EMPLOYERS TRAINING RESOURCE 2001 28 TH STREET BAKERSFIELD, CA 93301 POLICY BULLETIN: #ETR 21-05 TO: FROM: All ETR Staff and ITA Providers Verna Lewis, Director DATE: September 29, 2005 SUBJECT: Individual Training Account (ITA) Policies and Procedures As required under Section 122 of the Workforce Investment Act, 20 CFR 663.400 and 663.500 of the WIA Regulations, and State Directives WIAD01-16 and WIAD04-4, the attached local policies and procedures are effective immediately for the Kern, Inyo and Mono Counties Workforce Investment Area. They supercede previous local policies regarding Individual Training Accounts. Questions may be directed to Kevin Whitaker at (661) 336-6979. 21-05 ITA Policies and Procedures 1
INDIVIDUAL TRAINING ACCOUNT POLICIES AND PROCEDURES I. POLICY The local Workforce Investment Board (WIB) shall make training available in occupations that are in demand. Providers approved by the administrative entity for the local board will be placed on the State s Eligible Training Provider List (ETPL). Training providers listed on the ETPL who are approved for funding must enter into agreements for the training of Employers Training Resource (ETR) clients utilizing Individual Training Accounts (ITA s). Training services provided should lead to diplomas or certificates indicating competencies and skills recognized by employers. II. PROCEDURES FOR KERN COUNTY A. ITA GENERAL CONDITIONS Training services will be provided through the use of ITA s to clients who have met the eligibility requirements for intensive services, but are unable to obtain or retain employment solely through such services. ITA s shall be established for all eligible customers as defined in section 134 (d)(4)(a) of the Workforce Investment Act (WIA). ITA s shall be designed in such a way that each training student will have data available regarding the amount and status of their ITA. Funds expended on a training program for any individual, up to the maximum amount allowed, shall be determined as fulfilling the training agreement for that WIA customer. All training activities will be provided at sites that are accessible to individuals with disabilities and all reasonable accommodations will be made to provide services to this population. Customers will be provided with sufficient information regarding non-traditional training activities for individuals, both male and female. ETR is not obligated to fund all ETPL providers. ETPL providers must not only follow the State regulations, but also those of the Local Workforce Investment Board (LWIB). It is a State requirement that the cost for clients may not be more than the price charged to the general public, and ETR will only pay the same as or less than that charged to the general public. B. TRAINING ACTIVITIES The types of training services made available to eligible job seekers under WIA may include: 1. Occupational skills training in local targeted demand occupations, as well as training for non-traditional employment, offered in a classroom environment; 2. Shorter term training courses that build upon eligible job seekers existing skills to produce marketable skills. 21-05 ITA Policies and Procedures 2
C. TRAINING DURATION Duration of training varies according to the skills of the job seekers, the particular training component, and the employment sought. It is generally four weeks to eighteen months long. D. CLIENT ELIGIBILITY FOR TRAINING WIA funds shall be made available for the provision of occupational classroom training to eligible populations in accordance with Section 134 (d)(4)(a) of the Act. Eligible populations shall include economically disadvantaged individuals, dislocated workers, and special grant recipients under the following conditions: 1. The client has been unable to obtain employment that leads to economic self sufficiency solely through core and intensive services; 2. After an interview, evaluation, or assessment, the client has been determined to be in need of training services and has the skills or qualifications to successfully participate in the selected program of training services; 3. Referral to a training program will be directly linked to the employment opportunities in Kern County or in an area to which the customer is willing to relocate; 4. The client has been determined eligible according to the priority system established by the local area, and in accordance with WIA. E. TRAINING PRIORITY SYSTEM Services shall be provided to specific target groups through a priority system in accordance with WIA according to local enrollment policy. The primary target groups for occupational training shall include: 1. Economically disadvantaged individuals (including persons 18-21 years old); 2. Dislocated workers (including persons 18-21 years old); 3. Special grant recipients (including persons 18-21 years old); or 4. Older youth (between 19 and 22 years old). F. MINIMUM CLIENT REQUIREMENTS FOR TRAINING The minimum entry-level requirements for occupational skills training are usually that the client must have an 8 th grade reading comprehension and math level on the Comprehensive Adult Student Assessment System (CASAS) test. However, approval may be granted to waive these minimum levels for specific training programs. 21-05 ITA Policies and Procedures 3
