I. Purpose
The purpose of this policy is to provide guidance on the Workforce
Innovation and Opportunity Act (WIOA) requirements related to the
implementation and operation of the performance accountability system.
II. Effective
Date
Immediately
III. Background
Section 116 of WIOA and 20 C.F.R. 677.155 establish performance
accountability indicators and performance reporting requirements to assess the
effectiveness of States and local workforce development areas (local areas) in
achieving positive outcomes for individuals served by the workforce development
system’s six core programs. These six core programs are the WIOA Title I Adult,
Dislocated Worker, and Youth programs; WIOA Title II Adult Education and Family
Literacy Act program; WIOA Title III Wagner-Peyser Employment Service program;
and WIOA Title IV Vocational Rehabilitation program. WIOA provides a holistic
approach to aligning performance-related definitions, streamlining performance
indicators, and ensuring both comparable and integrative data collection and
reporting methodologies across all six core programs within the context of
program-specific requirements.
Under section 116(b)(2)(A) of WIOA, the six primary indicators
of performance are:
1. Employment
Rate – 2nd quarter after exit;
2. Employment
Rate – 4th quarter after exit;
3. Median
Earnings;
4. Credential
Attainment;
5. Measurable
Skill Gains; and
6. Effectiveness
in Serving Employers.
This policy focuses on the performance accountability indicators
as it pertains to the WIOA Title I Adult, Dislocated Worker, and Youth
programs.
A. Employment Rate – 2nd Quarter After Exit
1. WIOA Adult and Dislocated Worker Programs
The percentage of program participants who are in unsubsidized
employment during the second quarter after exit from the Adult or Dislocated
Worker program. The calculation for this indicator includes all adult or
dislocated worker participants. The Adult and Dislocated Worker programs are
calculated separately.
Calculation Methodology:
The number of adult or dislocated worker participants who exited during the
program year and are identified as employed (using, for instance, an
Unemployment Insurance (UI) wage record match, Federal or military employment
records, or supplemental wage information), in the second quarter after exit divided by the number of adult
or dislocated worker participants who exited during the program year.
2. WIOA Youth Program
The percentage of youth program participants who are in
education or training activities, or in unsubsidized employment, during the
second quarter after exit from the program.
Calculation Methodology:
The number of youth program participants who exited during the program year and
are identified as employed, (using, for instance, a UI wage record match,
Federal or military employment records, or supplemental wage information) or identified as enrolled in secondary
education, postsecondary education, or occupational skills training (including
advance training) in the second quarter after exit divided by the number of youth program participants who
exited the program during the program year.
B. Employment Rate – 4th Quarter After Exit
1. WIOA Adult and Dislocated Worker Programs
The percentage of adult or dislocated worker program
participants who are in unsubsidized employment during the fourth quarter after
exit from the program. The calculation for this indicator includes all adult or
dislocated worker participants. The Adult and Dislocated Worker programs are
calculated separately.
Calculation Methodology:
The number of adult or dislocated worker participants who exited during the
program year who are identified as employed (using, for instance, a UI wage
record match, Federal or military employment records, or supplemental wage
information), in the fourth quarter after exit divided by the number of adult or dislocated worker
participants who exited during the program year.
2. WIOA Youth Program
The percentage of youth program participants who are in
education or training activities, or in unsubsidized employment, during the
fourth quarter after exit from the program.
Calculation Methodology:
The number of youth program participants who exited during the reporting period
and are identified as employed (using, for instance, a UI wage record match,
Federal or military employment records, or supplemental wage information) or identified as enrolled in
secondary education, postsecondary education, or occupational skills training
(including advance training) in the fourth quarter after exit divided by the number of youth
program participants who exited the program during the program year.
C. Median Earnings – 2nd Quarter After Exit
The median earnings of adult, dislocated worker, or youth
program participants who are in unsubsidized employment during the second
quarter after exit from the program (unsubsidized employment may be shown by
such things as a UI wage record match, Federal or military employment records,
or supplemental wage information). The Adult, Dislocated Worker, and Youth
programs are calculated separately.
Calculation Methodology:
The total quarterly earnings, for all participants employed in the second quarter
after exit, are collected by either direct wage record match or supplemental
wage information. The collected quarterly wage information values are listed in
order, from the lowest to the highest value. The value in the middle of this
list is the median earnings value. Note: if there is an equal number of values,
the two middle values are added together and divided by two).
Training and Employment Guidance Letter (TEGL) No. 10-16.1
published by the United States Department of Labor (USDOL) provides a wage
conversion chart to convert supplemental wage information values that do not
represent the total amount a participant earned in the second quarter after
exit (e.g., conversion of hourly, weekly, monthly rates to quarterly wages).
This guidance may be found at: https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8226.
D. Credential Attainment
1. Adult and Dislocated Worker Programs
The percentage of adult and dislocated worker participants
enrolled in an education or training program (excluding those in on-the-job
training (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.
2. Youth Program
The percentage of youth participants enrolled in an education or
training program 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.
All in-school youth are included in the credential attainment
indicator since they are attending secondary school or postsecondary school.
Only out-of-school youth who participated in one of the following are included
in the credential attainment indicator:
a. Occupational
skills training program element;
b. Secondary
education during participation in the Youth program;
c. Postsecondary
education during participation in the Youth program;
d. Title
II-funded adult education (in Ohio, called Aspire (formerly known as ABLE));
e. YouthBuild;
or
f. Job Corps.
