Program and Compliance Management

1. Program and Compliance Management V I R T U A L L Y Workshop: EVERYTHING YOU NEED TO KNOW ABOUT PROVIDING HIGH QUALITY FOLLOW-UP SERVICES

2. Presenters Lane Kelly, Region 3 Maisha Meminger, National Office

3. OUTLINE • What are Follow-up Services? • Effective Follow-Up Practices • Examples of Follow-Up Services • Challenges to Providing Follow-up Services • Data Validation Issues • Scenarios • Resources • Tools

4. What are follow-up services?

5. REQUIREMENTS • Providing follow-up services is one of the 10 program elements for all local workforce areas that serve WIA youth participants - WIA section 129(c)(2)(I) • Follow-up services must be provided for not less than 12 months after the completion of participation • All youth must receive some form of follow-up services, and the types, scope, and duration of services must be based on the individual needs of each youth- WIA regulations at 20 C.F.R. § 664.450

6. FOLLOW-UP PERFORMANCE • The % of youth who received 12 months of follow up services over the past 5 years.  • It’s been dropping significantly each of the past 4 years. • PY ’07: 34.9 • PY’08: 36.4 • PY ’09: 32.1 • PY ’10: 28.9 • PY’11: 23.7

7. WHAT ARE FOLLOW-UP SERVICES? Follow-up services help ensure youth success after completion of participation. Follow-up services can include (20 CFR 664.450(a)): • The leadership development and supportive service activities listed in §§664.420 and 664.440 (respectively) • Regular contact with a youth’s employer • Assistance in securing better paying jobs, career development, and further education • Work-related peer support groups • Adult mentoring • Tracking the progress of youth in employment after training

8. PURPOSES AND BENEFITS OF FOLLOW-UP SERVICES There is no “one size fits all” follow-up services plan – • The purpose is to provide continued assistance to youth as needed after completion of participation • The benefit is to assist youth successfully transition to employment or further education

9. WHEN DOES FOLLOW-UP BEGIN? • Follow-up formally begins upon completion of participation which is after the exit date (exit date is the last day of WIA funded service; however you do not know this until the 90 days of no service) • Example: Joey’s attended GED preparation class, April 3, 2013; he does not return even after much effort has been made to return. • 90 days later, July 2, 2013, the case manager will know Joey's exit is April 3, 2013. • Follow-up Services can begin after April 3, 2013 • Follow-up should begin after expected last date of service. • Expected Exit: Aware of a youth leaving WIA program to start employment or a training & education program • Example: Toni will start her nursing program June 5, 2013; her expected last day of WIA services is June 3, 2013. Follow-up services can begin June 3, 2013.

10. EXCLUSIONS Not all Exiters receive follow-up. The following reasons are exclusions from performance measures and do not require follow-up. Case notes should reflect reason for exclusion. • Institutionalized • Deceased • Health/Medical or Family Care • Reserved Forces called to Active Duty • Relocated to Mandated Program

11. BENEFITS AND GOALS OF FOLLOW-UP SERVICES Youth Participant’s Benefits: • Continue life-long learning & achieve a level of self-sufficiency, as defined in the participant’s Individual Service Strategy (ISS). • Ensure job retention, wage gains, and career progress for individuals who obtained unsubsidized employment as defined in the individual’s ISS. Case Manager’s Goals: • Assist youth in overcoming barriers which interfere with the achievement of their career objectives • Provide proactive and reactive interventions to encourage youth retention in education or employment • Help troubleshoot employment and personal issues • Provide supportive services to assist in a youth’s advancement to better jobs or postsecondary education and training

12. EXAMPLES OF SUPPORTIVE SERVICES Supportive services for youth may include but are not limited to (20 CFR 664.440) • Linkages to community services • Assistance with transportation • Assistance with child care and dependent care • Assistance with housing • Referrals to medical services • Assistance with uniforms or other appropriate work attire and work-related tool costs, including such items as eye glasses and protective eye gear • Local areas may have additional policy on the provision of supportive services.

13. HOW LONG MUST FOLLOW-UP SERVICES BE PROVIDED? • Follow-up services must be provided for not less than 12 months after the completion of participation (WIA §129(c)(2)(I); 20 CFR 664.450(a)). • Follow-up services may be provided longer than 12 months if the state’s choose do so or its necessary for certain individuals • If a youth cannot be reach or refuses follow-up services, it may not be possible to provide follow-up services; this should be noted in the case files • States may have policies regarding attempting follow-services for youth who refuse

14. WHO PROVIDES FOLLOW-UP SERVICES? • State or Local Area’s Policies can include: • Competitively select a vendor to provide follow-up services. • Authorize the local area administrative entity to provide follow-up services through the America Job Center (AJC). • Use a mixed approach, providing follow-up services both internally and via competitive selection.

