Workforce Investment Act
Technical Assistance
For
VESID District Managers
And
Guidelines for VESID Participation
In the One-Stop Service Delivery System
The WIA establishes the One-Stop Service Delivery System as the regional/local access point for employment related and training services. All core services must be available at at least one physical location, which may be supplemented by multiple additional sites and technological networks/linkages. Core services are intended to be self-accessed and must be available to all one-stop users. Individuals requiring more support may access intensive services from the one-stop or its partners. Training services are intended for individuals who require such services before they can become employed. The focus of all services is based on a work-first services approaches.
Required Core Services (allocated among appropriate share of partners)
Potential Intensive Services (VESID typically may contribute)
Training Services (VESID typically should contribute/purchase)
The regional WIB will charter the One-Stop and partner agencies will participate through Memorandums of Understanding, Mandated one-stop partners include:
Memorandum of Understanding
The local WIB, with the agreement of the chief local elected official, must develop and enter into a memorandum of understanding between the local Board and the one-stop-partners. Each MOU must contain provisions describing:
The WIB may either develop an umbrella MOU between all one-stop partners or separate MOU’s for individual partners or specific services. The MOU template developed by DOL and State partners is attached.
The WIA requires local boards to establish Individual Training Accounts (ITA) on behalf of participants. These accounts (for Adults and Dislocated Workers, Title I) will be used to purchase training services from eligible providers selected by the participant and approved by the WIB. Payments from ITAs may be conducted in a variety of ways, including electronic transfer of funds, vouchers, credits or other appropriate methods. The allocation within an ITA may have limits set by the one-stop and/or their partners. The application form for service providers under WIA Title I is attached.
VESID has the ability to work with the WIB and one-stop to establish appropriate fees for employment services and may work alternative payment methods (consistent with VESID policy/practice) for ITA payments.
There are three exceptions when a contract (or alternative) may be used instead of an ITA:
Special participant populations includes individuals with substantial language or cultural barriers; offenders; homeless individuals; and other hard-to-serve populations as defined by the Governor.
The WIB will appoint a Youth Council upon approval by the chief local elected official. This is not intended to be a solely advisory function, but under the WIA, the Council must:
The WIB combines the JTPA Youth Allocations and Summer Youth Employment activities. Specific funding allocations for each service no longer apply.
The VESID DO should identify where it can assist the local WIB and Youth Council in assisting youth with disabilities to achieve core indicators. As with other services, customer satisfaction will also be a measure. It should be noted that a WIB must use 30% of its funds for out-of-school youth. An out-of-school youth is defined as a school dropout, or an eligible youth who has received a secondary school diploma (or equivalent), but is basic skills deficient, unemployed, or underemployed. VESID youth consumers should meet this criteria and VESID should be in a position to assist WIBs in meeting this 30% criteria (particularly in small or rural counties).
Membership on Youth Councils will include:
Given the breath of responsibilities for the Youth Council, it is imperative that the VESID District Office have a strong involvement, including facilitating the membership of youth with disabilities on the Council or in working subgroups. The "Plan for Youth Activities" outlining Youth Council requirements is attached. An additional reference is the "Youth Council Toolkit" developed jointly by DOL and SED, and accessible through both agency's websites.
These Guidelines are intended to provide VESID District Offices with direction and guidance regarding programmatic and fiscal participation in the One-Stop Service delivery system as specified under the Workforce Investment Act (Public Law 105-220). These Guidelines should be applied consistently with Federal Cost Principles set forth by the Office of Management and Budget, the NYS Department of Labor's "Guidelines for Cost Allocation Plans" (attached), and the NYATEP "Toolkit on Services and Funding".
Once all the One-Stop System partners have established their service plan as to the type of services available, configuration and responsibilities, the partners will identify the cost of operating the system. When reference is made to the One-Stop System, what must be included are components of the system including the:
"Workforce Investment System" costs may also include the costs of:
VESID may fund such costs when these costs are directed at VR eligible persons and these costs would have been otherwise incurred by VESID in serving such persons. District Managers have the flexibility to commit resources to innovative efforts conducted as part of the generic workforce investment activities that will result in improved outcomes for individuals with disabilities.
I. VESID FINANCIAL PRINCIPLES
COST ALLOCATIONS MUST BE REASONABLE, ALLOCABLE AND NECESSARY.
ALL COST ALLOCATION PLANS MUST BE SUBMITTED BY THE LOCAL WIB
TO THE APPROPRIATE COGNIZANT STATE/FEDERAL AGENCY FOR APPROVAL.
Operational (System) Costs:
Shared system costs may be assigned to the following categories as incurred by system components.
