TCWIBB 03 6YthTrackandPerform MIS by VEZfoS

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									                                                DATE:
 TULARE COUNTY WORKFORCE INVESTMENT BOARD, INC.     November 13, 2003
                                                SUBJECT:
           WORKFORCE INVESTMENT ACT                     Youth – MIS
            TITLE I-B YOUTH ACTIVITIES              Participant Tracking
                                                      & Performance

                                             TCWIB BULLETIN                            TCWIBB-03-6


TO:            TCWIB Youth Service Providers, TCWID Staff

SUBJECT: WIA YOUTH PARTICIPANT TRACKING AND PERFORMANCE (MIS PAPERWORK)


EXECUTIVE SUMMARY

Purpose:
The purpose of this Bulletin is to provide clarification on the subject of WIA participant tracking and
performance measurement related issues, specific to youth programs. This Bulletin contains updated
guidance regarding follow-up requirements.

Scope:
This bulletin applies to WIA Title I-B Youth Programs.

Effective Date:
This bulletin is effective upon date of issue.

References:
 Employment Development Department (EDD) Information Bulletin, WIA Participant and
   Performance Frequently Asked Questions

TULARE COUNTY WORKFORCE INVESTMENT BOARD, INC. (TCWIB) – IMPOSED REQUIREMENTS:
This bulletin contains TCWIB-imposed requirements. These requirements are in bold, italic print.

FILING INSTRUCTIONS:
Retain this bulletin until further notice.

BACKGROUND:
The California Employment Development Department (EDD) released an Information Bulletin
providing clarification and answers to frequently asked questions on the subject of WIA participant
tracking and performance issues. Questions and answers relevant to Youth Programs have been
extracted.

POLICY AND PROCEDURES:
This bulletin provides information relevant to youth participant tracking and performance related
issues and includes policy change related to follow-up requirements. Please take special notice of
questions 24, 25, 26, 27, 28, 29, 30, 31, 34, 36 as they provide updated guidance regarding follow-
up. These changes do not, however, alter performance standards nor eliminate the requirement for
12 months of follow-up services for youth participants that have exited the program.

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Follow-up services are critical to quality programs, performance outcomes, and return on investment
to customers and the community. There are seven youth performance measures, five of which
measure outcomes after exit. Eliminating the requirement to submit some follow-up forms should not
be construed as eliminating the requirement to provide follow-up services to our youth customers.

REPORTS

1. What participant reports are due and when?
   All MIS paperwork should be submitted to the TCWID MIS unit by the 10 th of each month in
   order to ensure timely submission of performance data to the State. Also, in order to be in
   compliance with the customer satisfaction performance measure for participants, exiters must be
   contacted within 60 days of their exit date, therefore, timely submission of data is critical.

BASE WAGE/SUPPLEMENTAL DATA

2. What is the Unemployment Insurance (UI) Base Wage File (BWF)?
   The BWF contains wage records reported by California employers by quarters. It contains
   information such as employee names, social security numbers, earnings paid during the period,
   and employer names. On a quarterly basis, a WIA participant file is sent at the state level to
   match the SSNs of participants to the base wage records.

3. What is the Base Wage File used for?
   The first step for any employment related performance measurement is matching the exiters to the
   UI base wage records. Thus, the BWF is the main data source used to determine the earnings of
   customers measured for WIA performance. The State uses the BWF earnings data to determine
   the entered employment rate, earnings change measures, and the employment and credential
   rate. NOTE: Because retention and credential rates for youth programs are based on more
   than just retention in employment (i.e., employment, advanced training, military, post-
   secondary education, and apprenticeships) the information contained on the Follow-up
   Form is critical to youth performance outcomes.

4. Which quarters are significant to performance?
    The Entered Employment Rate looks at the 1st quarter after exit.

      The Retention Rate looks at the 1st and 3rd quarters after exit. NOTE: Youth retention rates
       also look at post program activities not found in the BWF (i.e., post-secondary
       education, advanced training, apprenticeship). Therefore, submitting accurate and
       timely Follow-up Forms is critical to performance outcomes.

      The Credential Rate looks at the 1st and 3rd quarters after exit. NOTE: Youth credential rate
       is tied to employment, post-secondary education, and advanced training. Since only
       employment verification can be found in the BWF, submitting accurate and timely
       Follow-up Forms is critical to performance outcomes.

      The Earnings Change Rate looks at earnings in the 2nd and 3rd quarters prior to registration
       and the 2nd and 3rd quarters after exit.

5. What is supplemental employment data?
   Examples of supplemental data are: copies of W-2 forms, pay stubs, 1099 forms, and letters from
   employers on company letterhead. Supplemental data is used to verify employment for those
   customers who were not found in the BWF. A verbal confirmation is not sufficient evidence of
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   employment.   As a precautionary measure, programs should attempt to secure
   supplemental data for all participants exiting with a job.

6. When is supplemental data used?
   For customers not found in the BWF, supplemental data must be collected and noted (report form
   is sent out by, and returned to, TCWID MIS unit) within 30 days of receiving notice from the State
   that customers were not found in the BWF. TCWID MIS unit then submits this report to the State.
   If supplemental data is entered for a customer, then s/he will be excluded from any earnings
   change performance measures.

PERFORMANCE

7. Who falls under the skill attainment measure?
   All 14 to 18 year old in-school youth and any out-of-school youth assessed to be in need of basic
   skills, work readiness skills, and/or occupational skills.

8. When and how are youth assessed to determine whether they are in need of skill training?
   Once determined eligible for WIA Title I-B services, youth are referred for objective
   assessment to determine whether they are in need of basic skills, work readiness skills,
   and/or occupational skills. The method of assessment must be objective and unbiased, with
   clearly defined criteria. Youth customers are given a pre-test to determine their skill level and a
   post-test to demonstrate improvement and the achievement of goals. NOTE: Initial assessment
   is different from objective assessment. Initial assessment begins at the first encounter
   with the young person and may continue through eligibility. Initial assessment is critical in
   determining whether WIA I-B or other services are most appropriate for the customer.
   Once youth are referred for objective assessment, they are enrolled in WIA I-B and count
   toward performance outcomes.

9. When is a youth considered skills deficient?
   A youth is considered skills deficient if s/he computes or solves problems, reads, writes, or speaks
   English at or below the 8th grade level or at a level necessary to function on the job, in the
   individual’s family, or in society. A youth who is determined to be basic skills deficient must have
   at least one basic skills goal set as the first goal.

10. What is a basic skill goal?
    A measurable increase in basic education skills including reading comprehension, math
    computation, writing, speaking, listening, problem solving, reasoning, and the capacity to use
    these skills.

11. If a basic skills goal is set as the first goal, must subsequent goals also be basic skills
    goals?
    For a basic skills deficient youth, you must first set a basic skills goal; however, it is NOT true that
    the subsequent goal must also be a basic skills goal. Of course, it would be advisable to continue
    basic skill services if the youth is not yet proficient (above 8 th grade level), but there is no
    requirement to do so.

12. What type of goal should be set?
    Goals should be reasonably attainable and geared to the specific needs of the individual. Once a
    goal is set, performance requires that the goal be attainable within 12 months of the day the goal
    was set. Goals that are set should be achievable within that timeframe. For example, if a
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   customer is 16 years old, then a goal of a high school diploma may be unreasonable for that
   customer. A goal of improving a grade level may be more appropriate.

13. What is the difference between primary and non-primary (secondary) goals?
    Primary goals count toward performance outcomes, and non-primary (secondary) goals do not.
    Secondary goals are not measurable for the Skill Attainment performance goal, but are used to
    support a customer’s Individual Service Strategy (ISS).

14. How many goals can be set?
    Three primary goals per enrollment year (12 months) are allowable. There is no limit to the
    amount of secondary goals that can be set.

   Please keep in mind the requirement for one goal to be set per enrollment year for all in-school
   youth and any assessed out-of-school youth that need to attain basic skills, work readiness, or
   occupational skills.

15. What is an “enrollment” year?
    An “enrollment” year is the 12 months starting from the day a goal was set. Youth have 12
    months from the day a goal is set to attain the goal. The first goal must be set within one month of
    enrollment and the “date set” listed for that first goal must be the same as the day of enrollment
    (even if the goal wasn’t actually set on that day).

16. Can non-primary (secondary) goals be changed to primary goals?
    No. New goals can be set once old goals are achieved, but secondary goals cannot be changed
    to primary.

17. What if a goal is not achieved within a year?
    It is counted as a negative performance outcome at 12 months from the date the goal was set.

18. When do goals count?
    Goals are counted in the quarter they are attained, either positively or negatively. That is, a goal
    attained within the 12 months allowed counts as a positive for that quarter, and a goal attained
    after the 12 months allowed counts as a negative. The four quarters of a program year (July 1 st
    through June 30th) are combined to calculate the Skill Attainment Rate for a local area.

19. What if no primary goals are set for a customer?
    The JTA system will pick up the first goal listed, and use it for performance calculations.

20. What happens if a goal is not attained and the customer exits the program?
    If a customer exits without attaining a set goal, then that goal counts as a negative performance
    outcome.

21. Can customers be served by more than one funding stream?
    Yes. For example, a customer could be served as an adult and as a youth and receive services
    funded by both streams of money if s/he is determined eligible for both WIA programs. Co-
    enrollments require an enrollment form be completed for each funding stream (i.e., enrollment
    form for the youth funding and another enrollment form for the adult funding). Once the customer
    has completed all WIA and partner services, one exit form is completed that exits them from both
    funding sources. The adult program enters “services completed” and the youth program
    exits the customer. The exit-based performance outcomes are tracked for the customer from
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   both youth and adult programs. A key requirement regarding co-enrollment is there can be
   no duplication of services.

22. There are two sets of measures within the youth funding stream (OY and YY), which set of
    measures will count for performance?
    Youth will be counted in the measures that apply based on their age at registration/enrollment, not
    the application (eligibility) date.

23. What happens if a customer exits and then re-enrolls in WIA services, would that customer
    be counted in performance twice?
    Yes. Whenever a customer exits, that customer is counted in performance outcomes. The same
    person could be counted in performance twice if s/he exits and then re-enrolls. For this reason, it
    is important not to exit customers until it is sure that they can no longer benefit from services.

24. What exit codes exclude customers from performance?
    On the Exit Form codes 10 “Health/Medical”, 12 “Death”, 13 “Institutionalized”, and 18 “Reservists
    Recalled”, exclude customers from performance. Because these codes are taken at exit, the
    customer is never included in any performance measures and is excluded from any performance
    calculations.

25. How is a customer reported that is put in jail?
    One the Exit Form, code 13 “Institutionalized” is used to note customers that are incarcerated.
    For customers that are incarcerated after exit, use code 9 “Died/Incapable after Exit” on the
    Follow-up Form.

26. What is follow-up?
    There is a distinction between follow-up as a service and follow-up contacts for
    performance:

         Follow-up services
          Follow-up services for youth, such as job shadowing, career exploration, group or one-on-
          one meetings, mentoring, tutoring, contact with a participant’s employer, periodic telephone
          calls to inform youth of on-going activities, Job upgrading – assistance in changing jobs to
          increase skills & advance, birthday and holiday greeting cards, Newsletters, etc., must be
          provided for no less than 12 months after exit. Local areas have much flexibility in
          determining the type and intensity of follow-up services that are provided.

         Follow-up Contacts for Performance
          Follow-up contacts for performance are done for all WIA exiters. This is done on the
          Follow-up Form. The primary function of the Follow-up Form is performance and
          supplemental data collection. The attainment of credentials or diplomas, for example, can
          be reported on the Follow-up Form. Along with the collection of supplemental data for
          customers not found in the BWF, use of the Follow-up Form can improve performance
          outcomes. Youth program performance is often dependent upon information
          contained on Follow-up Form, it is therefore essential that follow-up contacts be
          submitted in a timely manner.

27. Are customers ever excluded from performance measures based on data reported on the
    Follow-up Form?


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   No. No customer for any reason will be excluded from the performance measure during follow-up.
   However, customers can still be excluded from performance if it is reported on the Exit Form.

28. Is it mandatory to complete the Follow-up Form for customers who exit using one of the
    exclusionary exit codes on the Exit Form (10-Health/Medical, 12-Death, 13-Institutionalized,
    or 18-Reservists Recalled)?
    No. This is a change from previous guidance. In the past, the State has required the Follow-up
    Form be completed for all customers except those who had deceased. In an effort to decrease
    the burden of follow-up, now if customers exit with any one of the exit codes listed above that
    exclude them from performance, then filling out the Follow-up Form is no longer mandatory. To
    the degree possible, youth programs must continue to provide follow-up services for all
    youth exiting the program. However, if the customer’s circumstances make it impossible
    for staff to provide follow-up services, this must be clearly noted in the progress record
    (case notes).

29. Is it mandatory to complete the Follow-up Form for customers who exit using a code 11-
    Cannot Locate?
    No. It is no longer mandatory that Follow-up Forms be submitted for customers who exit using
    code 11. However, even if a customer exits using code 11 that customer’s status could
    change and s/he might be available to be contacted the next report period, therefore, the
    30-day, 60-day, and 1st quarter Follow-up Forms must still be submitted. If, after 3 months
    of follow-up, programs are still unable to contact the customer, it will no longer be
    necessary to submit the Follow-up Form. Failed attempts to contact the customer must be
    clearly noted in the progress record (case notes). These individuals will count toward
    program performance.

30. Is four quarter of follow-up mandatory?
    No. This is a change from previous guidance. No longer is it mandatory that the follow-up form
    be filled out and submitted for four quarters after exit; however, it is still mandatory that three
    quarters of follow-up be done. California as a whole is still held to 4th quarter performance
    measures; so doing the 4th quarter follow-up form is encouraged. Please note that this does not
    change follow-up service requirements.

31. Is it mandatory to continue to submit Follow-up Forms if a code 8-Unable Due to
    Illness/Disability or a code 9-Died/Incapable After Exit is reported on the Follow-up Form?
    No. It is no longer mandatory to continue to submit Follow-up Forms if a code 8 or 9 has been
    submitted. Follow-up services are still mandatory for 12 months after exit, however, if the
    customer’s circumstances make it impossible for staff to provide follow-up services, this
    must be clearly noted in the progress record (case notes). These individuals will count
    toward program performance.

32. What is a credential?
   The definition of a credential can be determined at the local level with the following constraints in
   mind:
   In TEGL 7-99, DOL defines “credential” as:
      “Nationally recognized degree or certificate or State/locally recognized credential. Credentials
      include, but are not limited to, a high school diploma; General Equivalency Diploma (GED) or
      other recognized equivalents, post-secondary degrees/certificates, recognized skill standards,
      and licensure or credentials. States should include all State Education Agency recognized

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       credentials. In addition, states should work with Local Workforce Investment Areas to
       encourage certificates to recognize successful completion of training services that are
       designed to equip individuals to enter or re-enter employment, retain employment, or advance
       into better employment.”
   The DOL Question and Answer Web page adds to this definition the following:
       “A locally recognized credential must satisfy any policy requirements established by the State.
       The DOL encourages States and local areas to work together in creating and applying the
       criteria for an acceptable credential. The DOL also encourages States and local areas to use
       for their customers industry recognized credentials that are portable. A portable credential
       builds credibility with the employer community and is valued across State lines and across
       various institutions of higher education and companies.”
   The State of California has imposed no further requirements than those listed above; therefore,
   the definition of a credential can be determined at the local level using the above constraints.

33. When can a credential be taken to count for performance?
    Older youth can be in employment, post-secondary education (college), or advanced training in
    the 1st quarter after exit, and receive a credential anytime during enrollment (i.e., credentials may
    be taken at exit) and up to the end of the 3rd quarter after exit for a positive outcome.

   For younger youth, the credential attainment is not tied to employment and can only be a high
   school diploma or a GED (this is the diploma rate for younger youth). Younger youth can attain
   the diploma or GED anytime during enrollment and up to the end of the 1 st quarter after exit.
   Credentials attained after exit should be recorded on the Follow-up Form.

34. How should Individual Education Program (IEP) diplomas for youth with disabilities be
    noted on the client forms?
    An IEP diploma is the equivalent of a high school diploma and should be noted as such on the
    client forms. Youth graduating from high school with an IEP diploma/certificate should be
    exited as “05”-attained recognized certificate/diploma/degree and will count as a positive in
    the diploma rate.

35. What if a younger youth exits WIA to return to high school, is that a negative outcome on
    performance?
    No. If a youth exits to return to high school, use exit code 16 and that youth will be excluded from
    the younger youth (YY) Diploma Rate and the YY Retention Rate. The logic behind excluding
    them from the performance measures is to encourage youth to continue education.

36. Is follow-up mandatory for a younger youth that exits using code 16?
    No. This is a change from previous guidance. A youth that exits using code 16 is excluded from
    the Diploma Rate and the Retention Rate. They are included in the Skill Attainment Rate, which
    are intermediate measures and not linked to retention. Therefore, it is not mandatory to complete
    the Follow-up Form on younger youth who exit with a code 16. This does not change the follow-
    up service requirement.

MISCELLANEOUS

37. What can be done if changes need to be made to a customer’s data if that customer has
    already exited?
    Once a customer is exited, their participant records are locked.
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38. What if it is discovered that a customer was enrolled accidentally, can that enrollment be
    “backed out” of the JTA system?
    No. Once customers have been enrolled, they will not be taken out of the JTA system and they
    will be counted in performance.

39. How do categories listed on the application form, box 72 “Education Status” relate to in-
    school and out-of-school status?

                   1 Student, H.S. or less = This is always an in-school youth.

                   2 Student, attending post-HS = If this person is basic skills deficient, then they are still
                    considered an out-of-school youth. If they are not basic skills deficient, they are in-school.

                   3 Out-of-School, H.S. dropout = This is always an out-of-school youth.

                   4 Out-of-School, H.S. grad, employment difficulty = This is an out-of-school youth.

                   5 Out-of-School, H.S. grad, no employment difficulty = This one is confusing because even
                    though “out-of-school” is a characteristic of this youth, they are still considered in-school for
                    the purposes of the 30% OSY expenditure and skill requirements. This is an in-school
                    youth.

      To determine the number of participants for the out-of-school youth (OSY) 30% expenditure
      requirement, 3 and 4 are OSY; 2 is an OSY if w/he is basic skills deficient.


ACTION:
Bring this bulletin to the attention of all appropriate staff.


INQUIRIES:
Please direct questions about this bulletin to Eldonna Caudill, Senior Program Analyst, TCWID (559) 713-5224,
ecaudill@tcwib.org, or Diane King, Program Analyst, TCWID (559) 713-5227, dking@tcwid.org.



JOSEPH H. DANIEL
Administrator
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