Introduction This is the Second Phase of State Grants Training. Before you begin this phase, you need to complete Phase 1.

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1 State Grants Training Phase 2 Printable Version Introduction This is the Second Phase of State Grants Training. Before you begin this phase, you need to complete Phase 1. This second phase consists of four learning modules with a practice quiz at the end of each module. Once you have completed the modules and the practice quizzes, you will be asked to take the Final Assessment. Video Script Hello, I m Christine Olyer, your host for the State Grants Training, Phase 2 distance learning course. During this phase, you will gain knowledge of the basic requirements for a State Plan of Services to Veterans, Common Measures, particularly the outcome measures for Veterans, and Negotiating Performance Goals. As was the case in Phase 1, this course is self-paced and consists of text, videos, interactive assignments and quizzes. There are also hyperlinks located throughout the course that will lead you to more detailed information on the particular subject area. Thank you for your participation in this course and for all you do in providing service to our veterans. So let s get started Module 1 Objectives: Once you have completed this module, you will understand the basic requirements of a State Plan of Services to Veterans (and the optional WIOA Combined Plans which may incorporate JVSG among partner programs) to include: Mandatory and optional targeted categories of Veterans Role, assignment and integration requirements for DVOP specialists, LVER staff and approved Consolidated DVOP/LVER staff Components of an Incentive Award Plan Requirements for a JVSG application: o Executive Transmittal o Program Narrative (State Plan) o Annual Budget Forecast Application, Review, and Grant Award Timeline In addition, you will understand how to evaluate the State Plan for responsiveness to other important requirements like: How the state provides employment, training, and placement services to Veterans and other eligible persons; How the state provides and monitors priority of service to Veterans and other eligible persons; and,

2 How the state leverages other resources to better serve Veterans. You will also be able to complete a thorough and accurate analysis of forecast spending, to include Incentive Award funding, and make recommendations to both the State Agency and the Regional/National Office regarding approval or disapproval of each part of the fiscal plan. Application Process The JVSG application process begins with the issuance of the Jobs for Veterans State Grantsplanning and application instructions, which are generally issued for a multi-year grant period. VETS distributes a Veterans Program Letter, or VPL, that provides links to the instructions for responding to the JVSG funding guidance. The VPL serves as notification to potential grantees that they must submit a State Plan for Services to Veterans, commonly referred to as the State Plan, and an Annual Budget Plan for the first fiscal year of funding. For the last multi-year grant period, state agencies could access application instructions via the VETS homepage and the Federal government s grant site: grants.gov. The posted planning and application instructions describe what the State Plan must contain for the state agency to receive JVSG funding. They also provide guidance on what is needed for the Annual Budget Plan, which forecasts the state s spending by program and by quarter for the initial (first) fiscal year of funding. As such, the planning and application instructions are the primary instrument used to convey the Agency s priorities, objectives, and goals for the JVSG to state agencies. As an example, the instructions may transmit VETS priorities for targeting certain categories of veterans. Documents are needed for the 5-year State Plan, Annual Funding Modification Request and Interim Modification Requests: Documents Multi-Year Plan Annual Funding Modification Request Interim Modification Request Transmittal Memorandum State Plan (Narrative) Assurances/Certifications Signature Page Amendments, if applicable Only if agency administering grant is new Amendments, if applicable Only if agency administering grant is new