Any costs to be funded from Vocational Rehabilitation funds must be attributable only to the amount spent on eligible vocational rehabilitation (VR) consumers as determined by VESID. A reasonable allocation method must be used to distribute the costs to the VR program. The type of allocation methodology used is not critical and should not be an issue for VESID District Managers. Different allocation methods may be used for different components of the system. The following are the allocation methods that may be used:
Direct Charging – Separate, distinct costs that are directly attributable to the VR program. Examples of such costs are telephone charges for the phone on a counselor’s desk or the cost of a computer for VR personnel.
Cost Pooling – Costs are collected, or pooled, for certain activities and then charged back to the specific programs that benefited from these activities. An example of this method is taking all the costs attributable to certain operations of a one stop and charging them back to each partner based on the percentage of registered consumers served by each partner in relation to all the registered consumers served by the one-stop.
Indirect Costs
Indirect costs are costs that have been incurred for a common or joint purpose and cannot be readily identified with a particular final cost. A method of allocation must be used to distribute the indirect costs to the program services or partners. A cost may not be allocated as indirect if that cost has been assigned to a program as a direct cost. An example of this method is taking all of the administrative costs of a one-stop and charging it back to each partner as a percentage of their direct costs such as adding a percentage on to each cost of an assessment.
Direct Service Costs
Direct service costs include all core and intensive costs specifically directed to registered individuals. All services that were previously funded by another partner must continue to be funded by that partner. Allowable services are defined as any goods or services necessary to render an individual with a disability employable as agreed to under the consumer's Individualized Plan for Employment. VESID does not pay for costs for reasonable accommodations that are the responsibility of the other agencies. For example, VESID will not pay for ramps at the One-Stop Center or interpreters for program participants who are not VR eligible.
Direct service costs such as intake or assessment are allowable VR costs if related to assessing an individual's eligibility and service needs for VR, but VR funding must not be considered as the only source to fund assessments for all one-stop consumers. Intake or assessment costs may be distributed to the VR program. Such a distribution must be based on a reasonable allocation method. VESID will only pay for the value added costs of these services as they relate to disability issues. The following are allocation methods that may be used:
Direct Charging – Separate, distinct costs that are directly attributable to the VR program and VR consumers. An example of this method would be if VESID were to directly pay for intake or assessment.
Cost Pooling – Costs are collected, or pooled, for certain activities and then charged back to the specific programs that benefited from these activities. An example of this method is taking all of the assessment costs of a one stop and charging them back to each partner based on the percentage of registered consumers in the one-stop served by each partner.
Activity Based Cost Allocation Plans – This is a relatively complex method of allocating costs to specific activities based on the resources that the activities consume. This method provides detailed component cost breakdowns for services delivered. For example, if a one stop spent considerably more effort on assessments as compared to other services it provides, the proportionate costs for assessments would be higher.
FINANCIAL CONTRIBUTIONS
Should VESID participate in the costs of the local Workforce Investment Board Administration?
The WIA Regulations (USDOL Employment and Training Administration, 20 CFR 661-662) distinguishes between the workforce investment system and the One-Stop delivery system. The local WIB, its operations and responsibilities are described under the local governance section (Sec. 661), which does not include an obligation for mandated partners to share in the operating costs of the workforce investment system. The WIA partner's obligation to share in operating costs is mandated in the One-Stop delivery system section (Sec. 662), which focuses on service delivery through One-Stops and affiliates, and not the entire responsibilities and costs related to other components of the workforce investment system.
VESID's resources are intended to supplement not supplant services provided under Title I of WIA, or other partners. VR funds may only be used for eligible individuals and for services and supports as described under the Rehabilitation Act and not to meet another entity's administrative costs. The emphasis on meeting shared systems costs should first be directed to consumer services, then to One-Stop systems maintenance.
VESID is not mandated to participate in such costs. However, VESID may fund costs associated with local WIBs when such costs are directed to VR Eligible persons and such costs would have been otherwise incurred in serving such persons. For example, if the WIB engages in an employee marketing campaign that will impact VR eligible individuals, VESID may contribute its appropriate share of costs. Managers have the flexibility to commit resources to innovative efforts conducted, as part of generic workforce investment activities that they believe will result in improved outcomes for individuals with disabilities.
What level of participation will VESID have in the One-Stop centers?
VESID District Office managers should advocate strongly for one-stop centers to address the needs of persons with disabilities in the local workforce investment system. This may include DO staff directly participating as the VR representative to local WIBs, negotiating local MOUs, leading and/or contributing to a consortium of local disability-related stakeholders that advise the WIB.
This level of participation will probably vary from one WIB to another. Participation will probably depend upon how assertive we are in representing the needs of persons with disabilities, the needs of the local service delivery area, and the amount of resources we are able to bring to the WIB table.
Can VESID pay for One-Stop start-up costs?