3. Special Rule Relating to Secondary School Diplomas
Adult, dislocated worker, or youth program participants who
obtain a secondary school diploma or its recognized equivalent must also meet
an additional condition before they
are counted as successful outcomes and included in the numerator of the
credential attainment indicator. These participants must be employed or
enrolled in an education or training program leading to a recognized
postsecondary credential within one year after exit from the program.
4. Calculation Methodology
Calculation of this indicator includes all participants who
exited from a program and were in either a postsecondary education or training
program or in a secondary education program at or above the 9th
grade level without a secondary school diploma or its equivalent. The Adult,
Dislocated Worker, and Youth programs are calculated separately.
The calculation is as follows: The number of participants who
exited during the reporting period who:
a. Obtained a
recognized postsecondary credential during program participation or within one
year after exit; OR
b. Were in a
secondary education program and obtained a secondary school diploma or its
recognized equivalent during program participation 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
c. The number of
participants enrolled in an education or training program who exited during the
reporting period.
5. Definition of Credential
This indicator measures the attainment of two types of
credentials:
a. Recognized postsecondary credential: A
credential consisting of an industry-recognized certificate or certification, a
certificate of completion of an apprenticeship, a license recognized by Ohio or
Federal government, or an associate or baccalaureate degree.
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.
Examples include Certified Nursing Assistant (CNA) License or Automotive
Service Excellence (ASE) Certification.
Certificates awarded by local workforce development boards (WDB)
or work readiness certificates are not included in this definition. Neither
types of certificates document the measurable technical or
industry/occupational skills necessary to gain employment or advance within an
occupation. Such certificates must recognize technical or industry/occupational
for the specific industry/occupation rather than general skills related to
safety, or other such skills, even if these skills certificates are broadly
required to qualify for entry-level employment or advancement in employment.
Other examples of certificates or credentials that do not count
in this measure are the Occupational Safety and Health Administration (OSHA)
10-Hour Course (which provides awareness of job-related common safety and
health hazards) or the completion of Orientation and Mobility Training.
A variety of different public and private entities issue
recognized postsecondary credentials. The following is a list of types of
organizations and institutions that award recognized postsecondary credentials:
i. A State
educational agency or a State agency responsible for administering vocational
and technical education;
ii. An
institution of higher education that is qualified to participate in student
financial assistance programs;
iii. An
institution of higher education that is formally controlled, or has been
formally sanctioned or chartered, by the governing body of an Indian tribe or
tribes;
iv. A
professional, industry, or employer organization or product manufacturer or
developer using a valid and reliable assessment of an individual’s knowledge,
skills, and abilities;
v. USDOL,
Employment and Training Administration (ETA), Office of Apprenticeship or a
State Apprenticeship Agency;
vi. Public
regulatory agencies, which award 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;
vii. A program
that has been approved by the Department of Veterans Affairs (VA) to offer
education benefits to veterans and other eligible persons; or
viii. Job Corps,
which issues certificates for completing career training programs that are
based on industry skills, standards and certificate requirements.
The Ohio Department of Education (ODE) has put together a list
of industry-recognized credentials at the following website: http://education.ohio.gov/Topics/Ohio-Graduation-Requirements/Graduation-Requirements-2018-and-Beyond/Industry-Recognized-Credentials-and-WorkKeys/Industry-Recognized-Credentials.
b. Secondary school diploma (commonly
known as high school diploma): a secondary school diploma (or alternate
diploma) is one that is recognized by the State and that is included for
accountability purposes under the Elementary and Secondary Education Act of
1965 (ESEA).
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, which would
satisfy the credential attainment performance indicator are those recognized by
a State.
Examples of secondary school diplomas, alternate diplomas, and
recognized equivalents recognized by individual States include:
i. Obtaining a
certificate by attaining passing scores on a State-recognized high school
equivalency test;
ii. Earning a
secondary school diploma or State-recognized equivalent through a credit
bearing secondary education program sanctioned by State law, code, or
regulation; or
iii. Completion
of a specified number of college credits.
6. Types of Acceptable Credentials
The following are acceptable types of credentials that count
toward the credential attainment indicator:
a. Secondary
school diploma or recognized equivalent;
b. Associate’s degree;
c. Bachelor’s
degree;
d. Occupational
licensure;
e. Occupational
certificate, including Registered Apprenticeship and Career and Technical
Education educational certificates;
f. Occupational
certification; or
g. Other
recognized certificates in industry/occupational skill completion sufficient to
qualify for entry-level or advancement in employment.
Graduate degrees are not included in the definition of a
recognized postsecondary credential. Therefore, graduate degrees do not count
towards credential attainment.
E. Measurable Skill Gains
The measurable skill gains indicator is used to measure interim
progress of participants who are enrolled in education or training services for
a specific 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.
Calculation Methodology: The number of participants during the
program year who are in an education or training program that leads to a
recognized postsecondary credential or employment and are achieving measurable
skills gains based on the attainment of at least one type of measurable skill
gain divided by the number of program participants during the program year who
are in an education or training program that leads to a recognized
postsecondary credential or employment.
1. Adult and
Dislocated Worker Programs
The Measurable Skill Gains indicator is the percentage of adult
and dislocated worker participants who, during a program year, are in education
or training programs that lead to a recognized postsecondary credential or
employment and who are achieving measurable skill gains, defined as documented
academic, technical, occupational, or other forms of progress, towards such a
credential or employment.
All adult and dislocated worker participants in a training
program are included in the measurable skill gains indicator, which includes a
training program for a secondary school program equivalent, and all
participants in work-based training.