3 SF 424 (Application for Federal Assistance) VETS 401 (Budget Information Summary) VETS 501 (Staffing Directory) Indirect Cost Documentation Multi-Year Plan Annual Funding Modification Request Interim Modification Request if modification affects funding if modification affects funding if modification affects funding Attestation Not The Transmittal Memorandum must be signed by a person authorized to enter into an agreement with the USDOL. Under normal circumstances, governors delegate this signature authority to the person who manages the grantee agency, such as the State Agency Administrator, Director, or Commissioner. This person may further designate his or her signature authority. If the Transmittal Memorandum is signed by a person given signature authority by the governor, it must contain a statement that the signatory is authorized to enter into an agreement with the U.S. Department of Labor. If it is signed by someone else, a delegation of signature authority must be provided. The Transmittal Memorandum cannot be signed for another person unless the name of the person who signed can easily be discerned and a signature delegation for that person is provided. The State Plan (Narrative) The JVSG is a multi-year formula program grant. Annual funding for each state is determined by a formula that was described in Phase I, Module 3. In accordance with 38 U.S.C. 4102A(c) (2) (A) applications for JVSG funding will include: A plan that describes the manner in which the state shall furnish employment, training, and placement services, including a description of: DVOP and LVER duties and responsibilities Integration strategies Incentive award plans

4 In accordance with VETS policy, the State Plan must also include: Any special populations of veterans to be served; For each DVOP, LVER and/or approved consolidated DVOP/LVER staff, the date on which the employee is so assigned; Whether or not each DVOP specialist, LVER or consolidated DVOP/LVER staff has (within 18 months of assignment) satisfactorily completed the associated specialized training provided by NVTI; and Additional information the ASVET may require. In general, the State Plan is a narrative description of the populations of veterans for which the state will target services, how priority of service for veterans and other eligible persons is provided and performance goals for the state agency and for grant-funded staff. Grantees are expected to develop goals and strategies that are consistent with USDOL goals defined under Common Measures for veterans employment, retention, and wages. The State Plan also details the challenges faced by veterans in the State and by the state agency and how those challenges will be addressed. States are required to describe Incentive Award Plans in the State Plan. To be approved, Incentive Award Plans must describe: The objectives of the Incentive Award Plan; Eligible recipients of the awards; Selection criteria for the awards; The awards themselves; The timeline that will be used to select recipients, make awards and report the use of Incentive Award funds; and The means for disbursement. States prohibited from providing incentive awards to employees or offices must indicate in state plans or transmittal memoranda why they cannot provide incentive awards. The Department of Labor will not award JVSG funding to a state that fails to accept the required assurances and certifications contained in the JVSG planning and application instructions. The state agency is required to submit a new Assurances and Certifications Signature Page at the beginning of every five-year grant cycle to acknowledge that acceptance. Thereafter, it is required only if the state agency administering the JVSG changes, even if the change is in name only. This Signature Page is not a delegation of signature authority nor is it required when there is a change in designated signature authority. The Annual Budget Plan The Annual Budget Plan should demonstrate how the state will attribute allocated funding between the DVOP, LVER and consolidated DVOP/LVER staff/activities, how many full-time equivalent (FTE) positions will be funded in each program, and how the allocation will be distributed during the fiscal year.

5 The following forms are required for the Annual Budget Plan: SF 424 M, Application for Federal Assistance VETS 401, Budget Information Summary VETS 501, Staffing Directory Grantees may also be required to submit Indirect Cost documentation from the Division of Cost Determination as part of their Annual Budget Plan. The Annual Budget Plan demonstrates the planned use of allocated funding by identifying: The number of half-time and full-time DVOP and LVER positions and requested/approved full-time consolidated DVOP/LVER staff the allocation will support; How the allocation will be divided between the DVOP, LVER, and if applicable consolidated DVOP/LVER staff; and Whether or not Incentive Award funding is requested. The Standard For (SF) 424-M, Application for Federal Assistance is the form designated by OMB to request mandatory grant funding like the JVSG. VETS requires states to use the VETS 401, JVSG Budget Information Summary to forecast separate grant activity costs that are not detailed on the SF 424-M. The SF 424-M must be completed in accordance with the instructions provided with the form. It must be signed by a proper signatory as previously described for the Transmittal Memorandum. The VETS 401, Budget Information Summary demonstrates how the grantee plans to divide its grant allocation between JVSG funded activities and how much of the total funding is needed each FFY quarter. Cost estimates for each activity within the single JVSG funding stream are broken out as either Direct or Indirect. Direct costs are listed by object class category in accordance with instructions provided to complete the form. The VETS 501, Staffing Directory contains information on grant-funded staff who charge their time to the JVSG. The information included on the staffing directory are things like primary duty location, assignment as a DVOP specialist, LVER or full-time consolidated DVOP/LVER staff, whether each is assigned half-time or full-time, and so on. This form is approved for VETS use by the Office of Management and Budget, or OMB. When properly completed by the state agency, it contains all of the information VETS needs for monitoring and reporting, including information relevant to the provision of mandatory specialized training for grant-funded staff by NVTI. The VETS 501, Staffing Directory contains all staffing information needed by VETS for monitoring and reporting. When completed properly, the Staffing Directory submitted for the first year of funding identifies:

