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Workforce Investment Acts Follow-up Requirements

By Marilyn Kelley,2014-05-18 00:59
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I. Workforce Investment Act's Follow-up Requirements. The Workforce Investment Act requires that Title I Youth, Adult and Dislocated Worker participants

Follow-up and Performance Measures Technical Assistance Guide

I. Workforce Investment Act’s Follow-up Requirements ............................................................. 2

    II. Allowable Follow-up Services .................................................................................................... 2 A. Adult and Dislocated Workers ................................................................................................ 2 B. Youth Participants .................................................................................................................... 2 C. Idaho Works Boards Follow-up Policies ................................................................................ 3

    III. WIA Performance Measures ................................................................................................... 4 A. Purpose of Performance Measures .......................................................................................... 4 B. Applying Measures to Funding Streams and Population Groups ......................................... 4

    C. Point of Registration for Counting Customers in Measures .................................................. 5

    D. Point of Exit for Counting Outcomes ..................................................................................... 5

    E. WIA Measures Defined ........................................................................................................... 6

    Adult Measures ............................................................................................................................. 6

    Dislocated Worker Measures....................................................................................................... 9

    Older Youth (Age 19-21) Measures .......................................................................................... 12

    Younger Youth (Age 14-18) Measures ..................................................................................... 14

    Customer Satisfaction Measures ............................................................................................... 17 IV. Data Collection Methods for Adult, Dislocated Worker and Youth Measures........................ 18

    A. Unemployment Insurance Wage Records ............................................................................ 18

    B. Supplemental Data Sources and Documentation ................................................................. 18

    1. Employment ....................................................................................................................... 18

    2. Credentials, Placement in Post Secondary Education or Advanced Training, Military

    Service, Apprenticeship and High School Degrees ................................................................. 19

    3. Identifying Participants Who Require Supplemental Reporting ..................................... 19

    C. Customer Satisfaction Survey ............................................................................................... 20 D. Skill Attainment ..................................................................................................................... 20 V. Relating Follow-up Services to Performance Measures .......................................................... 21

    A. Adults, Dislocated Workers and Older Youth ...................................................................... 21

    B. Younger Youth ....................................................................................................................... 21 C. Customer Satisfaction ............................................................................................................ 22

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I. Workforce Investment Act’s Follow-up Requirements

    The Workforce Investment Act requires that Title I Youth, Adult and Dislocated Worker participants receive follow-up services for not less than 12 months. WIA also includes follow-up reporting requirements for these programs and performance measures based on follow-up status. This guide describes allowable follow-up services, the WIA core performance measures, data and reporting methodologies, the customer satisfaction survey process, and a section relating follow-up activities to the WIA performance measures.

II. Allowable Follow-up Services

A. Adult and Dislocated Workers

    Adults and Dislocated Workers who are placed in unsubsidized employment must receive follow-up services for a minimum of 12 months after the first date of employment. Allowable services include counseling regarding the workplace and WIA supportive services. The emphasis of workplace counseling activities should be directed to assisting the participant in retaining employment, increasing earnings and completing education requirements when appropriate. The case manager should help identify the supportive services from WIA and other sources necessary for retaining employment. The case manager may work with the employer to help resolve employment issues and to identify opportunities for advancement. If necessary, the case manager should provide assistance in obtaining new employment.

    The case manager may assist in arranging a wide array of services design to improve the employment status of the participant during follow-up. The case manager should also include non-WIA services in these strategies. During the follow-up period, if it becomes necessary to utilize WIA services beyond those available through the follow-up component, then re-enrollment into WIA will be required. Follow-up services that may be provided without re-registering the participant into WIA include all of the services described as core and intensive services with the exceptions of work experience, internships and job shadowing. Services that entail ongoing WIA payment support require re-enrollment into WIA. These services include of work experience, internships, job shadowing, and all training services.

B. Youth Participants

    All youth participants must receive some form of follow-up for a minimum of 12 months. The types of services provided and the duration of services must be determined based on the needs of the individual. Follow-up may include supportive services and leadership development. Follow-up may include regular contact with the youth participant’s employer, including assistance with work-related problems that arise. Follow-up may also include work related peer support groups, adult mentoring, assistance in securing better paying jobs, career development and further education, and tracking the progress of the participant in employment after training.

