TEGL 10-16, Change 3 - Accessible PDF.pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFI CATION WIOA Performance CORRESPONDENCE SYMBOL OPDR OWI DATE June 11 2024 RESCISSIONS TEGL 10 -16 Change 2 EXPIRATION DATE Continuing ADVISORY TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 10-16 CHANGE 3 TO STATE AND LOCAL S TAKEHOLDERS IN THE WORKFORCE INNOVATION AND OPPORTUNITY ACT S TATE WORKFORCE AGENCIES STATE WORKFORCE ADMINISTRATORS STATE WORKFORCE LIAISONS FROM JOS JAVIER RODR GUEZ s Assistant Secretary SUBJECT Pe rformance Accountability Guidance for Workforce Innovation and Opportunity Act WIOA Core Programs 1.Purpose. This guidance updates Training and Employment Guidance Letter TEGL 10-16 Change 2 published September 15 2022 and developed jointly by the U.S. Departments of Labor DOL and Education ED the Departments . Within ED the Office of Career Technical and Adult Education OCTAE will update Program Memorandum PM 17-2 and the Rehabilitation Services Administration RSA will update Technical Assistance Circular TAC 17-01 to be consistent with the changes reflected herein. With this issu ance the Departments update the guidance to reflect changes made in the Workforce Innovation and Opportunity Act Effectiveness in Serving Employers Performance Indicator final rule 89 FR 13814 Feb. 23 2024 Final Rule . This final rule took effect March 25 2024 and defined the Effectiveness in Serving Employers primary indicator of performance as required by WIOA section 116 b 2 as Retention with the Same Employer. The final rule requires States to report the indicator as a shared indicator across the six core programs. This guidance also incorporates other changes to improve clarity. 2.Action Req uested. States are requested to distribute this information to the appropriate State and local staff. Please make this information available to the appropriate program reporting performance accountability and technical staff. 2 3. Summary and Background. a. Summary TEGL 10-16 Change 3 rescinds and replaces TEGL 10-16 Change 2 published on September 15 2022. These changes update the portions of the guidance that relate to Effectiveness in Serving Employers to align with the final rule it also clarifies what can be counted as an Educational Functional Level gain type for the Measurable Skills Gain indicator. The remainder of this guidance remains unchanged from TEGL 10- 16 Change 2. b. Background This guidance TEGL 10-16 Change 3 updates the guidance to incorporate the regulatory definition of Effectiveness in Serving Employers and makes other clarifications. WIOA section 116 establishes performance accountability indicators and performance reporting requirements to assess the effectiveness of States and local areas in achieving positive outcomes for individuals served by the workforce development system s six core programs. These six core programs are the Adult Dislocated Worker and Youth programs authorized under WIOA title I and administered by DOL the Adult Education and Family Literacy Act AEFLA program authorized under WIOA title II and administered by ED the Employment Service program authorized under the Wagner-Peyser Act as amended by WIOA title III and administered by DOL and the Vocational Rehabilitation VR program authorized under title I of the Rehabilitation Act of 1973 Rehabilitation Act as amended by WIOA title IV and administered by ED. WIOA provides a historic opportunity to align performance-related definitions streamline performance indicators integrate reporting and ensure comparable data collection and reporting across all six of these core programs while also implementing program-specific requirements related to data collection and reporting. Through this guidance the Departments explain the performance accountability requirements in section 116 of WIOA 20 CFR part 677 of the Joint WIOA Final Rule also reproduced in 34 CFR parts 361 VR and 463 AEFLA and the performance reporting requirements in the WIOA Joint Performance Accountability Information and Reporting System WIOA Performance information collection request ICR approved by the Office of Management and Budget OMB as Control No. 1205-0526. Specifically this guidance addresses the Methodology and guidance for calculating the six primary indicators of performance for the core programs Definitions of 1 reportable individual 2 participant 3 exit and 4 period of participation and Guidance related to 1 career services vs. training services and 2 incumbent worker training. 3 Wher e 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. 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 April 30 2027 available at https www.dol.gov agencies eta performance reporting. The PIRL prov ides a standardized set of data elements definitions and reporting instructions used to describe the characteristics activities and outcomes of WIOA participants. The DOL-only PIRL ETA-9172 can also be found at this link. The spec if ic sections of this guidance can be found on the following pages Section Page Primary Indicators of Performance 4 A. Employment Rate 2nd Quarter After Exit 7 A-1. Title I Youth Education and Employment Rate 2nd Quarter After Exit Quarter 8 B. Employment Rate 4th Quarter After Exit 8 B-1. Title I Youth Education and Employment Rate 4th Quarter After Exit Quarter 9 C. Median Earnings 2nd Quarter After Exit 9 D. Credential Attainment 11 E. Measurable Skill Gains 17 F. Effectiveness in Serving Employers 24 Categories of Enrollment Reportable Individual Participant Date of Exit from the program 26 Self -Service and Information -Only Activities 33 Period of Participation 34 Career Service and Training Service Guidance 35 Incumbent Worker Training Under Title I 39 4.Operating Guidance. a.Definit ions of Terms Related to the Performance Accountability System. This guidance uses the following terms. See Attachment I for compl ete definitions. Common Exit C ompetitive Integrated Employment 4 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 b. Primary Indicators of Performance. Under section 116 b 2 A of WIOA there are six primary indicators of performance A. Employment Rate 2nd Quarter After Exit The percentage of participants who are in unsubsidized employment during the second quarter after exit from the program for title I Youth the indicator is the percentage of participants in education or training activities or in unsubsidized employment during the second quarter after exit B. Employment Rate 4th Quarter After Exit The percentage of participants who are in unsubsidized employment during the fourth quarter after exit from the program for title I Youth the indicator is the percentage of participants in education or training activities or in unsubsidized employment during the fourth quarter after exit C. Median Earnings 2nd Quarter After Exit The median earnings of participants who are in unsubsidized employment during the second quarter after exit from the program D. Credential Attainment The percentage of those participants enrolled in an education or training program excluding those in on-the-job training OJT and customized training who attain a recognized postsecondary credential or a secondary school diploma or its recognized equivalent during participation in or within one year after exit from the program. A participant who has attained a secondary school diploma or its recognized equivalent is included in the percentage of participants who have attained a secondary school diploma or its recognized equivalent only if the participant also is employed or is enrolled in an education or training program leading to a recognized postsecondary credential within one year after exit from the program 5 E. Measurable Skill Gains The pe rcentage of program participants who during a program year are in an education or training program that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains defined as documented academic technical occupational or other forms of progress towards such a credential or employment. Depending on the type of education or training program documented progress is defined as one of the following Documente d achievement of at least one educational functioning level of a participant who is receiving instruction below the postsecondary education level Docume nte d attainment of a secondary school diploma or its recognized equivalent Seconda ry or postsecondary transcript or report card for a sufficient number of credit hours that shows a participant is meeting the State unit s academic standards 2 2 Within each State there is an administrative unit that provides authorization to postsecondary institutions within the State. States differ in the requirements to which they hold postsecondary institutions responsible for satisfactory progress. Progress for WIOA purposes must comply with any applicable State standards. Likewise every State has a State Educational Agency that establishes education standards for secondary education within the State which would apply for purposes of determining if a participant is meeting the State s academic standards. Satisfactory or better progress report towards established milestones such as completion of OJT or completion of one year of an apprenticeship program or similar milestones from an employer or training provider who is providing training or Success fu l 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 The percentage of participants in unsubsidized employme nt during the second quarter after exit from the program who were employed by the same employer in the second and fourth quarters after exit. For the six core programs this indicator is a statewide indicator reported by one core program on behalf of all six core programs in the State as described in the guidance below. 