6 All locations where full- and half-time DVOP specialists, LVER staff and approved consolidated DVOP/LVER full-time staff are assigned as a primary duty location, to include central and sub-state offices, by office name and address; All staff, whether funded in whole or in part by the grant, by name, position (full or half-time DVOP, LVER or consolidated full-time DVOP/LVER staff), and type of appointment (half-time or full-time); Dates of appointment to current position (DVOP, LVER or consolidated DVOP/LVER staff); Dates that required core training at the National Veterans Training Institute was last completed; and, All vacancies and all positions filled by non-veterans for more than six months. Note: States may have only one JVSG funded staff person authorized to serve in a Program Management/Oversight role. The role must be annotated on the VETS 501 Staffing Directory. A second person can also serve, but states must submit a waiver, which must be approved by VETS National Office. The VETS 401, Budget Information form demonstrates how the grantee plans to divide its grant allocation between DVOP, LVER and consolidated DVOP/LVER activities, and incentive awards. These cost estimates will be broken out as either direct or indirect. The form also allows the grantee to designate how much of the total funding is needed for each program each Federal fiscal quarter. Direct costs are listed by object class category in accordance with the instructions provided to complete the form. Direct Costs Direct costs are those that can be identified specifically with a particular final cost objective. In the JVSG, direct costs are those that can be directly related to individual DVOP specialist, LVER or and approved Consolidated DVOP/LVER staff. The Object Class Categories associated with direct costs are Personnel, Fringe Benefits, Travel, Supplies, Equipment, and Other. Direct costs may include: Program related staff training; Performance Awards and Incentives in accordance with the State Plan; and All other direct costs not clearly covered by the other direct object class categories. Equipment costs are those costs forecast to purchase non-expendable personal property that has a useful life of more than one year and a per-unit cost of $5,000 or more.

7 A description and justification for equipment purchases must be included in the Transmittal Memorandum. The object class category Supplies is used to forecast costs for consumable supplies and materials to be used during the grant year including but not limited to computers/laptops and other electrical/electronic equipment with a per-unit cost of less than $5,000. Indirect Costs Indirect costs are incurred for common or joint objectives that cannot be readily identified with a particular grant, contract or other activity of the organization. Based on the cost principles established in title 2 Part 200 of the Code of Federal Regulations (2 CFR 200), states support the indirect costs that they incur by submitting an Indirect Cost Rate proposal or a Cost Allocation Plan to the Division of Cost Determination for negotiation and approval. State agencies use a variety of bases to forecast and report indirect charges, e.g. salaries or wages plus fringe benefit costs, total direct costs etc. GOTR Technical Assistance The DVET, as the Grant Officer's Technical Representative (GOTR), should provide technical assistance to the state agency as it develops its State Plan and Annual Budget Plan. Even though JVSG funds are offered noncompetitively, grantees must meet and comply with all provisions of: 20 CFR 200 All applicable regulations and agency policies. DVETs should work closely with their respective state agency counterparts to ensure that they develop State Plans that clearly demonstrate the added value of the JVSG staff funded by the grant. Because Federal funding for employment programs is limited and becoming more so every year, JVSG recipients must be reminded that this grant is intended to locate those veterans and other eligible persons most in need and provide them with intensive services to become ready for employment, to prepare veterans for career changes, to market veterans to