If training candidates are denied training, they may appeal the decision in person to the ETR Grievance Officer in accordance with ETR grievance procedures established under the Code of Federal Regulations ( 667.600), Subpart F. G. NEW PROVIDER APPLICATION PROCESS All programs of training services (unless specifically exempted by the grant) must be listed on the ETPL in order to receive WIA funds for training ETR clients. Interested parties may apply for inclusion on the list, however inclusion on the ETPL does not guarantee agreements, funding, or referrals. Interested providers of training services in Kern, Inyo, and Mono Counties must submit an application to ETR, which is responsible for reviewing the application, determining if the application meets state and local criteria for listing, and forwarding that information to the state. The state, in turn, is responsible for accepting the information, verifying the information, and compiling a single statewide list of providers (the ETPL), and disseminating this list to ETR for distribution to its One-Stop Centers located throughout Kern, Inyo and Mono Counties. ETR reserves the right to request additional information or documentation; to verify information in the application; and to reject any application when the applicant is not responsive to the specifications of the application. 1. Applications will be reviewed as submitted. 2. Submission of an application does not commit ETR to nominate the agency to the state ETPL or to issue any funds. 3. ETR reserves the right to change information contained in its application packet based on clarifications in the regulations, state policy and legislation, local policy, or other guidance provided by the state. H. SUBMISSION INFORMATION Applications will be reviewed by ETR to determine if proposed providers and programs meet the eligibility requirements of WIA, the requirements of the state in relation to the ETPL and the requirements of the County of Kern, in relation to local procurement policies and insurance requirements. Elements including anticipated demand for an occupation, lack of similar training, geographic location and availability of funds will be the criteria considered in submitting an application. If the ETPL Analyst considers an application acceptable, the Analyst then submits the new application via the chain of command to the X Team for approval. Approval may be for only inclusion on the statewide ETPL (in which case other local areas may refer clients to that program at their expense), or may be for authorization of an agreement and obligation of funds. Nominations for listing on the ETPL will be submitted by ETR to the State s Employment Development Department (EDD). Upon acceptance by the State, the provider and the provider s programs will appear on the following State website: 21-05 ITA Policies and Procedures 4
http://etpl.edd.ca.gov/wiaetplind.htm. I. AGREEMENTS For Kern County, there are two types of agreements used for ITAs. They are Personal/Professional Services Agreement (PPSA) and Personal/Professional and Contractual Services Agreement (PPCSA): 1. PPSA s are required for programs receiving funds of $100,000 or more, and they require Board of Supervisor (BOS) approval for the annual agreements and for any amendments. PPSA s are also required for programs under $100,000 if they are retroactive. They are paid on a white claim and do not require a purchase order (PO). 2. PPCSA s are used for programs receiving funds less than $100,000, and do not require BOS approval. PPCSA s $50,000 to $99,999 must be approved by the BOS before they can be submitted for signature by Purchasing. Training providers offering training to WIA clients under reimbursement subgrants with ETR must also complete the ETPL application and qualify to be put on the ETPL. When training providers are contracted through subgrants, then ITA agreements are not required; payments under subgrants will be paid upon receipt of valid claims for payment. J. PROVIDER AND PROGRAM INFORMATION CHANGES TO EXISTING PROGRAMS Provider or program information changes may be made at any time upon initiation by ETR or the provider, with approval by both. Providers can request hard copies of the ETPL Provider Application forms or download them from the Internet (http://www.etronline.com/etpl.htm). Upon ETR verification of submitted information, the data will be forwarded to the state. For changes not requiring state verification, EDD will update the ETPL daily. For data elements requiring verification, the EDD will make changes as soon as possible within the 30-day period allowed by the WIA. A program that has been substantially modified in goals and/or curriculum shall be considered a new program subject to approval by the X Team. A provider that changes ownership or undergoes major changes that result in new approval by BPPVE will be considered a new provider subject to approval procedures for new providers (described in Section II.G). K. PRICING CHANGES The pricing of a program on the ETPL may be changed at any time upon approval by both ETR and the provider. To complete a change in pricing, the ETPL and a signed agreement between ETR and the provider must be changed. 21-05 ITA Policies and Procedures 5