    Assistance for leadership development opportunities is encouraged and may include the following:

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    ? exposure to postsecondary educational opportunities;

    ? community and service learning projects;

    ? peer-centered activities, including peer mentoring, and tutoring;

    ? organizational and team work training, including team leadership training;

    ? training in decision-making, including determining priorities;

    ? citizenship training, including life skills training such as parenting, work behavior

    training, and budgeting resources;

    ? employability; and

    ? positive behaviors

Follow-up services should be directed to ensure that the participant successfully meets their

    planned outcome goals and to insure successful outcomes on the WIA performance measures. As

    with the Adults and Dislocated Workers, a wide range of services may be provided during

    follow-up without re-enrolling the participant into WIA. WIA services that will require re-

    enrollment into WIA are work experience, internships, job shadowing, and occupational training

    including on-the-job training and classroom training.

C. Idaho Works Boards Follow-up Policies

The Idaho Works Boards initially set policies on follow-up services. Until further notice, follow-

    up activities need to be in accordance with these policies. The recommended follow-up

    strategies presented in this TAG are in compliance with these policies. In local areas where the

    minimum number of contacts is specified, the case manager should insure that the overall

    follow-up strategy include those required contacts. The local plan’s policies are listed below:

Region I. Allows expenditures ―to maintain or obtain employment‖ and requires minimum

    contacts at 3, 6 and 12 months from the date of unsubsidized employment. Contacts may consist

    of but are not limited to such things as in person, phone calls, e-mails, or contact by letter.

Region II. Follow-up contacts will be conducted routinely, and staff will intervene with

    supportive services or other appropriate resources when those are necessary for success of the

    former participant.

Region III. Services are provided during the 12 months following exit. They may include

    counseling, coaching (Intensive Services) and/or Core Services in locating other employment

    should a job or employer be found not to be suitable.

Region IV. Allows follow-up services for 12 months from the date of unsubsidized employment

    with services based on participant needs for maintaining or obtaining. Number of contacts done

    according to need, and type of contact may be in-person, by phone, or other procedure.

Region V. One stop operator will determine how and will define what constitutes a contact, with

    a minimum of 3 contacts during the 12 months.

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Region VI. Appropriate follow-up services provided for 12 months following the first day of

    unsubsidized employment. (CFR 633.150(b) Contact methods may include personal visits, phone,

    e-mails, letter, or other. Frequency dependant on need.

     III. WIA Performance Measures

A. Purpose of Performance Measures

The Workforce Investment Act utilizes 17 core performance measures to evaluate program

    performance. The performance measures reflect a major emphasis on the follow-up status of the

    participant. The core performance measures are utilized by the USDOL, the State and Idaho

    Works Boards to evaluate program performance. This evaluation includes awarding incentive

    funds for good performance or implementing sanctions based on poor performance. Continued

    poor performance could lead to sanctions that include reductions in program funding,

    restructuring of the local Idaho Works Board or prohibiting the use of particular service

    providers. While there are a wide variety of ways to evaluate performance, the 17 core measures

    represent the most critical WIA measurement process.

B. Applying Measures to Funding Streams and Population Groups

The WIA core measures, other than the customer satisfaction measures, are applied separately to

    the three funding streams: adult, dislocated workers, and youth. The youth funding stream is

    further divided into two categories: older youth (aged 19-21) and younger youth (aged 14-18).

    This means that 15 of the measures are divided among the four different populations groups.

    The two customer satisfaction measures are applied across all population groups. The following

    rules apply to determine how to count participants in the funding streams:

    ? If a participant is served by a specific funding stream, he/she will be counted in that

    funding stream’s set of measures (e.g., a participant served by adult funds will be in the

    adult measures).

    ? If a participant is served by more than one funding stream, he/she will be counted in more

    than one set of measures (e.g., a participant served by youth funds and adult funds will be

    counted in the youth measures and adult measures).

    ? Since there are two sets of measures within the youth funding stream, the following rule

    applies for those served by the youth funding stream: a youth must be included only in

    the set of youth measures that applies based on the person’s age at registration (i.e., youth

    between the ages of 14 and 18 at registration will be included in the younger youth

    measures and youth between the ages of 19-21 at registration will be included in the older

    youth measures) regardless of how old the participant is at exit.

