supervision and documentation requirements agency for workforce innovation august 2007

Supervision and Supervision and Documentation Documentation RequirementsRequirements

Agency for Workforce InnovationAgency for Workforce Innovation

August 2007August 2007

Health and Human Services Health and Human Services (HHS)(HHS) Requires supervision during activity Requires supervision during activity

participationparticipation

– For RWBs to receive credit for participation in For RWBs to receive credit for participation in work activities, the activity must be work activities, the activity must be supervised on a daily basis by an appropriate supervised on a daily basis by an appropriate partyparty

A teacher may supervise classroom or study hoursA teacher may supervise classroom or study hours

An employer or supervisor may supervise hours at An employer or supervisor may supervise hours at a worksite or joba worksite or job

An employer may verify the time a participant An employer may verify the time a participant spent applying for or interviewing for workspent applying for or interviewing for work

Required each state to describe Required each state to describe supervisory processes for each activity in supervisory processes for each activity in the Work Verification Planthe Work Verification Plan

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Federal GuidanceFederal Guidance

All activities require All activities require written, signed written, signed documentation to documentation to receive credit for receive credit for hourshours

Documentation is Documentation is based on the type based on the type of activityof activity

– Paid versus unpaidPaid versus unpaid

Unsubsidized EmploymentUnsubsidized Employment

Supervision Supervision RequirementsRequirements

– Hours in Hours in unsubsidized unsubsidized employment are employment are assumed as actual assumed as actual hours of hours of participation based participation based on proof of wages on proof of wages received from the received from the employeremployer

Unsubsidized Unsubsidized EmploymentEmployment Documentation requirementsDocumentation requirements

– Verification of employmentVerification of employment Before entering the employment, Before entering the employment,

documentation/verification must be secureddocumentation/verification must be secured

– Verification of hours completedVerification of hours completed Pay stubsPay stubs Time sheetsTime sheets Copies of checksCopies of checks Money orderMoney order Work Number (TALX)Work Number (TALX) Employer contact (last option)Employer contact (last option)

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Unsubsidized Unsubsidized EmploymentEmployment

Documentation requirementsDocumentation requirements

– Documentation of hours from the Documentation of hours from the employer must includeemployer must include

Pay ratePay rate

Employer nameEmployer name

Hours workedHours worked

Time periodTime period

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Unsubsidized EmploymentUnsubsidized Employment Verification through the WORK Number Verification through the WORK Number

or employer contact must includeor employer contact must include

– Employer nameEmployer name

– Date contactedDate contacted

– Contact (person talked to or Work Contact (person talked to or Work Number)Number)

– Name of staff making contactName of staff making contact

– Period/weeks verifiedPeriod/weeks verified

– Hours during the pay periodHours during the pay period

– Rate of payRate of pay

Unsubsidized Employment-Unsubsidized Employment-Self-EmploymentSelf-Employment

SupervisionSupervision

– Is assumed based on Is assumed based on documented documented earnings earnings and business expensesand business expenses


– Proof of income and business expensesProof of income and business expenses

– Receipts from vendorsReceipts from vendors

– ChecksChecks

– Copies of checksCopies of checks

– Money ordersMoney orders

Unsubsidized EmploymentUnsubsidized EmploymentSelf-EmploymentSelf-Employment

To determine hours, the RWB must To determine hours, the RWB must use the minimum wage calculation:use the minimum wage calculation:

– Income - business expenses/the higher Income - business expenses/the higher of the federal or State minimum wageof the federal or State minimum wage

Current calculation- business Current calculation- business expenses/Florida’s minimum wage of $6.67expenses/Florida’s minimum wage of $6.67

– Required to use the higher of the two-Required to use the higher of the two-federal or State minimum wagefederal or State minimum wage

Frequently Asked QuestionsFrequently Asked Questions

How do we get proof How do we get proof of business expenses of business expenses and income if self-and income if self-employed employed participants are paid participants are paid in cash?in cash?

