ELIGIBLE TRAINING PROVIDER LIST (ETPL) POLICY AND PROCEDURES FOR SAN DIEGO COUNTY

Attachment K ELIGIBLE TRAINING PROVIDER LIST (ETPL) POLICY AND PROCEDURES FOR SAN DIEGO COUNTY The ETPL Policy and Procedures govern the operation of the Eligible Training Provider List (ETPL) in the San Diego local area. This policy applies to institutions/training providers that currently have, or are interested in listing programs on the San Diego ETPL to receive Workforce Investment and Opportunity Act (WIOA) funding. This policy enables the San Diego Workforce Partnership (SDWP) to create an effective ETPL that promotes informed customer choice, performance accountability and alignment between WIOA training investments and the skills needed for growing industries and occupations in the San Diego area. BACKGROUND WIOA requires states to establish a list of training providers who are eligible to receive WIOA funds and to establish procedures for initial eligibility and subsequent eligibility. On July 22, 2015, the California Workforce Development Board (State Board), released WSD15-07, revising the existing ETPL requirements; these criteria inform SDWP s ETPL Policy and Procedures. Under this policy, Local boards may establish local policies requiring performance above the state minimum standards for providers to be included on the ETPL." As such, the San Diego Workforce Development Board, in response to the needs of job seekers and employers, approved a more stringent set of ETPL requirements in June 2017. This policy reflects the latest requirements approved by the board. The following sections list the requirements for a provider to be added to and remain in good standing on the ETPL for the San Diego local Workforce Investment Area. Training providers of On-the-Job Training, Customized Training, Contracted Training, Incumbent Worker Training, internships, paid or unpaid work experience opportunities, and transitional employment are not subject to the ETPL requirements outlined below. 1 INITIAL ELIGIBILITY REQUIREMENTS Initial eligibility for the San Diego ETPL applies to all training providers, with the exception of apprenticeship programs registered under the National Apprenticeship Act (NAA) or recognized by Department of Industrial Relations (DIR) or Division of Apprenticeship Standards (DAS). 2 Note that ETPL requirements are specific to the needs of the local area and as such, even if an institution received initial approval for inclusion in an ETPL in another county, the institution must still comply with the process outlined below. To meet initial eligibility, a training provider or institution must: 1. Have current accreditation status through an accrediting body recognized by the Department of Education. 1 WIOA, sec. 122(h) 2 WIOA, sec. 122(a)(3) 1

2. Possess a current approval to operate with expiration date or exemption status from the Bureau for Private Postsecondary Education (BPPE). o Notable exceptions include public schools or institutions, such as community colleges, apprenticeships or school districts these only require an accreditation. o Information about BPPE approval can be found on the BPPE website. 3. Train for jobs that are considered in-demand(id) or higher in-demand(hid) in San Diego County. The list of ID/HID jobs is updated on a yearly basis. The latest list may be found at http://www.workforce.org/etpl. 4. Institution must comply with SDWP performance requirements. Performance is reviewed each program year (July 1- June 30 th ) on a per program basis; SDWP will publish a quarterly report to all approved providers for use in tracking their performance. SDWP reserves the right to remove training programs that do not meet minimum performance and/or training providers who demonstrate trends of underperformance. New programs will have a maximum of 18 months to demonstrate compliance with required metrics. New program is defined as a course that has not previously been offered to the public through the institution as part of the ETPL. Minimum Performance Goals for Program Year 2017 2018 are as follows: Metrics Program Enrollment Successful Completion Credential Attainment** Entered Employment (Any Field) Entered Employment (Related Occupation SOC codebased) Median Earnings Minimum Performance 5 WIOA students within program year 80% of WIOA students who enrolled within the program year 80% of WIOA students who completed within the program year 75% of WIOA students who completed training within the program year Tracking measure only Tracking measure only Frequency Reported quarterly; must have at least 5 by end of program year Reported quarterly; must meet 80% target by end of program year Reported quarterly; must meet 80% target by end of program year Reported quarterly; must meet 75% target by end of program year Tracking measure only Tracking measure only 2 Calculation Approach* Count of participants enrolled in an ITA program as recorded in CalJOBS between July 1 and June 30 th Number of participants who have a successful completion status as recorded in CalJOBS divided by number of participants who completed training during the year, as recorded in CalJOBS. Number of participants who have a credential recorded in CalJOBS at exit from WIOA divided by number of participants who completed training and exited WIOA during the year, as recorded in CalJOBS. Number of participants who have employment recorded in CalJOBS at exit from WIOA divided by number of participants who completed training and exited WIOA during the year, as recorded in CalJOBS. Participants are counted in the measure regardless of type of employment; employment does not have to be directly tied to training. Number of participants who have employment recorded in CalJOBS at exit from WIOA divided by number of participants who completed training and exited WIOA during the year, as recorded in CalJOBS. Participants are only counted in the numerator if they are employed in the occupation for which they were trained by the program (as determined by SOC code). Measured as total individual income during quarter among participants who completed the training program, exited WIOA and are employed. *All participant CalJOBS data entry (e.g. enrollment, credential attainment) will be performed by the Americas Job Center(s). **ETPL providers are required to report credential attainments to the AJCC within 30 days of attainment if the credential is awarded at completion of the training program.