2. Youth Program
The Measurable Skill Gains indicator is the percentage of youth
participants who, during a program year, are in education or training programs
that lead to a recognized postsecondary credential or employment and who are
achieving measurable skill gains, defined as documented academic, technical, occupational,
or other forms of progress, towards such a credential or employment.
All in-school youth attending secondary or postsecondary school
are included in this indicator. Out-of-school youth who are in one of the
following are also included in this indicator:
a. Tutoring,
study skills training, instruction, and dropout prevention services program
element;
b. Occupational
skills training program element;
c. Secondary
education during participation in the Youth program;
d. Postsecondary
education during participation in the Youth program;
e. Title
II-funded adult education (in Ohio, called Aspire);
f. YouthBuild;
or
g. Job Corps.
3. Additional
Parameters
a. Participants
are included in the denominator one time per program year, regardless of how
many skill gains they achieve during that program year unless the individual
has more than one period of participation in a given program year.
b. Participants
are only included in the numerator one time per program year, regardless of how
many skill gains they achieve in a program year, unless the individual has more
than one period of participation in a given program year.
c. 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.
d. The
measurable skill gains indicator is different from the other indicators because
it is not exit-based, meaning that a participant can achieve a measurable skill
gain while still participating in the program.
e. Programs
should not delay enrollment in services to participants until a new program
year even if programs believe there is insufficient time for the participant to
make a type of measurable skill gain by the end of that program year.
4. Definition
and Documentation of Progress
Depending on the type of education or training program in which
a participant is enrolled, documented progress is defined and noted as follows:
a. Documented achievement of at least one educational functioning
level of a participant who is receiving instruction below the postsecondary
education level. Programs may measure education functioning level gain
in one of three ways:
i. Comparing
the participant’s initial education functioning level, as measured by a
pre-test, with the participant’s educational functioning level, as measured by
a post-test. These 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.
ii. Measuring
and reporting educational gain through the awarding of credits or Carnegie
units (if adult high school education programs that lead to a secondary school
diploma or its equivalent are offered).
iii. Reporting an
educational functioning level gain for participants who exit a program below
the postsecondary level and enroll in postsecondary education and training
during the program year. A program below the postsecondary level applies to
participants enrolled in a basic education program.
b. Documented attainment of a secondary school
diploma 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, including a high school or adult
secondary school diploma.
c. Secondary or postsecondary transcript or
report card for a sufficient number of credit hours that shows a participant is
meeting the Ohio Department of Education or the Ohio Department of Higher
Education academic standards.
i. For secondary
education, this gain may be documented through receipt of a secondary
transcript or report card for one semester showing that the participant is
achieving the State unit’s policies for academic standards. In Ohio, the
minimum number of credits to graduate is 20 credit hours; some local school
districts may require more. Therefore, the transcript or report card should
indicate that the youth participant is earning enough credits (at least 5
credit hours per year) at a pace to satisfy the credit requirement to graduate
from secondary school. Credits may also include those earned through
co-enrollment in postsecondary education.
ii. For
postsecondary education, this gain must demonstrate a sufficient number of
credit hours (full time students- at least 12 hours per semester or part-time
students- at least 12 hours over the course of two completed consecutive
semesters during the program year) that shows a participant is achieving the
Ohio Department of Higher Education academic standards.
d. Satisfactory or improved progress report, toward 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. The gain may be documented by a satisfactory or improved
progress report from an employer or training provider. Progress reports may
include training reports on milestones completed as the individual masters the
required job skills, or steps to complete an OJT or apprenticeship program.
Increases in pay resulting from newly acquired skills or increased performance
also can be used to document progress.
e. Successful passage of an exam that is required for a particular
occupation or progress in attaining technical or occupational skills as
evidenced by trade-related benchmarks, such as knowledge-based exams.
Documentation for this gain may include passage of a component exam in a
Registered Apprenticeship program, employer-required knowledge-based exam, and
satisfactory attainment of an element in an industry or occupational
competency-based assessment, or other completion test necessary to obtain a
credential.
F. Effectiveness in Serving Employers
Section 116(b)(2)(A)(i)(VI) of WIOA requires that the
Departments of Labor and Education establish a primary indicator of performance
for effectiveness in serving employers. This indicator will be measured as a
shared outcome across all six core programs within each State to ensure a
holistic approach to serving employers. However, this policy will focus on how
this performance indicator is measured in the Adult, Dislocated Worker, and
Youth Programs.
Three approaches for measuring effectiveness in serving
employers have been developed: Retention, Repeat Business Customers, and
Employer Penetration Rate. USDOL allows States to pick two approaches to be
measured. Ohio will use the following approaches to be used for measuring the
effectiveness of serving employers:
1. Retention
– This approach captures the percentage of participants who exit and are
employed with the same employer in the second and fourth quarters after exit.
This approach is useful in determining whether the Adult, Dislocated Worker,
and Youth programs are serving employers effectively by improving the skills of
their workforce and decreasing employee turnover.
The measure is calculated as follows:
The number of participants with wage records who exit during the
reporting period and were employed by the same employer during the second
quarter after exit and the fourth quarter after exit divided by the number of participants with wage records who exit
and were employed during the second quarter after exit.
This approach is calculated based on information included in
wage record matches for participants in their fourth quarter after exit. This
means that only participants who are included in this approach are those for
whom a wage record match is available.