Yes, Reference Sec. 662.230 of the WIA regulations, "All required partners must use a portion of the funds available to the partners program, to the extent not inconsistent with the Federal law authorizing the partner's program to create and maintain the One-Stop service delivery system and provide core services.
Since VESID does not have any historical data regarding an appropriate share of start-up costs, district managers should approach this contribution very conservatively until the level of One-Stop system utilization by VESID consumers is established.
What may VESID contribute?
This will depend upon whether the VESID contribution is for systems operation or direct services. VESID may pay a proportional share of operating costs and the amount of direct service costs consistent with VESID policy and practice. Proportional means that share of individuals registered by the One-Stop who become VESID consumers (have an approved IPE).
VESID may also pay indirect costs that have been incorporated into the overall operating costs.
What will VESID not pay for?
How can we contribute?
Expenditures under $5,000 may be done through standard voucher process. Contributions for system costs greater than $5,000 will require the development of a contract. The Contract Management Unit will develop a boilerplate format for such contracts, and explore the possibility of a one-time justification approval for VESID's share of operating costs of local WIBs/One-Stops.
The MOU should describe the funding arrangements between the partners and the WIB. Allocation of costs may be done through a number of methodologies including, direct charges, cost pooling, indirect cost rates, activity-based costs or other approved methodologies.
How do we share costs for individuals who are dually registered with both the One-Stop system and VESID?
The operating costs of the One-Stop system includes costs to serve all "registered" individuals. VESID's share of system operating costs would include the costs for serving such individuals.
Direct Service Costs (core, intensive) will include all costs for services directly to individuals and may also include a VESID share as agreed upon in allocation. VESID may also have case service (VR) costs, which we will pay directly on behalf of the individual to approved service providers. Costs for training services may also be shared or paid directly by VESID, on a person-by-person basis.
Will VESID staff participate in providing core services and service needs other than those VESID usually provides?
Typically core services (WIA eligibility, outreach, orientation, initial assessment, labor market information, provider information, job search, career counseling and placement assistance) would be paid for from WIA Title I funds, and not Rehabilitation Act funds. Each mandated partner is supposed to contribute to the cost of providing core services for their eligible participants. As a majority of VESID consumers may need what WIA defines as intensive and training services, the VESID contribution will be primarily focused on such services. District Offices will have flexibility on negotiating local agreements for specific services that will meet their consumer's needs.
How do we calculate the in kind contribution for VESID staff?
As a basis for calculating in-kind contributions use the following for annualized salary and fringes.
Vocational Rehab Counselor Assistant - $49,558
Vocational Rehabilitation Counselor - $70,687
Senior VRC - $84,400
MOUs
What should be included in the MOU?
The NYDOL has developed an MOU template, which may be accessed via the website www.wdsny.org. The State MOU currently being drafted will also serve as a model for local MOUs. The MOU should contain parties to the agreement, referral arrangements, goals and objectives, cost allocation and resource sharing, confidentiality, and information sharing, dispute resolution, assurances, duration and signatures. Dispute resolution cannot override statute, regulation or policy that would require determination by the appropriate legally responsible authority.
Who will sign the local MOU?
The local District Office Manager will sign and forward all MOUs to VESIDs Government and Community Relations Unit for approval by the SED Chief Operating Officer, Mr. Cate. All MOUs must be pre-approved by the Office of Counsel and SED Budget Coordination.
DATA/INFORMATION
Will VESID use the One-Stop Operating System (OSOS) as the basis for electronic labor exchange, and how will VEDSID access this system?
When fully implemented, the VESID CAMS system will be compatible with the OSOS system and will provide an electronic information exchange system to get job listings and to register consumers. VESID will negotiate an appropriate level of system access with DOL.
What is being developed for a data system?
The data fields will essentially be that information previously referenced in the "Blue Book". VESID will be responsible for reporting its consumer data in aggregate to DOL. Individuals registered in the system will have their wage and hour information made available to mutual partners serving that individual.
How will VESID link electronically?
This has not yet been established at local level but is being addressed by State level data workgroup.
How will VESID share electronically with DSS, SSA, etc?
DOL will be responsible for developing and maintaining the workforce development data system. A statewide workgroup is addressing the electronic crosswalks that will make systems compatible. Wage and hour information on all participants should be available through the DOL unemployment insurance data system. VESID will have to provide aggregate data on all the consumers we serve. Additional data requirements and procedures may change pending final regulations from RSA on VR participation, performance standards and indicators.
How will consumer confidentiality be protected?
This technology workgroup is addressing system confidentiality issues. A system-wide format for consumer sign-off is being developed which hopefully will be consistent with VESID’s information release. Individual partner agencies may be able to modify their release forms with minimal changes.
INDIVIDUALS BEING SERVED
Who should VESID register in the Workforce Investment System?