3 Attachment K 5. Training must result in the awarding of an industry-recognized credential, national or state certificate or degree, including all industry appropriate competencies, licensing and/or certification requirements. Providers must demonstrate as part of the initial eligibility process the mechanism for awarding such credentials, certificates and/or degrees. Regardless of whether the provider s program requires a third-party certification for credential attainment/national or state certificate award, the provider is responsible for appropriately reporting such attainment to SDWP. Copies of credentials/certificates must be made available to SDWP, if requested. 6. The course fees must be competitive with similar courses offered in the region. SDWP reserves the right to request supporting documentation to demonstrate a cost comparison within the region. Note that to ensure the best use of funds, SDWP gives preference to quality programs available for free or low cost to the community. 7. Tuition costs must be equal to or less than the published rate on the institution website or catalog. If textbooks, class fees, or other materials are not included in the published rate, institution must provide a breakdown of additional costs to SDWP as part of the application package. 8. Institution must have been in operation for at least six months as of the date of application and must be able to provide proof of financial solvency without the need for subsidy from WIOA training funds. SDWP reserves the right to request financial documentation which includes Profit & Loss, Balance Sheet, and Statement of Cash Flow. For previously approved providers, SDWP may require a declaration of the percentage of total organizational income made up by WIOA ETPL funding. 9. Institution must comply with all Equal Opportunity Policies and Procedures as outlined in Chapter 9 of the Operations Manual and found on ETPL website. This includes compliance with grievance and criminal activity reporting requirements. 10. Institution must meet the following requirements: a. Not debarred from doing business with the Federal Government as per the System for Award Management (SAM.org) database governing acquisitions. b. Provide SDWP written documentation of any changes to accreditation status or approval to operate. c. Post current year fact sheet on the website. d. Provide advance notice of price changes to SDWP. e. Adhere to routine compliance and review requirements from SDWP. 11. Approved providers may enter into agreements with training organizations to deliver content on their behalf. In doing so, the approved provider accepts all liability and certifies that the program, as submitted to CalJOBS meets the accepted requirements for both content and instructors. The approved provider is the sole contact for SDWP. Approved providers must notify SDWP of any program that will be delivered by training organizations. SDWP reserves the right to audit or review any course or instructor qualifications at any time.

ETPL INITIAL ELIGIBILITY PROCESS The following outlines the process for training providers and programs to be listed on the ETPL: 1. Training providers interested in applying to become part of the ETPL must review the following documents (available at www.workforce.org/etpl): o o o o Acknowledgement Form Equal Opportunity Policy ETPL Policy and Procedures List of in-demand/higher in-demand jobs 2. Complete and sign the Eligible Training Provider List Acknowledgement Form; send the form along with the following documents to the inquiries@workforce.org mailbox or via the online application at www.workforce.org/etpl: o Copy of accreditation status o BPPE approval o W-9 o List of proposed courses and their associated pricing as well as corresponding ONET code(s) o Copy of refund policy 3. SDWP will review all submitted materials, request clarification or follow up as necessary and confirm that the organization is not debarred from doing business with the federal government. 4. Confirmation of approval or denial will be issued within 30 days from the receipt of the application. 5. If approved, training providers will be provided instructions to register on CalJOBS, this includes guidance on designating appropriate Standard Occupational Classification (SOC) code for all programs. 6. SDWP will then review CalJOBS information for accuracy and, if accurate, SDWP will approve the program to be listed on the San Diego ETPL through the CalJOBS ETPL module. 7. Once SDWP approves a program(s), the program becomes visible to the America s Job Centers of California network and is accessible to the general public through www.caljobs.ca.gov under Education Services. Note that SDWP makes no guarantees of minimum enrollments for approved programs or providers. Enrollments of participants in San Diego s ETPL programs are dependent on funding and participant training needs. 8. Training programs must meet subsequent eligibility requirements (as describe below in the Subsequent Eligibility section) after one year of being on the ETPL to remain on the list. Programs are also subject to annual compliance reviews. 9. Programs that do not meet subsequent eligibility requirements are subject to delisting from the San Diego ETPL (as described below in the Denial, Delisting and Appeals 4

