TEGL_10-16-Change1_Acc.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION WIOA Performance CORRESPONDENCE SYMBOL OPDR OWI DATE RESCISSIONS TEGL 10 -16 EXPIRATION DATE Continuing ADVISORY TRAINING AND EMPLOYMENT GUIDANCE LETTER WIOA NO. 10 -16 CHANGE 1- OPERATING GUIDANCE for the WORKFORCE INNOVATION AND OPPORTUNITY ACT referred to as WIOA TO STATE AND LOCAL STAKEHOLDERS IN THE WORKFORCE INNOVATION AND OPPORTUNITY ACT STATE WORKFORCE AGENCIES STATE WORKFORCE ADMINISTRATORS STATE WORKFORCE LIAISONS FROM BYRON ZUIDEMA Deputy Assistant Secretary SUBJECT Performance Accountability Guidance for Workforce Innovation and Opportunity Act WIOA Title I Title II Title III and Title IV Core Programs 1. Purpose. This guidance updates Training and Employment Guidance Letter TEGL 10-16 published December 19 2016 developed jointly by the U.S. Departments of Labor DOL and Education ED the Departments . Within ED the Office of Career Technical and Adult Education OCTAE and the Rehabilitation Services Administration RSA will update Program Memorandum PM 17-2 and Technical Assistance Circular TAC 17-01 respectively. The updated guidance provides clarifying language and corrections to the operating parameters and to the calculations of the numerators and deno minators for the WIOA primary indicators of performance. The purpose of this guidance is to provide sub-regulatory guidance on the requirements set forth in WIOA related to the implementation and operation of the performance accountability system under section 116 of WIOA and the implementing joint regulations in 20 CFR part 677 and 34 CFR parts 361 and 463 . As explained further in this guidance WIOA requires all States and direct grantees of the Departments to collect and report information on all the participants described in this TEGL. - 2 - WIOA signed into law on July 22 2014 is designed to help job seekers access employment education training and support services to succeed in the labor market and to match employers with the skilled workers they need to compete in the global economy. WIOA supersedes titles I and II of the Workforce Investment Act of 1998 WIA and amends the Wagner-Peyser Act and the Rehabilitation Act of 1973. The WIOA Joint Rule for Unified and Combined State Plans Performance Accountability and the One-Stop System Joint Provisions Joint WIOA Final Rule was published in the Federal Register on August 19 2016 at 81 FR 55791 and took effect on October 18 2016. This guidance is based on the statutory requirements of WIOA as well as its implementing final regulations. 2. References. See Attachment 11. 3. Background. DOL published TEGL 10-16 on December 19 2016. This replacement guidance TEGL 10-16 Change 1 clarifies various aspects of the operational parameters and specifications of the indicators of performance as well as makes multiple edits. Attachment 12 outlines the substantive and technical revisions made in this replacement guidance. As stated in TEGL 10-16 PM 17-2 and TAC 17-01 section 116 of WIOA establishes performance accountability indicators and performance reporting requirements to assess the effectiveness of States and local areas in achieving positive outcomes for individuals served by the workforce development system s six core programs. These six core programs are the Adult Dislocated Worker and Youth programs authorized under WIOA title I and administered by DOL the Adult Education and Family Literacy Act AEFLA program authorized under WIOA title II and administered by ED the Employment Service program authorized under the Wagner-Peyser Act as amended by WIOA title III and administered by DOL and the Vocational Rehabilitation VR program authorized under title I of the Rehabilitation Act of 1973 as amended by WIOA title IV and administered by ED. WIOA provides a historic opportunity to align performance-related definitions streamline performance indicators integrate reporting and ensure comparable data collection and reporting across all six of these core programs while also implementing program-specific requirements related to data collection and reporting. Through this guidance the Departments elaborate on the performance accountability requirements in section 116 of WIOA part 677 of the Joint WIOA Final Rule also reproduced in 34 CFR parts 361 VR and 463 AEFLA and the performance reporting requirements in the WIOA Joint Performance Accountability Information and Reporting System WIOA Performance ICR approved by the Office of Management and Budget OMB on June 30 2016 as No. 1205 -0526 . Specifically this TEGL addresses the - 3 - Methodology for calculating the six primary indicators of performance for the core programs Definitions of 1 reportable individual 2 participant 3 exit and 4 period of participation and Guidance related to 1 career services vs. training services 2 core services 3 incumbent worker training and 4 indicator of performance score calculation. Where applicable this document refers to data elements in the WIOA Joint Participant Individual Record Layout Joint PIRL . 1 Additional references are also made to the DOL- only PIRL as applicable for the DOL-administered programs. The specific sections of this guidance can be found on the following pages Section Page Primary Indicators of Performance 5 A. Employment Rate 2nd Quarter After Exit 8 A-1. Title I Youth Education and Employment Rate 2nd Quarter After Exit Quarter 9 B. Employment Rate 4th Quarter After Exit V B-1. Title I Youth Education and Employment Rate 4th Quarter After Exit Quarter 10 C. Median Earnings 2nd Quarter After Exit 11 D. Credential Attainment 12 E. Measurable Skill Gains 18 F. Effectiveness in Serving Employers 24 Categories of Enrollment Reportable Individual Participant Date of Exit from the program 30 Self-Service and Information-Only Activities 37 Period of Participation 38 Career Service and Training Service Guidance 39 Incumbent Worker Training Under Title I 43 1 ETA Form-9170 the WIOA Participant Individual Record Layout Joint PIRL has been approved with OMB Control Number 1205-0526 Workforce Innovation and Opportunity Act Common Performance Reporting expiration date June 30 2019 available at https doleta.gov performance reporting eta default.cfm. The PIRL provides a standardized set of data elements definitions and reporting instructions used to describe the characteristics activities and outcomes of WIOA participants. - 4 - 4. Revisions. TEGL 10-16 Change 1 rescinds and replaces TEGL 10-16 published on December 19 2016 . Attachment 12 summari zes substantive and technical revisions in the order in which they appear. The remainder of this guidance remains unchanged. 5. List of Attachments. Attachment 1 Definitions of Terms Related to the Performance Accountability System Attachment 2 - Table A Exclusions PIRL Data Element 923 Title I Adult Title I Dislocated Worker Title II AEFLA Title III Employment Service and Title IV VR Programs - Table B Exclusions PIRL Data Element 923 Title I Youth program and - Table C Exclusions Sec. 225 of WIOA Attachment 3 Wage Conversion Chart Attachment 4 - Table A Effectiveness in Serving Employers Data Elements Specifications - Table B Effectiveness in Serving Employers Specifications Employer Repeat Business Customers and Penetration Rate Attachment 5 Periods of Participation Effects on Indicators of Performance Attachment 6 Examples of Counting Periods of Participation for Exit-Based Indicators of Performance Attachment 7 - Table A Participation Level Services Chart WIOA Title I Adult Title I Dislocated Worker and Title III Wagner-Peyser Act Employment Service Program - Table B Participation Level Services Chart WIOA Title I Youth Program - Table C Applicable Career and Training Services for WIOA Title II AEFLA Program and - Table D Participation Level Services Chart WIOA Title IV VR Program Attachment 8 Incumbent Worker Training Required Data Elements Attachment 9 Calculation Average Indicator of Performance Score Attachment 10 Calculations WIOA Indicators of Performance Attachment 11 References WIOA Operating Guidance Attachment 12 Change 1 Substantive Revisions Index 6. Definitions of Terms Related to the Performance Accountability System. This guidance uses the following terms. See Attachment 1 for complete definitions. Common Exit Competitive Integrated Employment - 5 - Customized Training Employment Exit Incumbent worker Integrated Education and Training Program IET Participant Participant Individual Record Layout Period of participation Reportable individual Secondary school diploma Unsubsidized employment 7. Primary Indicators of Performance. Under section 116 b 2 A of WIOA there are six primary indicators of performance A. Employment Rate 2nd Quarter After Exit The percentage of participants who are in unsubsidized employment during the second quarter after exit from the program for title I Youth the indicator is the percentage of participants in education or training activities or in unsubsidized employment during the second quarter after exit B. Employment Rate 4th Quarter After Exit The percentage of participants who are in unsubsidized employment during the fourth quarter after exit from the program for title I Youth the indicator is the percentage of participants in education or training activities or in unsubsidized employment during the fourth quarter after exit C. Median Earnings 2nd Quarter After Exit The median earnings of participants who are in unsubsidized employment during the second quarter after exit from the program D. Credential Attainment The percentage of those participants enrolled in an education or training program excluding those in on-the-job training OJT and customized training who attain a recognized postsecondary credential or a secondary school diploma or its recognized equivalent during participation in or within one year after exit from the program. A participant who has attained a secondary school diploma or its recognized equivalent is included in the percentage of participants who have attained a secondary school diploma or its recognized equivalent only if the participant also is employed or is enrolled in an education or training program leading to a recognized postsecondary credential within one year after exit from the program - 6 - E. Measurable Skill Gains The percentage of program participants who during a program year are in an education or training program that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains defined as documented academic technical occupational or other forms of progress towards such a credential or employment. Depending on the type of education or training program documented progress is defined as one of the following 1. Documented achievement of at least one educational functioning level of a participant who is receiving instruction below the postsecondary education level 2. Documented attainment of a secondary school diploma or its recognized equivalent 3. Secondary or postsecondary transcript or report card for a sufficient number of credit hours that shows a participant is meeting the State unit s academic standards2 4. Satisfactory or better progress report towards established milestones such as completion of OJT or completion of one year of an apprenticeship program or similar milestones from an employer or training provider who is providing training or 5. Successful passage of an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade-related benchmarks such as knowledge-based exams. F. Effectiveness in Serving Employers WIOA sec. 116 b 2 A i VI requires the Departments to establish a primary indicator of performance for effectiveness in serving employers. The Departments are piloting three approaches designed to gauge three critical workforce needs of the business community. Approach 1 Retention with the same employer addresses the programs efforts to provide employers with skilled workers Approach 2 Repeat Business Customers addresses the programs efforts to provide quality engagement and services to employers and sectors and establish productive relationships with employers and sectors over extended periods of time and 2 Within each State there is an administrative unit that provides authorization to postsecondary institutions within the State. States differ in the requirements to which they hold postsecondary institutions responsible for satisfactory progress. Progress for WIOA purposes must comply with any applicable State standards. Likewise every State has a State educational agency that establishes education standards for secondary education within the State which would apply for purposes of determining if a participant is meeting the State s academic standards. - 7 - Approach 3 Employer Penetration Rate addresses the programs efforts to provid e quality engagement and services to all employers and sectors