8 employers, and to provide job development services that benefit both employers and veterans. All requests for annual funding receive three levels of review. The first level of review is performed by the DVET who also serves as the Grant Officer s Technical Representative or GOTR. The second level of review is performed by the Regional Administrator for Veterans Employment and Training or RAVET who may be assisted by regional office staff. The final level of review is conducted at the national office. All reviews must be completed prior to processing the requests for Grant Officer approval before September 30th of each year. DVETs accomplish a detailed review of the draft and final requests after becoming familiar with all instructions provided to states via VPL and to VETS staff thru DMs. They complete the DVET Review Summary and Review Checklist provided. Throughout the entire process, DVETs will provide technical assistance as needed to ensure the state agency submits a final request by the due date. After all action items identified by the DVET for correction and/or explanation by the state agency have been cleared, the DVET forwards the request to the appropriate RAVET. Discrepancies The DVET should fully understand the State Plan to ensure the state agency fulfills the requirements for priority service to veterans. Additionally, the state agencies need to understand how the DVETs, serving as GOTRs, will monitor the delivery of these services. Any discrepancy or item noted during the DVET/RAVET review that may require consideration or action by the National Office must be sent forward to VETS National Office as soon as discovered. Proposed actions that may warrant special consideration include, but are not limited to: A major realignment staffing such as changing all grant-funded staff to DVOP specialists, LVER or consolidated DVOP/LVER staff; A request to use grant-funded staff to manage resource rooms or other common areas where they would also serve non-veterans; or A request to convert large numbers of grant-funded staff to half-time vs. full-time. RAVETs will review State Plans and forward all electronic and hard copy documents to the National Office as directed in the current guidance.

9 National Review Team A National Review Team does the final check on all State Plans. This team completes a final review of the request using the following ground rules: Each request is reviewed by two members; A member cannot review submissions from states in his/her own region; Members must maintain the integrity of the signed original and copies; When the review is complete, the original request and all working copies, review checklists, and findings are provided to the VETS National Office; and The VETS National Office will verify team findings if applicable and notify the state, through appropriate VETS personnel via . Grant Award After the National Team Review completes their review and prior to October 1st, VETS National Office finalizes the grant packages and prepares them for the Grant Officer. After October 1st and upon enactment of a Department of Labor appropriation, the Grant Officer prepares a Notice of Grant Award that is sent to the official authorized to operate in each state with a copy to the DVET and RAVET. The grant award package includes a transmittal letter, a description of the scope of the grant approved and a copy of the Special Grant Provisions. This notice is the formal, legal grant award. Although the grant award letter approves the multi-year State Plan, it only provides funding for the first fiscal year. Upon notification that the grant has been awarded, the DVET or GOTR may schedule a postaward conference with all state agency staff who handle any aspect of the administration, conduct or reporting of the JVSG to review the Special Grant Provisions, General Grant Provisions, past performance and any other terms specified in the Grant Award. The Post Award Conference should be used as a technical assistance tool that can help ensure the effective and efficient conduct of the grant and improve performance outcomes. Appropriations and Continuing Resolutions In the event an appropriation has not been enacted by October 1st, and the President signs a Continuing Resolution (CR) bill, grantees continue to operate under the previous year s grant appropriation and will be provided enough funding to cover each CR period. The grant office makes funding available for drawdown by the state agencies in the Health and Human Services Payment Management System (HHS/PMS). The HHS/PMS provides a clearinghouse type arrangement with Federal Agencies and their grantees to permit the electronic storage of Federal funds that may be accessed and drawn down remotely by grantees.