2. Repeat
Business Customers – This approach tracks the percentage of employers who
receive services that use Adult, Dislocated Worker, and Youth program services
more than once within the previous three program years. This approach is useful
in determining whether employers who receive services from the Adult,
Dislocated Worker, and Youth programs are satisfied with those services and
become repeat customers. This approach also assesses the workforce system’s
ability to develop and maintain strong relationships with employers over
extended periods of time.
The measure is calculated as follows:
The total number of establishments served during the current program
year that have used the Adult, Dislocated Worker, and Youth programs more than
once during the prior three program years divided
by the number of establishments served during the current program year. The
number of establishments is defined by the Bureau of Labor Statistics (BLS)
Quarterly Census of Employment and Wages (QCEW) program.
This measure is a unique count of employers who use Adult,
Dislocated Worker, and Youth programs more than once. Regardless of repeat
usage of Adult, Dislocated Worker, and Youth program services, an employer who
uses these services more than once during the last three program years should
be counted only once in this calculation.
It should be noted that the States are not required to use data
for services delivered to employers prior to July 2016 to fulfill the prior
three program year requirement.
G. Programmatic Criteria for Becoming a Participant in the Adult,
Dislocated Worker, and Youth Programs
Due to the variability in programmatic criteria to receive
services, the particular services that trigger inclusion as a participant vary
across the Adult, Dislocated Worker, and Youth programs.
1. Adult and
Dislocated Worker Program – Receipt of 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. Workforce
Innovation and Opportunity Act Policy Letter (WIOAPL) No. 15-08.1, Career
Services for Adults and Dislocated Workers, provides guidance on which
basic career services triggers participation in the Adult or Dislocated Worker
programs.
2. Youth
Program – When a reportable individual has satisfied all applicable program
requirements for the provision of services, including an eligibility
determination, completion of an objective assessment (as documented on the
comprehensive assessment), development of an individual service strategy (as
documented on the individualized opportunity plan), and receipt of one of the
14 WIOA Youth program elements, he or she is considered a participant.
H. Exit from the Program
1. Participant Exit
For the WIOA Adult, Dislocated Worker, and Youth programs, the
date of exit from the program is the last date of service. Specifically:
a. 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.
b. 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 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.
A participant may be exited from the Adult, Dislocated Worker,
or Youth program and excluded from performance reporting for the following
reason(s):
a. The
participant has become incarcerated in a correctional institution or has become
a resident of an institution or facility providing 24-hour support (i.e., a
hospital or treatment center) during the course of receiving services;
b. The
participant exits the program because of medical treatment. The treatment is
expected to last longer than 90 days and precludes entry into unsubsidized
employment or continued participation in the program;
c. The participant
is deceased;
d. The
participant is a member of the National Guard or other reserve military unit of
armed forces and is called to active duty for at least 90 days; and
e. For the WIOA
Youth program only, the participant is in the foster care system and exits the
program because the participant has moved from the local area as part of such
program or system.
2. Reportable Individual Exit
For tracking purposes, the date of “exit” for reportable
individuals for the WIOA Adult, Dislocated Worker, and Youth Programs is
determined as follows:
a. The
individual does not become a participant; and
b. The
individual is served under the Adult, Dislocated Worker, or Youth program
through receipt of services that do not result in the individual becoming a
participant; and
c. The
individual has had 90 days elapse since being identified as a reportable
individual and the individual has not received additional self-service or
informational-only services or activities during that 90-day time period.
The date of exit for a reportable individual cannot be
determined until 90 days have elapsed since the reportable individual last
received any of the following services:
a. Self-service;
b. Information-only
services and activities;
c. Services
under the Adult, Dislocated Worker, or Youth program that do not result in the
individual becoming a participant, with no future services scheduled.
At that point, the date of exit is applied retroactively to the
last date of receipt of one of the services mentioned above.
IV. Definitions
Basic skills deficient: An
individual who:
1. Is a youth
that has English reading, writing, or computing skills at or below the 8th
grade level on a generally accepted standardized test; or
2. Is a youth or
adult that is unable to compute or solve problems, read, write, or speak
English, at a level necessary to function on the job, in the individual's
family, or in society.
Certificate: A certificate is awarded in recognition of
an individual’s attainment of measurable technical or occupational skills necessary
to gain employment or advance within an occupation. These technical or
occupational skills are based on standards developed and endorsed by employers,
industries, or government oversight agencies. Certificates are awarded in
recognition of an individual’s attainment of technical or occupational skills
by:
1. A state
educational agency or a state agency responsible for administering vocational
and technical education within a state.
2. An
institution of higher education.
3. A
professional, industry, or employer organization using a valid and reliable
assessment of an individual’s knowledge, skills, and abilities.
4. A registered
apprenticeship program.
5. A public
regulatory agency, upon an individual’s fulfillment of educational, work
experience, or skill requirements that are legally necessary for an individual
to have in order to work in a particular occupation or profession.
6. A program
that has been approved by the Department of Veterans Affairs to offer education
benefits to veterans and other eligible persons.
7. Job Corps
centers that issue certificates.
8. Institutions
of higher education which are formally controlled, or have been formally
sanctioned, or chartered, by the governing body of an Indian tribe or tribes.
Chief elected official (CEO): Per section 3(9) of WIOA,
the chief elected executive officer(s) of a unit of general local government in
a local area and, in the case of a local area that includes more than one unit
of general local government, the individual(s) designated under an intergovernmental
agreement.