Attachment K section). Note that ETPL requirements are local area specific. A decision to de-list a program in San Diego does not necessarily impact other local areas. Important Note: SDWP gives priority to high quality training which is available free of charge or at low coast to individuals. Additionally, Individual Training Account (ITA) expenditures through the ETPL are limited by SDWP s current Individual Training Account policy, which is currently set for $5,000 for in-demand jobs and $7,000 for higher in-demand jobs as approved by the San Diego Consortium Policy Board. These limits may change as needed. For more information on ITAs, reference SDWP s Individual Training Account Policy and Procedures. SUBSEQUENT ELIGIBILITY PROCESS SDWP will evaluate all programs on the ETPL with the exception of DIR/DAS apprenticeship programs annually to ensure that they continue to meet eligibility requirements beyond the period of initial eligibility. This determination is called subsequent eligibility. SDWP s review will include but not be limited to: a) Performance Scorecard To be made available to ETPL providers quarterly and reviewed by SDWP ETPL Team. Scorecard will include enrollments, completion rate, credential attainment rate, entered employment rate, and median wage data. Training providers may be delisted if performance metrics are not met for the year. b) Proof of Compliance Organizations will be required annually to submit proof of accreditation, BPPE approval, changes in course costs and financial solvency to inquiries@workforce.org. SDWP will also take into consideration timely notification of changes and general responsiveness. Organizations which have become debarred from doing business with the Federal Government will be removed from the ETPL. c) Customer Satisfaction Surveys Surveys will be sent to each participant upon completion of their program. Data will be reviewed for trends by program as well as across training providers. d) Americas Job Center Feedback AJCC training manager or other designated staff will complete a survey on each of the training provider they have worked with during the year. This will focus on information such as accuracy of information, responsiveness, refunds process, etc. e) Site Visits SDWP will perform an onsite review of the training facility, interview staff and participants. This review will focus on areas such as accessibility, cleanliness, and compliance with requirements. Site visit reports will be issued documenting all findings; provider will have 30 days to address any deficiencies and may be de-listed if appropriate action is not taken. A copy of the site visit checklist will be provided in advance of each visit. f) Market Review SDWP will review tuition and fees for each course and similar courses in the area to determine that fees are competitive and match ITA payments. OUT OF STATE PROVIDERS Providers headquartered outside of California who have in-state training facilities may provide training services in San Diego but will be required to comply with the eligibility requirements outlined in this policy. Providers will also be required to create an entry in CalJOBS which includes the local address; if approved for inclusion on the San Diego ETPL list, the ETPL team will provide further guidance on proper data entry in CalJOBS. Provider which deliver content fully online will be looked at on a case-by-case basis. 5

PRICE CHANGE The original price of the training program submitted with the approved program application must be used for the duration of the program unless the provider submits a request via inquiries@workforce.org with the reason for the change. The new price will take effect after SDWP approves the price change. If Provider makes a price change without approval, SDWP reserves the right to delist the program or limit reimbursement to the approved price. REFUNDS Training providers are required to refund to SDWP all or a portion of the cost of the training if a participant does not complete the program. Please see the refund guidelines below: Status Registered but did not start program Attended 7 days or fewer of program Attended less than 75% of program Attended 76%-100% of program Refund Level No payment will be made to provider Full refund due within 30 days of course start Partial refund due prior to course completion No refund required Failure to appropriately refund SDWP, or significant delays in issuing refunds, may result in removal from the ETPL. DENIALS SDWP may deny a new application for a provider or program ( initial eligibility ) if: The provider and/or its program(s) fail to meet the minimum criteria for initial listing as specified in section Initial Eligibility Requirements above; The application from the provider is incomplete; The provider intentionally supplied inaccurate information; or The provider substantially violated any WIOA requirement(s) or is debarred; The program needs, funding or convenience do not require the service; The training program is available for free or lower cost from another source in the community. The following outlines processes for notices related to denials: If SDWP denies a provider s initial application for listing on the ETPL, SDWP shall, within thirty business days of receipt of the application, inform the provider in writing and include the reason(s) for the denial. If EDD denies a provider s program list on the ETPL, EDD must within 30 days of receipt of the recommendation, inform SDWP of the denial and reason(s) for the denial. SDWP shall in turn inform the provider in writing and include the reason(s) for the denial. If EDD, in consultation with SDWP, determines that a provider intentionally supplied inaccurate information, or substantially violated any WIOA requirement(s), EDD or SDWP shall terminate the eligibility of the provider, remove the provider from the ETPL and deny the provider s eligibility to receive funds under WIOA section 133(b) for at least two (2) years, or take other action as deemed appropriate. 6