10 The National Office provides the funding amounts to the Regional Offices to prepare and distribute the Notice of of Obligation (NOO) or Notices of Obligation Authority (NOA) to grantees. The NOA is sent to the state and to the appropriate DVET and the NOO is available through e-grants. Each method identifies the funding period covered and the amount of funding available for the grant period. The NOO is sent to the state and to the appropriate DVET. It identifies the funding period covered and the amount of funding available for DVOP, DVOP Special Initiatives, LVER, and LVER Special Initiatives and Incentives, if applicable. Module 2 Objectives: Once this module is complete, each trainee will understand Common Measures, particularly the outcome measures for veterans applicable to the State Workforce System as a whole and JVSG Grant-Based measures, as amended by the VOW to Hire Heroes Act of 2011 (P.L ); and, the Workforce Innovation and Opportunity Act of 2014 (P.L ). Each trainee will be able to identify the starting point(s) for negotiating State Workforce System performance goals for services to veterans and eligible persons by all AJC staff and for veterans and other eligible persons with barriers served by DVOP Specialists. Each trainee will understand and be able to calculate the basis for the weighted Entered Employment Rate for veterans and eligible persons. Each trainee will be able to successfully negotiate appropriate goals for all performance measures. Performance Measures and Negotiating Goals Title 38 United States Code, Section 4102A (38 U.S.C. 4102A) Other References The Participant Individual Record Layout or PIRL pursuant to the implementation of WIOA and Section 238 of the VOW to Hire Heroes Act of 2011; TEGL 17-05, Common Measures Policy for the Employment and Training Administration (ETA) Performance Accountability System and Related Performance Issues, dated February 17, ETA and VETS will be looking at the following WIOA-based outcomes reported by states before setting the new WIOA-based core target goals discussed in the next section:

11 Employed in 2nd After Exit (WIOA) Employed in 3rd After Exit (WIOA) Employed in 4th After Exit Retention with the same employer in the 2nd and the 4th (WIOA) Wages 1st After Exit (WIOA) Wages 2nd After Exit (WIOA) Wages 3rd After Exit (WIOA) Wages 4th After Exit (WIOA) Outcome data is obtained through matching information on job seekers with employment outcome information obtained from unemployment insurance (UI) wage records, the state Directory of New Hires (SDNH) database, or other automated sources. As mandated by 38 U.S.C. 4102A, the ASVET has established and implemented a performance accountability system to measure the effectiveness of services provided to veterans by the One-Stop Career Center System. The current outcome measures quantify the effectiveness of the state agency s employment delivery system in meeting the needs of veterans, transitioning service members, and other eligible persons seeking employment. To fulfill its statutory monitoring and oversight role, VETS issues guidance that establishes national goals that reflect high, positive employment outcomes for veterans and are achievable by the cumulative efforts of JVSG recipients. There is an expectation that state agencies will set goals high enough to be challenging and to contribute to the National goals, but still be achievable. If a state agency falls short of their goals, VETS staff provide technical assistance to help jointly identify ways to remedy the situation. Public Labor Exchange Measure States are expected to use the performance accountability system to develop strategies and policies that demonstrate continuous improvement: Veterans' Entered Employment Rate (EER) Veterans' Employment Retention Rate (ERR) Veterans Median Earnings (ME)