Core program: a program which is authorized under one of
the following program provisions:
1. Chapters 2
and 3 of subtitle B of Title I, relating to youth workforce investment
activities and adult and dislocated worker employment and training activities;
2. Title II,
relating to adult education and literacy activities;
3. Sections 1
through 13 of the Wagner-Peyser Act (29 U.S.C. 49 et seq), relating to
employment services; and
4. Title I of
the Rehabilitation Act of 1973 (29 U.S.C. 720 et seq), relating to vocational
rehabilitation services.
Credential: A nationally recognized degree, license or
certificate, or state/locally recognized degree, license or certificate.
Employment: When an individual is working in a paid,
unsubsidized job or working 15 hours or more a week in a wageless job on a farm
or business operated by a family member or the individual.
Exit: The last date of service. The last date of service
cannot be determined until at least 90 days have elapsed since the participant
last received services and there are no plans to provide the participant with
future services.
Follow-up services: Activities to monitor an adult,
dislocated worker, or youth’s success during their transition to employment or
further education and to provide assistance as needed for a successful
transition.
Individual with a barrier to employment: Per section
3(24) of WIOA, an individual who is a:
1. Displaced
homemaker;
2. Low-income
individual;
3. Indian,
Alaskan native, and Native Hawaiian;
4. Individual
with disabilities;
5. Older
individual (age 55 and older);
6. Ex-offender;
7. Homeless
individual or homeless child and youth;
8. Youth who is
in or has aged out of the foster care system;
9. English
language learner, individual with a low level of literacy, and individual
facing substantial cultural barriers;
10. Eligible
migrant and seasonal farmworker;
11. Individual
within two years of exhausting lifetime temporary assistance for needy families
(TANF) eligibility;
12. Single parent
(including single pregnant woman);
13. Long-term
unemployed individual (unemployed for 27 or more consecutive weeks); and
14. Other groups
of individuals Ohio determines to have barriers to employment.
Information-only services: Activities that provide
readily available information that does not require an assessment by a staff
member of the individual's skills, education, or career objectives. These
services do not constitute participation in a program.
Negotiated levels of performance: The levels of
performance for each primary indicator in each core program, agreed to by the
State, prior to the start of the program year.
Participant: A reportable individual who received
services other than self-service, information-only services, and/or follow-up
services, if that individual satisfied all applicable programmatic requirements
for the receipt of services, such as an eligibility determination.
Participation: The point at which the individual has been
determined eligible for program services and has received or is receiving a
career or training service, or a youth program element, and is the point at
which an individual is to be included in calculations for performance
indicators.
Performed successfully: Pursuant to 20 C.F.R. 679.260(b),
means that the local area met or exceeded the levels of performance the State
negotiated with the local workforce development area and chief elected official
for core indicators of performance, and that the local area has not failed any
individual measure for the last two consecutive program years in accordance
with a State-established definition provided in the Combined State Plan, of met
or exceeded performance.
Period of participation: For all indicators, except
measurable skill gains, the period of time beginning when an individual becomes
a participant and ending on the participant’s date of exit from the program.
Planning region: A region comprised of two or more local
workforce development areas that are collectively aligned with the region.
Program year (PY): The time period beginning July first
and ending June thirtieth.
Public assistance: As defined in section (3)(50) of WIOA,
federal, state, or local government cash payments for which eligibility is
determined by a needs or income test. This includes Temporary Assistance for
Needy Families (TANF), Supplemental Nutrition Assistance Program (SNAP), and
Supplemental Security Income (SSI).
Reportable individual: An individual who has taken action
that demonstrates an intent to use the program services and who meets specific
reporting criteria of the program, including:
1. Individuals
who have provided identifying information; and
2. Who:
a. only used the
self-service system; or
b. received
information-only services or activities.
Secondary school diploma: A high school diploma
recognized by Ohio that is included for accountability purposes under the ESEA,
as amended by the Every Student Succeeds Act (ESSA).
Self-service: Services that occur when individuals
independently access any workforce development system program's information and
activities in either a physical location, such as an OhioMeansJobs center
resource room or partner agency, or remotely via the use of electronic
technologies. These services do not constitute participation in a program.
Statistical Adjustment Model (SAM): An objective
statistical model to be used to make adjustments in the State and local area
negotiated levels of performance at the end of the program year, to account for
actual economic conditions and the characteristics of participants served. It
is also a key factor to be used in arriving at mutual agreement on State and
local area negotiated core program performance levels.
Unsubsidized employment: Employment in the private sector
or public sector for which the employer does not receive a subsidy from public funds
to offset all or a part of the wages and costs of employing an individual.
V. State
Requirements
A. Definition of Exceeds, Meets, and Fails Performance
Per 20 C.F.R. 677.220(a)(1), a State must establish the
threshold for failure to meet adjusted levels of performance.
The State must meet the following standards in order to meet
adjusted levels of performance:
1. 90 percent of
the overall local area program score for the Adult, Dislocated Worker, and
Youth programs;
2. 90 percent of
the overall local area indicator for the same primary indicator; or
3. 50 percent of
the same indicator score for the same program.
Additionally, per 20 C.F.R. 679.260(b), the State defines the
criteria for “exceeds,” “meets,” and “fails” performance within the Combined State
Plan. Definitions are contained in the current Combined State Plan approved by
the U.S. Department of Labor.