    ? All exit-based measures (which includes all the core measures except the younger youth

    skill attainment rate and the employer customer satisfaction measure) will be effective

    when the participant has exited all WIA Title I (definition of exit is provided below). In

    the case of a youth participant who becomes an adult participant, the individual will be

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    counted in both the youth measures and adult measures. Neither set of exit-based

    measures will be applied until that participant has exited the adult program services (as

    well as all other WIA Title I services). This is because exit-based measures assess a

    participant’s outcome following their full range of services, even when those services are

    from different program areas.

C. Point of Registration for Counting Customers in Measures

For accountability purposes, WIA established core measures of performance for customers who

    receive workforce investment activities beyond self-service and informational services. All

    youth who receive WIA Title I services will be registered for services and counted in the

    measures. For performance measurement of the adult and dislocated worker programs, WIA

    distinguishes self-service and informational activities as separate from the other activities within

    the WIA service categories (core, intensive, and training). However, there are informational

    activities within the core services category described in the Act. There are two main factors to

    consider when determining which core services require adults and dislocated workers to be

    registered and counted in the measures:

    1. Level of staff involvement with the customer. When there is significant staff

    involvement in terms of resources or time, individuals receiving the staff-intensive core

    services are required to be registered for the adult and dislocated worker programs (all

    youth customers are required to register).

    2. Purpose of the service. The Act specifically excludes those individuals who participate in

    self-service activities only (such as browsing the Internet). For staff-assisted activities,

    the purpose of the service should be examined to determine if registration is required for

    the service. Services that are designed to inform and educate individuals about the labor

    market and their employment strengths, weaknesses, and the range of services

    appropriate to their situations should be considered informational in nature. Staff-

    assisted services that are designed to impart job seeking and/or occupational skills should

    require registration. (For more information see the Adult and Dislocated Worker Tag).

D. Point of Exit for Counting Outcomes

For all of the core measures (except the younger youth skill attainment rate and employer

    customer satisfaction measure), comparability across States is only possible if a single point in

    time is used to begin measurement. The term ―exit‖ is being used to determine when to count an

    individual in a specified reporting period. Each individual becomes part of an exit cohort, a

    group who are determined to be ―exiters‖ within a particular quarter and are looked at together

    for measurement purposes. Exiters are defined as ―a participant who has a date of case closure,

    completion or known exit from WIA-funded or non-WIA funded partner service within the

    quarter.

Participants who exit from services for reasons identified below are excluded from performance

    measures. They are:

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    ? Institutionalized a participant residing in an institution or facility providing 24-hour

    support such as a prison or hospital and is expected to remain in that institution for at

    least 90 days

    ? Health/Medical a participant that is receiving medical treatment that precludes entry

    into unsubsidized employment or continued participation in the program. This does not

    include temporary conditions expected to last for less than 90 days

    ? Deceased a participant that is no longer living

    ? Family Care a participant that is providing care for a family member that precludes

    entry into unsubsidized employment or continued participation in the program. This does

    not include temporary conditions expected to last for less than 90 days

    ? Reservists Called to Active Duty a participant that is a reservist who is called to active

    duty for at least 90 days

    ? Relocated to Mandated Residential Program- a youth participant who is the foster care

    system, or any other mandated residential program, and has moved from the area as part

    of such a program or system

Participants enrolled in job search typically do not exceed ninety days. However, the case

    manager discovers a need for further services that will assist the participant with obtaining

    employment (e.g. interview skills and techniques, résumé writing, etc.), the participant may

    exceed ninety days in the job search activity. If the participant is enrolled into another service

    activity, the participant may be re-enrolled into job search following the completion of that

    service.

The exit date is the last date of WIA funded or partner service received, excluding follow-up

    services. The exit quarter (referred to throughout the definitions of the measures) is the quarter in

    which the last date of service takes place, excluding follow-up services. The definition of exit

    applies to all of the core measures except the younger youth skill attainment and employer

    customer satisfaction measures.

E. WIA Measures Defined

The 17 core performance measures are listed below. The listing below illustrates a narrative

    description and the equation for each measure. Also, operational parameters are presented to

    help explain the measures and definitions are included when appropriate.

