governments, Inc (COG). The selection of vendors will be in accordance with all applicable State and/or Federal Regulations. In situations where state and/or federal procurement policies do not coincide with COG policies, the state and/or federal policies will take precedence unless the policy of the COG is more restrictive. The majority of vendors for the COG will be selected by staff members who perform generalized functions and will be based on the individual needs of the COG or each individual participant. All such selections are contingent upon approval of the Executive Director and/or the appropriate department director of the COG. The Regional Workforce Investment Board (RWIB) in Iowa Workforce Development (IWD) Service Region Area 8 determined that there was a sufficient number of training providers to accomplish the purpose of individual training accounts under the Workforce Investment Act (WIA). The COG will determine when the Request for Proposal (RFP) format is to be utilized based on the number of participants likely to benefit or the need for such an action based on need and outlined under the RFP section. In the event services or activities are subcontracted en‐masse, the agency will issue a RFP from all agencies and private organizations that commonly provide services within the COG area including Community Based Organizations. Selection of proposals will be made by the COG Executive Director, and/or Workforce Director, and/or the Transit Director, and/or Local Assistance Director based on the evaluation of the proposals. Other staff members may be consulted during the selection process if the purchase of service involves their area of expertise. A. AUTHORITY TO TAKE PROCUREMENT ACTIONS Purchase agreements, contracts, modifications and terminations must be signed by the Executive Director. Purchase orders may be signed by the Transit Director, Local Assistance Director, and/or Workforce Director following approval by the Executive Director. Procurement of WIA funded services or activities involving a budget greater than $25,000 for participant training must receive RWIB approval, and proposals will be reviewed and selected by the RWIB. B. STANDARDS OF CONDUCT 1. Conflict of Interest The COG will require all service providers and vendors selected to receive appropriate board approval if anyone employed by the service provider or vendor in an administrative capacity is a member of the immediate family of anyone employed in an administrative capacity with the COG or is a member


of the immediate family of a board member overseeing a certain program or Local Elected Official (LEO) representing a unit of local government which is a party to the 28E consortium agreement. "Immediate family" includes: wife, husband, son, daughter, mother, father, brother, brother‐in‐law, sister, sister‐in‐law, son‐in‐law, daughter‐in‐law, mother‐in‐law, father‐in‐law, aunt, uncle, niece, nephew, stepparent, stepchild, grandparent, or grandchild. "Administrative capacity" means those who have overall administrative responsibility for submitting bids and/or selection of service providers. An individual in a decision making capacity, including staff, RWIB members, Policy Council and other board members, must not engage in any activity including the selection, award or administration of a purchase agreement or contract supported by program funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when any of the following has a financial or other interest in the firm or organization selected for award:

a. The individual; b. Any member of the individual's immediate family; c. The individual's partner; or d. An organization which employs or is about to employ any of the above, has a financial or

other interest in the firm or organization selected for award. Conflict of interest may be personal or organizational. A personal conflict exists when any of the following stands to benefit directly or indirectly from a procurement decision:

a. An officer of the COG; b. An individual on the COG staff; c. Any board member including both policy and advisory boards; or d. A member of the immediate family of any of the above.

An organizational conflict occurs when an organization represented by one or more individuals involved in the procurement process stands to benefit financially, directly or indirectly, from the award of a contract. At any time during the procurement process that an individual becomes aware of the fact that he or she has an actual or potential conflict of interest, that individual must immediately withdraw from the procurement process but is not restricted from submitting a bid. An individual who has an actual or apparent conflict of interest must not attempt to influence any individuals involved in the procurement process. A member of the RWIB, Policy Council or any other COG board member must not cast a vote nor participate in any decision making capacity on the provision of services by such member (or any organization which that member directly represents), nor in any matter which would provide any direct or indirect financial benefit to that member. However, membership on the RWIB or any other, board by itself, is not to be construed a violation of the conflict of interest provision. Likewise, the receipt of WIA funds to provide training and related services by a member of the RWIB or any other board member is not, by itself, a violation of the interest provision. In situations where the COG selects itself as a service provider, except for single participant training, a Determination of Demonstrated Performance must be completed.