6 The methodologies for calculating most of the primary indicators of performance are writt en as equations see ETA-9169 for specifications clearly identifying which cohort s are in the numerator and which cohorts are in the denominator. In cases wher e there ar e 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 prima ry indicators of performance apply to all six core programs except that the indicators for credential attainment and measurable skill gains do not apply to the title III Employment Service program. For the four em ployme nt- related per formance indicators employment rates in the second and fourth quarters after exit median earnings in the second quarter after exit and effectiveness in serving employers status in unsubsidized employment and quarterly earnings may be determined by direct Unemployment Insurance UI wage match Federal employment re cords military employment records or supplemental wage information. Participants who are in the military or in a Registered Apprenti ceship program are also considered as employed in unsubs idiz ed employment and their quarterly earnings are calculated for the purpose of thes e indicators. Supplemental wage information may be collected in those circumstances where quarterl y 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 re porting instruments i.e. PIRL and Statewide and Local Performance Report Template and Specifications . The Departments protocols on the use and reporting of supplemental wage information are described in Guidance on the use of Supplemental Wage Information to implement the Performance Accountability Requirements under the Workforce Innovation and Opportunity Act.3 3 See Guidance on the use of Supplemental Wage Information to implement the Performance Accountability Requirements under the Workforce Innovation and Opportunity Act joint guidance issued on June 1 2017 via the OCTAE PM 17-6 ETA TEGL 26-16 and RSA TAC 17-04. I n addition as set forth in more detail in Attachment II Table A and Attachment II Table B under ver y limited circumstances some participants who exit programs are excluded from the performance calculations for the six indicators. These categorie s of exclusions appl y to participants in all six core programs who exit for any of the reasons described in Attachment II Tables A and B. Additionally participants receivi ng services under WIOA section 225 are excluded from exit-based measures described in Attachment II Table C. 7 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 rates in the second and fourth quarters after exit median earnings in the second quarter after exit and effectiveness in serving employers if employment status is recorded as Information not yet available or if total earnings are recorded as all 9s data were not yet available the participant record will be excluded from the performance calculations. The Departments anticipate however that data for the employment indicators will generally be available as there is a two-quarter lag built into the reporting times for the employment- and wage-based indicators to allow time for reporting participant exit and conducting direct UI wage record match. The methodology for calculating the primary indicators of performance for the core programs and the operational parameters determining the population assessed for each primary 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. Meth odology 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 emp loyed either through direct UI wage record match Federal or military employment records or supplemental wage information in the second quarter after the exit quarter DIVIDED by the number of participants who exited during the reporting period. Operat ional Parameters When calculating levels of performance for this 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 however 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 II Table A or Attachment II Table C PIRL 923 regarding exclusions. 8 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 th e 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. Meth odology Calculation includes all title I Youth program participants The number of title I Youth program participants who exited during the reporting period who are found to be employed either through direct UI wage record match Federal or military employment records or supplemental wage information OR found to be enrolled in secondary education postsecondary education or occupational skills training including advanced training in the second quarter after the exit quarter DIVIDED by the number of title I Youth program participants who exited the program during the reporting period. Op erational Parameters Calculations for determining levels of performance for this indicator include all participants who exit the title I Youth program except those that exit for any of the reasons listed in Attachment II Table B or Attachment II 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 training portion of the indicator. B. Employment Rate 4th Quarter After Exit Employment Rate Fourth Quarter After Exit is the percentage of program participants who are in unsubsidized employment during the fourth quarter after exit from the program. Meth odology 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 9 the exit quarter DIVIDED by the number of participants who exited during the reporting period. Operatio nal Parameters Calculation of levels of performance for this 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 II Table A. B-1. T itle I Youth Education and Employment Rate 4th Quarter After Exit Title I Youth Education and Employment Rate Fourth Quarter After Exit is the pe rcentage of program participants who are in education or training activities or in unsubsidized employment during the fourth quarter after exit from the program. Methodol ogy Calculation includes all title I Youth program participants who exit from the program The number of title I Youth progr am participants who exited the program during the reporting period who are found to be employed either through direct UI wage record match Federal or military employment records or supplemental wage information OR found to be enrolled in secondary education postsecondary education or occupational skills training including advanced training in the fourth quarter after the exit quarter DIVIDED by the number of title I Youth program participants who exited the program during the reporting period. Operatio nal Parameters Calculation of levels of performance for this indicator includes all participants who exit from the title I Youth program except those who exit for any of the reasons listed in Attachment II 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 training portion of the indicator. C. Median Earnings 2nd Quarter After Exit Median Earnings 2nd Quart er 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. 10 Met hodology 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 Tota l quarterly earnings for all participants employed in the second quarter after exit are collected by either direct wage record match or supplemental wage information. The collected quarterly wage information values are listed in order from the lowest to the highest value. The value in the middle of this list is the median earnings value where there is the same quantity of numbers above the median number as there is below the median number. As a note States must report actual wages paid not wages promised for subsequent quarters. In accordance with the WIOA regulations and joint guidance on supplemental wage information 4 if quarterly wage records are not available for a participant States are permitted to report earnings using supplemental wage information. When using supplemental wage information States must use the source documents identified on pages 9 through 13 in Attachment I of the joint guidance for validating jointly required performance data. 5The Wage Conversion Ch art Attachment III is used to convert supplemental wage or earnings information values into a quarterly earnings value. These conversions are the result of calculations using actual wage data that have been ve rified through source documentation. When using the Wage Conversion Chart it is important to dis tinguish between wage and earnings as they are used in this guidance. Wages are often expressed as a ratio of earnings o ver a specific period of time e.g. dollars per hour whereas earnings is the total earnings for the whole period. The Wage C onversion Chart should be used only when the wage rate and not the information on quarterly earnings is available. 4 See Guidance on the use of Supplemental Wage Information to implement the Performance Accountability Requirements under the Workforce Innovation and Opportunity Act joint guidance issued on June 1 2017 via the OCTAE PM 17-6 ETA TEGL 26-16 and RSA TAC 17-04. 5 See Guidance for Validating Jointly Required Performance Data Submitted under the Workforce Innovation and Opportunity Act WIOA joint guidance issued on December 19 2018 via the OCTAE PM 19-1 ETA TEGL 07-18 and RSA TAC 19-01. Operational Parameters The following participants and any associated earnings figures are excluded from the calculation for median earnings Par ticipants who have exited and are not employed in the second quarter after exit PIRL 1602 Employed in 2nd Quarter After Exit Quarter with code value 0 Participants wh o have exited a program and for whom earnings information is not yet available oPIRL 1602 Employed in 2nd Q uar ter After Exit Quarter with code 09 11 Information not yet available or o PIRL 1603 Type of Employment Match 2nd Quarter After Exit Quarter with code value 5 Information not yet available or o PIRL 1704 Wages 2nd Quarter After Exit Quarter with all 9s code value Information not yet available 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 a direct wage record match or supplemental wage information is still not available wages will be converted to 0 permanently. Wages reported as 0 will indicate that the participant was not employed in the second quarter after exit thereby counting as a negative outcome in the Employment Rate 2nd Quarter After Exit indicator and excluding that participant from the Median Earnings 2nd Quarter After Exit indicator. Examples of this include Participants who have exited from a program and who have 0 income. Participants who have exited a program and are in subsidized employment. Participants who have exited for any of the reasons listed in Attachment II Tables A through C. D. Credential