within a State and local economy . Since this indicator is a new approach for measuring performance under WIOA s six core program s the Departments have implemented a pilot program during which States must select two of the three approaches to report data that the Departments will use to assess a permanent indicator. States may also voluntarily develop an additional State -specific approach . The Departments will evaluate State experiences with the various approaches and plan to identify a standardized indicator that the Departments anticipate will be implemented no later than the beginning of Program Year 2019. The methodologies for calculating most of the primary indicators of performance are written as equations see Attachment 1 0 clearly identifying which cohorts are in the numerator and which cohorts are in the denominator. In cases where there are conditions that apply to both the numerator and denominator the condition is represented in italics at the beginning of the discussion about the indicator. These primary indicators of performance apply to all six core programs except that the indicators for credential attainment and measurable skill gains do not apply to the title III Employment Service program. For the three employment -related performance indicators employment rate in the second and fourth quarter s after exit and median earnings in the second quarter after exit status in unsubsidized employment and quarterly earnings may be determined by direct Unemployment Insurance UI wage match Federal employment records military employment records or supplemental wage information. Participants who are in the military or in a Registered Apprenticeship program are also considered as employed and their quarterly earnings are calculated for the p urpose of these indicators. Supplemental wage information may be collected in those circumstances where quarterly wage records are not available or may not apply e.g. for participants who are self -employed or for participants who decline to provide a soc ial security number SSN . States must submit supplemental wage information to the Departments by using the data reporting instruments i.e. PIRL and Statewide and Local Performance Report Template and Specifications . The Departments will provide specific prot ocols on the use and reporting of supplemental wage information in future guidance. In addition as set forth in more detail in Attachment 2 Table A and Attachment 2 Table B under very limited circumstances some participants who exit programs are excluded from the performance calculations for the six indicators. These categ ories of exclusions apply to - 8 - participants in all six core programs who exit for any of the reasons described in Attachment 2 Table s A and B. Additionally participants receiving services under WIOA sec. 225 are excluded from exit -based measures described in Attachment 2 Table C. Furthermore participants who have exited a program but for whom exit -based information e.g. employment -relate d information is not yet available are not included in performance calculations until such data subsequently become available. For the employment -related indicators i.e. employment rate in the second and fourth quarter s after exit and median earnings in the second quarter after exit if employment status is recorded as Information not yet available or if total earnings are recorded as 999999.99 data were not yet available the participant record will be excluded from the performance calculations . The Departments anticipate however that data for the employment indicators will generally be available as there is a two -quarter lag built into the reporting times for the employment - and wage -based indicators to allow time for reporting participant e xit and conducting direct UI wage record match . The methodology for calculating the primary indicators of performance for the core programs and the operational parameters determining the population assessed for each pri mary indicator are as follows . A. Employment Rate 2nd Quarter After Exit Employment Rate 2nd Quarter After Exit is the percentage of program participants who are in unsubsidized employment during the second quarter after exit from the program. Methodology Calculation includes all program participants except those participating in the title I Youth program which will be discussed separately below The number of participants who exited during the reporting period who are found to be employed either through direct UI wage record match Federal or military employment records or supplemental wage information in the second quarter after the exit quarter DIVIDED by the number of participants who exited during the reporting period. This is described in Attachment 10 Figure 1 . Operational Parameters When calculating levels of performance for t his indicator States must include all participants exiting the title I Adult title I Dislocated Worker title II AEFLA title III Employment Service and title IV VR programs except St ates must not include in either the numerator or denominator those participants who exit during the reporting period for - 9 - any of the reasons listed in Attachment 2 Table A or Attachment 2 Table C PIRL 923 regarding exclusions . A-1. Title I Youth Education and Employment Rate 2nd Quarter After Exit Title I Youth Education and Employment Rate 2nd Quarter After Exit is the percentage of title I Youth program participants who are in education or training activities or in unsubsidized employment during the second quarter after exit from the program. Methodology Calculation includes all title I Youth program participants The number of title I Youth program participants who exited during the reporting period who are found to be employed either through direct UI wage record match Federal or military employment records or supplemental wage information OR found to be enrolled in secondary education postsecondary education or occupational skills training including advanced training in the second quarter after the exit quarter DIVIDED by the number of title I Youth program participants who exited the program during the reporting period. This is des cribed in Attachment 10 Figure 2. Operational Parameters Calculations for determining levels of performance for t his indicator include all participants who exit the title I Youth program except those that exit for any of the reasons listed in Attachment 2 Table B or Attachment 2 Table C PIRL 923 . Title I Youth who are in the AmeriCorps program or Job Corps program in the second quarter after exit are counted as a success in the tra ining portion of the indicator. B. Employment Rate 4th Quarter After Exit Employment Rate Fourth Quarter After Exit is the percentage of program participants who are in unsubsidized employment during the fourth quarter after exit from the program. Methodology Calculation includes all program participants except those participating in the title I Youth program which will be discussed separately below The number of participants who exited during the reporting period who are found to be employed either through direct UI wage record match Federal or military - 10 - employment records or supplemental wage information in the fourth quarter after the exit quarter DIVIDED by the number of participants who exited during the reporting period. This is described in Attachment 10 Figure 3. Operational Parameters Calculation of levels of performance for t his indicator includes all participants who exit from the title I Adult title I Dislocated Worker title II AEFLA title III Employment Service and title IV VR programs except States must not include in either the numerator or denominator those who exit for any of the reasons listed in Attachment 2 Table A. B - 1. Title I Youth Education and Employment Rate 4th Quarter After Exit Title I Youth Education and Employment Rate Fourth Quarter After Exit is the percentage of program participants who are in education or training activities or in unsubsidized employment during the fourth quarter after exit from the program. Methodology Calculatio n includes all title I Youth program participants who exit from the program The number of title I Youth program participants who exited the program during the reporting period who are found to be employed either through direct UI wage record match Federal or military employment records or supplemental wage information OR found to be enrolled in secondary education postsecondary education or occupational skills training including advanced training in the fourth quarter after the exit quarter DIV IDED by the number of title I Youth program participants who exited the program during the reporting period. This is described in Attachment 10 Figure 4. Operational Parameters Calculation of levels of performance for t his indicator includes all participants who exit from the title I Youth program except those who exit for any of the reasons listed in Attachment 2 Table B. Title I Youth who are in the AmeriCorps program or Job Corps program in the fourth quarter after exit are counted as a success in the tra ining portion of the indicator. - 11 - C. Median Earnings 2nd Quarter After Exit Median Earnings 2nd Quarter After Exit is the median earnings of program participants who are in unsubsidized employment during the second quarter after exit from the program as established through direct UI wage record match Federal or military employment records or supplemental wage information. Methodology To calculate the median earnings for all participants employed in the second quarter after exit from any of the core programs including the title I Youth program Total quarterly earnings for all participants employed in the second quarter after exit are collected by either direct wage record match or supplemental wage information. The collected quarterly wage information values are listed in order from the lowest to the highest value. The value in the middle of this list is the median earnings value where there is the same quantity of numbers above the median number as there is below the median number. This is described in Attachment 10 Figure 5 . The Wage Conversion Chart Attachment 3 is used to convert supplemental wage information values that do not represent the total amount a participant earned in the second quarter after exit. When using the Wage Conversion Chart it is important to distinguish between wage and earnings. Wage is a ratio of earnings over a specific period of time. The Wage Conversion Chart should be used only when the wage rate and not the earnings information is available. Operational Parameters The following participants and any associated earnings figures are excluded from the calculation for median earnings 1. Participants who have exited and are not employed in the second quarter after exit PIRL 1602 Employed in 2nd Quarter After Exit Quarter with code value 0 2. Participants who have exited a program and for whom earnings information is not yet available PIRL 1602 Employed in 2nd Quarter After Exit Quarter with code 09 Information not yet available or PIRL 1603 Type of Employment Match 2nd Quarter After Exit Quarter with code value 5 Information not yet available or PIRL 1704 Wages 2nd Quarter After Exit Quarter with code value 999999.99 or blank. - 12 - There is a two quarter lag built into the reporting times for the wage- and employment-based indicators to allow time for reporting participant exit and conducting direct wage record match. After two quarters if the information is still not available wages will be converted to 0 permanently. Wages reported as 0 will indicate that the participant was not employed in the second quarter after exit thereby counting as a negative outcome in the Employment Rate 2nd Quarter After Exit indicator and excluding that participant from the Median Earnings 2nd Quarter After Exit indicator. 3. Participants who have exited from a program and who have 0 income. For purposes of the VR program these participants would include unpaid family workers and homemakers. 4. Participants who have exited a program and are in subsidized employment. 