TEGL_10-16_accessible_version.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION Performance CORRESPONDENCE SYMBOL OPDR OWI DATE RESCISSIONS None EXPIRATION DATE Continuing ADVISORY TRAINING AND EMPLOYMENT GUIDANCE LETTER WIOA NO. 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 PORTIA WU Assistant Secretary for Employment and Training Department of Labor 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 Training and Employment Guidance Letter TEGL provides sub-regulatory guidance on the requirements set forth in the Workforce Innovation and Opportunity Act 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 reprinted in 34 CFR parts 361 and 463 . As explained further in this guidance developed jointly by the U.S. Departments of Labor DOL and Education ED Departments WIOA requires all States and direct grantees of the Departments to collect and report information on all the participants described in this TEGL. 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. - 2 - The WIOA Joint Rule for Uni fied and Combined State Plans Performance Accountability and the One -Stop System Joint Provisions Joint WIOA Fin al 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. 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 work force 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 unde r WIOA title II and administered by ED the Employment Service program authorized under the Wagner -Peyser Act as amended by WIOA title III and administ ered 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 an d 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 C FR 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 Methodology for calculating the s ix 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 . - 3 - 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 8 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 10 D. Credential Attainment 12 E. Measurable Skill Gains 17 F. Effectiveness in Serving Employers 23 Categories of Enrollment Reportable Individual Participant Date of Exit from the program 29 Self -Service and Information -Only Activities 35 Period of Participation 36 Career Service and Training Service Guidance 37 Incumbent Worker Training U nder Title I 40 4. List of Attachments. Attachment 1 Definitions of Terms Related to the Performance Accountability System Attachment 2 - Table A Exclusions PIRL Dat a 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 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 d efinitions and reporting instructions used to describe the characteristics activities and outcomes of WIOA participants. - 4 - - 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 Pe rformance 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 5. 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 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 - 5 - 6. 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 Y outh 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. Med ian 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 em ployed or is enrolled in an education or training program leading to a recognized postsecondary credential within one year after exit from the program E. Measurable Skill Gains The percentage of program participants who during a program year are in an ed ucation 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 em ployment . Depending on the type of education or training program documented progress is defined as one of the following a Documented achievement of at least one educational functioning level of a participant who is receiving instruction below the postsecondary education level b Documented attainment of a secondary school diploma or its recognized equivalent - 6 - c Secondary or p ostsecondary transcript or report card for a sufficient number of credit hours that shows a participant is meeting the State unit s academic standards 2 d Satisfactory or better progress report towards established milestones such as completion of OJT or c ompletion of one year of an apprenticeship program or similar milestones from an employer or training provider who is providing training or e 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. o Approach 1 Retention with the same employer addresses the programs efforts to provid e employers with skilled workers o Approach 2 Repeat Business Customers addresses the programs efforts to provid e quality engagement and services to employers and sectors and establish productive relationships with employers and sectors over extended p eriod s of time and o 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 . T hey also may 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. 2 Within each State there is an administrative unit that provides authorization to postsecondary institutions within the State. Sta tes 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 esta blishes 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 - 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 th e 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 progra m are also considered as employed and their quarterly earnings are calculated for the purpose 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 social 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 Att achment 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 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 -related 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 -s 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 - 8 - available as there is a two -quarter lag built into the reporting tim es for the employment - and wage -based indicators to allow time for reporting participant exit and conducting direct UI wage record match . The methodology for calculating the primary indicators of performance for the core programs and the operational pa rameters 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 informatio n 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 States must not include in either the numerator or denominator those participants who exit during the reporting period for 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 - 9 - 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 described 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 dur ing 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 employment records or supplemental wage information in the fourth quarter after the exit quarter DIVIDED by the number of participan ts 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. - 10 - 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 Calculation 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 supplement al 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 DIVIDED 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 . C. Median Earnings 2nd Quarter After Exit Median Earning s 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 info rmation 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 - 11 - 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 use d to convert supplemental wage information values that do not represent the total amount a participant earned in the second quarter after exit. 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 Afte r Exit Quarter with code value 0 2. Participants who have exit ed 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. 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. W ages 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. - 12 - 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 p articipant 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 w ere in either a postsecondary education or training program other than OJT and customized training OR in a secondary education program at or above the 9 th 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 PLUS those who were in a secondary education program and obtained a secondary school diplo ma or its recognized 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 participant s 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 Definition of Credential This indicator measures attainment of two types of credentials either a recognized postsecondary credential or a secondary school diploma or its recognized equivalent. A recognized postsecondary credential 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 degree as well as graduate degrees for purposes of the V R program as required by sec tion 103 a 5 of the R ehab ilitation A ct of 1973 as amended - 13 - 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 skills generally are based on standards developed or endorsed by employers or industry associations . Neither certificate s awarded by workforce development boards WDBs nor work readiness certificates are included in this definition because neither type of certificate document s the measurable technical or industry occupational skills necessary to gain employment or advanc e within an occupation . Likewise such certificates must recognize technology 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 bro adly required to qualify for entry -level employment or advancement in employment . A variety 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 definition of recognized postsecondary credential . 