Adult Measures

    Measure 1: Adult Entered Employment Rate

    Of those who are not employed at registration:

    Number of adults who have entered employment by the end of the first quarter after exit divided

    by the number of adults who exit during the quarter.

Equation: Of those who are not employed at registration:

    # of adults who have entered employment by the end of the 1st quarter (Qtr.) after exit

    # of adults who exit during the Qtr.

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Operational Parameters:

    ? Individuals who are employed at registration are excluded from this measure (i.e.

    programs will not be held accountable for these individuals under this measure).

    ? Individuals who, although employed, have either received a notice of termination of

    employment or the employer has issued a Worker Adjustment and Retraining

    Notification (WARN) or other notice that the facility or enterprise will close, or are

    currently on active military duty and have been provided with a date of separation from

    military service are considered not employed and are included in the measure.

    ? Employment at registration is based on information collected from the registrant, not on

    UI wage records.

Definitions:

    Employed at Registration - currently working as a paid employee or who works in his or her own

    business or profession or on his or her own farm, or works 15 hours or more per week as an

    unpaid worker on a farm or in an enterprise operated by a member of the family, or is one who is

    not working, but has a job or business from which he or she was temporarily absent because of

    illness, bad weather, vacation, labor-management dispute, or personal reasons, whether or not

    paid by the employer for time-off, and whether or not seeking another job.

A dislocated worker who, although still employed by his layoff employer, has received a notice

    of lay-off or termination, will not be considered employed.

Not Employed at Registration - An individual who does not meet the definition of employed at

    registration.

Employed in Quarter After Exit Quarter - The individual is considered employed if UI wage

    records for the quarter after exit show earnings greater than zero. UI Wage records will be the

    primary data source for tracking employment in the quarter after exit. When supplemental data

    sources are used, individuals should be counted as employed if, in the calendar quarter after exit,

    they did any work at all as paid employees (i.e., received at least some earnings), worked in their

    own business, profession, or worked on their own farm. See Section IV for documentation

    requirements pertaining to supplemental reporting.

Measure 2: Adult Employment Retention Rate at Six Months

    Of those who are employed in the first quarter after exit:

    Number of adults who are employed in both the second and third quarters after the exit quarter

    divided by the number of adults who exit during the quarter

     Equation: Of those who are employed in 1st Qtr. after exit: ndrd# of adults who are employed in both the 2 and 3 Qtrs. after the exit quarter

    # of adults who exit during the Qtr.

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Operational Parameters:

    ? This measure includes only those who are employed in the first quarter following exit

    (regardless of their employment status at registration).

    ? Individuals who are not employed in the first quarter after exit are excluded from this

    measure (i.e., programs will not be held accountable for these individuals under this

    measure).

    ? Employment in the first and third quarters following exit does not have to be with the

    same employer.

Measure 3: Adult Average Earnings Change in Six Months

    Of those who are employed in the first quarter after exit:

    Total post-program earnings (earnings in quarter 2 + quarter 3 after exit) minus pre-program

    earnings (earnings in quarter 2 + quarter 3 prior to registration) divided by the number of adults stEquation: Of those who are employed in the 1 Qtr. after exit: who exit during the quarter.

    [Total Post-Program Earnings (earnings in Qtr. 2 + Qtr. 3 after exit)] - [Pre-Program Earnings

    (earnings in Qtr. 2 + Qtr.3 prior to registration)]

    # of adults who exit during the Qtr.

Operational Parameters:

    ? This measure includes the same population as the adult employment retention measure,

    those who are employed in the first quarter following exit (regardless of their

    employment status at registration).

    ? To ensure comparability of this measure on a national level, USDOL requires that UI

    wage records be the only data source for this measure. Therefore, individuals whose

    employment in either the first or third quarter after exit was determined from

    supplementary sources and not from the UI wage records are excluded from the measure

    (i.e., programs will not be held accountable for these individuals under this measure).

    ? Individuals who are not employed in the first quarter after exit are excluded from this

    measure.

    ? Any individuals whose entry (registration) date is so far back in time that accessing

    quarters 2 and 3 of pre-registration wage data is unfeasible or unreasonable will be

    excluded from this measure. However, participants excluded from this measure for this

    reason will be included in any other applicable measures. For example, the person will

    be counted in the retention measure.