In addition, prior to the beginning of a new fiscal year, ETR will request tuition and other price changes for the upcoming year. If an existing provider receives approval for a new program, it may be funded from the existing purchase order for that provider. An amendment to the agreement is required to add the new program but additional funding will not be allocated to the provider unless it is necessary. L. MAXIMUM PROGRAM CONTRIBUTION ETR will provide funding up to $5000 for an ITA program. Students can use other options for the balance of tuition over $5000, including but not limited to grants, student loans, paying cash, or tuition discounting by a school. This maximum contribution will be used in conjunction with the ETPL performance review (see Section II.N). In exceptional circumstances this cap may be increased upon approval by the Director of ETR. M. PAYMENTS AND REFUNDS FOR INDIVIDUAL TRAINING ACCOUNTS In addition to the maximum contribution of $5,000 that Employers Training Resource will pay for ITA tuition, payments are subject to several other criteria. The duration for training has been generally established as eighteen months. Occasionally, when required by a funding grant, training programs may be of longer duration, if approved by X Team. When a participant is enrolled in an ITA and has begun to attend class, payment is made directly to the provider upon receipt of an invoice and a copy of the referral form. In cases where the class is six weeks or less, the full tuition is paid when the client begins to attend class. If the class is longer than six weeks, 50% will be paid at the beginning, and 50% when the class is 50% completed; or, 50% will be paid at the beginning, and 50% when the class is completed after proof of completion has been presented to ETR. In unusual circumstances a provider may be governed by special provisions for payment. ITAs may only pay for training expenses that exceed funds available from other state or federal sources (for example, PELL grants). Participant may be enrolled after applying for other available funds, but before they are awarded, provided that when those monies are received any WIA funds that have been paid will be returned, except if the other grant is less than ETPL-approved tuition and costs, then WIA funds may be used (up to the $5,000 maximum) to pay the remainder. If an ITA is not completed, refunds will be granted based on pro-rating tuition for the time remaining from the amount of tuition already paid. Refund policies of the school must be submitted with the initial application for the provider, or as requested by the ETPL Analyst. The Case Manager tracks participant attendance at training not less than monthly, and will notify ETR s fiscal unit as soon as they are aware that a student has dropped an ITA program prior to completion. The Case Manager can accomplish this by processing the form, ETR Client Reimbursement for Vendors to ensure the vendor refunds any tuition that is due to be reimbursed. ETR may withhold payment or partial payment until a provider provides documentation that all courses required for completion of the program, or if attainment of a certificate has been 21-05 ITA Policies and Procedures 6
verified. N. PERFORMANCE REVIEW In an effort to maximize the effectiveness of ITA funds the ETPL performance review was implemented as a guide to minimum performance requirements of training providers for referrals. If the minimum performance requirements are not met, the training provider s programs will be subject to review by their Case Manager and the ETPL Analyst. This may result in the provider not receiving further referrals until requirements have been met, regardless of availability of funds in their agreement. The expectation is that the provider will take a pro-active interest in improving their outcomes for ETR clients to justify continued ETR enrollments. Under the ETPL performance review, the ETPL Analyst uses data from ETR s Management Information Systems (MIS) to create four ratios. They are: 1. Intensive Case Management (ICM) Rate < 35% (ICM Inactive Participants divided by Total Non-Current Enrollments minus Employed but not Exited). 2. Training Related Entered Employment Rate > 65% (Training Related Entered employment divided by Total Number of Exits). 3. Total Entered Employment Rate > 68% (Entered Employment divided by Total Non-Current Enrollments). 4. Attained Certificate Rate > 65% (Attained Certificate/Diploma divided by Total Number of Exits.) The ICM rate represents people who have finished training, but do not have jobs and have not been exited. A program must pass two of the four performance rates, one of which must be the ICM rate, before receiving further referrals. Programs will not be included if they have fewer than 6 enrollments for the period including the current and prior program years. The ETPL Analyst will calculate performance review data monthly and notify case managers of the status of their programs. Any program that does not meet the required benchmarks will be brought to the attention of the appropriate Case Manager for consideration of whether there are any extenuating circumstances that would warrant continuation of the program. If there are none, referrals will be frozen until a subsequent monthly review indicates sufficient improvement to resume referrals. In this event the ETPL Analyst will notify the training provider in writing that referrals to their program have been frozen, or when they are resumed. O. MID-YEAR ADDITION OF FUNDING TO EXISTING PROGRAMS For an existing program that has a current agreement but which has used the funds that were obligated to it, the ETPL Analyst will confer with Case Managers to determine if additional funds should be recommended for that program. If so, the Analyst will submit a Vendor Award Purchase Order to increase the encumbrance. After approval by a Deputy Director, the ETPL Analyst will execute an amendment to the provider s agreement (consistent with County policy), and ETR s finance unit will increase the encumbrance. 21-05 ITA Policies and Procedures 7
P. NEW FISCAL YEAR FUNDING OF CONTINUING PROGRAMS Prior to the beginning of a new fiscal year, the ETPL Analyst recommends funding levels of existing programs based on prior year demand, with input from Case Managers, and subject to on-going performance review criteria. If a program has not had any new enrollments in the prior year, it may not be allocated new funding but will remain on the ETPL. Funding recommendations for a new fiscal year are subject to approval by the Deputy Director for Administration. Programs that have not been funded may only have funding restored if they provide a written request to be restored. Since those providers will have remained on the ETPL, they do not have to submit ETPL application forms. Restoration of funding will require approval by the X Team. Q. FUNDING OF NEW PROGRAMS There could be a consideration for adding a new program if: 1. The occupation is not currently presented as a subcontracted program, and is in demand; or 2. The new program has a novel delivery method (e.g., distance learning), or serves underserved populations or areas; or 3. It compares favorably (for example, by cost, outcomes, facilities or equipment) with current ITA programs for the same occupation; and 4. There are funds available that are not needed to fund existing programs. After meeting application requirements a new program may be recommended for approval to be nominated to the state ETPL, and may also be recommended for approval for funding if all the local criteria are met. The ETPL Analyst makes a recommendation to his/her Supervising Analyst, which is forwarded to the Deputy Director of Administration, and upon approval is taken to the Ex Team for consideration. The applicant will be notified of the outcome in either case. If approval is granted, the ETPL Analyst will work with the provider to process the necessary State and local forms. R. DISCONTINUING REFERRALS TO EXISTING PROVIDERS Personal/Professional Services Agreement (PPSA) and Personal/Professional and Contractual Services Agreement (PPCSA), Exhibits A (1)(G) currently state, referrals are at the sole discretion of the County and will be based upon participants success (i.e., performance outcomes and participant surveys). Therefore ETR may discontinue referrals to a provider even if funds remain under a current agreement or purchase order. Furthermore, ETR reserves the right not to write a new agreement or fund a provider at the beginning of a new fiscal year if ETR did not refer any new clients there during the preceding program year. In that event the ETPL Analyst will notify the training provider in writing that their program is being discontinued. The training provider may submit a letter requesting reconsideration and the basis for such reconsideration. This request will be considered by Ex Team, and if approved a new 21-05 ITA Policies and Procedures 8
agreement will be initiated. As long as the provider continues to meet the State s subsequent eligibility requirements (refer to section S below), that provider may remain on the ETPL and receive referrals from other local workforce investment areas (subject to their local policies and at their expense). S. TERM OF ELIGIBILITY All programs that are listed on the ETPL must be determined annually to be eligible to remain on the ETPL. This determination is called subsequent eligibility. Subsequent eligibility criteria may be found in Employment Development Department s Workforce Investment Act Eligible Training Provider List Policy and Procedures (RWIAD01-16). This process is separate from the local ITA performance review, and is subject to state procedures currently in effect. T. LOCAL TECHNICAL ASSISTANCE Requests for technical assistance may be made to the ETPL Analyst at ETR at (661) 336-6843. Forms and general guidelines are also available on the Internet at www.etronline.com/etpl.htm. III. PROVIDERS OUTSIDE OF KERN COUNTY FOR KERN COUNTY REFERRALS If an ETR client requests training through a provider outside of Kern County, Kern County may pay tuition in an amount consistent with Kern County s tuition policies, on condition that the provider is approved on the State ETPL, and that the provider is further approved by Kern County according to local procedures for new programs (see Section II.G.) IV. PROVIDERS HEADQUARTERED OUTSIDE OF CALIFORNIA Providers with headquarters outside of California who do not have in-state training facilities may apply to any local board where they wish to provide services. Applications must include all information required by the State of California and the local area they want to serve. Out-ofstate programs are eligible for listing on California s ETPL if the provider is eligible to receive funds under the Higher Education Act of 1965 and the program leads to an associate or baccalaureate degree or a certificate, or the program operates under the National Apprenticeship Act and is approved by the California Apprenticeship Council, or if it is listed on the ETPL in another state. V. PROCEDURES FOR INYO AND MONO COUNTIES A. If training providers located in Inyo or Mono Counties want to be nominated for the ETPL, they must complete the required provider and program application forms. Inyo County or Mono County may have different requirements for Section 2 of the application than Kern County, in which case they should notify the ETPL Analyst to adjust the application review process accordingly. Forms may be obtained from the ETPL Analyst or at www.etronline.com/etpl.htm and must be returned to the ETPL Analyst at: 21-05 ITA Policies and Procedures 9
Employers Training Resource Attn: ETPL Analyst 2001 28 th Street Bakersfield, CA 93301 B. After Inyo or Mono has a program or provider approved on the ETPL, each county will be responsible for determining funding levels and procedures, implementing agreements (according to county policy), processing tuition reimbursement, providing updated information to the ETPL Analyst, tracking expenditures and recovering unused tuition. Funding for ITAs will be the responsibility of each county from its own allocation. C. Tuition caps and performance reviews may be implemented by Mono or Inyo, but are optional. Client suitability will also be assessed according to local policy. D. Vendors from other states may be used, subject to compliance with State regulations regarding their approval for the ETPL, and local policy regarding obligation of funds. VI. Appeals to Local Boards If a provider s application is denied for initial or subsequent eligibility to the ETPL, or is an existing program that is de-listed from the ETPL, the provider may file an appeal. However, an appeal only applies to status relating to the ETPL, not to issuance of funding, agreements, or continued referrals. An applicant or provider will follow this appeal process: A. The provider must submit a written request for an appeal to the Director of ETR within 30 days of issuance of the denial notice. The appeal request must include specification of the program in question, justification for the appeal, date and signature of the appropriate official. B. The first step is an informal meeting between the ETPL Analyst and the provider to attempt a simple resolution. This meeting will be scheduled within ten days of the appeal request. The ETPL Analyst will prepare a determination letter for the signature of the ETR Director within 30 days of the original appeals request. C. If the provider is not satisfied with the outcome of this determination, the next step is to present a written and dated request for a hearing with an impartial hearing officer. This officer will provide notice of the date, time and place of the hearing at least ten calendar days before the hearing. Both parties may present oral and written testimony; call and question witnesses; present oral and written arguments; request documents relevant to the issues, and be represented by legal counsel. D. The officer will provide notification to the WIB and the provider of his/her final decision on the appeal within 60 days of the date of the hearing request. 21-05 ITA Policies and Procedures 10