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 20 USC 1002 that is qualified to participate in the student financial assistance programs authorized by title IV of that Act. This includes community colleg es 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 chartere d 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 Information Technology certificates such as Microsoft Certified IT Professional MCITP Certified Novell Engi neer a Sun Certified Java Programmer etc. using a valid and reliable assessment of an individual s knowledge skills and abilities ETA s Office of Apprenticeship or a State Apprenticeship Agency - 14 - 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. Job Corps which issues certificates for completing career training programs that are based on industry skills standards and certification requirements.Definition of a Secondary School Diploma 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 included for accountability purposes under the Elementary and Secondary Education Act of 1965 ESEA as amended by the Every Student Succeeds Act ESSA . A secondary school equivalency certification signifies that a student has completed 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 credit 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 equivalent Associate s degree - 15 - Bachelor s degree Graduate degree for purposes of the VR program Occupational licensure Occupational certificate including Registered Apprenticeship and Career and Technical Education ed ucational certificates Occupational certification Other recognized certificates of industry occupational skills completion sufficient to qualify for entry -level or advancement in employment. 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 i n the credential attainment indicator 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 School Diplomas and Recognized Equivalents in the Calculation of the Credential Attainment Indicator Participants 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 credential 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 r eceived 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 - 16 - - the program element occupational skills training - secondary education during participation in the title I Youth program - postsecondary education during participation in the title I Youth program - Title II -funded adult education 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 credential 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 postsecondary credential Participants who were co -enrolled in a postsecon dary 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 Individualized 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 Attachmen t 2 Table s A through C are excluded from the credential attainment indicator. - 17 - E. Measurable Skill Gains The Measurable Skill Gains indicator is the percentage of participants who during a program year are in education or training program s that lead 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. 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 progre ssions 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 services 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 functioning level of a participant who is rece iving 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 partici pant 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 similar milestones from an employer or traini ng 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. 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. - 18 - Low -skil led adult participants of an adult education program the measurable skill gains indicator provides an opportunity 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 educational functioning level as measured by a post -test 3 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 units or c States may report an educational functioning level gain for participants who exit a program below the postsecondary level and enroll in pos tsecondary 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 4 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 completion of secondary studies or an alternat e diploma 5 including a high school or adult secondary school diploma. 3. Secondary or postsecondary transcript or report card for a sufficient n umber of credit hours that shows a participant is meeting the State unit s academic 3 The approved pre - and post -tests must be based on the list of tests the Secr etary 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 Reporti ng System for Adult Education Education Department 80 Fed. Reg. 48304 August 12 2015 . https federalregister.gov a 2015 -19847 . 4 Secondary school diploma refers to a regular high school diploma as defined in section 101 43 of the ESEA as amended by the ESSA . See Every Student Succeeds Act Pub. L. 114 -95 Sec. 8002. December 2015. 5 Alternat e diploma must meet the requirements under the ESEA as amended by the ESSA . - 19 - standards For secondary education this gain may be documented through receipt of a secondary transcript 6 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 for part -time students a total of at least 12 hours over t he course of two completed consecutive semesters during the program year that shows a participant is achieving the State unit s academic standards or the equivalent for other than credit hour programs . 4. Satisfactory or better progress report towards es tablished 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 identif y 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 a n 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 acquire d skills or increased performance also can be used to document progress. 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. 6 Secondary tran script is specific to youth attending high school. - 20 - 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 reporting 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 be used to calc ulate 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 following participants in education or training programs are included 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 includ es 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 3 9. Title I Youth All ISY are included in the measurable 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 during participation in the title I Youth program - postsecondary education during participation in the title I Youth program - Title II -funded adult education during participation in the title I Youth program - the Youth Build program during participat ion in the title I Youth program - Job Corps during participation in the title I Youth program - 21 - 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 postsecondary credential which is identifie d 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 gai ns 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 5 for discussion on periods of participation. 