    ? If supplementary sources are the data source for a participant’s employment in the 2

    nd

    and/or 3rd quarter prior to registration, that participant is excluded from this measure.

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Measure 4: Adult Employment and Credential Rate

    Of adults who received training services:

    Number of adults who were employed in the first quarter after exit and received a credential by

    Equation: Of those who received training services: the end of the third quarter after exit divided by the number of adults who exited services during st# of adults who were employed in the 1the quarter. Qtr. After exit and received a credential by the end

    of 3rd Qtr. after exit

    # of adults who exit during the Qtr.

Operational Parameters:

    ? The numerator of this measure includes those who were employed in the first quarter

    after exit regardless of whether they were employed at registration.

    ? Credentials can be obtained while a person is still participating in services and up to

    three-quarters following exit.

Definitions:

    Training Services - include WIA-funded and non-WIA funded partner training services. These

    services include: occupational skills training, including training for nontraditional employment;

    on- the-job training; programs that combine workplace training with related instruction, which

    may include cooperative education programs; training programs operated by the private sector;

    skill upgrading and retraining; entrepreneurial training; adult education and literacy activities in

    combination with other training; and customized training conducted with a commitment by an

    employer or group of employers to employ an individual upon successful completion of the

    training. Training includes all training programs covered by WIA Individual Training Accounts.

    Stand-alone basic education, including basic computer skills, is considered Intensive services

    and is not included under this definition of training. Participants receiving those services must receive some additional training services to be included in this measure.

    Credential - nationally recognized degree or certificate or State/locally recognized credential. Credentials include, but are not limited to, a high school diploma, GED or other recognized

    equivalents, post-secondary degrees/certificates, recognized skill standards, and licensure or

    industry-recognized certificates. All Idaho State Board of Education recognized degrees and

    credentials are included. This includes ―Certificate of Completion‖ for short-term non-credit

    programs. In addition, the Idaho Works Boards are encouraged to award local credentials

    recognizing the successful completion of on-the-job training.

Dislocated Worker Measures

    Measure 5: Dislocated Worker Entered Employment Rate

    Of those who are not employed at registration:

    Number of dislocated workers (DW) who have entered employment by the end of the first

    quarter after exit divided by the number of dislocated workers who exit during the quarter.

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    Equation: Of those who are not employed at registration: st# of dislocated workers who have entered employment by the end of the 1 Qtr. after exit

    # of dislocated workers who exit during the Qtr.

Operational Parameters:

    ? Individuals who are employed at registration are excluded from this measure (i.e.

    programs will not be held accountable for these individuals under this measure).

    ? Individuals who, although employed, have either received a notice of termination of

    employment or the employer has issued a Worker Adjustment and Retraining

    Notification (WARN) or other notice that the facility or enterprise will close, or are

    currently on active military duty and have been provided with a date of separation from

    military service are considered not employed and are included in the measure.

    ? Employment at registration is based on information collected from the registrant, not on

    UI wage records.

Definitions:

    Employed at Registration - currently working as a paid employee or who works in his or her own business or profession or on his or her own farm, or works 15 hours or more per week as an

    unpaid worker on a farm or in an enterprise operated by a member of the family, or is one who is

    not working, but has a job or business from which he or she was temporarily absent because of

    illness, bad weather, vacation, labor-management dispute, or personal reasons, whether or not

    paid by the employer for time-off, and whether or not seeking another job.

A dislocated worker who, although still employed by his layoff employer, has received a notice

    of lay-off or termination, will not be considered employed.

    Not Employed at Registration - An individual who does not meet the definition of employed at registration.

    Employed in Quarter After Exit Quarter - The individual is considered employed if UI wage records for the quarter after exit show earnings greater than zero. UI Wage records will be the

    primary data source for tracking employment in the quarter after exit. When supplemental data

    sources are used, individuals should be counted as employed if, in the calendar quarter after exit,

    they did any work at all as paid employees (i.e., received at least some earnings), worked in their

    own business, profession, or worked on their own farm. See Section IV for documentation

    requirements pertaining to supplemental reporting.

Measure 6: Dislocated Worker Employment Retention Rate at Six Months

    Of those who are employed in the first quarter after exit:

    Number of dislocated workers who are employed in both the second and third quarters after the

    exit quarter divided by the number of dislocated workers who exit during the quarter.

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