Attainment Credential Attainment is the percentage of those participants enrolled in an education or training program excluding those in OJT and customized training who attained a recognized postsecondary credential or a secondary school diploma or its recognized equivalent during participation in or within one year after exit from the program. A parti cipant who has attained a secondary school diploma or its recognized equivalent is included in the percentage of participants who have attained a secondary school diploma or its recognized equivalent only if the participant also is employed or is enrolled in an education or training program leading to a recognized postsecondary credential within one year after exit from the program. Methodology Calculation includes all participants who exited from a program and were in either a posts econdary 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 12 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 OR those who were in a secondary education program and obtained a secondary school diploma 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 participants enrolled in an education or training program excluding those in OJT and customized training who exited during the reporting period. Operati onal Parameters This indicator measures attainment of two types of credentials either a recognized postsecondary credential or a secondary school diploma or its recognized equivalent. Definition of a Recognized Postsecondary Credential A recognized postsecondary 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 VR program as permitted by section 103 a 5 and 18 of the Rehabilitation Act. 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. Certificates awarded by workforce development boards WDBs and work readiness certificates are not included in this definition because neither type of certificate is recognized industry-wide and they do not document the measurable technical or industry occupational skills necessary to gain employment or advancement within an occupation. Likewise such certificates must recognize technical or industry occupational skills for the specific industry occupation rather than general skills related to safety hygiene etc. even if such general skills certificates are broadly required to qualify for entry-level employment or advancement in employment. Although these types of certificates may not count towards the credential attainment indicator these types of certifications may lead to positive outcomes in other performance indicators so it may be valuable to provide services that lead to such certificates depending on the requirements and eligibility for individual programs. Services that lead to these types of certificates often do not meet the definition of 13 training or education therefore in such cases those participants are also excluded from the denominator of this measure. Se ctions 766-769 of the Higher Education Act of 1965 as amended authorize the Model Comprehensive Transition and Postsecondary Programs for Students with Intellectual Disabilities. ED provides grants to institutions of higher education or consortia of institutions of higher education to enable them to create or expand high quality inclusive model comprehensive transition and postsecondary programs for students with intellectual disabilities. These programs support students with intellectual disabilities in continuing academic career and technical and independent living instruction to prepare them for employment. Students may or may not earn a recognized postsecondary credential upon completing these programs. Therefore WIOA core programs particularly the VR program must review whether participants who complete these programs earn a credential that meets the definition of a recognized postsecondary credential. A va riety of different public and private entities issue recognized postsecondary 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 of 1965 as amended 20 USC section 1002 that is qualified to participate in the student financial assistance programs authorized by title IV of that Act. This includes community colleges proprietary schools and all other institutions of h igher education that are eligible to participate in Fed eral student financial aid programs An institution of higher education th at is formally controlled or has been formally sanctioned or chartered by the governing body of an Indian tribe or tribes A professional industry or employer organization e.g. National Institute for Automotive Service Excellence certification National Institute for Metalworking Skills Inc. Machining Level I credential or product manufacturer or developer e.g. recognized Microsoft Information Technology certificates such as Microsoft C ertified IT Professional MCITP Certified Novell Engineer a Sun Certified Java 14 Programmer etc. using a valid and reliable assessment of an individual s knowledge skills and abilities The Employment and Training Administration s ETA Office of Apprenticeship or a recognized State apprenticeship agency A public regulatory agency which awards a credential upon an individual s fulfillment of educational work experience or skill requirements that are legally necessary for an individual to use an occupational or professional title or to practice an occupation or profession e.g. Federal Aviation Administration aviation mechanic license or a State-licensed asbestos inspector A program that has been approved by the Department of Veterans Affairs to offer education benefits to veterans and other eligible persons or ETA s Job Corps program which issues certificates for completing career training programs that are based on industry skills standards and certification requirements. Definition of a Secondary School Diploma or Recognized Equivalent For purposes of the credential attainment performance indicator a secondary school diploma or alternate diploma commonly referred to as regular 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. 15 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 degree Bachelor s degree Graduate degree for purposes of the VR program Occupational licensure Occupational certificate including Registered Apprenticeship and Career and Technical Education educational certificates Occupational certification Other recognized certificates of industry occupational skills completion sufficient to qualify for entry-level or advancement in employment. Note WIOA section 3 52 defines a recognized postsecondary credential as a credential consisting of an industry-recognized certificate or certification a certificate of completion of an apprenticeship a license recognized by the State involved or Federal Government or an associate or baccalaureate degree. Graduate degrees are not included in the definition of a recognized postsecondary credential. Therefore graduate degrees do not count towards credential attainment except for the title IV VR programs which are permitted to include graduate degrees as a type of recognized credential because of statutory and regulatory requirements specific to that program. 6 6See sec. 103 a 5 of the Rehabilitation Act 34 CFR 361.48 b 6 and 81 FR 55629 55677 Aug. 19 2016 . Who Is Included in the Denominator of the Credential Attainment Indicator Not all participants who exit will be included in the Credential Attainment denominator. Participants who are enrolled in a postsecondary education or training program except for OJT and Customized Training during participation or who are enrolled in a secondary education program at or above the 9 th grade level without a secondary school diploma or equivalent during participation are included in the credential attainment denominator once they have reached one year after exit subject to the Special Rule below. Special Rule Relating to Secondary School Diplomas and Recognized Equivalents in the Calculation of the Credential Attainment Indicator As required in WIOA section 116 b 2 A iii 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 16 education or training program leading to a recognized postsecondary credential within one year following exit. Fo r each core program a description of who is considered enrolled in an education or training program and thus included in the credential attainment indicator follows Title I Adult and Dislocated Worker A ll par ticipants who are in a title I Adult- or Dislocated Worker-funded training program or receiving training from a DOL partner program that shares a common exit with title I Adult or Dislocated Worker which was not OJT or customized training are included in the credential attainment indicator. T itle I Youth All in-school Youth ISY are included in the credential attainment indicator since they are attending secondary or postsecondary school at program entry. Only out-of-school Youth OSY who participate in one of the following are included in the credential attainment indicator ot he program element occupational skills training othe program element education offered concurrently with workforce preparation osecondary education at or above the 9 th grade level during participation in the title I Youth program opostsecondary education during participation in the title I Youth program oTitle II-funded adult education at or above the 9 th grade level during participation in the title I Youth program oYouthBuild during participation in the title I Youth program oJob Corps during participation in the title I Youth program T itle II AEFLA The following AEFLA program participants are included in this measure oF or the secondary school diploma or its recognized equivalent Participants without a secondary school diploma or its recognized equivalent at program entry who were enrolled in a secondary education program at or above the 9 th g rade level. oFor the recognized postsecondary credential Participants who during the program year were also enrolled in a postsecondary education or training program leading to a recognized postsecondary credential and exited both the postsecondary training program and the adult education program. 