B. Performance Negotiations
Section 116(b)(3)(A)(iv) of WIOA mandates that States negotiate
two years of performance outcomes for the first two program years covered by
the Combined State Plan. The State submits the expected levels of performance
in its Combined State Plan based on the State’s analysis of factors that may
affect performance. After Plan submission, USDOL and the State reach an agreement
on negotiated levels of performance for the indicators for each of the first 2
years of the Plan. As part of the negotiation process, the State will be asked
to provide the rationale for the methodology behind its expected levels of
performance using the following:
1. Statistical Adjustment Model
Under WIOA, the statistical adjustment model will be used to
ensure that the negotiated performance levels are based on actual economic
conditions and characteristics of the participants. Actual economic conditions
include differences in unemployment rates and job losses or gains in particular
industries. Characteristics of participants include indicators of poor work
history, lack of work experience, lack of educational or occupational skills
attainment, low levels of literacy or English proficiency, disability status,
homelessness, ex-offender status, and welfare dependency.
The statistical adjustment model will provide 2 major functions
in performance negotiations and assessment:
a. It is one of
the factors used when coming to mutual agreement on negotiated levels of
performance. It is used to account for the expected economic conditions and
expected characteristics of participants to be served in the State and/or local
areas.
b. It will be
applied at the close of a program year to the negotiated level, to adjust for
actual economic conditions experienced and actual characteristics of
participants.
2. Negotiation Factors
In reaching agreement on the negotiated levels of performance,
USDOL and the State shall take into account the following factors:
a. How
negotiated levels compare with State adjusted levels of performance established
for other States.
b. How
negotiated levels have been proposed using an objective statistical adjustment
model.
c. The extent to
which negotiated levels promote continuous improvement and ensure optimal
return on investment. This includes setting performance targets to accommodate
serving a significant number of individuals with barriers to employment.
d. The extent to
which negotiated levels will assist States in meeting performance goals.
USDOL will review the analyses used by the State to develop the
expected levels of performance. These are negotiated levels of performance.
Once these negotiated levels of performance are agreed upon, the State must
incorporate these modifications into the Combined State Plan.
Prior to the third program year covered by the Combined State
Plan, USDOL and the State will negotiate the performance levels for the third
and fourth program years.
C. Completion of Performance Reports
1. State Annual Report
Per section 116(d)(2) of WIOA and 20 C.F.R. 677, Ohio is
required to submit an annual report to USDOL. At a minimum, this report must
contain information on the actual performance levels achieved with respect to:
a. The total
number of participants served, and the total number of participants exited from
the Adult, Dislocated Worker, and Youth programs, including counts of
individuals who participated in and exited a program, by:
i. Individuals
with barriers; and
ii. Co-enrollment
in any of the programs.
b. Information
on the performance levels achieved for the indicators of performance, including
levels for:
i. Individuals
with barriers;
ii. Age;
iii. Sex; and
iv. Race and
ethnicity.
c. For the most
recent program year and the 3 preceding program years, the following
information:
i. The total
number of participants who received career services and the total number of
participants who exited from career services.
ii. The total
number of participants who received training services and the total number of
participants who exited from training services.
iii. Information
on the performance levels achieved for the indicators of performance for career
services and training services.
iv. The amount of
funds spent on career services and the amount of funds spent on training
services.
v. The average
cost per participant for those participants who received career services and
training services, respectively.
d. The
percentage of participants in a program who attained unsubsidized
employment related to the training received.
e. The
percentage of a State’s annual allotment under section 132(b) of WIOA that the
State spent on administrative costs.
f. Information
that facilitates comparisons of programs with programs in other States.
2. Local Workforce Development Area Reports
Per 20 C.F.R. 677.205, Ohio must make local workforce
development area (local area) performance reports available to the public
annually. The State must provide the public with electronic access to local
area performance reports in its annual State performance report. The local area
performance report must include:
a. The actual
results achieved on the primary indicator performance levels.
b. The total
number of participants served, and the total number of participants exited from
the Adult, Dislocated Worker, and Youth programs, including counts of
individuals who participated in and exited a program, by:
i. Individuals
with barriers; and
ii. Co-enrollment
in any of the programs.
c. Information
on the performance levels achieved for the indicators of performance, including
levels for:
i. Individuals
with barriers;
ii. Age;
iii. Sex; and
iv. Race and
ethnicity.
d. For the most
recent program year and the 3 preceding program years, the following
information:
i. The total
number of participants who received career services and the total number of
participants who exited from career services.
ii. The total
number of participants who received training services and the total number of
participants who exited from training services.
iii. Information
on the performance levels achieved for the indicators of performance for career
and training services.
iv. The amount of
funds spent on career and training services.
v. The average
cost per participant for those participants who received career and training
services, respectively.
e. The
percentage of participants in a program who attained unsubsidized employment
related to the training received.
f. The
percentage of a local area’s allotment that is spent on administrative costs.
g. Other
information that facilitates comparisons of programs in other local areas or
planning regions.
Local area performance reports must be made available in the
American Job Centers (which, in Ohio, are called OhioMeansJobs centers) per
section 134(c)(2)(viii) of WIOA.
D. Implications of Performance
Per section 116(f) of WIOA and 20 C.F.R. 677.180, a State will
be subject to financial sanctions if it fails to:
1. Submit the State annual performance report.
If the State is not able to submit a complete and accurate
performance report by the deadline due to the reasons outlined in 20 C.F.R.
677.185(b), the State must notify USDOL as soon as possible, but not later than
30 days prior to the established deadline, of a potential impact on the State’s
ability to submit its annual performance report, in order to not be considered
failing to report. USDOL will review requests for extending the reporting
deadlines.
2. Meet adjusted levels of performance for the primary indicators
of performance.
Any State that fails to meet adjusted levels of performance for
the indicators for any year will receive technical assistance, including
assistance in the development of a performance improvement plan.