2. Confidentiality and Non‐Disclosure Information must not be disclosed to anyone who is not directly involved in the procurement process relating to the intent to implement a procurement action, the amount of funds available, or any related data, until that information is made known to all offerors through a notification of the intent to solicit or dissemination of an RFP or RFQ. Technical and cost/price information from any proposal must not be disclosed to anyone not officially involved in the procurement process while the procurement is still in progress. Certain technical or proposal information that an offeror has designated as proprietary or trade secret, and with which the COG concurs, must not be disclosed to other offerors, even after the award is made and publicized. The number of names of offerors must not be disclosed to anyone not officially involved in the procurement process until the contract is awarded and the decision is made public. 3. Disclosure The announcements of solicitation requirements, including proposal evaluation factors that will be used to assess bids or proposals must be released to all offerors at the same time. Information given in response to a question from one offeror must be shared with all known potential offerors. 4. Prohibited Actions of Staff or Board Members Individuals involved in the procurement process that are predisposed either for or against any potential sub recipient, service provider or vendor must withdraw from the procurement process. Individuals involved in a procurement process must not solicit nor accept any payment, gratuity, favor, offer of employment, kickback or anything of monetary value from Grantees, sub recipients, service provider or vendors, or potential sub recipients, service providers or vendors. Staff and board members not involved in the procurement process must not attempt to influence procurement decisions of individuals involved in the procurement process. Any individual involved in a procurement process must not be employed by any offeror for that same procurement. 5. Penalties, Sanctions and Disciplinary Actions Any attempt by a potential sub recipient, service provider or vendor to make any payment, gratuity, or offer of employment or kickbacks to any individual involved in a procurement process will result in the disqualification of that entity's proposal. C. METHODS OF PROCUREMENT AND SOLICITATION All procurement activities undertaken by the COG will be made by one or more of the following methods:


1. Small Item Purchases Small purchase procedures are relatively simple and informal procurement methods which are sound and appropriate for the procurement of services, supplies, or other property costing in the aggregate at least $5,000. Purchases of $5,000 and not more than $25,000 will require written notification of vendors.

a. Price or rate quotations will be obtained from a minimum of three (3) qualified sources b. At least one quotation will be obtained from a local (COG membership) service provider

unless no such local providers are available. c. A reasonable length of time will be afforded service providers to formulate their price

quotations and the period of performance will be stated. d. Price quotations will be presented to the department director or Executive Director in

written form and documented in the Procurement File. e. Award of the service agreement will be made to the service provider with the lowest

cost which best meets the agency's needs. 2. Request for Quotations (RFQ)/Competitive Sealed Bids An RFQ is used when the supplies, property, or service to be procured have been specifically defined and price quotes or bids are being sought to provide such supplies, properties, or service. Competitive sealed bids are publicly solicited and a firm‐fixed price contract (lump sum or unit price) is awarded to the responsible bidder whose bid, conforming with all the material terms and conditions of the invitation for bids, is lowest in price and best meets the agency's needs. Solicitations of offers under the competitive sealed bid process must incorporate a clear and accurate description of the technical requirements for the material, product, or service to be procured. Such description will not contain features that unduly restrict competition. The description may include a statement of the qualitative nature of the material, product, or service to be procured and, when necessary, will set forth those minimum essential characteristics and standards to which it must conform if it is to satisfy its intended use. Detailed product specifications will be avoided if at all possible. When it is impractical or not economical to make a clear and accurate description of the technical requirements, a "brand name or equal" description will be used as a means to define the performance or other salient requirements of a procurement action. The specific features of the named brand that must be met by vendors will be clearly stated. Formal advertising of the competitive bid process will be accomplished in such a manner as to allow service providers a minimum of two (2) weeks from the date of publication to submit a bid. All formal advertising will be placed in at least one paper of general circulation in the region and may be placed in all official county newspapers within Region XII COG and may also be placed in the Des Moines Register and/or Omaha World Herald. Procurements for grant programs (e.g. housing) may be done in a manner that is conducive to grant performance and policies of the local government served. In addition, the following items will be adhered to in the bidding process:

a. A complete, adequate and realistic specification or purchase description will be made available.