17 Title IV VR The following VR program participants are included in this measure oAll participants who have participated in an educational or training program leading to a postsecondary credential. oAll participants who were enrolled in secondary education and who had the attainment of a secondary school diploma or its equivalent identified on their Individualized Plan for Employment IPE at some point during their period of participation. Exclusions f rom 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.Customiz ed training only or c.The title III Employment Service program Wagner-Peyser only. Also participa nts who exit for any of the reasons listed in Attachment II Tables A through C are excluded from the credential attainment indicator. E.Measurable S kill Gains The measurable sk ill gains indicator is the percentage of participants who during a program year are in an education or training program that leads to a recognized postsecondary credential or employment and who are achieving documented academic technical occupational or other forms of progress towards such a credential or employment see 20 CFR 677.155 a 1 v . The measurable sk ill gains indicator is used to measure interim progress of participants who are enrolled in education or training services for a specified reporting period. Therefore it is not an exit-based measure. Instead it is intended to capture important progressions through pathways that offer different services based on program purposes and participant needs and can help fulfill the vision for a workforce system that serves a diverse set of individuals with a range of services tailored to individual needs and goals. Depending upon the type of e ducation or training program in which a participant is enrolled documented progress is defined as one of the following. Please note that the first three gain types typically apply to participants in education while gain types four and five typically apply to participants in training. 18 1. Documented achievement of at least one educational functioning level of a participant who is receiving instruction below the postsecondary education level 2. Documented attainment of a secondary school diploma or its recognized equivalent 3. Secondary or postsecondary transcript or report card for a sufficient number of credit hours that shows a participant is meeting the State unit s academic 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 training provider who is providing training or 5. Successful passage of an exam that is required for a particular occupation or progress in attaining technical or occupational skills as evidenced by trade-related benchmarks such as knowledge-based exams. 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 four 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 7 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 c States may report an educational functioning level gain for participants who are enrolled in a program below the postsecondary level and who enroll in State- recognized postsecondary education or training during the program year. A program below the postsecondary level applies to participants enrolled in a basic education program or d States may report an educational functioning level gain for participants who pass a subtest on a State-recognized high school equivalency examination. 7 The approved pre- and post-tests must be based on the list of tests the Secretary of Education determines to be suitable for use in the National Reporting System for Adult Education. The list of approved assessments is published annually in the Federal Register. For the most recent Federal Register notice please visit https aefla.ed.gov national-reporting-system and select the link Tests Suitable for Use in the NRS. 19 2. Documented attainment of a secondary school diploma 8 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 alternate diploma 9 including a high school or adult secondary school diploma. 8 Secondary school diploma refers to a regular high school diploma as defined in section 8101 43 of the ESEA as amended by the ESSA. 9 Alternate diploma must meet the requirements under the ESEA as amended by the ESSA as defined in section 8101 25 A ii I bb . It is only for students with the most significant cognitive disabilities who take the State s alternate assessment based on alternate academic achievement standards which can be no more than one percent of all students in the State. 3. S econdary or postsecondary transcript or report card for a sufficient number of credit hours that shows a participant is meeting the State unit s academic standards For secondary education this gain may be documented through receipt of a secondary transcript 10 or report card for one semester showing that the participant is achieving the State unit s policies for academic standards. For postsecondary education this gain must demonstrate a sufficient number of credit hours which is at least 12 hours per semester or equivalent 11 or for part-time students a total of at least 12 hours over the course of two completed semesters or equivalent during a 12-month period that shows a participant is achieving the State unit s academic standards or the equivalent for other than credit hour programs . For example if a postsecondary student completed 6 hours in the spring semester and 6 more hours in the fall semester and those semesters crossed two program years they would not count as a skill gain in the first program year but they would count as a skill gain in the second program year. 10 Secondary transcript is specific to youth attending high school. 11 For gain type three the Departments recommend that States and local areas develop policies suitable for the applicable academic system in use by the secondary or postsecondary institution in which the participant is enrolled including but not limited to semesters trimesters quarters and clock hours for the calculation of credit hours or their equivalent when documenting progress towards Measurable Skill Gains. 4. S atisfactory or better progress report towards established milestones such as completion of OJT or completion of one year of an apprenticeship program or similar milestones from an employer or training provider who is providing training Documentation for this gain may vary as programs should identify appropriate methodologies based upon the nature of services being provided but progress reports must document substantive skill development that the participant has achieved. The gain may be documented by a satisfactory or better progress 20 report from an employer or training provider. Progress reports may include training reports on milestones completed as the individual masters the required job skills or steps to complete an OJT or apprenticeship program. Increases in pay resulting from newly acquired skills or increased performance also can be used to document progress. Milestones should be established in advance of the education or training program or in advance of the program year being measured to be considered an established milestone. Note In the description of this type of Measurable Skill Gains completion of one year of an apprenticeship is just one example of a timeframe that may be established for achieving a satisfactory or better progress report toward an established milestone and the one year timeframe should not be construed as a required timeframe or the only way that a participant in an apprenticeship can achieve a Measurable Skill Gain. 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 competency-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 e ducation or training program that leads 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. Pa rticipants 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 are drawn from PIRL 1811 Date Enrolled During Program Participation in an Education or Training Program Leading to a Recognized Postsecondary Credential or Employment and PIRL 21 1813 D ate Completed During Program Participation an Education or Training Program Leading to a Recognized Credential or Employment. The denominator for this indicator includes all individuals where the range of dates between PIRL 1811 and PIRL 1813 or the end of the report period if PIRL 1813 is null overlaps with the program year being measured. For title I and title IV VR participants who complete their education or training prior to the start of a program year but have not exited and are still receiving services are not included in the denominator for program years that occur after their completion date in PIRL 1813. If a par ticipant sta rts a new education or training program after the date reported in PIRL 1813 grantees mu st rem ove the date in PIRL 1813 and replace the date in PIRL 1811 with the new education or training start date. T he numerator i s the number of program participants defined above who achieved at least one ty pe 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 u sed to calculate success on the Measurable Skill Gain s indicator. Operational Parameters A ll 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 II Tables A and B are excluded from the measurable skill gains indicator. The following participants in education or training programs are included Titl e I Adult and Dislocated Worker All participants who are in a title I Adult- or Dislocated Worker-funded training program or training from a DOL partner program that shares a common exit with title I Adult or Dislocated Worker are included in the Measurable Skill Gains indicator which includes funding a training program for a secondary school program equivalent . This includes all participants in work-based training. Refer to the Incumbent Worker Training section on page 43. 