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MEMO: AP 01-24

Last Updated: November 15, 2016


DATE:
 July 27, 2001

TO: WIB Directors; Job Center Directors; WIB Chairpersons; Grant Recipients

FROM: Lorna Joseph, Director of Program Support; Nancy Calabrese, Director of Field Operations

SUBJECT: WIA Dislocated Worker File Retention, Documentation and Release of Information

America's Workforce Network

Purpose: To provide guidance on dislocated worker file content, retention and release of information.

Policy: Dislocated worker certifications and documented proof of eligibility should be housed in a separate file in each Job Center according to program year.  Since files must be readily available for review by state and federal auditing staff, dislocated worker certifications and accompanying documentation should not be commingled with counseling or any other office files.

The local registration policy or some other document should clearly state the process for certification of dislocated workers, including which agency is doing certification, what should be kept in the file, and what documentation will be sent to the agency doing registration and completing the WIA 01.

File Content

Separate files should be kept for each certified dislocated worker.  The worker’s name and social security number should identify files.

Files must contain the following:

  • a copy of the completed WIA-5 (Eligibility and Certification for Dislocated Workers under the Workforce Investment Act);

  • physical proof of dislocated worker status.

For your convenience, copies of the WIA-5 and forms of acceptable documentation for dislocated worker eligibility are attached at the end of this memorandum.

File Retention

Records should be retained for three years, not including the current program.

Questions can be directed to Steve Litke, (860) 263-6599, Cindy Cyr, (860) 263-6596 or Chris Sanders, (860) 263-6583.

Attachments:

  • AP 00-21:  excerpts on documentation required for dislocated workers; 
  • AP 01-16:  Guidance to WIB Areas on Client Registration and Flow Process; the WIA 5.

Administrative Procedures Memos


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