Attachment K DELISTING SDWP may delist a previously approved provider or program ( subsequent eligibility ) for any of the following reasons: The training provider did not maintain the minimum performance criteria for subsequent eligibility; The training provider is now debarred from doing business with the Federal Government; The training provider failed to meet reporting requirements (Title 5 California Code of Regulations Division 7.5); At least 5 WIOA participants have not enrolled in the training program for the previous program year (July 1 through June 30); The training provider lost its accreditation and/or BBPE license; The training provider has experienced fraud, malfeasance or other illegal activity involving WIOA funds or participants; The training provider has not complied with Equal Opportunity guidelines as outlined in Chapter 9 of the Operations Manual (available at www.workforce.org/etpl); Customer satisfactions surveys demonstrate a history of challenges with the program or provider; The training provider has a history of failure to provide refunds as required under the policy; SDWP program needs, funding or convenience no longer require the service; The training program is available for free or lower cost from another source in the community. REACTIVATION SDWP may reactivate a program previously removed from the ETPL if the training provider makes a written request to SDWP via inquiries@workforce.org to reactivate the program and demonstrates compliance with all eligibility requirements. Note that reactivation is at the discretion of SDWP. APPEALS PROCESS Training providers wishing to appeal SDWP s denial/de-listing must submit the appeal to SDWP within 30 days of the issuance of the denial/de-listing notice. The appeal must be in writing and include a) name of training provider b) training program (s) impacted c) training provider point of contact d) point of contact phone and email e) a statement of the desire to appeal f) reasons for the appeal, including documentation supporting the grounds for the appeal g) signature of the appropriate training provider official. All appeals must be submitted to one of the following: Electronic: inquiries@workforce.org Mail: Andy Hall, Equal Opportunity, Grievance, Appeals and Hearing Officer 3910 University Avenue, Suite 400 San Diego, CA 92105 SDWP s EO, Grievance and Appeals Officer serves as the Hearing Officer for all complaints and appeals. The Hearing Officer will conduct an initial, informal hearing with the provider and any additional parties with the purpose of identifying a solution to resolve the dispute. The Hearing 7

Officer will provide written notice to the concerned parties of the date, time, and place of the hearing at least ten (10) calendar days in advance of the scheduled hearing. Final decisions will be made within 60 days of receipt of the appeal and the provider will be notified in writing of the final decision. A provider may appeal to EDD only if the provider has exhausted SDWP s appeal process and is dissatisfied with SDWP s final decision. A provider must submit a written appeal to ED D within 30 days of SDWP s final decision on an appeal. The request for appeal must include all items required by the initial appeal to SDWP and the signature of the appropriate provider official. A provider appeal should be addressed to the following: Mail: ETPL Appeal Workforce Services Division, MIC 50 P.O. Box 826880 Sacramento, CA 94280-0001 EDD will promptly notify SDWP when EDD receives a request for appeal. After reviewing the appeal, EDD will make a preliminary decision and notify the provider. POLICY CHANGES SDWP will update this policy based on changes to the Federal and State laws, regulations and guidance, training program performance data, local economic and labor market conditions and/or other local priorities. REFERENCES WIOA (Public Law 113-128) Section 122 (a) through (f) Workforce Services Directive 15-07 (WSD15-07) Workforce Innovation and Opportunity Act Eligible Training Provider List Policy and Procedures Employment Development Department (EDD) Workforce Innovation and Opportunity Act Eligible Training Provider List Policy and Procedures Title 20 Code of Federal Regulations (CFR) WIOA, Notice of Proposed Rule Making (NPRM), Sections 680.400 680.530 Training and Employment Guidance Letter (TEGL) 41-14, WIOA Title I Am training Provider Transition (June 26, 2014) Workforce Services Information Notice (WSIN) 15-47, ETPL Performance Standard for WIOA Transition Senate Bill 118, Chapter 562, Statues of 2013 California Labor Code Section 4658.7(e) California Private Postsecondary Education Act of 2009 EXHIBITS Exhibit 1 Eligible Training Provider List Acknowledgement Form 8