5. Participants who have exited for any of the reasons listed in Attachment 2 Table s A through C. D. Credential Attainment Credential Attainment is the percentage of those participants enrolled in an education or training program excluding those in OJT and customized training who attained a recognized postsecondary credential or a secondary school diploma or its recognized equivalent during participation in or within one year after exit from the program. A participant who has attained a secondary school diploma or its recognized equivalent is included in the percentage of participants who have attained a secondary school diploma or its recognized equivalent only if the participant also is employed or is enrolled in an education or training program leading to a recognized postsecondary credential within one year after exit from the program. Methodology Calculation includes all participants who exited from a program and were in either a postsecondary education or training program other than OJT and customized training OR in a secondary education program at or above the 9th grade level without a secondary school diploma or its equivalent The number of participants who exited during the reporting period who obtained a recognized postsecondary credential during the program or within one year after exit - 13 - OR those who were in a secondary education program and obtained a secondary school diploma or its rec ognized equivalent during the program or within one year after exit and were also employed or in an education or training program leading to a recognized postsecondary credential within one year after exit DIVIDED by the number of participants enrolled in an education or training program excluding those in OJT and customized training who exited during the reporting period. This is described in Attachment 10 Figure 6. Operational parameters Credential Attainment This indicator measures attainment of two types of credentials either a recognized postsecondary credential or a secondary school diploma or its recognized equivalent. Definition of a Recognized Postsecondary Credential A recognized postsecondary cr edential is defined as a credential consisting of an industry -recognized certificate or certification a certificate of completion of an apprenticeship a license recognized by the State involved or Federal government or an associate or baccalaureate degr ee as well as graduate degrees for purposes of the VR program as required by sec tion 103 a 5 of the R ehab ilitation A ct of 1973 as amended by title IV of WIOA . A recognized postsecondary credential is awarded in recognition of an individual s attainment of measurable technical or industry occupational skills necessary to obtain employment or advance within an industry occupation. These technical or industry occupational skil ls generally are based on standards developed or endorsed by employers or industry associations . Certificates awarded by workforce development boards WDBs and work readiness certificates are not included in this definition because neither type of cert ificate is recognized industry -wide nor document s the measurable technical or industry occupational skills necessary to gain employment or advance ment within an occupation . Likewise such certificates must recognize technical or industry occupational skills for the specific industry occupation rather than general skills related to safety hygiene etc. even if such general skills certificates are broadly required to qualify for entry -level employment or advancement in employment . A varie ty of different public and private entities issue recognized p ostsecondary credentials. Below is a list of the types of organizations and institutions that award recognized postsecondary credentials not all credentials by these entities meet the definiti on of recognized postsecondary credential . - 14 - A State educational agency or a State agency responsible for administering vocational and technical education within a State An institution of higher education described in Section 102 of the Higher Education Act of 1965 20 USC sec. 1002 that is qualified to participate in the student financial assistance programs authorized by title IV of that Act. This includes community colleges proprietary schools and all other institutions of higher education that are eligible to participate in Federal student financial aid programs An institution of higher education that is formally controlled or has been formally sanctioned or chartered by the governing body of an Indian tribe or tribes. A professional industry or employer organization e.g. National Institute for Automotive Service Excellence certification National Institute for Metalworking Skills Inc. Machining Level I credential or product manufacturer or developer e.g. recognized Microsoft Informati on Technology certificates such as Microsoft Certified IT Professional MCITP Certified Novell Engineer a Sun Certified Java Programmer etc. using a valid and reliable assessment of an individual s knowledge skills and abilities ETA s Office of Ap prenticeship or a recognized State Apprenticeship Agency A public regulatory agency which awards a credential upon an individual s fulfillment of educational work experience or skill requirements that are legally necessary for an individual to use an occupational or professional title or to practice an occupation or profession e.g. Federal Aviation Administration aviation mechanic license or a State -licensed asbestos inspector A program that has been approved by the Department of Veterans Affairs to offer education benefits to veterans and other eligible persons or Job Corps which issues certificates for completing career training programs that are based on industry skills standards an d certification requirements. Definition of a Secondary School Diploma or Recognized Equivalent For purposes of the credential attainment performance indicator a secondary school diploma or alternate diploma commonly referred to as high school diploma is one that is recognized by a State and that is in cluded for accountability purposes under the Elementary and Secondary Education Act of 1965 ESEA as amended by the Every - 15 - Student Succeeds Act ESSA . A secondary school equivalency certification signifies that a student has complete d the requirements for a high school education. The types of recognized equivalents for those not covered under ESEA that would satisfy this performance indicator are those recognized by a State. Examples of secondary school diplomas alternate diplomas and recognized equivalents recognized by individual States include Obtaining certification of attaining passing scores on a State -recognized high school equivalency test. Earning a secondary school diploma or State -recognized equivalent through a cred it bearing secondary education program sanctioned by State law code or regulation. Obtaining certification of passing a State recognized competency -based assessment. Completion of a specified number of college credits. Types of Acceptable Credentials The following are acceptable types of credentials that count toward the credential attainment indicator Secondary School diploma or recognized equivalen t Associate s degree Bachelor s degree Graduate degree for purposes of the VR program Occupational licensure Occupational certificate including Registered Apprenticeship and Career and Technical Education educational certificates Occupational certification Other recognized certificates of industry occupational skills completion sufficient to qualify fo r entry -level or advancement in employment. Note WIOA sec. 3 52 defines a recognized postsecondary credential as a credential consisting of an industry -recognized certificate or certification a certificate of completion of an apprenticeship a license recognized by the State involved or Federal Governm ent or an associate or baccalaureate degree. Graduate degrees are not included in the definition of a recognized postsecondary credential. Therefore graduate degrees do not count towards credential attainment except for the title IV VR programs which - 16 - are permitted to include graduate degrees as a type of recognized credential because of statutory and regulatory requirements specific to that program .3 Who is included in the Calculation of the Credential Attainment Indicator Participants who exit and are in a postsecondary education or training program or who are in a secondary education program at or above the 9 th grade level without a secondary school diploma or equivalent are included in the credential attainment indi cator subject to the Special Rule below . However participants enrolled in work - based OJT or customized training are excluded from this indicator because such training does not typically lead to a credential. Special Rule Relating to Secondary Schoo l Diplomas and Recognized Equivalents in the Calculation of the Credential Attainment Indicator As required in WIOA sec . 116 b 2 A iii p articipants who obtain a secondary school diploma or its recognized equivalent must also meet an additional condition before they are counted as a successful outcome and included in the numerator of the credential attainment indicator. These participants must be employed or enrolled in an education or training program leading to a recognized postsecondary cred ential within one year following exit. For each core program a description of who is considered to be enrolled in an education or training program and thus included in the credential attainment indicator follows Title I Adult All Adult program participants who received training that was not OJT or Customized Training are included in the credential attainment indicator . Title I Dislocated Worker All Dislocated Worker program participants who received training that was not OJT or Customized Training are included in the credential attainment indicator . Title I Youth All in -school Youth ISY are included in the credential attainment indicator sin ce they are attending secondary or postsecondary school. Only out -of - school Youth OSY who participate in one of the following are included in the credential attainment indicator - the program element occupational skills training - secondary education at or above the 9 th grade level during participation in the title I Youth program 3See sec. 103 a 5 of the Rehabilitation Act of 1973 as amended by WIOA 34 CFR 361.48 b 6 and 81 FR 55629 55677 Aug. 19 2016 . - 17 - - postsecondary education during participation in the title I Youth program - Title II -funded adult education at or above the 9 th grade level during participation in the title I Youth program - Youth Build during participation in the title I Youth program - Job Corps during participation in the title I Youth program Title II AEFLA The following AEFLA program participants are included in this measure - For the secondary school diploma or recognized equivalent Participants without a secondary school diploma or recognized equivalent who were enrolled in a secondary education program at or above the 9 th grade level. - For the recognized postsecondary credential Participants who co -enrolled in a postsecondary education or training program. Title IV VR The following VR program participants are included in this measure - All participants who have participated in an educational or training program leading to a postsecondary credential. - All participants who are enrolled in secondary education and who have the attainment of a secondary school diploma or its equivalent identified on their Individual ized Plan for Employment IPE . Exclusions from the Measure Participants who exited a program and who were enrolled in the following are excluded from the credential attainment indicator a. OJT only b. Customized training only or c. The title III Employment Service program Wagner -Peyser only . Also participants who exit for any of the reasons listed in Attachment 2 Table s A through C are excluded from the credential attainment indicator. - 18 - E. Measurable Skill Gains The Measurable Skill Gains indicator is the percentage of participants who during a program year are in an education or training program that lead s to a recognized postsecondary credential or employment and who are achieving documented academic technical occupational or other forms of progress towards such a credential or employment see 20 CFR sec. 677.155 a 1 v . The measurable skill gain s indicator is used to measure interim progress of participants who are enrolled in education or training services for a specified reporting period. Therefore it is not an exit -based measure. Instead it is intended to capture important progressions through pathways that offer different services based on program purposes and participant needs and can help fulfill the vision for a workforce system that serves a diverse set of individuals with a range of ser vices tailored to individual needs and goals. Depending upon the type of education or training program in which a participant is enrolled documented progress is defined as one of the following 1. Documented achievement of at least one educational funct ioning level of a participant who is receiving instruction below the postsecondary education level 2. Documented attainment of a secondary school diploma or its recognized equivalent 3. Secondary or postsecondary transcript or report card for a sufficient nu mber of credit hours that shows a participant is meeting the State unit s academic standards 4. Satisfactory or better progress report towards established milestones such as completion of OJT or completion of one year of an apprenticeship program or simil ar milestones from an employer or training provider who is providing training or 5. Successful passage of an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade -related benchmark s such as knowledge -based exams. - 19 - Examples A participant is enrolled in a 4 -year registered apprenticeship program the measurable skill gain s indicator tracks the skills the participant gains throughout the reporting period not just at the end of the 4 -year training program. Low -skilled adult participants of an adult education program the measurable skill gains indicator provides an opport unity to track and report gains in reading writing mathematics and English proficiency. Documenting Progress for Types of Measurable Skill Gains 1. Documented achievement of at least one educational functioning level of a participant who is receiving instruction below the postsecondary level Programs may measure educational functioning level gain in one of three ways a States may compare the participant s initial educational functioning level as measured by a pre -test with the participant s educati onal functioning level as measured by a post -test 4 b States that offer adult high school programs that lead to a secondary school diploma or its recognized equivalent may measure and report educational gain through the awarding of credits or Carnegie unit s or c States may report an educational functioning level gain for participants who exit a program below the postsecondary level and enroll in postsecondary education and training during the program year. A program below the postsecondary level applies to participants enrolled in a basic education program. 