All persons with disabilities who use this system need not become VESID consumers. This is an issue of VR eligibility, individual choice and what assistance we can provide to that person. The level of system registration may also be something that is negotiated at the local level, after discussion and agreement by the One-Stop partners. In general, VESID should register within the system all otherwise eligible individuals who are receiving services from other system partners and potentially, all qualified, job ready consumers who can meet the labor needs of employers participating in the system.
Individuals should not be registered unless or until they can derive a benefit from such registration (i.e., partner support services, sufficient job opportunities to warrant registration)
How do we assure that appropriate One-Stop referrals with disabilities are forwarded to VESID?
VESID DOs should ensure that One-Stop centers clearly understand the VR eligibility criteria. This may be accomplished through on going cross training, agreed upon referral packages, designated liaisons, etc. This will also depend upon the relationship that is established at the local level and the referral process established within the MOU. Every attempt should be made to establish appropriate One-Stop consumers with disabilities as VESID referrals and consumers, particularly persons receiving services from other partner agencies.
Will community agencies refer people with disabilities to the One-Stop centers rather than directly to VESID for services?
The One-stop model follows a "no wrong door" approach to services. Individuals with disabilities should be able to enter the system through any of the partners. All One-Stop centers are expected to provide core services to all persons who are served by the center, including information and access to services provided by WIA partners, including VESID. VESID is not responsible for such individuals, however, unless they meet the VR eligibility requirements and become VESID consumers. The MOU will need to specify referral relationships and process between partners.
SERVICE PROVIDERS
How will eligible providers be chosen by WIBs?
Providers who want to be eligible to provide Title I WIA training services will need to apply (form being developed by DOL) to the local WIB for each service they want to provide. Initial eligibility to provide service will probably be for 12-18 months, and subsequent eligibility will be based upon performance for that specific service. Approval by the WIB meant that that service may be purchased/provided under Title I WIA funds. There are no requirements that the WIB is responsible for full payment of the cost of such services and no requirement that consumers must utilize the service. Approval/denial as a WIA Title I vendor may not have a direct relationship to approval as a VESID vendor.
Will VESID have to issue a Request for Proposal (RFP) to reimburse vendors on the Title I WIA approved list?
No, there is no additional requirement to RFP because it’s a Title I WIA service. The approval process through the local WIB will be sufficient to justify a vendor relationship with VESID, if we will be financially participating in such services. However, VESID will need to follow RFP and contract requirements, as circumstances require according to State requirements.
May local WIB partners also be service providers?
Although this appears to present an apparent conflict of interest, the legislation does not prohibit this. Continued approval as a provider is based upon meeting performance measures.
Is there a conflict of interest if the local WIB itself is also a service provider?
Section 662.420 of the Title I Regulations cite that the local WIB may only be designated as a service provider upon approval by the Governor and the Chief Local Elected Official. We do not anticipate this happening, but if it does occur it is allowable under the legislation.
What should providers begin doing now to plan on approval by the WIB?
Providers should be identifying what services/programs they want approved for Title I WIA funding, establishing clear curricula for such services, and identifying the cost and performance outcomes for such services. Approval of services by the WIB is not a guarantee that such services will be used by consumers of the WIB.
What services should be submitted for eligibility?
Unless a provider gets a service on the WIB approved list, this service cannot be offered for purchase (unless otherwise waived) to persons supported by WIA Title I. District Offices should encourage providers to submit approval for any service that may be done supplemental to VESID services or for the shared cost of services. For example, the provision of job retention services for TANF individuals after employment. An example of shared costs could be splitting the cost of training, or VESID providing the training and the WIB providing the supports (i.e., childcare).
How can other system stakeholders (OMH Regional Offices, DDSOs) become participants in this system?
Each District Office should work to establish or participate in an interagency partnership or working group that can identify issues, concerns or strategies that VESID can bring to the WIB as their representative. VESID must take its role to represent the disability community seriously and objectively. However, if there is a conflict that cannot be resolved between the issues, concerns, or strategies of the larger disability community and the direction of VESID as specified by the Rehabilitation Act, VESID must first represent the interests of the publicly funded vocational rehabilitation program and operate in compliance with the Rehabilitation Act. As CAP will also be a participant in this system. They need to be included in local partnership efforts
How will VESID coordinate its services with Individual Training Accounts (ITAs)
Such ITAs will be used for Adults and/or Dislocated Workers requiring WIA Title I funded training services. If VESID is contributing to the cost of such services or paying supplemental services/supports, this may be done through the voucher process. All services needed for achieving an employment outcome, whether provided by WIA or VESID, need to be identified, agreed to and coordinated through the Individualized Plan for Employment (IPE) process. This IPE may be through a self-directed plan if the individual so chooses.