b. Two or more responsible suppliers must be willing and able to compete effectively for the COG’s business.

c. Competitive sealed bids will only be utilized if the procurement lends itself to a firm‐fixed‐price contract, and the selection of the successful bidder can be made principally


on the basis of price. d. The invitations for bids will clearly define the items or services needed in order for the

bidders to properly respond to the invitation. e. A firm‐fixed‐price contract award will be made by written notice to that responsible

bidder whose bid, conforming to the invitation for bids, is lowest. Where specified in the bidding documents, factors such as transportation costs and life cycle costs will be considered in determining which bid is lowest.

f. Any or all bids may be rejected when there are sound documented business reasons in the best interest of the program.

The COG may procure items in consortium with other units of governments or agencies that have been procured in a manner similar to the COG’s practices (e.g. vehicles from a state bid.) 3. Request for Proposals (RFP)/Competitive Negotiation An RFP is appropriate when the supplies, property, or services to be procured have not been specifically defined and proposals that further describe what will be provided are being sought, and will be evaluated on technical and other factors in addition to cost and price. Proposals received for which a direct comparison of price and cost for the same or substantially equivalent types of supplies, property or services cannot be made, must be treated as Sole Source Procurement. In competitive negotiation, proposals are requested from a number of sources and a RFP is publicized, negotiations are conducted with more than one of the sources submitting offers, and either a fixed‐price or cost‐reimbursable type contract is awarded, as appropriate. Competitive negotiation may be used if conditions are not appropriate for the use of formal advertising. If competitive negotiation is used for a procurement action under a grant, the following requirements will apply:

a. Proposals will be solicited from an adequate number of qualified sources to permit reasonable competition consistent with the nature and requirements of the procurement. The RFP will be publicized at least two weeks before responses are due and reasonable requests by other sources to compete will be honored to the maximum extent practicable.

b. The RFP will identify all significant evaluation factors, including price or cost where required and their relative importance.

c. The RFP will incorporate a clear and accurate description of the technical requirements for the material, product, or service to be procured. Such description will not contain features that unduly restrict competition. The description may include a statement of the qualitative nature of the material, product or service to be procured, and when necessary, will set forth those minimum essential characteristics and standards to which it must conform if it is to satisfy its intended use. Detailed product specifications will be avoided if at all possible. When it is impractical or not economical to make a clear and accurate description of the technical requirements, a "brand name or equal" description will be used as a means to define the performance or other salient requirements of a procurement action. The specific features of the named brand that must be met by vendors will be clearly stated.

d. The contract clauses that will be included in any resulting contract or purchase order; e. Certifications, assurances, and representations that the potential service provider will


have to make including, at a minimum: i. An assurance that to the best of the offeror's knowledge and belief, the cost

data are accurate, complete and current at the time of the proposal; ii. A guaranteed period of time for which the proposal is good; iii. An assurance that the offeror is not debarred or suspended; and iv. An assurance that the offeror will comply fully with the nondiscrimination

and equal opportunity provisions of applicable programs. f. Instructions on how to prepare and submit the proposal including any required format; g. All requirements that the offeror must fulfill; h. Evaluation factors and criteria that will be used to judge the proposals; i. Time lines for submittal and review of the proposal and the manner in which late

proposals will be treated; and j. Award of the contract will be based on the effectiveness of the agency or organization in

delivering comparable or related goods or services based on demonstrated performance, service or product quality, fiscal responsibility of service providers, cost, distance from the COG service area, and how well the service or product in question fulfills the agency's identified need.

4. Sole Source (Non‐competitive) Procurement Sole source or non‐competitive procurement may be used only when competitive procurement processes are not feasible or they may have a negative impact upon the program for which they are intended. In those limited situations as delineated below, procurement may be conducted on a negotiated rather than a competitive basis. Noncompetitive negotiation is procurement through solicitation of a proposal from only one source, or after solicitation of a number of sources, competition is determined inadequate. Noncompetitive negotiation may be used when the award of a contract is not feasible under small purchase, competitive bidding (formal advertising) or competitive negotiation procedures. Circumstances under which a contract may be awarded by noncompetitive negotiation are limited to the following:

a. The item is available only from a single source; or b. Public exigency or emergency when the urgency for the requirement will not permit a

delay incident to competitive solicitation; or c. The Federal grantor agency authorizes noncompetitive negotiation; or d. After solicitation of a number of sources, competition is determined inadequate; or e. Any single purchase of supplies, equipment, or services totaling less than one thousand

dollars ($1,000) in the aggregate; or f. Single Participant work experience, vocational exploration, and on‐the‐job training

contracts; or g. Enrollment of individual participants in Institutional Skills Training; or h. All other individual training or services contracts involving only one participant, except

where such contracts include the purchase of equipment. Such equipment must be purchased through competitive procedures; or

i. Activities and services that are provided by staff when a determination of demonstrated performance clearly documents the staff's ability to provide the training or services; or

j. A modification to a contract that does not substantially change the statement of work of that contract; or

k. Any single service or workshop costing less than $5,000 identified in the local Technical


Assistance Plan for WIA services; or l. Transfer of transit capital equipment from another system or purchase of proprietary

parts and maintenance (must follow Chapter 9 of the IDOT Transit Manager Handbook; or

m. Real property. The agency will utilize a directory of Minority and Women's Business Enterprises (MBE/WBE) and actively solicit such firms whenever they are potential sources. All public notices of bidding opportunities will state that the COG encourages bids from disadvantaged businesses. Whenever economically feasible, total requirements will be divided into smaller tasks or quantities to permit maximum small and minority business participation. In addition, where the requirements permit, schedules will be established that encourage participation by small and minority businesses. 5. Transit Capital Purchases All Transit capital purchases will be in accordance to Chapter 9 in the Iowa Department of Transportation Transit Manager's Handbook. D. SOLICITATION Solicitation is the process by which offers or bids are obtained from potential sub recipients, service providers or vendors. The solicitation process must include steps that will ensure a maximum response that in turn will increase competition. Besides ensuring good prices, competition increases the chances of obtaining new ideas and approaches from potential sub recipients, service providers or vendors. Competition can be increased by holding meetings to announce procurement plans, word‐of‐mouth, formal advertising, and by maintaining a potential service provider list. In order to ensure that an adequate number of bids or proposals are solicited, the COG must create and maintain a list of project‐specific potential service providers or vendors. Initial vendor lists may be created when the need for the service is determined. The list should include as many potential service providers or vendors as possible and can be developed by collecting the names of interested parties from "intent to solicit" meetings and publicity and from directories of appropriate service providers and vendors. The list must be updated on a periodic basis by removing defunct service providers and vendors and service providers that have not demonstrated any interest for a given time. Potential service providers and vendors that have shown interest must be added to the list regardless of their geographical location. The list must include community‐based organizations and small and minority businesses and women's business enterprises that provide related services. For WIA activities, RWIB‐approved education agencies in the SDA will be provided the opportunity to provide educational services, unless the COG demonstrates that RWIB‐approved alternative agencies or organizations would be more effective or would have greater potential to enhance the participants' continued occupation or career growth. All potential service providers or vendors on the COG’s list must be given the opportunity to submit a bid or proposal regardless of geographical location.


All procurements for any supplies, equipment, or service with an anticipated value of twenty‐five thousand dollars ($25,000) or more in the aggregate, must be publicly advertised. E. SELECTION The primary consideration in the selection of agencies or organizations to deliver services will be the effectiveness of the agency or organization in delivering comparable or related service based on demonstrated performance, in terms of the likelihood of meeting performance goals, quality of training, cost, fiscal performance, and the characteristics of the participants. Funds shall not be used to duplicate facilities and services available in the area, unless it is determined that alternative services or facilities would be more effective or more likely to achieve performance goals. When using the RFQ method of procurement, the award of a contract or purchase agreement must be made to the qualified bidder with the lowest price. When using the RFP method of procurement, the award of a contract or purchase agreement must be made to the qualified offeror with the highest rating. All procurement activities undertaken by the COG, regardless of dollar amount, will be conducted in a manner that provides maximum and free competition. The COG will avoid conflict of interest or the appearance of conflict of interest in the procurement of all goods and services. 1. Price Analysis Price analysis is an evaluation of the proposed price in relation to the going rate for the same, similar, or substantially equivalent training, services or property in the market place. Price analysis focuses on a comparison between the amount proposed and a benchmark amount that is considered fair and reasonable for successfully accomplishing the work. Price analysis must include one or more of the following techniques:

a. The comparison of a significant number of competitive price quotations for the same, similar, or substantially equivalent training, services, supplies or property;

b. The comparison of a significant number of prior quotations and contracts which were gathered through an adequate competitive procurement process, with the current quotations for the same, similar or substantially equivalent training, services, supplies or property;

c. The use of measures (such as: price per unit, placement, instruction hour, participant training hour, etc.) to identify significant differences;

d. The comparison of prices on published price lists or catalogs taking into account any discounts or rebates to the proposed price;

e. The comparison of a catalog or market price of a commercial product sold in substantial quantities to the general public; or

f. The comparison of the proposed prices with independent estimates of cost developed by the COG.

2. Cost Analysis Cost analysis is the evaluation of each proposed cost element in terms of necessity, reasonableness, allocability, terms of the contract, cost principles and federal regulations and policies. Cost analysis focuses on what the work should cost a potential service provider, assuming reasonable economy


and efficiency. A cost analysis is necessary when the offeror is required to submit the elements of a proposed price, when adequate price competition is lacking, and for sole source procurement. Cost analysis is not required when price reasonableness can be established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public, or based on prices set by law or regulation. Tuition charges for training or education provided by an institution of higher education or a proprietary institution of higher education that are not more than the charges for such training or education made available to the general public, as documented in the school catalog components. Cost analysis must evaluate the following:

a. A cost must be necessary for proper and efficient administration of the training or services proposed. The costs must be consistent with those normally allowed in like circumstances in non‐federally sponsored activities.

b. A cost must be reasonable in both type and amount. Costs are reasonable in type if they are consistent with sound business practices, consistent with actions a prudent businessperson would take under the circumstances, and are not a significant deviation from the established practices of the potential service provider. Costs are reasonable in amount if they are consistent with similar costs in the labor market area, are not increased from normal operations, and are necessary and sufficient to do the job in terms of quality and quantity.

c. A cost must be allocable to a contract either as direct or indirect costs. A direct cost is any cost that can be identified specifically with the training or services to be provided. An indirect cost is any cost not directly identified with the training or services to be provided, but benefits both the contract and other work, or are necessary to the overall operation of the organization.

d. A cost must be within the limitations established during the procurement process. Such limitations could include limitations on administrative costs, acquisition of property, leases of facilities, travel, etc.

e. A cost must be within the established cost principles relating to financial management, procurement, property and unallowable costs.

f. A cost must be allowable under the regulations and policies of the program for which the service is to be provided

In order to evaluate the above six issues, a cost analysis must determine that:

a. All calculations are accurate; b. Only necessary costs have been included in the proposal; c. Costs have been included no more than once; d. Proposed costs are justified; e. All proposed costs are allocated to the proper cost category and are within the limits set

by statute and the RFP; f. All proposed costs are necessary, reasonable and consistent with the proposal; g. The proposed price of each cost element is fair and reasonable as compared to similar

known prices;


h. Any proposed profit or program income is reasonable based on contractor effort, risk and other measures. If profit or program income is included in a price, the COG must negotiate profit or program income as a separate cost element of the price for each contract where there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit or program income, consideration must be given to:

i. The complexity of work to be performed; ii. The risk borne by the contractor; iii. The contractor's investment; iv. The amount of subcontracting; v. The quality of the contractor's past performance; vi. Industry profit rates in the surrounding geographical area for similar work;

and vii. Market conditions in the geographical area.