2. Documented attainment of a secondary school diploma 5 or its recognized equivalent Programs may document attainment of a secondary school diploma or its recognized equivalent if the participant obtains certification of attaining passing scores on all parts of a State -recognized high school equivalency test or the participant obtains a diploma or State -recognized equivalent documenting satisfactory 4 The approved pre - and post -tests must be based on the list of test s the Secretary of Education determines to be suitable for use in the National Reporting System for Adult Education. The list of approved assessments is published annually in the Federal Register . See Tests Determined To Be Suitable for Use in the National Reporting System for Adult Education Department of Education 81 FR 89920 December 13 2016 . https www.federalregister.gov documents 2016 12 13 2016 -29899 tests -determined -to-be-suitable -for -use -in-the - national -reporting -system -for -adult -education. 5 Secondary school diploma refers to a regular high school diploma as defined in section 8101 43 of the ESEA as amended by the ESSA . - 20 - completion of secondary studies or an alternat e diploma 6 including a high school or adult secondary school diploma. 3. Secondary or postsecondary transcript or report card for a sufficient number of credit hours that shows a participant is meeting the State unit s academic standards For secondary education this gain may be documented through receipt of a secondary transcript 7 or report card for one semester showing that the participant is achieving the State unit s policies for academic standards. For postsecondary education this gain must demonstrate a sufficient number of credit hours which is at least 12 hours per semester or equivalent 8 or for part -time students a total of at lea st 12 hours over the course of two completed semesters or equivalent during a 12 month period that shows a participant is achieving the State unit s academic standards or the equivalent for other than credit hour programs . For example if a postsecondary student completed 6 hours in the spring semester and 6 more hours in the fall semester and those semesters crossed two program year s they would not count as a skill gain in the first program year but they would count as a s kill gain in the second program year. 4. Satisfactory or better progress report towards established milestones such as completion of OJT or completion of one year of an apprenticeship program or similar milestones from an employer or training provider who is providing training Documentation for this gain may vary as programs should identify appropriate methodologies based upon the nature of services being provided but progress reports must document substantive skill development that the participant has achieved . The gain may be documented by a satisfactory or better progress report from an employer or training provider. Progress reports may include training reports on milestones completed as the individual masters the required job skills or steps to complete an OJT or apprenticeship program. Increases in pay resulting from newly acquired skills or increased performance also can be used to document progress. Note In the description of this type of Measurable Skill Gains completion of one year of an apprenticeship is just one example of a timeframe that may be established for achieving a satisfactory or better progress report towar d a specific milestone and the one year timeframe should not be construed as a required timeframe or the only way that a participant in an apprenticeship can achieve a Measurable Skill Gain . 6 Alternat e diploma must meet the requirements under the ESEA as amended by the ESSA . 7 Secondary transcript is specific to youth attending high school. 8 For gain type three the Departments recommend that States and local areas develop policies suitable for the applicable academic system in use by the secondary or postsecondary institution in which the participant is enrolled including but not limited to semesters trimesters quarters and clock hours for the calculation of credit hours or their equivalent when documenting progress towards Measurable Skill Gains. - 21 - 5. Successful passage of an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade - related benchmarks such as knowledge -based exams Documentation for this gain may include passage of a component exam in a Registered Apprenticeship program employer -required knowledge -based exam satisfactory attainment of an element on an industry or occupational compet ency -based assessment or other completion test necessary to obtain a credential. Methodology Calculation includes all participants The number of program participants during the reporting period who are in an education or training program that lead s to a recognized postsecondary credential or employment and are achieving measurable skill gains based on attainment of at least one type of gain DIVIDED by the number of program participants during the reporting period who are in an education or training program that leads to a recognized postsecondary credential or employment. Participants who during any point in the program year are in an education or training program that leads to a recognized postsecondary credential or employment are included in the denominator . This includes participants who continue to receive services as well as those who have participated during the repor ting period and have exited the program. Data for the denominator in this calculation is drawn from PIRL 1811 Date Enrolled During Program Participation in an Education or Training Program Leading to a Recognized Postsecondary Credential or Employment. The numerator is the number of program participants defined above who achieved at least one type of gain. A participant may have achieved more than one type of gain in a reporting period however only one gain per participant in a reporting period may b e used to calculate success on the measurable skill gain s indicator. These calculations are described in Attachment 10 Figure 7. Operational Parameters All participants who during a program year are in an education or training program that leads to a recognized postsecondary credential or employment are counted in the calculation of this indicator. Participants who exit for any of the reasons listed in Attachment 2 Table s A and B are excluded from the measurable skill gains indicator. The followin g participants in education or training programs are included - 22 - Title I Adult and Dislocated Worker All participants who are in a title I Adult - or Dislocated Worker -funded training program are included in the measurable skill gain s indicator which includes funding a training program for a secondary school program equivalent . This includes all participants in work -based training. Refer to Incumbent Workers Training section on page 40 . Title I Youth All ISY are included in the measurab le skill gains indicator since they are attending secondary or postsecondary school. Only OSY who are in one of the following are included in the indicator - the program element occupational skills training - secondary education at or above the 9 th grade level during participation in the title I Youth program - postsecondary education during participation in the title I Youth program - Title II -funded adult education at or above the 9 th grade level during participation in the title I Youth program - the Youth Build program during participation in the title I Youth program - Job Corps during participation in the title I Youth program Title II AEFLA All participants in title II AEFLA programs are considered to be in an education program leading to a recognized postsecondary credential or employment and as such would be included in the measurable skill gains indicator . Title IV VR All VR program participants who are in an education or training program that leads to a recognized secondary or posts econdary credential or employment which is identified on the individual s IPE would be included in the measurable skill gains indicator . Additional Operational Parameters Participants are only included in the denominator one time per reporting period i.e. program year regardless of how many skill gains they achieve in a given program year unless the individual has more than one period of participation in a given program year . Likewise p articipants are only included in the numerator one time per reporting period i.e. program year regardless of how many skill gains they achieve in a given program year unless the individual has more than one period of participation in a given program year See Section 9 page 3 6 for discussion on periods of part icipation. - 23 - A participant who exits the program and re -enrolls in the program during the same program year and is in an education or training program will be in the indicator two times for that particular program year as explained in the discussion of periods of part icipation in Section 9 of this guidance The measurable skill gains indicator is different from the other indicators because it is not exit -based meaning that a participant can achieve a measurable skill gain while still participating in a program and Programs should not delay enrollment or services to participants until a new program year even if programs believe there is insufficient time for the participant to make any type of measurable skill gain by the end of that program year. For performance accountability purposes the measurable skill gains indicator calculates the number of participants who attain at least one type of gain during each period of participation within a given program year. Since this indicator is not exit -based each unique program entry date not exit date triggers inclusion in the calculation . Participants will achieve a successful outcome in the indicator as long as they attain one type of gain applicable to the core programs. States should report all measurable skill gains achieved by participants in a program year although only one gain is required per participation period per program year to meet performance outcomes. See the example below for how this would apply in a typical scenario . Example Chris enters an American Job Center and becomes a participant on October 2 2016 PY16 . He exits the program on February 10 2017. During this time Chris achieves two types of gain under the measurable skill gain s indicator. He re -enters the program as a participant on June 11 2017 PY16 . By the end of the program year June 30 2017 he is still in his second participation period. During this time Chris obtains an additional type of gain under the measurable skill gain s indicator. In this example Chris has tw o periods of participation and two positive outcomes on the measurable skill gain s indicator. Although two types of gain were achieved in the first period of participation only one of the two types of gains counts toward the indicator in the first partic ipation period. During the second period of participation another type of gain was achieved before the end of the program year which counts as another positive outcome towards the measurable skill gains indicator. This information is collected for al l core programs except the title III Employment Service program as part of the Measurable Skill Gains Report Template . If a participant - 24 - achieves more than one type of measurable skill gain in a reporting period the most recent gain is the skill gain ty pe that should be recorded on the Measurable Skill Gains Report Template. Operational Parameters Individual Core Programs The appropriate types of measurable skill gains for each core program are detailed in the table below. These parameters are intended to focus performance accountability under measurable skill gain s on the services that are allowable under the respective statutory provisions. Operational Parameters Individual Core Programs Core Program Type of Measurable Skill Gains Title I Adult and Dislocated Worker Measured by achievement of any of the 5 types of measurable skill gains No specific measurable skill gain s types required for specific Adult or Dislocated Worker participants Title I Youth Measured by achievement of any of the 5 types of measurable skill gains No specific measurable skill gains types required for specific Youth participants Type of skill gain should be based on the youth s individual service strategy Title II AEFLA Measured by - Achievement of a t least one educational functioning level OR - Documented attainment of a secondary school diploma or its recognized equivalent. Title IV VR May be measured by achievement of any of the 5 measurable skill gains. F. Effectiveness in Serving Employers WIOA sec. 116 b 2 A i VI requires the Departments to establish a primary indicator of performance for effectiveness in serving employers. The Departments have determined that this indicator will be measure d as a shared outcome across all six core programs within each State to ensure a holistic approach to serving employers. The Departments are implementing this indicator in the form of a pilot program to test the - 25 - rigor and feasibility of three approaches to solicit State input on suggested employer measures the State voluntarily develops and reports and to subsequently set a standardized indicator. This indicator is reported on an annual basis therefore the reporting period for the effectiveness in servi ng employers indicator is the program year . As described in the Joint WIOA Final Rule and the Joint WIOA Performance ICR OMB Control No. 1205 -0526 t he Departments have developed three approaches for measuring effectiveness in serving employers. States must select two of these three approaches to report on this indicator. Governors also may establish and report on a third State -specific approach for measuring effectiveness in addition to the two Departmental approaches selected. The Departments will evaluate State experiences with the various approaches and plan to identify a standardized indicator that the Departments anticipate will be implemented no later than the beginning of Program Year 2019. The three approaches implemented by the Departments are designed to gauge three critical workforce needs of the business community 1 Providing employers with skilled workers 2 Providing quality engagement and services to employers and sectors and establishing productive relationships with employers and sectors over extended period s of time and 3 Providing quality engagement and services to all employers and sectors within a State and local economy . a. Three Approaches to Measuring Effectiveness in Serving Employers Each State must select two and may also develop a third State -established measure s . 1. Retention Retention with the same employer This approach captures the percentage of participants who ex it and are employed with the same employer in the second and fourth quarters after exit. States must use wage records to identify whether a participant s employer wage record indicates a match of the same establishment identifier such as a Federal Employer Identification Number FEIN or State tax id in the second and fourth quarters. This approach is useful in determining whether the core programs are serving employers effectively by improving the skills of their workforce and decreasing employ ee turnover. - 26 - 2. Repeat Business Customers Percentage of repeat employers using services within the previous three years This approach tracks the percentage of employers who receive services that use core program services more than once. This approach is useful in determining whether employers who receive services from the core programs are satisfied with those services and become repeat customers. This approach also assesses the workforce system s ability to develop and maintain strong re lationships with employers over extended periods of time. 3. Employer Penetration Rate Percentage of employers using services out of all employers in the State This approach tracks the percentage of employers who are using the core program services out of all employers represented in an area or State served by the public workforce system i.e. employers served . States are required to track data elements E1 E4 in Attachment 4 Table A Effectiveness in Servin g Employers Specifications of the WIOA joint reporting requirements for employer penetration rate and repeat business customer measures. American Job Centers will keep track of the number of establishments served within a program year and States will c ollect that data and compare it to the aggregate number of employers in a given State and or county. This approach is useful in determining whether the core programs are serving a large portion of employers in an area and are adequately meeting the workforce needs of the area. b. How to Calculate In order to implement the effectiveness in serving employers indicator as a shared indicator the Departments recommend that States centralize the coor dination of data collection and reporting into a single agency. Since the measure is dependent on QCEW data UI wage data and an establishment identifier such as an employer FEIN or State tax id the Departments anticipate that the State Workforce Agenc y SWA may be best positioned to report this measure for the State. States have flexibility in determining which agency is responsible for tracking these services including the collection of the data and the setting of goals with the local workforce boards. - 27 - Approach 1 Retention with the Same Employer Percentage of participants with wage records who exit and were em ployed by the same employer in the second and fourth quarters after exit. Methodology The number of participants with wage records who exit during the reporting period and were employed by the same employer during the second quarter after exit and the fourth quarter after exit DIVIDED by the number of participants with wage records who exit and were employed during the second quarter after exit. For this measure States must report on data element 1618 Retention with the Same Employer in the 2nd Quarter and the 4th Quarter in the WIOA Joint PIRL. This data element is calculated based on information included in the wage record matches for participants in their fourth quarter after exit. This means that the only participants who are included in th is approach are those for whom a wage record match is available. In order to count as a yes for this measure the participant must have the same establishment identifier such as an employer FEIN or State tax id in both the second and fourth quarters a fter exit. This creates the numerator for this measure. The denominator for this measure is calculated based on those participants with wage records who were employed in the second quarter after exit. Data on employee retention for all participants wh o received ETA -funded WIOA program services will be collected by the American Job Centers and reported at the State -level by the SWA. Outcomes for title II AEFLA participants who are co - enrolled and receiving career services through the American Job Cente r would also be captured in that set of data. Data on title IV VR participants will be collected at the State level through the State VR agency and submitted to the SWA which will aggregate both sets of information to provide one shared outcome for thi s approach . Approach 2 Repeat Business Customers Percentage of employers who have used WIOA core program services more than once during the last three reporting periods . Methodology The total number of establishments as defined by B ureau of Labor Statistics BLS Quarterly Census of Employment and Wages QCEW program served during the current reporting period i.e. one program year and that during the prior three reporting periods have used core program services more than once DIVIDED by the num ber of establishments as defined by BLS QCEW served during the current reporting period. - 28 - This measure is a unique count of employers who use WIOA core programs more than once . Regardless of the incidence of repeat usage of WIOA core program services a n employer who uses WIOA core program services more than once during the last three reporting periods should be counted only once in this calculation . Note As th is indicator is implemented it is the Departments intent to look forward until three program years worth of data become available. The Departments are not requiring States to use data for services delivered to employers prior to July 2016 to fulfill the prior three reporting perio ds requirement. The reporting period for this indicator is a program year July 1 through June 30 . For this measure States must report on data elements E 3 and E 4 as shown in Attachment 4 Table A - Effectiveness in Serving Employers Specifications. Please note that for employers with more than one physical location the QCEW reports each work site as a separate establishment and therefore the total number of business establishments receiving services should be counted this way. Attachment 4 Tabl e B also includes definitions for the different categories of Core Program Services that may be counted when calculating levels of performance for the effectiveness in serving employers indicator . For example a placement through title IV would fall und er the Worker Recruitment Assistance category and would therefore count as a core program service . Note For more information about QCEW see section e. below. Approach 3 Employer Penetration Percentage of employers using WIOA core program services out of all employers in the State . Methodology The total number of establishments as defined by the BLS QCEW program that received a service or if it is an ongoing activity are continuing to receive a service or other assistance during the reporting period DIVIDED by the total number of establishments as defined by BLS QCEW. This measure is a unique count of employers using WIOA core programs. If an establishment receives or continues to receive more than one service during the reporting period i .e. during the program year that establishment should be counted only once in this calculation. - 29 - For this measure States must report data elements E1 and E2 found i n WIOA Effectiveness in Serving Employers Data Elements and Specifications part of the WIOA joint reporting requirements see Attachment 4 Table A for the data elements and their definitions . For employers with more than one physical location the QCEW reports each work site as a separate establishment and therefore the total number of business establishments receiving services should be counted this way. Attachment 4 Table B also includes definitions for the different categories of Core Program Services that may be counted when calculating this measure. For example a placement through the title IV VR program would fall under the Worker Recruitment Assistance category and would therefore count as a core program service . Note For more information about QCEW see section e. below. c. Pilot Program Since these metrics are new to WIOA core programs the Departments have developed options by which States can pilot two of the above approaches to measure effectiveness in serving employers and provide data with which the Departments can assess the appropriaten ess of a new permanent indicator beginning in PY 2019 . States must select two of the three approaches to report for PY 2016 and PY 2017 as discussed above and also may voluntarily develop at the Governor s discretion an additional third State -specifi c approach to report as a suggested indicator for the Departments to consider as part of the pilot evaluation . These three approaches are outlined in the WIOA joint reporting requirements. Data reporting references include PIRL data element 1618 Retention with the Same Employer in the 2nd Quarter and 4th Quarter and Effectiveness in Serving Employer Data elements i.e. E1 E2 E 3 and E4 in Attachment 4 Table A. States must implement and report on two of three approaches with initial resu lts to be included in the WIOA annual report. 9 However d ue to the lag in QCEW data availability for the Retention with the Same Employer and Repeat Business Customers approaches the Departments understand that complete data will not be available for rep orting in the WIOA annual report due October 16 2017. W hen submitting initial and subsequent results for the Employer Penetration approach States should submit the most recently available QCEW data published by BLS . 9 When submitting data on the Statewide Performance Report Template for the Effectiveness in Serving Employers States should report only on the two approaches used for the pilot. If data are not yet available States should enter zeros for the numerator and denominator for ea ch pilot approach selected. - 30 - The Departments believe that these options provide States flexibility in selecting the approaches that best suit their needs while providing partner agencies the opportunity to evaluate States experiences in using these approaches during PY 2016 and PY 2017. This pilot program also allows the Departments to obtain employer feedback regarding the extent to which these indicators measure effectiveness in serving employers. For States that choose to develop an additional approach the outcomes for that app roach should be reported as numerators and denominators in the Pilot Approaches section of the Statewide Performance Report Template for Effectiveness in Serving Employers. A brief definition of the calculation should be included in the Report Certification Additional Comments section of the same report template. The Departments will evaluate State experiences with the various approaches and plan to use the results of that evaluation to identify a standardized indicator for implementation no later than the beginning of PY 2019. d. Reporting Effectiveness in Serving Employers to the Departments The reporting methodology depends on the approaches selected. Retention with the Same Employer in the 2nd Quarter and the 4th Quarter data element 1618 is calcul ated using data collected in the PIRL and therefore can be aggregated and reported like the other primary performance indicators. The Employer Penetration and Repeat Business Customers approaches are not based on individual participant data and will not be derived from the PIRL. Therefore States must establish processes and policies for collecting and validating data related to these approaches before reporting the outcomes in the Statewide Performance Reporting Template.e.Overview of the BLS QCEW Program The QCEW program publishes a quarterly count of employment and wages reported by employers covering 98 percent of U.S. jobs available at the county Metropolitan Statistical Area MSA State and national levels by industry. The Departments consider this data collected from the States to be an accurate count of the total work sites in a given State or county. For more information about the QCEW program and for accessing the work-site counts in a given State or county please visit http www.bls.gov cew .8. Categories o f Enrollment Reportable Individual Participant Date of Program Exit.Reportable Individual The category of reportable individual as set forth in 20 CFR sec. 677.150 b 34 CFR sec. 361.150 b and 34 CFR sec. 463.150 b allows the Departments to identify the individuals who engaged with the workforce development system on an initial level but who do not complete the requirements to become participants. The Departments - 31 - will use this category to track the number of individuals who may take part in self-services receive information-only services or activities or those who do not complete the program requirements for eligibility or for participation. A reportable individual is an individual who has taken action that demonstrates an intent to use program services and who meets specific reporting criteria of the program including 1 Individuals who provide identifying information 2 Individuals who only use the self-service system 3 Individuals who only receive information-only services or activities or 4 For purposes of the title IV VR program only a student with a disability who solely receives pre-employment transition services and who does not apply for VR services who is not determined eligible and who does not have an approved IPE. The Departments will not negotiate levels of performance or impose sanctions based on the outcomes of reportable individuals because only participants are included in the performance indicators. However the Departments require inclusion of certain information about reportable individuals in the State annual performance reports and associated WIOA p erformance reporting instruments or program-specific performance reporting instruments. For example the Departments will track the number of individuals taking part in self- services receiving information-only services or activities or failing to complete the program requirements for eligibility or participation. Collecting such information allows the Departments to identify the individuals who engaged with the system on an initial level but who do not complete the requirements to become participants. Participant Although the definition of participant is consistent across the core programs there are some slight differences to account for programmatic requirements. For the WIOA title I Adult title I Dislocated Worker title II AEFLA and title III Employment Service programs a participant is a reportable individual who has received services other than the services described in 20 CFR 677.150 a 3 or 34 CFR 463.150 a 3 for the AEFLA program after satisfying all applicable programmatic requirements for the provision of services such as eligibility determination. As set forth in more detail in 20 CFR sec. 677.150 a 3 34 CFR sec. 361.150 a 3 and sec. 34 CFR 463.150 a 3 as applicable the following individuals are not participants Individuals in an AEFLA program who have not completed at least 12 contact hours Individuals who only use the self-service system and Individuals who receive information-only services or activities which provide readily available information that does not require an assessment by a staff member of the individual s skills education or career objectives. - 32 - For the title I Youth program a participant is a reportable individual who has satisfied all applicable program requirements for the provision of services including eligibility determination an objective assessment and development of an individual service strategy and received one or more of the 14 WIOA Youth program elements identified in sec. 129 c 2 of WIOA. For the title IV VR programs a participant is a reportable individual who has applied and been determined eligible for VR services has an approved and signed IPE and has begun to receive services. In summary a participant is an individual who 1 Meets the definition of reportable individual 2 Has received services other than the services described in 20 CFR sec. 677.150 a 3 34 CFR sec. 361.150 a 3 or 34 CFR sec. 463.150 a 3 as applicable and 3 Has satisfied all applicable programmatic requirements for the provision of services. The Departments will negotiate levels of performance and calculate sanctions based on the outcomes of program participants because the performance indicators are based on the experience of participants upon exit from or as applicable during participation in a program. Programmatic Criteria For Becoming a Participant in Each of the Core Programs Due to the variability in programmatic criteria to receive services the particular services that trigger inclusion as a participant vary across the core programs Title I Adult and Dislocated Worker Receipt of any training services or individualized career services makes a reportable individual a participant. For basic career services a reportable individual becomes a participant when he or she receives a service that is neither self-service nor information-only. See the chart in Attachment 7 Table A which lists types of services received identifies those services as basic career services individualized career services or training services and states whether each type of service triggers inclusion in participation for the title I Adult and Dislocated Worker programs and for the title III Employment Service program. Title I Youth When a reportable individual has satisfied all applicable program requirements for the provision of services including eligibility determination an objective assessment development of an individual service strategy and received one of the 14 WIOA Youth program elements identified in sec. 129 c 2 of WIOA he or she is considered a participant. See the chart in Attachment 7 Table B. - 33 - Title II AEFLA When a reportable individual in an AEFLA program has completed at least 12 contact hours he or she is considered a participant. Title III Employment Service When a reportable individual receives an individualized career service he or she is considered a participant. For basic career services a reportable individual becomes a participant when he or she receive s a service that is neither self - service nor information -only. See the chart in Attachment 7 Table A . Title IV VR When a reportable individual has applied and been determined eligible for VR services has an approved and signed IPE and has begun to receive services under the IPE he or she is considered a participant. The date the individual begins receiving services under the IPE corresponds with data element 127 on the RSA -911. Exit Exit from a program as set forth in 20 CFR sec. 677.150 c 34 CFR sec. 361.150 c and 34 CFR sec. 463.150 c generally occurs as described below when the participant has not received servic es for a specified period of time and has no additional services scheduled. The title IV VR program has a consistent but slightly different definition of exit to account for programmatic requirements . Follow -up services do not trigger the exit date to change or delay exit as they may occur after exit in title I Adult and Dislocated Worker programs and can only occur after exit in the title I Youth program. 10 States should count each exit of a participant during the same program year as a separate period of participation if a participant has more than one exit in a program year . Program -Specific Criteria of Exit Title I Adult Dislocated Worker and Youth Title II AEFLA and Title III Employment Service programs The date of exit from the program is the last date of service. Specifically - The date of exit cannot be determined until 90 days have elapsed since the participant last received services furthermore there must be no plans to provide the participant 10 Supportive services also do not delay exit. For the title I Adult and Dislocated Worker programs only participants may receive supportive services. The definition of supportive services for these programs requires that they m ay not be provided to an individual who would otherwise not be considered a participant. Additionally for the title I Youth program supportive services can be provided as a follow -up service and therefore can take place after exit without delaying the exit date. For the title IV VR program support services can be provided after the individual begins employment without delaying the exit date. - 34 - with future services. At that point the date of exit is applied retroactively to the last date of service. - For determining whether 90 days have elapsed since the participant last receive d services do not include receipt by the participant of any self -service information - only services or activities or follow -up services as these services do not delay postpone or affect the date of exit. Because the date of exit is retroactive to the last date of service follow -up services in the title I Adult and Dislocated Worker programs may begin immediately following placement into unsubsidized employment if it is expected that the participant will not receive any future services other than follo w-up services. For the title I Youth program follow -up services may begin immediately following the last date of service if it is expected that the participant will not receive any future services other than follow -up services. Provision of follow -up services does not extend the date of exit . - PIRL data element 901 Date of Program Exit is used to collect and report the date of exit. For exit -based performance