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 othe progr am element occupational skills training othe program element education offered concurrently with workforce preparation osecondary education during participation in the title I Youth program opostsecondary education during participation in the title I Youth program 22 o Title II-funded adult education during participation in the title I Youth program o the YouthBuild program during participation in the title I Youth program o Job Corps during participation in the title I Youth program T itle 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. T itle IV VR All VR program participants who are in an education or training program that leads to a recognized secondary or postsecondary credential or employment which is identified on the individual s IPE would be included in the measurable skill gains indicator. A dditional Operational Parameters P ar ticipants are only included in the denominator one time per reporting period i.e. program year regardless of how many skill gains they achieve in a given program year unless the individual has more than one period of participation in a given program year. Likewise participants 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 10 page 38 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 discussion of periods of participation in Section 9 of this guidance The Measurable Sk ill Gains indicator is different from the other indicators because it is not exit-based meaning that a participant can achieve a measurable skill gain while still participating in a program and Progr ams should not delay enrollment or services to participants until a new program year even if programs believe there is insufficient time for the participant to make any type of Measurable Skill Gain by the end of that program year. For performance accountability purposes the measurable skill gains indicator calculates the number of participants who attain at least one type of gain during each period of participation within a given program year. Since this indicator is not exit- 23 based each unique period of participation in an education or training program triggers inclusion in the calculation. Participants will achieve a successful outcome in the indicator as long as they attain one type of gain applicable to the core programs. States should record all measurable skill gains achieved by participants in a program year and report the most recent gain of each gain type although only one gain is required per participation period per program year to meet performance outcomes. See the example below for how this would apply in a typical scenario. Example Chris enters an American Job Center and becomes a participant on October 2 2022 PY22 . He exits the program on February 10 2023. During this time Chris achieves two types of gain under the measurable skill gains indicator. He re-enters the program as a participant on June 11 2023 PY22 . By the end of the program year June 30 2023 he is still in his second participation period. During this time Chris obtains an additional type of gain under the measurable skill gains indicator. In this example Chris has two periods of participation and two positive outcomes on the measurable skill gains indicator. Although two types of gain were achieved in the first period of participation only one of the two types of gains counts toward the indicator in the first 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 of each gain type should be recorded on the Measurable Skill Gains Report Template. Opera tional 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 gains on the services that are allowable under the respective statutory provisions. 24 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 gains types required for specific Adult or Dislocated Worker participants Title I Youth Measured by achievement of any of the 5 types of Measurable Skill Gains No specific measurable skill gains types required for specific Youth participants Type of skill gain should be based on the youth s individual service strategy Title II AEFLA For all participants performance may be measured by - Achievement of at least one educational functioning level or - Documented attainment of a secondary school diploma or its recognized equivalent. For participants enrolled in a workplace literacy or integrated education and training program performance may be measured by achievement of any of the 5 measurable skill gains. Title IV VR May be measured by achievement of any of the 5 measurable skill gains. F. Effectiveness in Serving Employers Effectiveness in Serving Employers is the percentage of participants in unsubsidized employment during the second quarter after exit who were employed by the same employer in the second and the fourth quarters after exit. Method ology Calculation includes all program participants The number of participants who exit during the reporting period and are found to be employed by the same employer during the second quarter after exit and the fourth quarter after exit either through direct UI wage record match Federal or military employment records or supplemental wage information DIVIDED by the number 25 of participants who exited during the reporting period and were employed during the second quarter after exit. For this measure States must report on data element 1618 Retention with the Same Employer in the 2nd Quarter and the 4th Quarter in the WIOA Joint PIRL. This data element is calculated based on a direct UI wage record match Federal or mi litary employment records or supplemental wage information for participants in their fourth quarter after exit. To count as a successful outcome on this indicator the participant s employer must have the same identifier such as an employer Federal Employer Identification Number FEIN or State tax ID in both the second and fourth quarters after exit. This creates the numerator for this indicator. The denominator for this indicator is the number of participants who exited during the reporting period and wh o were employed in the second quarter after exit. O perational Par ameters W hen c alculating levels of performance for this indicator States must include all pa rticipants exiting the title I Adult title I Dislocated Worker title I Youth title II AEFLA title III Empl oyment Service and title IV VR progr ams who were employed in unsubsidized employment in the second quarter after exit however 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 II Table A or A ttachment II Table C PIRL 923 regarding exclusions. Reporting as a Shared Indicator Unlike the other primary indicators of performance which are reported separately for each core program the effectiveness in serving employers indicator is reported as a shared indicator one value that combines the results for all the core programs in the State. Each State must designate a single agency to submit the State s unduplicated aggregated annual results for all six core programs in the Sta te in the ETA-9169 for Effectiveness in Serving Employers to DOL. While States have flexibility in determining each St ate agency s dat a collection responsibilities the Departments encourage each State to the extent fe asible to centralize the coordination of data collection and reporting of this indicator into a single agency for their State. Since the measure is largely dependent on UI wage data the Departments recommend that States designate the State title I or title III agency fo r this responsibility as they are likely bes t positioned to report this measure for the State. 26 c. Categories of Enrollment Reportable Individual Participant Date of Program Exit. Reportable Individual The category of reportable individual as set forth in 20 CFR 677.150 b 34 CFR 361.150 b and 34 CFR 463.150 b allows the Departments to identify the individuals who engaged with the workforce development system on an initial level. By definition this includes two categories 1 those individuals who are also participants in a given program and 2 those who do not meet the requirements to become a participant. For the purposes of performance reporting the second category is what this guidance refers to as reportable individuals and when the Departments report on reportable individuals it only refers to this category to avoid double counting of participants. 12 The Departments will use this category to track the number of individuals who may take part in self-services receive information-only services or activities or those who do not complete the program requirements for eligibility or for participation. A reportable individual is an individual who has taken action that demonstrates an intent to use program services and who meets specific reporting criteria of the program including 1 Individuals who provide identifying information including those what are determined ineligible to become a participant for a particular program 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. 12 The Department of Labor has produced a tool with more information on Reportable Individuals titled Understanding Reportable Individuals and Participants for Performance A Guide to Reporting Services that can be found at https performancereporting.workforcegps.org resources 2017 08 01 09 32 Understanding-Reportable- Individuals-and-Partic ipants-for-Performance-A-Guide-to-Reporting-Services The Dep artments will not negotiate levels of performance or impose sanctions based on the outcomes of reportable individuals because only participants are included in the performance indicators. However the Departments require inclusion of certain information about reportable individuals in the State annual performance reports and associated WIOA performance reporting instruments or program-specific performance reporting instruments. For example the Departments will track the number of individuals taking part in self-services receiving information-only services or activities or failing to complete the program requirements for eligibility or participation. Collecting such information allows the Departments to identify the individuals who engaged with the 27 system on an initial level but who do not become participants which allows the system to accurately represent the number of individuals served by the system. Titles I and III Programs Reportable Individuals period of activity Although a reportable individual does not exit as defined in 677.150 c because they are never considered a participant a new period of reportable individual activity occurs when more than 90 consecutive days have elapsed since the last service or activity including provision of identifying information occurred. Title II AEFLA Program Reportable Individuals period of activity Although a reportable individual does not exit as defined in 463.150 c for tracking purposes a reportable individual will eventually stop being reported and therefore a reportable individual is exited when 90 days have elapsed since the last date of service and no future services are planned. This means the individual has had 90 days of no services including self-service and information-only service since being identified as a reportable individual see 34 CFR 463.150 c 1 . Title IV VR Program Reportable Individuals period of activity Although a reportable individual does not exit as defined in 361.150 c for tracking purposes it is necessary to determine when a reportable individual stops being a reportable individual. For a student with a disability who solely receives pre-employment transition services and does not apply to the VR program the VR agency discontinues reporting when the individual no longer meets the definition of a student with a disability as reported in RSA-911 data element 22. Once a student with a disability receives a pre- employment transition service the student must be reported on the RSA-911 even if the student is not receiving a pre-employment transition service in a quarter if the student meets the definition of a student with a disability. 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 of exit at 34 CFR 361.150 c because his or her service record is closed pursuant to 34 CFR 361.43 or 361.56. At that time the student would be considered to have exited the VR program for purposes of WIOA s performance accountability system as a participant. For all other reportable individuals under the VR program the individual will be determined to have exited the VR program as of the date reported in RSA-911 data element 353 Date of Exit . 28 Participant Although the definition of participant is consistent across the core programs there are some slight differences to account for programmatic requirements. As mentioned above while all participants are technically considered reportable individuals not all reportable individuals meet the requirements to become participants. For the WIOA title I Adult title I Dislocated Worker and title III Employment Service programs a participant is a reportable individual who has received services other than the services described in 20 CFR 677.150 a 3 after satisfying all applicable programmatic requirements for the provision of services such as eligibility determination. For the W IO A title II AEFLA program a participant is a reportable individual who has received services other than the services described in 34 CFR 463.150 a 3 after satisfying all applicable programmatic requirements for the provision of services such as eligibility determination. As set forth in more detail in 20 CFR 677.150 a 3 34 CFR 361.150 a 3 and 34 CFR 463.150 a 3 as applicable the following individuals are not participants Individuals in an AEFLA program who have not completed at least 12 contact hours Individuals who only use the self-service system and Individuals who receive information-only services or activities which provide readily available information that does not require an assessment by a staff member of the individual s skills education or career objectives. For the title I Youth program a participant is a reportable individual who has satisfied all applicable program requirements for the provision of services including eligibility determination an objective assessment and development of an individual service strategy and received one or more of the 14 WIOA Youth program elements identified in section 129 c 2 of WIOA. For the title IV VR program 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 under the IPE. In summary a participant is an individual who 1 Meets the definition of reportable individual 2 Has received services other than the services described in 20 CFR 677.150 a 3 34 CFR 361.150 a 3 or 34 CFR 463.150 a 3 as applicable and 3 Has satisfied all applicable programmatic requirements for the provision of services. 29 The Departments will negotiate levels of performance and assess performance based on the outcomes of participants because the performance indicators are based on the experience of participants during or after program participation as applicable. Programmatic Criteria for Becoming a Participant in Each of the Core Programs Due to the variability in programmatic criteria to receive services the particular services that trigger inclusion as a participant vary across the core programs Title I Adult and Dislocated Worker Receipt of any training services or individualized career services makes a reportable individual a participant. For basic career services a reportable individual becomes a participant when he or she receives a service that is neither self-service nor information-only. See the chart in Attachment VII Table A which lists types of services received identifies those services as basic career services individualized career services or training services and states whether each type of service triggers inclusion in participation for the title I Adult and Dislocated Worker programs and for the title III Employment Service program. Title I Youth When a reportable individual has satisfied all applicable program requirements for the provision of services including eligibility determination an objective assessment development of an individual service strategy and received one of the 14 WIOA Youth program elements other than the program element follow-up services identified in section 129 c 2 of WIOA he or she is considered a participant. See the chart in Attachment VII 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 receives a service that is neither self-service nor information-only. See the chart in Attachment VII 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. 30 Exit Exit from a program as set forth in 20 CFR 677.150 c 34 CFR 361.150 c and 34 CFR 463.150 c 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 requirements. When fut ure services are scheduled more than 90 days after the most recent date of service such as might happen when there is a delay before the beginning of training grantees should make sure that these participants are not automatically exited from their Management Information System MIS when 90 days have elapsed. Grantees must document that these future services have been scheduled when necessary in those rare instances where future services are needed to take place more than 90 days out. Follow-up services do not change or delay exit as they may occur after exit in title I Adult and Dislocated Worker programs and can only occur after exit in the title I Youth program. 13 States must 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. Note that follow-up services refers to an allowable type of service in WIOA title I that takes place after placement into unsubsidized employment and mostly occur after exit while the term future services refers to services that are provided to active participants such as training but that are scheduled to take place at a future date. 13 Supportive services also do not delay exit. For the title I Adult and Dislocated Worker programs only participants may receive supportive services. The definition of supportive services for these programs requires that they may not be provided to an individual who would otherwise not be considered a participant. Additionally for the title I Youth program supportive services can be provided as a follow-up service and therefore can take place after exit without delaying the exit date. For the title IV VR program support services can be provided after the individual begins employment without delaying the exit date. Program-S pecific 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 o 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. 31 o For determining whether 90 days have elapsed since the participant last received services do not include receipt by the participant of any self-service information- only services or activities or follow-up services as these services do not delay postpone or affect the date of exit. Because the date of exit is retroactive to the last date of service follow-up services in the title I Adult and Dislocated Worker programs may begin immediately following placement into unsubsidized employment if it is expected that the participant will not receive any future services other than follow-up services. For the title I Youth program follow-up services may begin immediately following the last date of service if it is expected that the participant will not receive any future services other than follow-up services. Provision of follow-up services does not extend the date of exit. o PIRL data element 901 Date of Program Exit is used to collect and report the date of exit. For exit-based performance measures the quarter for collecting follow-up data is determined by the quarter in which the date of exit occurs. For example if the date of exit is between January 1st and March 31st the first quarter after exit would be April 1st through June 30th. T itle IV VR program o T he participant s record of service is closed in accordance with 34 CFR 361.56 because the participant has achieved an employment outcome or 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. o VR pr ogram 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. o T he RSA-911 data element 353 Date of Exit is the VR equivalent of PIRL data element 901 Date of Program Exit . For VR program participants who have achieved an employment outcome the exit date is at least 90 days after the attainment of the employment outcome and the individual has met the requirements under 34 CFR 361.56. For VR program participants who have not achieved an employment outcome or have been determined ineligible after receiving services in accordance with 34 CFR 361.43 the exit is based on the date of the determination to close the service record. 32 Common Exit for DOL Administered Programs Only DOL encourages States to use a common exit for DOL-administered programs and it envisions full implementation of a common exit across the DOL-administered core programs within each State. While DOL encourages States that implement common exit policies to include all DOL-administered non-core programs within the scope of each State s common exit policy DOL recognizes the challenges this potentially poses. The decision of whether to implement a common exit policy or to include DOL-administered non-core programs within that policy is ultimately left to each State subject to the following requirements and exceptions. The WIOA final rule allows for States to establish common exit policies that include any of the DOL-administered non-core programs as defined in Appendix II except for the H-1B Job Training Programs which are not included in the list of required one-stop partners in WIOA section 121 b 1 B . 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 titles I and III core programs to which the common exit policy applies as well as any additional DOL-administered required partner programs to which the State s common exit policy applies in which the participant is enrolled. The WIOA title I and title III core programs are W IOA title I Adult program W IOA title I Dislocated Worker program W IOA title I Youth formula program and Wag ner-Peyser Act Employment Service program. A dditionally DOL encourages the additional required partner programs listed in section 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 14 be included in a common exit policy are as follows J ob Corps program under WIOA section 141 et seq. N ative American programs under WIOA section 166 N ational Farmworker Jobs program under WIOA section 167 14 Some programs may be required to be included in the common exit policy. Grantees should refer to guidance specific to these programs for more information. 33 National Dislocated Worker Grants under WIOA section 170 YouthBuild program under WIOA section 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 If a State chooses to retain or implement a common exit policy the policy must require that a participant is exited when that individual has not received services for 90 days and no future services are planned with the exception of self-service information-only activities or follow-up services from any of the DOL-administered programs to which the common exit policy applies in which the participant is enrolled. States must identify the programs for which they have adopted a common exit policy in their annual narrative reports described in TEGL 05-18. 15 Additionally States will identify in the Quarterly Performance Report Template ETA-9173 the programs that share a common exit with the program being reported. 15 See Workforce Innovation and Opportunity Act WIOA Annual Statewide Performance Report Narrative issued November 14 2018 DOL Employment and Training Administration Training and Employment Guidance Letter TEGL 05-18 https wdr.doleta.gov directives corr doc.cfm DOCN 3118. d. Sel f-Service and Information-Only Activities. Workforce development system programs offer many services to the public both virtually and in person that are general in nature and not customized to an individual s needs. These are commonly known as self-services or information-only services or activities. These services do not constitute participation in a program. Therefore individuals who receive only self-services or information-only services or activities are considered reportable individuals not participants. As described in 20 CFR 677.150 a 3 ii A 34 CFR 363.150 a 3 ii A and 34 CFR 461.150 a 3 ii A self-service occurs when individuals independently access any workforce development system program s information and activities in either a physical location such as an American Job Center resource room or partner agency or remotely via the use of electronic technologies. 34 However it is important to note that not all virtual services are considered self-service. Any individual who accesses services virtually and who is provided a level of support from WIOA program staff beyond independent job or information-seeking would not qualify as self-service. This more intensive level of service would qualify the individual as a participant. In formation-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. For further information on reportable individuals under the title I Adult and Dislocated Worker programs and on the title III Employment Service program refer to Understanding Reportable Individuals and Participants for Performance A Guide to Reporting Services at https ion.workforcegps.org resources 2017 02 22 07 41 Understanding-Reportable- Indi viduals-and-Participants-for-Performance-A-Guide-to-Reporting-Services. Please note that this guide is based on the information in this section and on Attachment VII Table A of this guidance. e. Per iod of Participation. For all indicators a period of participation refers to the period of time beginning when an indi vidual becomes a participant and ending on the participant s date of exit from the program. States must count each participant s exit during the same program year as a separate period of participation for purposes of calculating levels of performance. For all indicators except the measurable skill gains indicator a new period of participation is counted each time a participant re-enters and exits the program even if both exits occur during the same program year. For the Measurable Skill Gains indicator both periods of participation are counted even if they do not exit during the program year for the second period of participation as both enrollments occur within the same program year and Measurable Skill Gains is not an exit-based indicator. The skill gain may be counted as soon as it is earned at any point during the program year in which it was earned. Attachment V illustrates the counting of periods of participation and its relation to each performance indicator. A per son with more than one period of participation in a program year is counted separately for each period of participation in both the numerator and denominator of each applicable performance indicator. Therefore the person is counted multiple times once for each period of participation. Specific examples of counting periods of participation are included in Attachment VI. 35 State levels of performance on all primary indicators under WIOA are calculated as a percentage of the number of outcomes achieved for each reporting period whether quarterly or annually as applicable by the number of periods of participation during the same reporting period. Reporting Unique Participants The Departments have determined it necessary to calculate the unique number of participants being served each program year by each core program. As a result it is likely that many States and programs will need to modify their data systems and processes to be able to track each period of participation i.e. a duplicate count while also retaining the ability to calculate an unduplicated count of individual participants across multiple periods of participation in any given program year. To meet this requirement States must 1. Develop systems to track multiple periods of participation within a program year 2. Calculate a unique count of individual participants across multiple periods of participation in any given program year and 3. Establish a unique identification number that will be retained by the same individual across multiple programs. Note that the Departments will not accept an SSN as a form of unique identifier unless specifically noted and required under the particular program. f. 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 section 116 d 2 F of WIOA . WIOA provides specific definitions for career services section 134 c 2 training services section 134 c 3 and administrative costs section 3 1 . Classifying Career Services and Training Services When the definitions of career services and training services do not directly correlate to all the services provided by a core program the Departments have developed separate tables in Attachment VII Tables A through D of this TEGL identifying which specific 36 services are to be classified as career services and which services are to be classified as training services. When a program service includes components of both career services and training services the programs must use those tables to determine which category will be used to ensure uniform reporting among all States and agencies. It may not be possible to classify all of a program s services as either a career or a training service. In other words a program may provide services that go beyond the scope of career services and training services e.g. follow-up services for participants in the title I Adult Dislocated Worker or Youth program or instructional or program services for participants in the title II AEFLA program . In such instances the program must report only those services that satisfy the definition of career services and training services for this particular reporting purpose. Ident ifying Career Services and Training Service Costs WIOA requires that the costs for career and training services be determined separately. Given that WIOA defines administrative costs separately from the definitions of career services and training services the Departments 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 activities or services be provided in a one-stop center. Additionally section 121 b 1 A i of WIOA states that one-stop partners must provide access through the one-stop delivery system to such program or activities carried out by the entity including making the career services described in section 134 c 2 that are applicable to the program or activities available at the one-stop centers in addition to any other appropriate locations . There fore consistent with the statutory requirement at least some career services must be provided at the American Job Center. However not all partners must provide career services at the American Job Center. Calcu lating Career Service and Training Service Costs Career Service Costs The calculation for the cost of providing career services described in section 134 c 2 37 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 in the Program. Core programs define the numerator in the calculation of career service costs differently therefore the numerator for each should be adjusted accordingly as follows Title I Adult Dislocated Worker and Youth 16 programs Total Expenditures for Career Services is calculated by subtracting the sum of administrative expenditures and training expenditures from total expenditures. It is important to note that the costs incurred by these particular programs are categorized only as costs for career services training services and administrative costs. Title II AEFLA program Total Expenditures for Career Services is the sum of expenditures for career services indicated in Attachment VII Table C provided by the Program. Title III Employment Service Total Expenditures for Career Services is calculated by subtracting the sum of administrative expenditures from total expenditures. It is important to note that the costs incurred by this particular program are categorized only as costs for career services and administrative costs. Title IV VR program Total Expenditures for Career Services is the sum of the costs of purchased career services and career services provided directly by VR agency staff. 