i. All proposed cost elements have been explained and are justifiable. In addition to the above, a judgment must be made about the total cost as compared to other proposals, independent estimates or any other measure of competitive cost. If significant subcontracts are proposed, those subcontracts must also receive a cost analysis review. 3. Evaluation for WIA The bid or proposal evaluation is an analysis of the quality of the training, services, supplies or equipment being proposed. It must rate, as appropriate:

a. The adequacy of the response to the technical specifications or required elements of the solicitation;

b. The potential service providers knowledge of an understanding of the program for which the service will be provided; and

c. The demonstrated performance of the offeror. A Determination of the Demonstrated Performance is the process of ascertaining and documenting an offeror's demonstrated ability to perform successfully under the terms and conditions of a proposed contract. Such determinations must be in writing and must take into consideration, as appropriate, such matters as whether the proposer has:

a. Adequate financial resources or the ability to obtain them; b. The ability to meet the program design specifications at a reasonable cost; c. The ability to meet performance goals; d. For WIA programs, a satisfactory record of past performance in job training, basic skills

training or related activities as evidenced by demonstrated quality of training, reasonable dropout rates from past programs, training completion, job placement and retention rates, earnings rates of participants, rates of licensure, and the ability to provide or arrange for other appropriate services identified in the Individual Employment Plan (IEP);

e. For WIA Title I programs, the ability to provide training and services that lead to the achievement of competency standards for participants with identified deficiencies;

f. A satisfactory record of integrity, business ethics, and fiscal responsibility; g. The necessary organization, experience, accounting and operational controls; and


h. The technical skills to perform the work. If after evaluating the demonstrated performance of all proposals submitted, the COG determines that a contract or purchase agreement is to be written with a "high‐risk" service provider, special restrictions that address the reason for the "high‐risk" status must be included in the contract or purchase agreement. A "high‐risk" service provider is any entity that has a history of unsatisfactory performance, is not financially stable, and has a management system which does not meet the management standards set forth by IWD, or has not conformed to terms and conditions of a previously awarded contract or purchase agreement. F. LEASE AND LEASE‐PURCHASE PROCEDURES When deciding to obtain equipment with a unit value of ten thousand dollars ($10,000) or more, The COG must decide whether it is more advantageous to lease, lease‐purchase, or purchase the equipment. The COG must consider the following factors:

a. The estimated length of time the property is to be used and the extend of use during that time:

b. The net purchase price (purchase price plus any additional costs, including transportation and installation costs, minus any trade‐in credits, rebates of discounts) compared to the cumulative lease payments for the estimated time of use;

c. Maintenance and other service costs, including the availability and quality of maintenance and service arrangements;

d. The potential obsolescence of the property due to imminent technological improvements;

e. The trade‐in or salvage value; f. The availability of program funds; and g. The need to amortize the procurement over several program years.

The purchase method of acquisition is generally appropriate if the equipment will be used beyond the point in time when the cumulative leasing costs exceed the purchase costs. The COG will not rule out the purchase method of acquisition merely because of the possibility that future technological advances might make the property less desirable. The lease method of acquisition is appropriate if it is to the program's advantage under the circumstances. In addition, the lease method may serve as an interim measure when the circumstances require immediate use of the property to meet program or system goals, or if the COG desires to field test a piece of property prior to making a procurement decision. If a lease is justified, a lease with an option to purchase is generally preferable. A long‐term lease should normally be avoided, but may be appropriate if an option to purchase or other favorable terms are included. Documentation that the lease versus purchase policy has been followed must be maintained. The documentation must include a comparison of the purchase price and the lease and/or lease‐purchase price, as well as the rationale for the acquisition method, based on the factors identified above.


G. DOCUMENTATION All steps of the procurement process must be documented including solicitations, selection process, contract negotiations and award. If a procurement action requires State or Federal approval, a copy of that approval must also be retained. For competitive procurement through RFQs and RFP's, the following must be documented:

a. The name and title of the individual initiating the procurement process; b. Information relating to the amount and source(s) of available funds; c. The description of the supplies, property, or services to be procured; d. A list of service providers who received direct solicitations, and any publications which

were made (for RFQs where verbal solicitations were conducted, the name of the individual contacted and the name of the individual making the contact);

e. The prices or proposals received; f. For RFP's, a copy of the request which was released, a copy of all proposals received, and

the evaluations of proposals received; g. The name(s) of offeror(s) selected for award; h. When the lowest cost offer is not accepted, additional justification is required; and

For Sole Source procurement, in addition to the items listed above, the following must be documented:

a. The justification for why the Sole Source method was used; b. A description of the proposed service provider's or vendor's unique or special capacity to

fill the requirement; c. A description of actions that were taken to obtain more than one quote or offer, where

applicable; and d. Any other facts that support the use of Sole Source.

H. SUBCONTRACTORS Subcontractors will be required to abide by the various state and federal regulations that are tied to the funds paying for a particular service.

I. PROPERTY DISPOSAL The COG may periodically determine certain equipment, supplies or other personal property to be obsolete or no longer of use to the agency. Unless otherwise stipulated by a funding, oversight agency, statute or rule/regulation, said property may be disposed, at the direction of the Executive Director or his or her appointee, in the following manner:

1. Auction. Property may be offered for sale to the public through a variety of outlets, including DOT or DAS auctions, eBay or other online auction, or a local auction house or auctioneer.

2. Internet Exchange. Specialty equipment may require a certain buyer or benefit from an ability to be offered for sale over a period of time. The COG may use Craigslist or similar outlet to offer surplus equipment in order to try to maximize revenue realized from a sale.

3. Trade‐in. Equipment that is being replaced by newer equipment may be traded in for credit towards newly purchased replacement equipment (e.g. plotter, color printer).

4. Advertisement for Bids. The COG may advertise property for sale and receive bids for that property with the item being awarded to the highest bidder.

5. Sale Through an Agent. Primarily for real estate, the COG may enlist the services of a


professional to market property and dispose of that property to a responsible and reasonable offeror.

6. Donation. Property may be donated to another non‐profit corporation or government agency.

7. Recycling/Disposal. Equipment may be recycled, offered to others through the Iowa Waste Exchange, or properly discarded.

8. Transfer to Another Agency. Typical for transit vehicles, the COG may advertise through the DOT or other appropriate channels to transfer equipment (with or without compensation) to other agencies that will use the equipment to provide similar service (e.g. busses to a public transit system).

9. Appropriate Other Means. Equipment with minimal value may be disposed of in a variety of ways including an internal auction to employees, tag sale, or other appropriate method.

REGION XII COUNCIL OF GOVERNMENTS

RECORDS RETENTION POLICY Approved ***DRAFT July 2010***

Region XII COG retains records as required by law, contract, or regulation, and destroys them when appropriate. The destruction of records must be approved by the Executive Director, Fiscal Officer, or department director with commensurate program oversight. The COG may choose, as it sees fit, to retain some records and discard others beyond timelines listed below (e.g. archives). The formal records retention practices are as follows: Record Retention Approval Accident reports/claims (settled cases) 7 years FO/ED Articles of Agreement (28Es) Permanent Articles of Incorporation Permanent Audit Reports Permanent Bank Reconciliations 7 years FO Bank Statements 7 years FO By‐laws Permanent Cash Receipts Logs 7 years FO Client Files (closed) 5 years ED/DD Contracts and Leases (closed) 7 years ED/FO Deeds & Abstracts Permanent Employment applications (not hired) 1 year ED/DD Garnishments (that which is not part of personnel record) 7 years FO General ledgers 7 years FO Grant Administration Files (closed) 5 years ED/FO/DD Health Insurance Records (that which is not part of personnel record) 7 years FO Insurance Policies (expired) 7 years ED/FO Insurance Records (claims, etc.) 5 years ED/FO Invoices (from date of last completed audit) 7 years FO Legal Correspondence 5 years ED/FO Loan Files (closed) 5 years ED/FO/DD Minutes of Board Meetings Permanent Mortgages, Promissory Notes, Loan Documents (paid) 5 years ED/DD Payroll Records 7 years FO Personnel & Related Files (terminated) Permanent Procurement Records 5 years ED/FO Records Subject to Litigation/Arbitration/Questioned Costs (closed) 5 years ED/FO Tax Returns and Related Documents 7 years FO Timesheets 7 years FO Withholding Tax Statements (W‐2s) 7 years FO