measures the quarter for collecting follow -up data is determined by the quarter in which the date of exit occurs. For example if the date of exit is between January 1st and March 31st the first quarter after exit would be April 1st through June 30th. Title IV VR program - The participant s record of service is closed in accordance with 34 CFR 361.56 because the participant has achieved an employment outcome or - The participant s service record is closed because the individual has not achieved an employment outcome or the individual has been determined ineligible after receiving services in accordance with 34 CFR 361.43. - VR participants are not considered to have exited if the service record is closed because the participant has achieved a supported employment outcome in an integrated setting but not in competitive integrated employment at the time the VR service record is c losed . - The RSA -911 data element 35 3 Date of Exit is the VR equivalent of PIRL data element 901 Date of Program Exit . For VR program participants who have achieved an employment outcome the exit date is at least 90 days after the attainment of the employment outcome and the individual has met the requirements under 34 CFR 361.56. For VR program participants who have not achieved an employment - 35 - outcome or have been determined ineligible after receiving services in accordance with 34 CFR 361.43 the exit is based on the date of the determination to close the service record . Date of Exit for Titles I and III Programs Reportable Individuals Although a reportable individual does not exit as defined in 677.150 c because they are never considered a participant a new period of self -service activity should occur when more than 90 consecutive days have elapsed since the last self -service or information -only service or activity occurred. This is needed in order to p revent reportable individuals who have stopped receiving services from staying in the system indefinitely. Therefore for tracking purposes the date of exit for reportable individuals from a title I Adult Dislocated Worker or Youth program or title I II Employment Service program is determined as follows The individual does not become a participant and The individual is served under WIOA titles I or III through receipt of services that do not result in the individual becoming a participant and Th e individual has had 90 days elapse since being identified as a reportable individual and the individual has not received additional self -service or information -only services or activities during that 90 -day time period . The date of exit for reportable individuals cannot be determined until 90 days have elapsed since the reportable individual last received any of the following services self -service information -only services or activities and or services under WIOA titl es I or III that do not result in the individual becoming a participant See Attachment 7 Table A with no future services scheduled. At that point the date of exit is applied retroactively to the last date of receipt of self -service information -only services or activities and or services under WIOA titles I or III that do not result in the individual becoming a participant . Date of Exit for Title II AEFLA Program Reportable Individuals For tracking purposes a reportable individual is exited when 90 days have elapsed since the last date of service and no future services are planned. Th is means th e individual has had 90 days of no services including self -service and information -only service since being identified as a reportable individual see 34 CFR sec. 463.150 c 1 . - 36 - Date of Exit for t itle IV VR Program Reportable Individuals For a student with a disability who solely receives pre -employment transition services and who has not applied or been determined eligible to receive other VR services the service record is closed when the student is no longer receiving such services as indicated in the pre -employment transition services data elements 96 through 126 included in the RSA -911. At that time the student is no longer considered a reportable individual. However if a student with a disability has applied and been determined el igible for VR services and has an approved and signed IPE the student s service record would be closed when the student satisfies the definition of exit at 34 CFR 361.150 c because his or her service record is closed pursuant to 34 CFR 361.43 or 361 .56. At that time the student would be considered to have exited the VR program for purposes of WIOA s performance accountability system as a participant . For all other reportable individuals under the VR program the individual will be determined to ha ve exited the VR program as of the date reported in RSA -911 data element 35 3 Date of Exit . Common Exit for DOL Administered Programs Only DOL encourages States to utilize a common exit for DOL -administered programs and envisions full implementation of a common exit across the DOL -administered core programs within each State. A common exit occurs when a participant enrolled in multiple DO L- administered partner programs has not received services from any DOL -administered program to which the common exit policy applies for at least 90 days and no future services are planned. States that retain or develop a common exit policy must require that a participant is only exited when all the criteria for exit are met for the WIOA title s I and III core programs as well as any additional DOL -administered required partner programs to which the State s common exit policy applies in which the participant is enrolled . The WIOA title I and title III core programs are WIOA title I Adult formula program WIOA title I Dislocated Worker formula program WIOA title I Youth formula program and Wagner -Peyser Act Employment Service program . - 37 - Additionally DOL encourages the additional required partner programs listed in sec. 121 b 1 B of WIOA i.e. the title I non -core programs that are under the authority of DOL to be included in the common exit policy. Those partner programs which may 11 be included in a common exit policy are as follows Job Corps program under WIOA sec. 141 et seq. Native American programs under WIOA sec. 166 National Farmworker Jobs program under WIOA sec. 167 National Dislocated Worker Grants under WIOA sec . 170 Youth Build program under WIOA sec. 171 Senior Community Service Employment Program SCSEP authorized under title V of the Older Americans Act of 1965 42 U.S.C. 3056 et seq. Trade Adjustment Assistance program TAA authorized under chapter 2 of title II of the Trade Act of 1974 19 U.S.C. 2271 et seq. Jobs for Veterans State Grants program JVSG authorized under chapter 41 of title 38 United States Code and Reentry Employment Opportunities program REO authorized under section 212 of the Second Chance Act of 2007 42 U.S.C. 17532 If a State chooses to retain or implement a common exit policy the policy must require that a participant is exited when that individual has not received services for 90 days and no future services are p lanned with the exception of self -service information -only activities or follow -up services from any of the DOL -administered programs to which the common exit policy applies in which the participant is enrolled. States must identify the programs for which they have adopted a common exit policy in their annual narrative reports . T he Departments will provide further information on this requirement in the Departments forthcoming amended information collection request . Additionally States will identif y in the annual Program Performance Report Template ETA 9173 the programs that share a common exit with the program being reported. 9. Self -Service and Information -Only Activities . Workforce development system programs offer many services to the public both virtually and in person that are general in nature and not customized to an individual s needs. These are commonly known as self -services or information -only services or activities. These services do not constitute participation in a program. Therefore individuals who receive 11 Some programs may be require d to be included in the common exit policy . Grantees should refer to guidance specific to these programs for more information. - 38 - only self -services or information -only services or activities are considered reportable individuals not participants. As described in 20 CFR sec. 677.150 a 3 ii A 34 CFR 363.150 a 3 ii A and 34 CFR sec. 46 1.150 a 3 ii A self -service occurs when individuals independently access any workforce development system program s information and activities in either a physical location such as a n American Job Center resource room or partner agency or remotely v ia the use of electronic technologies. However it is important to note that self -service does not uniformly apply to all virtually - accessed services. For example virtually -accessed services that provide a level of support beyond independent job or information seeking on the part of an individual would not qualify as self -service. This more intensive level of service would qualify the individual as a participant. Information -only services or activities are those that provide readily available infor mation that does not require an assessment by a staff member of the individual s skills education or career objectives. For further information on reportable individuals under the title I Adult and Dislocated Worker programs and on the title I II Employm ent Service program refer to Understanding Reportable Individuals and Participants for Performance A Guide to Reporting Services at https ion.workforcegps.org resources 2017 02 22 07 41 Understanding -Reportable - Individuals -and -Participants -for -Performance -A-Guide -to-Reporting -Services . Please note that this guide is based on the info rmation in this section and on Attachment 7 -A of this guidance. 10. Period of Participation. For all indicators except measurable skill gain s a period of participation refers to the period of time beginning when an individual becomes a participant and ending on the participant s date of exit from the program . States must count each participant s exit during the same program year as a separate period of participation for purposes of calculating levels of performance . For all indicators except the measurable skill gains indicator a new period of participation is counted each time a participant re -enters and exits the program even if both exits occur during the same program year. For the Measurable Skill Gains indicator a new period of participati on is counted each time a participant enrolls even if both enrollments occur within the same program year . It is not necessary to wait until the participant exits the program in order to count a measurable skill gain because the measurable skill gains ind icator is not an exit -based indicator . The skill gain may be counted as soon as it is earned at any point during the participation period of the program year in which it was earned . - 39 - Attachment 5 illustrates the counting of periods of participation and its relation to each performance indicator. A person with more than one period of participation in a program year is counted separately for each period of participation in both the numerator and denominator of each applicable performance indicator. Therefore the person is counted multiple times once for each period of participation. Specific examples of counting periods of participation are included in Attachment 6. State levels of performance on all primary indicators under WIOA are calculated as a percentage of the number of outcomes achieved for each reporting period whether quarterly or annually as applicable by the number of periods of participation during the same reporting period. Reporting Unique Participants The Departments have determined it necessary to calculate the unique number of participants being served each program year by each core program. As a result it is likely that many States and programs will need to modify their data systems and processes to be able to track each period of participation i.e. a duplicate count while also retaining the ability to calculate an unduplicated count of individual participants across multiple periods of participation in any given program year. To meet this requirement States must 1. Develop systems to track multiple periods of participation within a program year 2. Calculate a unique count of individual participants across multiple periods of participation in any given program year and 3. Establish a unique identification number that will be retained by the same individual across multiple programs. Note that the Departments will not accept a SSN as a form of unique identifier unless specifically noted and required under the particular program. 