12 Disabled Veterans' EER Disabled Veterans' ERR Disabled Veterans ME Grant-Based Measures (VPL 06-14, Change 1) The following performance goals for veterans served by DVOP specialists: DVOP: Disabled Veterans EER (following Staff Assisted Services) and Disabled Veterans ERR Veterans EER (Weighted) Veterans ERR Veterans Median Earnings (ME) To see a weighted measure calculation example, go to VPL attachment 2. Performance Accountability Performance accountability is a key component of the information system used to manage the efficacy of the workforce investment system. State agencies should use the goal setting as an opportunity to encourage innovation that shows continuous improvement in the provision of services to veterans, TSMs, and other eligible persons. The determination for the six statewide goals can be based on comparable, historical data reported by the state agencies as well as how those outcomes compare to the National performance goals for the appropriate PY. Performance levels for each of the six outcomes will be negotiated separately. For any proposed outcome that is less than the National goal, negotiations should strive to set a goal that shows as much positive improvement toward meeting the national targets as possible. For reported outcomes that already exceed the national targets, each state s goals should be geared toward positive improvement that will enhance the potential for collectively attaining the national goals. Goal setting for the two outcomes for DVOP specialists will be based on the historical performance data reported by each grantee Each of the grant-based outcomes listed above will be separately set. Goals should strive for target outcome rates that demonstrate positive improvement above what was reported for the previous annual 12 month period.

13 Coordination with ETA VETS goals for state agencies may occur at the same time goals are set for a variety of USDOL programs with ETA. RAVETs are encouraged to meet with their counterparts from ETA to encourage joint or collaborative discussion between DVETs and assigned FPOs with their respective State Agencies. Geographic location of the DVETs and FPOs may affect the level of cooperative effort that is achievable. However, collaboration can be useful for the states in reducing a duplication of effort, but also useful for the DVETs and FPOs in eliciting a consistency of expectations across USDOL grants programs. DVETs should be aware of ETA s most current guidance to the states regarding performance goals. This guidance may include an explanation of ETA s methodology for assessing performance against past goals which differs from that of VETS. For example, in the most recent TEGL, ETA advised states that its assessment methodology would include criteria for exceeding, meeting or failing to meet performance goals based on certain percentages of achievement. In this ETA methodology, a state will be considered to have met a performance goal if the actual performance achieved falls in the range of % of the negotiated level of performance for the measure. Since VETS has not adopted a similar methodology, state agencies may tend to be more conservative in the performance goals they set for service to veterans than they would be in other USDOL grant programs administered by ETA. The process for negotiating performance goals generally begins in April of each year when VETS issues guidance to the state agencies thru a VPL. Historical performance data, current labor market information and demographic factors play a key role in developing realistic goals. How to Set Optimal Goals Examples of economic and demographic factors that should be considered when negotiating outcomes are: Employment opportunities as affected by the rate of job creation/job loss in the state; Trends in state and sub-state unemployment; The number of demobilizing National Guard and Reservists in the state; and The availability of shared wage records used to report entered employment and retention outcomes. VETS will conduct a thorough analysis of the outcomes reported to date for the current program year and all factors that may impact future performance prior to setting performance goals.

14 DVETs should work closely with their JVSG grantee to develop and implement new strategies if the outcomes for services for veterans are not meeting the national targets, or if the grant-based outcomes for services provided by DVOP specialists In those cases, consider the various factors that may impact outcomes such as: Grant-funded staff utilization rates; Targeting services to areas of high unemployment; Employer outreach; Job development; and Staff training, etc. Any state agency that does not meet one or more of its goals for a given program year or within an allowable margin below a set national threshold, will be required to work closely with the respective DVET during the following twelve months to improve any outcome that was deficient. During this period of technical assistance, the DVET will be instrumental in helping the state explore the problems or issues that impact the shortfall, and in recommending actions designed to improve the state agency s capacity to meet its goals. If needed, a second year of technical assistance can be provided to ensure that the state agency achieves outcomes that are reflective of its economy and that contribute to the National goals. If the deficiency continues at the end of the second year of technical assistance, the DVET, in consultation with the appropriate RAVET, may place the state agency under a Corrective Action Plan (CAP.) The Uniform National Threshold Entered Employment Rate (UNTEER) 38 U.S.C. 4102A(c)(3)(B) requires that the Secretary of Labor establish a uniform national threshold entered employment rate for veterans. The UNTEER is a national threshold EER for those veterans and eligible persons served in both the Wagner-Peyser funded employment service and JVSG programs. For more information, see: