1. To communicate a significant change to New York State Department of Labor (NYSDOL) policy regarding Data Element Validation (DEV) under functional alignment for the delivery of Workforce Investment Act Title IB (WIA) and Wagner-Peyser (W-P) workforce services
2. To communicate NYSDOL policy on implementation of common measures for the WIA, W-P, Veterans’ Employment and Training Services (VETS) and Trade Adjustment Assistance (TAA) programs
3. To rescind and replace Workforce Development System Technical Advisory (WDS-TA) #06-4, State Policy Guidelines on the Implementation of U.S. Department of Labor / Employment and Training Administration’s (USDOL/ETA’s) Common Measures Policy, issued April 17, 2006
4. To rescind and replace WDS-TA #06-10, Program Eligibility and Data Element Validation (DEV) Requirements – State Policy Guidelines and Required Action for Local Workforce Investment Boards (LWIBs) for WIA Title IB (WIA), Wagner-Peyser (W-P), Veterans’ Employment and Training Services (VETS) and Trade Adjustment Assistance (TAA) programs, issued October 17, 2006

USDOL/ETA, Training and Employment Guidance Letter (TEGL) No. 17-05, “Common Measures Policy for the Employment and Training Administration’s Performance Accountability System and Related Performance Issues”, February 17, 2006

New York State Workforce Development System Technical Advisory (WDS-TA) #06-16, Final Guidance – OSOS Modifications and Data Entry Procedures for Recording Participant Information and Services in OSOS under Common Measures and Functional Alignment, September 26, 2006

WDS-TA #06-3.2, State Policy Guidelines and Required Action for Local Workforce Investment Boards (LWIBs) Regarding Functional Alignment for the Delivery of WIA Title IB and Wagner-Peyser Workforce Services, April 17, 2006

USDOL/ETA’s revised DEV policy is a major change from prior policy, in that it substantially reduces the administrative burden of DEV by only requiring documentation for eligibility and services elements for participants who receive more than core services (core services include staff assisted core services as well as self service and informational activities). Therefore, NYSDOL is revising the State’s DEV policy presented in WDS-TA #06-4 and WDS-TA #06-10 to align with USDOL/ETA DEV policy.

Specifically, USDOL/ETA’s policy states that:

Documentation for eligibility and services elements is only required for participants who receive more than core services. Core services include self and informational services [and staff assisted core]. Participants who enroll in training or other intensive services must provide the required source documents for validation purposes. Documentation for outcome elements is required for all participants who receive more than self-assisted and informational activities. (TEN 9-06, Attachment A, page 1)

Therefore, please refer to this WDS-TA and WDS-TA #06-16, as the comprehensive NYSDOL policy on the implementation of common measures and DEV for WIA Title 1B, W-P, VETs and TAA.

1. Shared Participation / Shared Customer Pool
2. Exclusion of Self-Service or Informational Activities Only Participants from WIA Performance Measure Calculations
3. Customer Flow Based on Customer Needs
4. Common “Date of Participation” and “Date of Exit” Across the WIA, W-P, TAA and VETS programs
5. Requirements for Eligibility and Data Element Validation
6. Functional Alignment of Data Collection in OSOS
7. Common Measures Specifics
   1. Performance measures for PY 2005 and PY 2006
   2. New Average Post Program Earnings Measure – Adult and Dislocated Worker
   3. Credential Performance Measures to be based on definition of Certificate – WIA Adult, Dislocated Worker and Older Youth.
   4. Transition to Youth Common Measures – PY 2005 and PY 2006
   5. Serving In-School Youth
   6. Serving Out-of- School Youth who are Basic Skills Deficient

1. Shared Participation / Shared Customer Pool

   Policy

   Effective July 1, 2006, an individual 18 years of age or older (i.e., an Adult participant) who receives a service (including self-service or informational activities only) from a One-Stop center or affiliate site, is considered a participant in both the WIA and W-P programs.

   Implementation Guidelines and Required Actions

   1. Each Local Workforce Investment Area (LWIA) must ensure that all adult participants who receive a service at a One-Stop Center or affiliate site are dual-enrolled into the W-P and WIA programs.
      • All NYSDOL offices operated by the Division of Employment Services (DoES) are considered affiliate sites in their respective LWIA.
      • Transitioning Service Members who participate in a TAP Workshop at a federal military installation will be co-enrolled in the W-P and VETS programs, only. These participants will also be co-enrolled in the WIA program if they receive additional service at a One-Stop Center or affiliate site.
   2. All participants served in a NYSDOL Office will be counted as WIA Adult and/or DW participants, regardless of whether there is a WIA funded staff presence at the office. Conversely, all WIA participants will be counted as W-P participants, regardless of having a W-P funded staff presence at the One-Stop Center or affiliate site.
      • Individuals less than 18 years of age who receive only self-service or informational activities:
        • Will not be counted as WIA Adult participants (because they do not meet the eligibility requirements for the WIA Adult program),
        • Will be counted as W-P participants, and will be included in W-P performance measure computations.

        Note that, youth who receive only self-service or informational activities will not be counted as WIA Youth participants. To be counted as a WIA Youth participant, the youth must be determined eligible for the WIA youth program and receive a service funded (in whole or in part) by the WIA Youth Program.

2. Participants Who Are Included in Performance Measures Calculations

   Policy

   W-P Performance Measures

   All participants of a One-Stop Center or affiliate site (including those who receive self-service or informational activities only) for whom a Social Security Number (SSN) is voluntarily provided/collected, are included in W-P performance measures.

   WIA Performance Measures

   All participants of a One-Stop Center or affiliate site who receive a staff assisted service for whom a SSN is voluntarily provided/collected, are included in WIA performance measures. Participants who receive only self-service and/or informational activities are excluded from WIA performance measure calculations.

   The distinction between self-service / informational activities and staff assisted service is based on federal guidance in TEGL No. 17-05, as follows:

   • Self-Service and Informational Activities
     • Self-Service – Services accessed directly by the participant in a physical location (resource room) or remotely by electronic technologies
     • Informational Activities – Readily available information about the labor market to assist in identifying/achieving employment goals

     Self-service and/or informational activities only participants may receive help from staff regarding: general instruction on how to use/access self-service tools and information; an orientation to information and services available at the One-Stop Center, including tools in the resource room; and instructions on how to access the information and services. Such help does not constitute a staff assisted service, regardless of the amount of time spent with the participant.

   • Staff Assisted Service

     Any service requiring staff assistance that goes beyond helping the participant with self-service and/or informational activities (as discussed above) is considered a staff assisted service. A staff assisted service includes customization of labor market information to the participant; and staff assessment of the participant (e.g., assessment of skills, abilities, education/employment history, or career objectives). NYS policy is that all staff assisted services are defined as having “significant” staff involvement, per TEGL No. 17-05.

     For example, a participant who is included in WIA performance is an individual who visits a One-Stop Center and is assisted by a staff member who: 1) asks several questions to determine the individual’s education and work experience; 2) helps the individual to search for employment on a resource room computer; and/or 3) provides the individual with local occupational and economic trend information. This individual is regarded as both a W-P and WIA participant, and is included in both the W-P and WIA performance measures (TEGL No. 17-05, Attachment D, Scenario 7).

   Implementation Guidelines and Required Actions

   Technical Advisory #06-16, Final Guidance – OSOS Modifications and Data Entry Procedures for Recording Participant Information and Services in OSOS under Common Measures and Functional Alignment (September 26, 2006), provides specific guidance on the use of OSOS under Common Measures.

3. Customer Flow Based on Customer Needs

   Policy

   Individuals who come into a One-Stop Center or affiliate office should not automatically be routed to self-service or informational services. Customers should be triaged to determine if staff-assisted services are desired and/or needed. Each One-Stop Center customer flow design should incorporate a methodology to identify customer needs up-front.

   One-Stop Center Operators must exercise due diligence in managing participants in their self-service pools. Participants who need or could benefit from staff-assisted services should be identified and offered appropriate services.

   The Department will:

   1. Review local area functional alignment plans to identify the local area’s strategy for managing self-service customers.
   2. Monitor the participant load for self-service and informational activities in each LWIA.
   3. Require corrective action where it finds the number of self-service / informational activity only participants to be excessive relative to the number of participants receiving staff-assisted services.

4. Common “Date of Participation” and “Date of Exit” Across the WIA, W-P, TAA and VETS programs.

   Policy

   Effective July 1, 2006, a participant who receives services funded in whole or in part from the WIA, W-P, TAA, and VETS programs, sequentially or simultaneously, will be counted as a participant in each program, and will share a common “date of participation” and a common “date of exit” for federal reporting.

   • Date of Participation – If a participant receives services from multiple programs, then the earliest date of service will be used as the “date of participation” for reporting on each program.
   • Date of Exit – If a participant receives services from multiple programs, the last or most recent date of service (end date) will be used as the common “date of exit” for reporting on each program. In other words, a participant cannot be exited from any program until there has been a period of 90 days without services from any of the programs – WIA, W-P, TAA or VETS. The receipt of service under any one program will extend the participant’s period of service across all associated programs.

   Implementation Guidelines and Required Actions

   1. OSOS has been modified to track/report the common date of participation and date of exit across all programs. This feature in OSOS is retroactive to July 1, 2006.
   2. Technical Advisory #06-16, issued September 26, 2006, provides specific guidance on the use of OSOS under Common Measures.

5. Requirements for Eligibility and Data Element Validation

   Policy

   Effective July 1, 2006, NYS policy is established (within federal guidelines) to streamline the collection and validation of participant information necessary to comply with federal reporting requirements, including eligibility determination and Data Element Validation (DEV), and to functionally align these requirements across the W-P, WIA, TAA and VETS programs.

   1. The collection and validation of information necessary to comply with federal reporting requirements is a shared responsibility across the W-P, WIA, TAA and VETS programs. This responsibility includes assuring:
      1. Information on a participant is reported accurately and timely in New York’s OSOS case management system; and
      2. Proper documentation of the information is obtained and recorded in OSOS as part of the participant’s records.
   2. New York’s OSOS case management system and other State Management Information Systems will be used to electronically collect and retain appropriate participant information, to free-up the resources previously required in obtaining and retaining paper source documentation.
   3. There are three types of participant information that must be collected and validated to comply with federal reporting requirements. Not all participant information is subject to DEV.
      • Demographic information – Used to determine program eligibility and to report on participant characteristics / special populations.
      • Services Information – Used to report on the services received by a participant. Services information is generally collected through proper data entry and documentation in OSOS.
      • Outcome Information – Used to calculate performance measures and to report on outcomes achieved by participants.
        • Some outcome information may need to be obtained from the participant, such as supplemental employment information, and achievement of a degree or certificate.
        • Some outcome information is obtained from cross-match with other State databases, such as employment outcomes obtained from the State quarterly UI wage record system.

   4. There are three levels of service that are relevant for eligibility and DEV purposes:
      • Core Services – Self Service and Informational Activities, as well as Staff Assisted Core Services
      • More than Core Services – Intensive Services or Training Services
      • Staff Assisted Services – Staff Assisted Core Services, Intensive Services and Training Services

   5. The following is a list of sources for documenting participant information. The validity of each source depends upon the type of information and the level of service received by the participant.
      • Self Identification – The participant states (self-identifies) his/her status for the particular piece of information being collected (obtained).
      • Self Attestation – The participant states (self-identifies) his/her status for the particular piece of information being collected (obtained), this information is recorded on a form, and the participant signs and dates the form acknowledging their status. The key elements for self attestation are: (a) the participant self-identifying his/her status for the information; and (b) the participant signing and dating the form attesting to this self-identification. The difference between self-identification and self attestation is signing a self-attestation form.
      • Case Notes – Statements recorded in OSOS Comments by staff that identify a participant’s status for a specific data element, the date on which the information was obtained.
      • State Management Information Systems (MIS) – State Management Information Systems (MIS) – In New York State, the State MIS is OSOS, provided the information being collected is properly recorded in the appropriate OSOS data fields. Proper recording of information requires that the specific, detailed information (e.g., dates, types of services and explanations of barriers to employment) is stored in the State’s case management system and provides supporting evidence for the data element.
      • Cross Match – Accessing a non-WIA MIS to find supporting evidence for the data element. Such information may be obtained via data sharing arrangements with the non-WIA MIS.

        In particular, information/data available in the NYS Unemployment Insurance (UI) system and UI wage record system, and linkages to those systems will be used to comply with federal DEV requirements.

        In addition, information on UI Claimants that is validated through the UI claims-taking process, and shared with OSOS, is considered valid for the W-P, WIA, TAA and VETS programs. Note that, an Active NYS UI Claimant can be identified in OSOS when the UI Claimant Status field (found on the Customer detail, General Information Tab) is set equal to “Seek” or “Other”.

      • Official Documents – Information is obtained from official documents (e.g., birth certificate, driver’s license, letterhead, pay stub).

   6. Staff Verification – Staff Verification will be used to validate participant information across the various documentation sources.

      Staff Verification is intended to minimize the administrative burden associated with obtaining and retaining paper backup copies of the source documents used to validate participant information. Use of staff verification is intended to better align program resources with providing services, rather than documenting information.

      Staff Verification requires staff to:

      1. Identify the information to be collected (relevant data element) using an allowable documentation source.
      2. Assure the information is accurately recorded in the appropriate OSOS data field(s).
      3. Record in OSOS Comments:
         • The information (data element) that has been validated;
         • The source used to validate the information;
         • Pertinent data from the document source; and
         • The date of the Staff Verification.

   7. The level of participant data and source documentation needed to comply with federal reporting requirements, including eligibility determinations and DEV, will depend on the level of service received by the participant.
      • Upon receipt of a Core Service:

        Demographic Information must be obtained from the participant and recorded in OSOS.

        Self-Identification is acceptable source documentation for obtaining demographic information for participants who receive only core services.

      • Upon receipt of Intensive or Training Services (i.e., more than core services):

        Certain Demographic Information (e.g., date of birth and employment status at participation) must be validated against specific source documents beyond self-identification.

        Services Information must be recorded in OSOS. Proper data entry and documentation of services in OSOS comply with DEV requirements.

      • Upon receipt of a Staff Assisted Service

        Outcome Information must be recorded in OSOS. Outcome information must be validated against specific source documents beyond self-identification.

        Validation of outcome information is required at the staff assisted service level because participants who receive a staff assisted service are included in performance measures for the WIA program.

   Attachment A provides State guidelines on the minimum demographic information for reporting on participants who receive self-service or informational activities only.

   Attachment B provides “Adult Program – Eligibility Guidelines” which addresses eligibility requirements and criteria for determining a participant’s eligibility to participate in the WIA (Adult and DW), TAA and VETS programs. Note that the W-P program does not have eligibility requirements.

   Attachment C provides “Adult Program – Data Element Validation Handbook” which addresses the specific data elements that must be validated for participants (demographic, services and outcomes).

   Attachment D provides “WIA Youth Program – Data Element Validation Handbook” which addresses the specific data elements that must be validated for youth participants (demographic, services and outcomes).

   Implementation Guidelines and Required Actions

   1. The staff person providing the service must ensure that participant information is being validated via staff verification, in accordance with the level of service being provided. This will allow all documentation to be maintained electronically in OSOS thereby replacing the need to keep paper records (copies) of source documentation.

   2. To streamline eligibility determination for the WIA-DW program, State policy is that a UI customer “profiled as likely to exhaust their benefits” or a “UI Exhaustee” meets the eligibility requirements for the WIA DW program.

   3. US citizenship and/or right-to-work are not program eligibility requirements for W-P or WIA (USDOL/ETA, "Reflection" document, USDOL/ETA sponsored Common Measure Training, Philadelphia, PA, March 1, 2006). In addition, citizenship information does not need to be validated.

      The current version of OSOS requires completion of the citizenship field to record/register a participant in the system. Therefore, the OSOS citizenship field must be completed to allow the participant to be registered in the system. For a participant recorded as a non-U.S. citizen in OSOS, the alien registration number and expiration date must be input in OSOS, in which case a default alien registration number of “z999999999” with an expiration date of 12/31/2199 should be input.

   4. Selective Service (SS) Registration Verification – At the time of 1st staff-assisted service, staff must verify that a male participant born after December 31, 1959 is registered with the US Military Selective Service (SS). Selective Service Registration is not a DEV requirement
      • For males 18 -25 years of age who are not registered with the selective service:
        • Staff must refer the individual to the Selective Service for registration.
        • WIA funded services can not be provided until the individual is registered. However, services funded by the W-P program may be provided.

      • For males 26 years of age or older, whose selective service registration status can not be verified:
        • WIA funded services can be provided, as long as the individual discloses that they did not willfully or deliberately avoid selective service registration.
        • Staff must refer the individual to the Selective Service, and record an OSOS Comment noting the individual’s statement; that the referral was made; and the date the referral was made. No hard copy documentation is required to be maintained.

6. Functional Alignment of Data Collection in OSOS

   Policy

   All participant enrollments and services must be properly recorded in OSOS. Service data must only be recorded once, for participants enrolled in multiple programs administered by the Department.

   Implementation Guidelines

   Technical Advisory #06-16, issued September 26, 2006, provides specific guidance on the use of OSOS under Common Measures.

7. Common Measures Specifics
   1. Performance Measures for PY 2006

      Table 1 provides an overview of the performance measures for the W-P, WIA, TAA and VETS programs for PY 2006. Attachment E provides additional detail regarding the methodology for calculating outcomes for each measure, as well as an identification of which measures have performance standards.

   2. Earnings Measures – Adult and Dislocated Worker

      Effective PY 2006, the methodology for calculating the Adult and Dislocated Worker (DW) Earnings measure is changed to the average earnings achieved during the 2nd and 3rd quarters (6-months period) following program participation. Note that the Older Youth Earnings Change measure is unchanged.

      Table 1 – Overview of Performance Measures for the W-P, WIA, TAA and VETS Programs for PY 2006

      Adult Common Measures	Program
      Entered Employment	WP / VETS / WIA / TAA – Yes, w/ Standards
      Employment Retention	WP / VETS / WIA / TAA – Yes, w/ Standards
      Average Earnings	WP / VETS / WIA / TAA – Yes, w/ Standards
      WIA Adult Core Measure
      Employment & Credential	WIA – Yes, w/ Standards WP / VETS – No
      Youth Common Measures	WIA Youth Program Only
      Placement in Employment or Education	Reporting Only
      Attainment of a Degree or Certificate	Reporting Only
      Literacy and Numeracy Gains	Reporting Only
      WIA Youth Core Measures	WIA Older Youth	WIA Younger Youth
      Entered Employment	w/ Standards	No
      Retention	w/ Standards	w/ Standards
      Earnings Change	w/ Standards	No
      Credential / Diploma / GED	w/ Standards	w/ Standards
      Skill Attainment	No	w/ Standards

   3. Credential Performance Measures to be based on definition of Certificate – Adult, Dislocated Worker and Older Youth.

      TEGL No. 17-05 redefines acceptable credentials under the WIA Adult, DW & Older Youth measures to align with the more stringent definition of certificate (TEGL 17-05, Attachment B: Definitions of Key Terms, p.1).

      The new “certificate” outcome is applicable to WIA Adult, DW and Older Youth participants whose date of participation occurs on or after July 1, 2006. Adult, DW and Older Youth participants whose date of participation occurs prior to July 1, 2006 are covered under the PY 2005 “credential” definition.

      Local area program design must align with achieving the more stringent certificate outcomes for participants who receive training services.

      For PY 2006, State policy will exclude WIA Adult and DW participants whose date of participation occurs on or after July 1, 2006, and who successfully complete OJT and customized training from the Adult and DW credential performance measure. This policy will be revisited for PY 2007.

      Implementation Guidelines

      1. Local Boards should identify the “certificates” desired by businesses in the local area, and identify the training providers who offer qualifying training to acquire the certificates.

      2. Local Boards should align service delivery with attainment of certificates.

      3. Local Boards should ensure youth contractors are: informed of the change to certificate outcome, as well as their responsibility for achieving certificates and for reporting/recording attainment of positive outcomes (as required by TEGL No. 17-05).

      4. Per TEGL No. 17-05, work readiness certificates/credentials; credentials awarded by Local Boards; a driver’s license; and CPR training are no longer considered positive outcomes under the WIA credential/certificate measure, for WIA Adult, DW and Older Youth participants whose date of participation occurs on or after July 1, 2006.

         USDOL/ETA’s intent in excluding work readiness certificates/credentials is to focus on attainment of measurable technical or occupational skills to gain employment or advance within an occupation, rather than on attainment of work readiness skills (TEGL No. 17-05, p.12; and Attachment B: Definitions of Key Terms, p.1).

         USDOL/ETA also recognizes that work readiness skills are a valued skill set that will lead to successful employment and retention, and thus encourages programs to continue to provide work readiness skills services.

   4. Youth Common Measures – PY 2006

      For PY 2006, LWIAs are required to report on the three youth common measures (i.e., performance standards have not yet been imposed on these measures):

      • Placement in Employment or Education;
      • Attainment of a Degree or Certificate; and
      • Literacy and Numeracy Gain.

      It is important to note that, LWIAs are still accountable for achieving performance standards on the seven (7) core WIA youth program performance measures.

      Implementation Guidelines

      Local Boards should ensure local WIA youth program design (including existing contracts and competitive procurement) aligns with achievement of local performance standards for the seven core WIA youth program performance measures for PY 2006.

      Youth contracts and procurement policies and procedures must have the ability to allow for changes in service delivery necessary to achieve performance standards for the youth common measures. Performance standards could be imposed on the Youth Common Measures as early as PY 2007.

   5. Serving In-School Youth

      Under the “Placement in Employment or Education” and “Attainment of a Degree or Certificate” youth common measures, youth in secondary school at exit, are included in calculation of the outcome. Thus, attainment of positive outcomes under these measures will generally require that services to in-school youth be aligned with successful completion of secondary school.

      This is a change from the core WIA youth performance measures, where youth in secondary school at exit, are excluded from performance calculations.

      USDOL/ETA has stated that their intent with this change is for the WIA Title 1B program to largely focus on serving out-of-school youth, and for in-school youth to be largely served by other federal funding targeted at serving in-school youth (e.g., the education system).

      Implementation Guidelines

      Local Boards should ensure that youth competitive procurements and contracts are responsive to USDOL/ETA’s policy.

   6. Serving Out-of- School Youth who are Basic Skills Deficient

      The Literacy and Numeracy common measure focuses on providing “basic skills” training to out-of-school youth who are determined to be Basic Skills Deficient.

      The measure is based on “date of first youth program service” rather than “participation date,” because participation date is defined as the earliest date of service from any program if the youth receives services from multiple programs.

      Implementation Guidelines

      1. Local Boards must assess the “basic skills” services being provided in their LWIA. The assessment should include:
         1. An inventory of the “basic skills” training providers/services in the LWIA that are likely to achieve the basic skills goals intended by USDOL/ETA; and
         2. An alignment of the “basic skills” inventory with the LWIA’s plan for serving out-of-school youth determined to be basic skills deficient.

      2. All out-of-school youth must be pre-tested using a standardized test within 60 days following the “date of first youth program service”, to determine the youth’s basic skills levels, and their corresponding Educational Functioning Level (EFL).
         1. It is allowable to use pre-tests that are administered up to six months prior to the date of the first WIA youth service, if such test scores are available.
         2. Out-of-school youth determined basic skills proficient at pre-test are excluded from this measure, therefore post-testing of these youth is not required.

1. Demographic Information for Reporting on Participants Receiving Only Self-Service/Informational Activities
2. WIA Adult Program Eligibility Requirements
3. Data Element Validation (DEV) Handbook – WIA Adult, WIA Dislocated Worker, Wagner Peyser, Trade Adjustment Assistance, and Veterans Programs
4. WIA Youth Program Data Element Validation (DEV) Handbook
5. Overview of Performance Measures for the W-P, WIA, TAA and VETS Programs for PY 2006