Sanctions based on performance failure will be applied to States
if, for 2 consecutive years, the State fails to meet:
a. 90 percent of
the overall State program score for the same core program;
b. 90 percent of
the overall State indicator for the same primary indicator; or
c. 50 percent of
the same indicator score for the same program.
VI. Local
Workforce Development Area Requirements
Per 20 C.F.R. 677.205, each local area is subject to the same
primary indicators of performance for the Adult, Dislocated Worker, and Youth
programs.
A. Performance Negotiations
20 C.F.R. 677.210 requires the State, local workforce
development board (WDB), and chief elected official (CEO) to reach agreement on
local negotiated levels of performance based on a negotiation process. The
negotiation process is developed by the State and is disseminated to all local
WDBs and CEOs.
The negotiation must occur prior to the start of a program year
with the use of the statistical adjustment model (as described in Section V. B.
1 of this policy). The negotiations will include a discussion of circumstances
not accounted for in the model and will take into account the extent to which
the levels promote continuous improvement.
If deemed necessary by the local WDB and CEO, the local area has
the opportunity to re-negotiate with the State levels of performance for the
following program year’s standard(s). In order to re-negotiate, the local WDB
and CEO must request re-negotiation during the fourth quarter of the program
year by contacting the Office of Workforce Development. The re-negotiation will
be based upon three quarters of data and information on economic conditions of
the local area and characteristics of the participants to be served.
The local WDBs may apply performance measures to service
providers that differ from the performance indicators that apply to the local
area. These performance measures must be established after considering:
1. The
established local negotiated levels;
2. The services
provided by each provider; and
3. The
populations the service providers are intended to serve.
B. Implications of Performance
Per 20 C.F.R. 679.260(b), the State defines the criteria for
“exceeds,” “meets,” and “fails” performance within the Combined State Plan. The
current Combined State Plan approved by the U.S. Department of Labor contains
these definitions.
Performance failure may lead to one or more of the following:
1. Technical Assistance
If a local area fails to meet the negotiated levels of
performance for the primary indicators of performance in the Adult, Dislocated
Worker, or Youth programs in any program year, technical assistance must be
provided by the State. Technical assistance may include:
a. Assistance in
the development of a performance improvement plan;
b. The
development of a modified local or regional plan; or
c. Other actions
designed to assist the local area in improving performance.
2. Reorganization Plan
If the local area fails to meet the negotiated levels of
performance for the same primary indicators of performance for the Adult,
Dislocated Worker, and Youth programs for a third consecutive program year, the
State must take corrective actions. The corrective actions must include the
development of a reorganization plan under which the State:
a. Requires the
appointment and certification of a new local workforce development board;
b. Prohibits the
use of eligible providers and OhioMeansJobs center partners that have been
identified as achieving poor levels of performance; or
c. Takes such
other significant actions as the State determines appropriate.
The local WDB and CEO for a local area that is subject to a
reorganization plan may appeal to the State to rescind or revise the
reorganization plan not later than 30 days after receiving notice of the
reorganization plan. The State must make a final decision within 30 days after
receipt of the appeal.
The local WDB and CEO may appeal the final decision of the State
to the Secretary of Labor not later than 30 days after receiving the decision
from the State. Any appeal of the State’s final decision must be submitted by
certified mail, return receipt requested to:
Secretary of Labor
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington D.C. 20210
Upon receipt of the appeal from the local WDB and CEO, the
Secretary of Labor must make a final decision within 30 days. In making this
determination, the Secretary of Labor may consider any comments submitted by
the State in response to the appeals.
The decision by the State on the appeal becomes effective at the
time it is issued and remains in effect unless the Secretary of Labor rescinds
or revises the reorganization plan.
3. Local area designation
All local areas, which were initially designated by the State,
must be subsequently designated as a prerequisite to receiving adult,
dislocated worker, and youth funding. As part of the subsequent designation
criteria, local areas must perform successfully. If a local area does not
perform successfully, the local area will not be eligible for subsequent
designation.
WIOAPL No. 16-04, Local Workforce Development Area Subsequent
Designation, provides the guidance for subsequent local area designation.
C. Serving Participants for Outcomes
WIOA focuses on serving individuals with barriers to employment
and seeks to ensure access to quality services for these populations. The
Adult, Dislocated Worker, and Youth programs provide a pathway to
self-sufficiency for its participants, including those who are low-income
individuals, public assistance recipients, and those who are basic skills
deficient. Section 134(c)(3)(E) of WIOA establishes a priority requirement with
respect to funds allocated to the local area for adult program employment and
training activities. Furthermore, youth program eligibility requires the youth
to have a barrier to employment. The emphasis in WIOA is to prioritize services
to those individuals who have the most barriers to employment and to provide
those individuals with the opportunity to benefit from employment and training
services.
The performance accountability system takes into account this
prioritization of services to those who have the most barriers. The Statistical
Adjustment Model (SAM) is used to make adjustments in the State and local
negotiated levels of performance at the end of the program year, to account for
the actual characteristics of participants served. The Statistical Adjustment
Model uses characteristics of participants to adjust the level of performance.
These characteristics include indicators of poor work history, lack of work
experience, lack of educational or occupational skills attainment, low levels
of literacy or English proficiency, disability status, homelessness,
ex-offender status, and welfare dependency.
Local areas should focus their attention of serving individuals
with barriers to employment by providing:
1. Individualized
employment plans (or in the youth program, individual service strategies) to
assist the individual with focusing on the pathway to training and employment
opportunities.