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 VR agency staff. 16 For title I Adult Dislocated Worker and Youth programs DOL has developed a tool to help grantees determine which activities fall into which categories for calculating career and training services costs. ht tps performancereporting.workforcegps.org resources 2019 07 05 13 29 Cost-Per-Participant-Tool-WIOA- Annual-Performance-Report 38 Training Service Costs Average Cost of Training Services per Participant Total expenditures for Training Services not including administrative costs the total number of participants receiving such services. Calculating Training Service Costs Special Circumstances Calculating Training Service costs when a participant is enrolled in a training program that spans program years Training cost should be reported as they were expended in each year if the total expenditures for each year can be determined. If only the total cost of training across several program years is known the total costs should be reported in evenly distributed amounts across program years. Calculating training service costs when a participant is co-enrolled and the partner program is contributing to the training i.e. shared costs If participants are co-enrolled and a partner program is contributing to training costs States should only report the portion of training costs paid by the program completing the statewide performance report. The partner program should report its share of the training costs on its own statewide performance report. Title I Adult Dislocated Worker and Youth programs Training costs for title I programs use the same definitions that are used for training expenditures including Incumbent Worker Training expenditures as appropriate in the ETA-9130 financial reports for each program. Title II AEFLA program Total Expenditures for Training Services is the sum of expenditures for training services indicated in Attachment VII Table C provided by the Program. Title III Employment Service There are no training costs associated with the Employment Service. Title IV VR program Total Expenditures for Training Services is the sum of the costs of purchased training services and training services provided directly by VR agency staff. The Total Participants Receiving Training Services in the Program is the total number of participants receiving either purchased training services or training services provided directly by VR agency staff. 39 Note A participant who receives more than one career service during the participant s period of participation is included in the denominator for the career services calculation only one time. The costs of all the career services the participant received are included in the numerator. Similarly a participant who receives more than one training service during the participant s period of participation is included in the denominator for the training services calculation only one time. The costs of all 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 calculations more than one time. F or 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 the programs from which they received services. E ach core program will establish a process for separating the administrative costs from career service and training service costs. g. Incumbent Worker Training IWT Under Title I. F or 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 IWT see WIOA section 134 d 4 . The Departments do not consider individuals who receive only IWT to be participants required for inclusion in the WIOA performance indicator calculations. Therefore individuals who receive only IWT are not included in WIOA performance indicator calculations for the core programs. However individuals who receive only IWT are considered reportable individuals. This means that for individuals who receive only IWT states must also report elements that apply to Reportable Individuals under title I including DOL-only PIRL 1007 Date of Most Recent Reportable Individual Contact . T he Departments do not consider individuals receiving IWT to be participants for the purpose of inclusion in WIOA performance indicator calculations because of WIOA section 134 d 4 s unique eligibility requirements. Unlike other types of 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 IWT. There is no separate determination of the eligibility of any particular employee to receive IWT. Therefore an incumbent worker does not have to meet the eligibility requirements for career services and training services for the Adult and Dislocated Worker programs under 40 WIOA. However if the incumbent worker meets eligibility requirements they may also be enrolled as a participant and receive other services from the WIOA Adult or Dislocated Worker programs or be a participant in a separate WIOA program. In that case their participation would be reported under the appropriate WIOA indicator of performance. This means that there are two distinct categories of IWT recipients those that are participants and are reported according to the same guidelines as any other participant receiving training and those who are reportable individuals who are receiving IWT. All recipients of IWT must be reported in the DOL-only PIRL under data element number 907 Recipient of Incumbent Worker Training regardless of whether they become a participant in one of the WIOA programs. T he 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 Local WDB may use supplemental wage information to verify the wages reported. Incumbent worker training that is funded with Statewide Rapid Response funds data element 908 in the DOL-only PIRL under WIOA section 134 a 2 A i I must also be reported under DOL-only PIRL data element 1501 Most Recent Date Received Rapid Response Services . S pecial Conditions for Reportable Individuals Receiving IWT U nlike other reportable individuals although reportable individuals receiving IWT are not participants for the purpose of inclusion in WIOA performance indicator calculations States and local areas are still required to report certain participant and performance data on all reportable individuals who receive only incumbent worker training. The required elements for these type of incumbent worker individuals are limited to the appropriate reportable individual code 4 in PIRL 903 or PIRL 904 basic information and the outcome elements needed to calculate incumbent worker training performance indicators for employment in the 2nd and 4th quarters after exit Median earnings in the 2nd quarter after exit Measurable Skill Gains and Credential Attainment see Attachment VIII for specific list of required elements . Since reportable individuals do not report a Date of Program Entry or Date of Program Exit the Departments will reference the most recent date completed or withdrew from training to establish the cohorts for measuring outcomes for individuals who have only received IWT. Reportable individuals receiving IWT through the title I Adult or Dislocated Worker programs must be reported in PIRL 907 using code values 1 2 or 3. 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. h. Performance Score Calculation. 41 The calculations of performance scores and sanctions determination process are discussed in greater detail in the Departments joint guidance on negotiations and sanctions. 17 17 See Negotiations and Sanctions Guidance for the Workforce Innovation and Opportunity Act WIOA Core Programs joint guidance issued on May 10 2023 via the OCTAE PM 20-2 ETA TEGL 11-19 Change 1 a nd RSA TAC 20-02. 5.Inquirie s. Questions regarding this guidance should be directed to the appropriate ETA Regional off ice. 6.References. See Attachm ent X. 7.Attachments. Attachment I Definitions of Terms Related to the Performance Accountability System Attachment II oTable A Exclusions PIRL Data Element 923 Title I Adult Title I Dislocated Worker Title II AEFLA Title III Employment Service and WIOA Title IV VR Programs oTable B Exclusions PIRL Data Element 923 Title I Youth program and oTable C Exclusions Sec. 225 of WIOA Attachment III Wage Conversion Chart Attachment IV REMOVED Attachment V Periods of Participation Effects on Indicators of Performance Attachment VI Examples of Counting Periods of Participation for Exit-Based Indicators of Performance Attachment VII oTable A Participation Level Services Chart WIOA Title I Adult Title I Dislocated Worker and Title III Wagner-Peyser Act Employment Service Program oTable B Participation Level Services Chart WIOA Title I Youth Program oTable C Applicable Career and Training Services for WIOA Title II AEFLA Program and oTable D Participation Level Services Chart WIOA Title IV VR Program Attachment VIII Incumbent Worker Training Required Data Elements Attachment IX Reporting on Reportable Individuals Technical Details Attachment X References WIOA Operating Guidance