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 d iscussion of periods of participation 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 parti cipating 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 progra m 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 no t 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. See the example b elow for how this would apply in a typical scenario . - 22 - 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 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 t ype of gain under the measurable skill gain indicator. In this example Chris has two 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 participatio n only one of the two types of gains counts toward the indicator in the first participation 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 all core programs except the title III Employment Service program as part of the Measurable Skill Gains Report Template . If a participant achieves more than one type of measurable skill gain in a reporting period the most recent gain is the skill gain type 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 on the services that are allowable under the res pective 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 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 Yo uth participants Type of skill gain should be based on the youth s individual service strategy - 23 - Operational Parameters Individual Core Programs Core Program Type of Measurable Skill Gains 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 rigor and feasibility of three approaches an d to subsequently set a standardized indicator. This indicator is reported on an annual basis therefore the reporting period for the effectiveness in serving 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 in dicator 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 . - 24 - 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 employe r This approach captures the percentage of participants who exit 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 mat ch 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 employee turnover. 2. Repeat Business Customers Percentage of repeat employers using services within the previous three years This approach tracks the p ercentage 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 relationships with employers over extended periods of time. 3. Employer Penetration Rate Perc entage 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 work force needs of the area. - 25 - 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 coordination of data collection and reporting into a single agency. Since the measure is dependent on UI wage data and an establishment identifier such as an employer FEIN or State tax id the Departments anticipate that the State Workforce Agency 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. Approach 1 Retention with the Same Employer Percentage of participants with wage records who exit and were employed 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 o n 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 this 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 after 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 who 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 Center would also be captured in that set of data. Data on title IV VR participants will be colle cted at the - 26 - 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 this 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 du ring 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 number of establishments as defined by BLS QCEW served during the current reporting period. 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 The reporting period for this indicator is a program year July 1 through June 30 . 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. For this measure States must report on data elements E 1 and E 2 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 Table B also includes definitions for the different categories of Core Program Se rvices 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 under the Worker Recruitment Assistance category and would therefore count as a core program service . - 27 - Note For more information about QCEW see 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 located wi thin the State during the final month or quarter of the reporting period. 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. For this measure States must report data elements E3 and E4 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 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. States must select two of the approaches discussed above and also ma y develop at the Governor s discretion an additional State -specific approach. These three approaches are outlined in the WIOA joint reporting requirements. Data reporting references include PIRL data element 1618 Retention with the Same - 28 - 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 results to be included in the first WIOA annual report due in October 2017. Having said this d ue to the lag in data availability for the first and third approaches the Departments understand that complete data will not be available for reporting in October 2017. 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 als o 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 approach should be reported in the Statewide Performance Report Template for Effectiveness in Serving Employers Section C.4. A brief definition of the calculation should be included in Section D.1 of the same report template. The Departments will evaluate State experiences with the va rious 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 calculated 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 collec ting 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 . - 29 - 7. Categories of Enrollment Reportable Individual Participant Date of Program Exit . Reportable Individual The category of reportable individual 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 partic ipants. The Departments will use this category to track the number of individuals who may tak e part in self -services receiv e information -only services or activities or those who do not complete the program requirements for eligibility or for participati on. 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 par ticipants are included in the performance indicators. However the Departments require inclusion of certain information about reportable individuals in the State annual performan ce reports and associated WIOA performance reporting instruments or program -specific performance reporting instruments . For example t he 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 a llow s 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 t he defin ition 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 par ticipant is a reportable individual who has received services other than the services described in 20 CFR 677.150 a 3 or 34 C FR 463.150 a 3 for the AEFLA program after satisfying all applicable programmatic requirements for the provision of servic es such as eligibility determination. As set forth in more detail in section 677.150 a 3 or section 463.150 a 3 as applicable the following individuals are not participants - 30 - Individuals in a n 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 ass essment by a staff member of the individual s skills education or career objectives. 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 e ligibility determination an objective assessment and development of an individual service strategy and received one or more of the 14 WIOA Youth program elements ident ified 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 U.S.C. 677.150 a 3 or 34 CFR 361.150 a 3 or 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 . Program matic 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 make s a reportable individual 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 which lists types of services received identifies those services as basic career services individualized career services or training services and states whether each ty pe of service triggers inclusion in participation for the title I Adult and Dislocated Worker program s and for the title III Employment Service program . - 31 - 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 progra m elements identified in sec. 129 c 2 of WIOA he or she is considered a participant. See the chart in Attachment 7 Table B . 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 s ervice 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 generally occurs as described below when the participant has not received services 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 requir ements . Follow -up services for participants in the title I Adult Dislocated Worker and Youth programs occur by definition after exit and therefore do not trigger the exit date to change or delay exit . 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 with future services. At that point the date of exit is applied retroactively to the last date of service. - 32 - - For determining whether 90 days have elapsed since the participant last received services do not include recei pt 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 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 eleme nt 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 i s 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 empl oyment 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 closed . - 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 out come and the individual has met the requirements under 34 CFR 361.56. For VR program participants who have not achieved an employment outcome or have been determined ineligible after receiving services in accordance with 34 CFR 361.43 the exit is based o n the date of the determination to close the service record . - 33 - Date of Exit for Titles I and III Programs Reportable Individuals For tracking purposes the date of exit for reportable individuals from a title I Adult Dislocated Worker or Youth program or title III 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 The 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 Reportable individuals are those with less than 12 contact hours. For tracking purposes a reportable individual must be considered exited when 90 days have elapsed since the last date of service and no future services are planned. Th is means the individual has had 90 days of no services including self -servi ce and information - only service since being identified as a reportable individual. 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 appl ied 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 eligible for VR services and has an approved and signed IPE the student s service record would be closed when the student satisfies the definition - 34 - 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 p erformance accountability system as a participant . For all other reportable individuals under the VR program the individual will be determined to have 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 DOL - 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 -admin istered 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 . 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 7 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 7 Some of these programs may require common exit. Grantees should refer to guidance specific to these programs for more information. - 35 - 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 particip ant is exited when that individual has not received services for 90 days and no future services are planned with the exception of self -service information -only activities or follow -up services from any of the DOL -administered programs to which the c ommon exit policy applies in which the participant is enrolled. States must identify the programs for which they have adopted a common exit 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 identify in the annual Program Performance Report Template ETA 9173 the programs that share a common exit with the program being reported. 8. Self -Service and I nformation -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 only self -services or information -only services or activities are considered reportable individuals not participant s. 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 via 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 seek ing on the part of an individual would not qualify - 36 - 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 information that does not require an assessment by a staff member of the individual s skills education or career objectives. 9. 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 performa nce . 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 participation 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 indicator 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 . Att achment 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 numer ator 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 t o modify their data systems and processes to be able to track - 37 - 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 r equired under the particular program. 10. 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 participants who received career and training services respectively during the most recent program year and the three preceding program years sec. 116 d 2 F of WIOA . WIOA provides specific definitions for career services sec. 134 c 2 training services 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 c areer 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 rep orting 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 Youth program or instructional or program services fo r participants in the title II AEFLA program . In such instance the program must report only those services that satisfy the definition of career services and training services for this particular reporting purpose. - 38 - Identifying Career Services and Train ing 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 career 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 activi ties 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 program or activities carried out by the entity including mak ing 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 . Therefore consistent with the statutory requirement as least som e career services must be provided at the comprehensive American Job Center . However not all partners must provide career services at the American Job Center . 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 - 39 - Career Service Costs Core programs define the numerator in th e calculation of career service costs differently therefore the numerator for each should be adjusted accordingly as follows Title I Adult Dislocated Worker and Youth 8 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 s ervices and administrative costs. Title II AEFLA program Total Expenditures for Career Services is the sum of ex penditures for career services indicated i n 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 service s 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. 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. Note A participant who receives more than one career service during the participant s 8 For title I adult dislocated worker and youth programs DOL will issue future guidance explaining the calculation of training expenditures. - 40 - 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 ar e 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 calculatio ns 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. Each core program will establish a process for separating the administrative costs from career service an d 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 t otal expenditures for career service s or training services but rather will be included only in the administrative costs incurred by the program . 11. 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 with other types o f training 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 an y particular employee to receive incumbent worker training . Therefore an incumbent worker does not have to meet - 41 - the eligibility requirements for career services and training services for the Adult and Dislocated Worker program s under WIOA unless he or she also is enrolled as a participant as a result of receiving other services from the WIOA Adult or Dislocated Worker program or is a participant in a separate WIOA program . Even though individuals receiving incumbent worker training are not parti cipants 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 demographic information and the elements needed to calculate employment in the 2nd and 4th quarters after exit Median earnings in the 2nd quarter after exit and Credential Attainment see Attachment 8 for specific list of required elements . For the purposes of 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 prog rams. 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 data element 908 in the DOL -only PIRL funds 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 . 12. Average Indicator Score Calculation . See Attachment 9 for a brief overview. The calculations and sanctions determination process will be discussed i n greater detail in the forthcoming guidance relating to sanctions. - 42 - 13. Action Requested . States are requested to distribute this information to the appropriate State and local staff. 14. Inquiries . Questions concerning this guidance should be directed to the appropriate regional office.