2. Supportive
services to support individuals in overcoming barriers to participation in the
WIOA Adult, Dislocated Worker, or Youth program.
3. Appropriate
services to overcome the individual’s barrier(s);
4. Educational
and training opportunities to increase the individuals skills and obtain a
credential;
5. Job readiness
services to obtain unsubsidized employment;
6. Job retention
services, including the use of follow-up services, to assist the individual in
maintaining employment.
D. Documentation
Ohio’s Workforce Case Management System (OWCMS) is the system of
record for all eligibility and service delivery to WIOA participants, including
reporting outcome data. This system will report information that is necessary
for program performance evaluation:
1. Employment;
2. Postsecondary
school enrollment;
3. Earnings;
4. Skill gains;
5. Credential
attainment; and
6. Effectiveness
in serving employers.
Rule 5101:9-30-04 of the Administrative Code mandates that OWCMS
be used to report WIOA participants, case management, and performance
information. Local areas are required to document all of the following in OWCMS
within 30 days:
1. Participant
characteristics: local areas must document all the characteristics of an
individual as this information will be used in, and may influence, the
Statistical Adjustment Model.
2. Participant
barrier data: local areas must make certain that all participant barrier
data is entered in OWCMS to demonstrate that the local area is providing
services for the hardest to serve populations. This will influence the local
area’s performance outcomes and performance targets.
3. Adult, Dislocated
Worker, and Youth Program services: local areas must document all services
and the outcomes of the services in OWCMS. In particular, employment, job
placement, education, earnings, credential attainment, and measurable skill
gain data must be documented.
VII. Performance
for PY 2016 and PY 2017
The Department of Labor recognizes that States will need time to
make modifications to their data systems to fully implement the data elements
and definitions to comply with the new WIOA performance requirements. While
States are required to collect data beginning July 1, 2016, the Department of
Labor also acknowledges that Ohio may not be able to report data in the early
quarters of PY 2016 because of system readiness and capability to submit data.
Additionally, certain indicators were designated as baseline
indicators for PY 2016 and PY 2017, due to insufficient observations to
construct a statistical model for those indicators at this time. Baseline
indicators are indicators for which Ohio will not propose an expected level of
performance in the State Plan submission for PY 2016 and PY 2017 and will not
need to come to an agreement with the Department of Labor on negotiated levels
of performance. The selection of primary indicators for the designation as a baseline
indicator is determined based on the likelihood of Ohio having adequate data on
which to make a reasonable determination of an expected level of performance.
Baseline indicators will not be used in the end of the year
performance calculations and will not be used to determine failure to achieve
adjusted levels of performance for purposes of sanctions. Baseline indicators
for the WIOA Adult, Dislocated Worker, and Youth programs include:
1. Measurable
Skill Gains;
2. Effectiveness
in Serving Employers; and
3. For the Youth
program only, Median Earnings.
For both PY 2016 and PY 2017, Ohio will negotiate goals for all
non-baseline indicators. Indicators to be negotiated are:
1. Employment in
the second quarter after exit;
2. Employment in
the fourth quarter after exit;
3. For the Adult
and Dislocated Worker programs only, median earnings in in the second quarter
after exit; and
4. Credential
attainment rate.
Performance outcome data for PY 2016 will not be available for
any primary indicator except measurable skill gains. However, measurable skill
gains is considered a baseline indicator and there is no expected level of
performance. Therefore, the State and local areas will not be held to
negotiated levels of performance in PY 2016.
In PY 2017, the State and local areas will be held to the
negotiated performance level for all primary indicators, except those that have
been determined baseline indicators.
The State and local areas will be held to negotiated levels of
performance for all primary indicators beginning in PY 2018.
VIII. Technical Assistance
Ongoing support, guidance, training and technical assistance on
the WIOA performance accountability system are available to all local areas.
Requests for technical assistance may be sent to ODJFS, Office
of Workforce Development: WIOAQNA@jfs.ohio.gov.
IX. References
Workforce Innovation and Opportunity Act, §§ 103, 116, 129, and
134, Public Law 113-128.
20 C.F.R. §§ 676.100, 676.140, 677.155-170, 677.180-200,
677.205-225, 680.600, and 681.210-220.
OAC 5101:9-30-04.
USDOL, Training and Employment Guidance Letter No. 10-16, Change
1, Operating Guidance for the Workforce Innovation and Opportunity Act,
Performance Accountability Guidance for Workforce Innovation and Opportunity
Act (WIOA) Title I, Title II, Title III, and Title IV Core Programs (August 23,
2017).
USDOL, Training and Employment Guidance Letter No. 26-15
Operating Guidance for the Workforce Innovation and Opportunity Act,
Negotiating Performance Goals for the Workforce Innovation and Opportunity Act (WIOA)
Title I Programs and the Wagner-Peyser Employment Service as amended by Title
III, for Program Year (PY) 2016 and 2017 (June 29, 2016).
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 15-08.1, Career Services for Adults and Dislocated Workers, (June 6, 2017).
ODJFS, Workforce Innovation and Opportunity Act Policy Letter
No. 16-04, Local Workforce Development Area Subsequent Designation, (October
26, 2016).
Rescissions
ODJFS, Workforce
Investment Act Policy Letter No. 10-01.2, Common Measures Reporting, (March
6, 2014).
ODJFS, Workforce
Investment Act Guidance Letter No. 9, WIA Credentials, (December 5, 2003).
ODJFS, Workforce
Investment Act Transmittal Letter No. 9, WIA Credential Guidance, (December
5, 2003).