11. Career Service and Training Service Guidance. WIOA section 116 d 2 specifies the data elements and outcomes to be included in the Statewide Annual Performance report for WIOA core programs. One of those elements is the average cost per participant of those partici pants who received career and training services respectively during the most recent program year and the three preceding program - 40 - years sec. 116 d 2 F of WIOA . WIOA provides specific definitions for career services sec. 134 c 2 training servic es sec. 134 c 3 and administrative costs sec. 3 1 . Classifying Career Services and Training Services Whe n the definitions of career services and training services do not directly correlate to all of the services provided by a core program the Departments have developed separate tables in Attachment 7 Table s A through D of this TEGL identifying which specific services are to be classified as career services and which are to be classified as training services. When a program service includes components of both career services and training services the programs must use those tables to determine which category will be used to ensure uniform reporting among all States and agencies. It may not be possible to classify all of a program s services as either a career or a training service. In other words a program may provide services that go beyond the scope of career services and training services e.g. follow -up services for participants in the title I Adult Dislocated Worker or Yo uth program or instructional or program services for participants in the title II AEFLA program . In such instance s the program must report only those services that satisfy the definition of career services and training services for this particular rep orting purpose. Identifying Career Services and Training Service Costs WIOA requires that the costs for career and training services be determined separately. Given that WIOA defines administrative costs separately from the definitions of career services and training services the Depa rtments made clear in the WIOA Performance ICR that States must not include administrative costs when reporting costs for career services and costs for training services. Career and training costs include any care er service or training service provided by a core program regardless of whether the service occurred at a one -stop center. Each of the data elements required by section 116 d 2 is presented in the context of activities performed and services provided by the core programs with no specificity that the activities or services be provided in a one -stop center. Additionally section 121 b 1 A i of WIOA states that one -stop partners must provide access through the one -stop delivery system to such prog ram or activities carried out by the entity including making the career services described in section 134 c 2 that are applicable to the program or activities available at the one -stop centers in addition to any other appropriate locations . Therefor e consistent with the statutory requirement as least some career services must be provided at the comprehensive American Job Center . However not all partners must provide career services at the American Job Center . - 41 - Calculating Career Service and Training Service Costs Career Service Costs The calculation for the cost of providing career services described in section 134 c 2 Title I Adult title I Dislocated Worker title I Youth title III Employment Service and title IV VR programs Career Services Costs Total Expenditures for Career Services Total Participants receiving Career Services in the Program Title II AEFLA program Career Services Costs Total Expenditures for Career Services Total participants receiving career services from the AEFLA One-stop Partner Core programs define the numerator in the calculation of career service costs differently therefore the numerator for each should be adjusted accordingly as follows Title I Adult Dislocated Worker and Youth12 programs Total Expenditures for Career Services is calculated by subtracting the sum of administrative expenditures and training expenditures from total expenditures. It is important to note that the costs incurred by these particular programs are categorized only as costs for career services training services and administrative costs. Title II AEFLA program Total Expenditures for Career Services is the sum of expenditures for career services indicated in Attachment 7 Table C provided by the AEFLA one-stop partner. Title III Employment Service Total Expenditures for Career Services is calculated by subtracting the sum of administrative expenditures from total expenditures. It is important to note that the costs incurred by this particular program are categorized only as costs for career services and administrative costs. Title IV VR program Total Expenditures for Career Services is the sum of the total expenditures for purchased career services as reported on the RSA-911 and the total expenditures for career services provided directly by VR agencies as reported on the RSA-2. The Total Participants Receiving Career Services in the Program is the total number of participants receiving either purchased career services or career services provided directly by the VR agency as reported on the RSA-911. 12 For title I Adult Dislocated Worker and Youth programs DOL will issue future guidance explaining the calculation of training expenditures. - 42 - Training Service Costs Average Cost of Training Services per Participant Total expenditures for training services not including administrative costs the total number of participants receiving such services. Calculating Training Service Costs Special Circumstances Calculating training service costs when a participant is enrolled in a training program that spans program years Training cost should be reported as they were expended in each year if the total expenditures for each year can be determined. If only the total cost of training across several program years is known the total costs should be reported in evenly distributed amounts across program years. Calculating training service costs when a participant is co-enrolled and the partner program is contributing to the training i.e. shared costs If participants are co-enrolled and a partner program is contributing to training costs States should only report the portion of training costs paid by the program completing the statewide performance report. The partner program should report its share of the training costs on its own statewide performance report. Note A participant who receives more than one career service during the participant s period of participation is included in the denominator for the career services calculation only one time. The costs of all of the career services the participant received are included in the numerator. Similarly a participant who receives more than one training service during the participant s period of participation is included in the denominator for the training services calculation only one time. The costs of all of the training services the participant received are included in the numerator. However if a participant has multiple periods of participation during a program year the participant will appear in the denominator of the career and training services calculation s more than one time. For WIOA title I Adult Dislocated Worker and Youth programs and title III Employment Service programs a participant who receives career services or training services from multiple programs e.g. title I Adult and Dislocated Worker will be counted in the respective career services or training service denominator for all of the programs from which they received services. - 43 - Each core program will establish a process for separating the administrative costs from career service and training service costs. For example in the VR program the RSA -2 form requires agencies to report separately the total administrative and direct service costs for VR staff providing VR services. These administrative costs will not be included in the total expenditures for career service s or training services but rather will be included only in the administrative costs incurred by the program . 12. Incumbent Worker Training Under Title I. For the WIOA title I Adult and Dislocated Worker programs local WDBs may use up to 20 percent of their total Adult and Dislocated Worker formula allocation to provide incumbent worker training see WIOA sec. 134 d 4 . However the Departments do not consider individuals who receive incumbent worker training to be participants required for inclusion in the WIOA performance indicator calculations. Therefore individuals who receive only incumbent worker training are not included in WIOA performance indicator calculations for the core programs. The De partments do not consider individuals receiving incumbent worker training to be participants for the purpose of inclusion in WIOA performance indicator calculations because of WIOA sec. 134 d 4 s unique eligibility requirements. Unlike other types of tra ining incumbent worker eligibility is determined at the employer level by the local WDB which determines if the employer is eligible to have its employees receive incumbent worker training . There is no separate determination of the eligibility of any par ticular employee to receive incumbent worker training . Therefore an incumbent worker does not have to meet the eligibility requirements for career services and training services for the Adult and Dislocated Worker program s under WIOA . However if the inc umbent worker meets eligibility requirements they may also be enrolled as a participant and receiv e other services from the WIOA Adult or Dislocated Worker program s or be a participant in a separate WIOA program . In that case their participation would be reported under the appropriate WIOA indicator of performance . Even though individuals receiving incumbent worker training are not participants for the purpose of inclusion in WIOA performance indicator calculations States and local area s are still required to report certain participant and performance data on all individuals who receive only incumbent worker training. The required elements for these incumbent worker individuals are limited to basic information and the elements needed to calculate incumbent worker t raining performance indicators for employment in the 2nd and 4th quarters after exit Median earnings in the 2nd quarter after exit Measurable Skill Gains and Credential Attainment see Attachment 8 for specific list of required elements . For the purposes of - 44 - calculating these metrics the exit date for an individual who only has received incumbent worker training will be the last date of training as indicated in the training contract . State and local boards may require additional elements be reported to collect additional information on incumbent workers which if collected should also be reported through the PIRL . All recipients of Incumbent Worker Training must be reported in the DOL -only PIRL under data element number 907 Re cipient of Incumbent Worker Training regardless of whether they become a participant in one of the WIOA programs. Individuals that only receive Incumbent Worker Training who therefore are not participants in the Adult or Dislocated Worker programs should be report ed with a Date of Program Entry in element 900 and a 0 in elements 903 Adult and 904 Dislocated Worker. The Departments also encourage the collection of incumbent worker SSNs as part of the training contract with the employer so that wage records will be available for these individuals. If no SSN is available the State or Lo cal WDB may utilize supplemental wage information to verify the wages reported. Incumbent worker training that is funded with Statewide Rapid Response funds data element 908 in the DOL -only PIRL under WIOA section 134 a 2 A i I must also be reported under DOL -only PIRL data element 1501 Most Recent Date Received Rapid Response Services . 13. Average Indicator Score Calculation . See Attachment 9 for a brief overview. The calculations and sanctions determination process will be discussed in greater detail in the forthcoming guidance relating to sanctions. 14. Action Requested. These modifications to the WIOA performance accountability system are effective immediately. States are requested to distribute this information to the appropriate State and local staff. Please make this information available to the appropriate program reporting performance accountability and technical staff. 15. Inquiries. Questions regarding this guidance should be directed to the appropriate Employment and Train ing Administration ETA OCTAE or RSA office.