– Receipts for services Receipts for services

– Receipts for Receipts for equipment and equipment and supplies purchased to supplies purchased to provide servicesprovide services

IdeaIdea Create an employability skills Create an employability skills

activity for self-employed activity for self-employed participantsparticipants

– Workshops could includeWorkshops could include

Filling out receiptsFilling out receipts

Keeping accounts receivable/payable Keeping accounts receivable/payable ledgersledgers

BookkeepingBookkeeping

Writing invoicesWriting invoices

Subsidized Private/Public Subsidized Private/Public Sector EmploymentSector Employment


– Must be supervised dailyMust be supervised daily

ProjectingProjecting

– Hours cannot be projected Hours cannot be projected if employment is if employment is subsidized using TANF subsidized using TANF dollarsdollars

Subsidized Private/Public Subsidized Private/Public Sector EmploymentSector Employment


– Verification of incomeVerification of income

– Pay stubsPay stubs

– Time sheetsTime sheets

– Copies of checks Copies of checks

– Money ordersMoney orders

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Verification through the WORK Number Verification through the WORK Number or employer contact must includeor employer contact must include

– Employer nameEmployer name

– Date contactedDate contacted

– Contact (person talked to or Work Contact (person talked to or Work Number)Number)

– Name of staff making contactName of staff making contact

– Period/weeks verifiedPeriod/weeks verified

– Hours during the pay periodHours during the pay period

– Rate of payRate of pay

Subsidized Private/Public Sector Subsidized Private/Public Sector EmploymentEmployment

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Projecting Employment Projecting Employment HoursHours

Projecting is entering actual completed Projecting is entering actual completed hours at work for hours that are not hours at work for hours that are not documented based on previously documented based on previously received documentationreceived documentation

This is a provision of federal law to This is a provision of federal law to support individuals who have secured support individuals who have secured employment and provide employment and provide documentation on a less frequent basisdocumentation on a less frequent basis

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Employment hours may be entered on the Employment hours may be entered on the JPR screen based on documentation JPR screen based on documentation previously received ifpreviously received if

– The employment is not subsidized by TANF The employment is not subsidized by TANF fundsfunds

– The employment is not self-employmentThe employment is not self-employment

– The RWB has secured one full pay cycleThe RWB has secured one full pay cycle

– A case closure alert has been received and the A case closure alert has been received and the cash has been closed in the FLORIDA systemcash has been closed in the FLORIDA system


Most cases will close soon after a Most cases will close soon after a participant starts working, unlessparticipant starts working, unless

– The participant receives low payThe participant receives low pay

– The participant works few hoursThe participant works few hours

– The family receives a high benefit The family receives a high benefit amountamount

– The employment is excluded income The employment is excluded income (like work study)(like work study)

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What is one full pay cycle?What is one full pay cycle?

– Unless we are notified otherwise, one Unless we are notified otherwise, one full pay cycle depends on how often full pay cycle depends on how often the participant is paidthe participant is paid

If the participant is paid every two weeks, If the participant is paid every two weeks, it would be the first full two weeks the it would be the first full two weeks the participant is employedparticipant is employed

– This usually eliminates the first pay This usually eliminates the first pay check unless they begin exactly when check unless they begin exactly when the first pay period startsthe first pay period starts

QuestionQuestion

When would it be appropriate to When would it be appropriate to project hours?project hours?

The participant gains employment and the The participant gains employment and the cash assistance case closescash assistance case closes

The participant has provided verification of The participant has provided verification of employment employment

The participant has provided documentation The participant has provided documentation of hours for one full pay cycleof hours for one full pay cycle

Attempts to contact participant to get Attempts to contact participant to get additional proof of hours are unsuccessfuladditional proof of hours are unsuccessful

QuestionQuestion Can we project self-employment Can we project self-employment

hours?hours?

– Self-employment hours Self-employment hours cannotcannot be be projectedprojected

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QuestionQuestion What happens if the participant What happens if the participant

provides updated pay stubs?provides updated pay stubs?

– We should try to maintain the correct We should try to maintain the correct information in the systeminformation in the system

– Since we project for such a short period of Since we project for such a short period of time, we should try to update the JPRs in time, we should try to update the JPRs in the systemthe system

– Any future weeks projected must be based Any future weeks projected must be based on the most recent full pay cycle receivedon the most recent full pay cycle received

Work Experience and Work Experience and Community ServiceCommunity Service


– Must be monitored daily byMust be monitored daily by

SupervisorSupervisor

EmployerEmployer

Other designated responsible partyOther designated responsible party

– The responsible party for supervising and The responsible party for supervising and documenting hours documenting hours mustmust be designated in be designated in the worksite agreementthe worksite agreement


Documentation may includeDocumentation may include

– Time sheets signed by the designated Time sheets signed by the designated supervising partysupervising party

– Other attendance records or logs signed Other attendance records or logs signed by the designated supervising partyby the designated supervising party

– Must be secured by the RWB at least every Must be secured by the RWB at least every two weekstwo weeks

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What is deeming?What is deeming?

– If a family participates in Work Experience If a family participates in Work Experience or Community Service for the number of or Community Service for the number of hours required based on the calculation hours required based on the calculation

– And the calculated hours does not meet the And the calculated hours does not meet the core hours required by federal law (for the core hours required by federal law (for the case to be counted in the participation rate)case to be counted in the participation rate)

– The family can get credit for the The family can get credit for the core core requirement requirement based on the family typebased on the family type

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DeemingDeeming

Applies only to the worksite activitiesApplies only to the worksite activities

– Work ExperienceWork Experience

– Community ServiceCommunity Service

Has three principle componentsHas three principle components

– Core hours based on the family typeCore hours based on the family type

– Calculated monthly hours at the Calculated monthly hours at the worksite for the familyworksite for the family

– Actual hours completed at the Actual hours completed at the worksite(s) by the familyworksite(s) by the family

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DeemingDeeming A family may be given credit for the A family may be given credit for the

“core” hours “core” hours

– Currently, the JPR screen records weekly Currently, the JPR screen records weekly hours. The family may be given credit for hours. The family may be given credit for all core hours if the family completes all all core hours if the family completes all required hours for the week required hours for the week

– Some regions have developed local Some regions have developed local operating procedures to give the family operating procedures to give the family credit for core hours if the family completes credit for core hours if the family completes the calculated hours for the monththe calculated hours for the month The monthly deeming procedure must be writtenThe monthly deeming procedure must be written

All staff should follow the local procedureAll staff should follow the local procedure

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Assigning worksite Assigning worksite hourshours

– Family is assigned hours Family is assigned hours based on the calculation based on the calculation for the week/monthfor the week/month

– Two-parent family may Two-parent family may share hours or one share hours or one parent may complete all parent may complete all hours provided the hours provided the parent is not required to parent is not required to complete more than 40 complete more than 40 hours per weekhours per week

– Families cannot be Families cannot be required to completed required to completed more than the more than the calculated hours calculated hours

– Individuals cannot be Individuals cannot be required to completed required to completed more that 40 hours per more that 40 hours per weekweek

Credit for worksite hoursCredit for worksite hours

– Family completes all Family completes all required hours for the week required hours for the week or monthor month

– The required hours are The required hours are based on the calculationbased on the calculation

– The career specialist enters The career specialist enters the “core” hours on the JPR the “core” hours on the JPR screen for the weeks/month screen for the weeks/month based on the family typebased on the family type

– The career specialist enters The career specialist enters a case note includinga case note including

Calculated hours for the Calculated hours for the month and the weekmonth and the week

The hours completedThe hours completed

The number of hours The number of hours deemeddeemed

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Weekly Deeming for Worksite Weekly Deeming for Worksite ActivitiesActivities


Deeming calculationDeeming calculation– Family must complete the weekly required hours based Family must complete the weekly required hours based

on the calculationon the calculation

Cash assistance + Food Stamp Allotment/Florida’s Cash assistance + Food Stamp Allotment/Florida’s minimum wage or federal minimum wage (which minimum wage or federal minimum wage (which ever is higher)/4.3ever is higher)/4.3

– Family must complete the monthly hours required based Family must complete the monthly hours required based on the calculationon the calculation

Cash assistance + Food Stamp Allotment/Florida’s Cash assistance + Food Stamp Allotment/Florida’s minimum wage or federal minimum wage (which minimum wage or federal minimum wage (which ever is higher)ever is higher)

The number of hours the family should be instructed The number of hours the family should be instructed to complete each week depends on the number of to complete each week depends on the number of weeks left in the month to complete the hoursweeks left in the month to complete the hours

Job Search and Job Job Search and Job Readiness AssistanceReadiness Assistance


– All hours entered on the JPR screen must be All hours entered on the JPR screen must be supervisedsupervised

– Supervision is documented for all classes, Supervision is documented for all classes, workshops and in-house job searches through workshops and in-house job searches through time sheets signed by supervising partytime sheets signed by supervising party

– Supervision is documented for all on-site job Supervision is documented for all on-site job searches through a completed job search form searches through a completed job search form validated as requiredvalidated as required

– Job application or interview cannot be a proxy Job application or interview cannot be a proxy for hours, job search hours must be actual for hours, job search hours must be actual hours completedhours completed

Job Search and Job Readiness Job Search and Job Readiness AssistanceAssistance

DocumentationDocumentation

– Job readiness programs (classes, Job readiness programs (classes, workshops)workshops)

Signed time sheetsSigned time sheets

Sign-in and sign-out logsSign-in and sign-out logs

– Job searching at the career centerJob searching at the career center

Sign-in and out logsSign-in and out logs

Signed time sheetsSigned time sheets

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Job Search and Job Readiness Job Search and Job Readiness AssistanceAssistance

– Job searching “on site” (with employer)Job searching “on site” (with employer)

Job search form documenting hours of actual Job search form documenting hours of actual completion of applications, interviews, etc.completion of applications, interviews, etc.

The employer may initial or sign the job search The employer may initial or sign the job search and time informationand time information

– Essentially, the employer is validating the time spent Essentially, the employer is validating the time spent on site completing the application and interview on site completing the application and interview processprocess

The employer may validate other time spent in The employer may validate other time spent in interviews, etc.interviews, etc.

Verification of job search completedVerification of job search completed

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QuestionQuestion What if the participant job searches at What if the participant job searches at

home?home?

– The job search must be supervised, which The job search must be supervised, which may be possible through on-line processesmay be possible through on-line processes

– If the job search is not supervised, the If the job search is not supervised, the hours cannot be recorded in the systemhours cannot be recorded in the system

– Remember, a participant can job search Remember, a participant can job search anytime during the program, but anytime during the program, but countable hours recorded for job search countable hours recorded for job search and job readiness assistance participation and job readiness assistance participation is both limited and structured is both limited and structured

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QuestionQuestion Do we have to verify job searches with Do we have to verify job searches with

the employer?the employer?

– YesYes

– Ten percent of all job searches done “on site” Ten percent of all job searches done “on site” (with the employer) and completed outside (with the employer) and completed outside of the Career Center must be verified with of the Career Center must be verified with the employerthe employer

– The RWB should develop a process to record The RWB should develop a process to record the information and monitor the percentage the information and monitor the percentage of job searches verified for each participant of job searches verified for each participant engaged in job search and job readiness engaged in job search and job readiness activitiesactivities

Job Search and Job Job Search and Job Readiness AssistanceReadiness Assistance

Substance abuse and mental health activitiesSubstance abuse and mental health activities

– The RWB must document that the participant assigned to The RWB must document that the participant assigned to job search and job readiness that is getting credit for job search and job readiness that is getting credit for treatment hours is “otherwise employable”treatment hours is “otherwise employable”

– The RWB must document that the treatment is needed by The RWB must document that the treatment is needed by a certified professional, which may include a psychiatrista certified professional, which may include a psychiatrist

– Document hours of participation in SAMH activitiesDocument hours of participation in SAMH activities

Time sheetsTime sheets

Signed by a supervising party relevant to the Signed by a supervising party relevant to the activity participated inactivity participated in

– Counselor for group therapyCounselor for group therapy

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QuestionQuestion

Are substance Are substance abuse and mental abuse and mental health treatment health treatment hours a part of the hours a part of the ten percent that ten percent that must be verified by must be verified by the RWB on regular the RWB on regular basis?basis?

– YesYes

Education and TrainingEducation and Training SupervisionSupervision

– Each countable hour of participation Each countable hour of participation must be supervised by a designated must be supervised by a designated responsible partyresponsible party

– We recommend the RWB secure who We recommend the RWB secure who the responsible party is through the responsible party is through registration documents, a syllabus, or registration documents, a syllabus, or other written notificationother written notification

– Documentation must support Documentation must support supervised hours of participationsupervised hours of participation

Education and TrainingEducation and Training Documentation may includeDocumentation may include

– Signed time sheetsSigned time sheets

– Direct contact with the instructor or institution that Direct contact with the instructor or institution that contains all required informationcontains all required information

Required informationRequired information

– Instructor (on-site or on-line) or supervising party (e.g., Instructor (on-site or on-line) or supervising party (e.g., lab monitor)lab monitor)

– Course, lab, study hall, etc.Course, lab, study hall, etc.

– Dates of attendanceDates of attendance

– Hours related to creditHours related to credit

– Contact information of person verifying attendanceContact information of person verifying attendance

Documentation Documentation RequirementsRequirements

Documentation “Do’s”Documentation “Do’s”

– Secure documentation of actual hours completed Secure documentation of actual hours completed prior prior to entering hours on the JPR screento entering hours on the JPR screen

– Ensure that time sheets and other documentation Ensure that time sheets and other documentation are signed by an appropriate partyare signed by an appropriate party

– Ensure all documents have the required Ensure all documents have the required information information prior prior to entering hours on the JPR to entering hours on the JPR screenscreen

– Stamp the document when it is received by the Stamp the document when it is received by the provider or RWBprovider or RWB

Documentation RequirementsDocumentation Requirements Documentation “Do’s” continuedDocumentation “Do’s” continued

– Enter a case note once documentation has been Enter a case note once documentation has been received and JPRs are updated received and JPRs are updated

An ideal case note would includeAn ideal case note would include

– Activity and type of documentActivity and type of document

– Week(s) of participationWeek(s) of participation

– Number of hours completedNumber of hours completed

– Notation if participant completed the assigned hours Notation if participant completed the assigned hours

– File documentation immediately after completing File documentation immediately after completing data entry to reduce misplaced or lost data entry to reduce misplaced or lost documentsdocuments


Do notDo not

– Enter a JPR greater than zero without Enter a JPR greater than zero without documentationdocumentation

– Enter a JPR greater than zero if the Enter a JPR greater than zero if the documentation has not been signed by documentation has not been signed by the designated party responsible for the designated party responsible for supervising hours of participationsupervising hours of participation

– Enter a JPR greater than zero based on a Enter a JPR greater than zero based on a participant statementparticipant statement


Do notDo not

– Enter job search “on-site” hours Enter job search “on-site” hours based on a document without based on a document without

The date the job search or interview was The date the job search or interview was conducted conducted

Hours of engagementHours of engagement

Employer informationEmployer information

– Forge/create documentsForge/create documents

If you have any questions, comments, If you have any questions, comments, or or

concerns, please contact the Welfare concerns, please contact the Welfare Transition Team through the Agency Transition Team through the Agency

for Workforce Innovation’s Call for Workforce Innovation’s Call Center at 1-866-352-2345Center at 1-866-352-2345

An equal opportunity employer/program. Auxiliary aids and services are available upon request to individuals with disabilities. All voice telephone numbers on this document may be reached by persons using TTY/TDD equipment via the Florida Relay Service at 711.

supervision and documentation requirements agency for workforce innovation august 2007

Documents

work activities

employer contact

work numbername of staff

actual hours of participation

actual completed hours

business expensesreceipts

proof of business expenses

joban employer