15. Effective practices

16. EFFECTIVE PRACTICES • Match follow-up services to the youth’s characteristics including: • Age • Needs and Personal Situation • Goals • “At-risk” Status • Family, school, personal support systems • Workplace Hours • Incorporate follow-up services into the ISS at intake • Explain follow-up services to youth • Develop a follow-up assessment tool to use while creating the case file to anticipate and determine the kind and amount of follow-up that will be needed

17. EFFECTIVE PRACTICES • Provide engaging follow-up activities to keep youth interested and connected • Provide frequent and regular follow-up activities • Develop and maintain a mentoring relationship with each youth • Coordinate follow-up activities with youth, employers, and academic advisors • End follow-up services appropriately • Track and document follow-up activities

18. BEFORE THE YOUTH EXITS THE PROGRAM… • Develop a written Employment and/or Educational follow-up plan that includes: • Retention or follow-up assessment tools • List of people & resources • Employments Goals& Educational Goals • Plans for transportation & childcare • Waivers for employers and/or educational institution • Alternative contact information for participant Plans should be agreed to & signed by youth

19. Examples

20. EXAMPLES OF FOLLOW-UP SERVICES • Job shadowing Experience • “Youth Day” career exploration activity • Periodic scheduled group meetings or one-on-one meetings to discuss educational or career options • Exposure to post secondary educational opportunities • Community & service learning opportunity • Peer-center activities including peer mentoring & tutoring • Job or Internship placement • Home or Job visit • Quarterly follow-up with employer

21. EXAMPLES OF FOLLOW-UP SERVICES“TRAININGS” • Life skills training: • Parenting • Decision-making • Determining priorities • Managing change for themselves and family members • Budgeting time and resources • Career Counseling Training: • Job retention • Career advancement or promotion • work place behavior • Positive social behavior training: • Soft Skills • Positive Attitudinal Development • Self-esteem Building, Cultural Diversity • Work Simulation Activities • Organizational & team work training • Team Leadership Training • How To Get Along With Bosses And Co-workers

22. Challenges to providing follow-up services

23. CHALLENGES TO FOLLOW-UP SERVICES • Youth can move frequently from one address to another • Youth become disengaged or alienated from education and other programs • Youth may see follow-up as an unwanted intrusion • Youth do not want to be labeled by participating in “special programs for problem youth” • Youth may not know follow-up services are available and how follow-up services help Any other issues in the field?

24. Data validation issues

25. ROLE OF DATA VALIDATION IN ETA PERFORMANCE ASSESSMENT • Data validation is a key component in overall performance strategy • Program funding is being directly tied to reliable performance outcomes (performance budget integration) • Data validation required by OIG and now being reviewed by GAO • Data validation is integrated into reporting • Validation tools are evolving to meet state needs

26. DATA VALIDATION ISSUES #1 Lack of documentation to support youth follow-up services provided for 12 months Errors include: • Insufficient documentation to support 12 months of follow-up services • No follow-up conducted beyond the first or second quarter after exit • Follow-up being performed by staff confirming employment via wage records. Suggestions: • Develop a state policy identifying the appropriate process for recording and reporting Youth follow-up services (for both locals and service providers)

27. DATA VALIDATION ISSUES #2 Youth are sometimes prematurely exited and denied services once placed in “follow up.”  Errors include: • Lack of attention paid to the youth’s Individual Service Strategy (ISS) or failure to update the Youth’s ISS.  (e.g. 90-day gap in service between services) Suggestions: • Make detailed case notes in Youths’ file regarding their anticipated services, gaps in service, and special needs • Maintain contact with Youth during this (gap) period to ensure timely re-engagement at the appropriate time      

28. DATA VALIDATION ISSUES #3 MIS coding limitations Errors include: • MIS coding may make it difficult to determine if Youth actually received 12 months of follow-up services Suggestions: • State’s MIS should have ample coding categories for all types of available follow-up services • MIS Services codes should be shared widely and utilized appropriately • Random sampling of participant records to observe all follow-up services codes are being used (appropriately)    

29. DATA VALIDATION ISSUES #4 Misunderstanding of the definition of “follow-up service.” Errors include: • Inaccurate and/or undercounting of follow-up services as defined in the Act and federal regulations  Suggestions: • Staff development training • Development of State and/or Local policies • Distribution of the Act and other federal regulations issued by ETA

30. YES, TERMINOLOGY MATTERS Both Program and Data Validation reviews have highlighted the misuse of service terms such as “follow-up” Misuse/misclassification of the term impacts service design, delivery and, ultimately, outcomes achieved You can’t take credit for a service you don’t report, and you can’t report a service you don’t understand and/or didn’t provide 30

31. DEFINITION FROM A STATE’S DRAFT POLICY There are at least two errors in the following text: “Follow-up: Regularly scheduled informational and workplace counseling contact with customers and/or their employer after exit from all WIA activities. Follow-up services must be available to youth for a minimum of 12 months after employment begins…” 31

32. DEFINITION FROM A STATE’S DRAFT POLICY There are at least two errors in the following text: “Follow-up: Regularly scheduled informational and workplace counseling contact with customers and/or their employer after exit from all WIA activities. Follow-up services must be available to youth for a minimum of 12 months after employment begins…” 32

33. TEXT FROM LOUISIANA’S POLICYLWC Office of Workforce Development (OWD) 2-4, 6/18/12 “Although regular contacts between local staff and current and former participants are necessary, this is an administrative function necessary to support case management and should not be considered a service that supports the individual’s service plan and their attainment of specified goals.” 33

34. FOLLOW-UP SERVICES VS. FOLLOW-UP FOR REPORTING PURPOSES • Follow-up for reporting purposes, or “checking-in,” assists with the provision of follow-up services; however it should not be recorded as a follow-service • Contacts or attempted contacts for the purpose of securing documentation for the case file in order to report a performance outcome • Use of Social media to stay in contact with youth • Telephone calls to youth

35. DATA VALIDATION ISSUES #5 Misunderstanding of the definition of “exit date.” Errors include: • Inadequate documentation in participant file regarding gap in service • Misunderstanding of when exit occurs/should occur  Suggestions: • Staff development training • Sharing of federal regulations (including TEGLs) NOTE: TEGL 3-03, “the date of exit is defined as “the last date on which WIA Title I or partner services, excluding follow-up services, were received by the individual.”

36. Scenarios

37. DISCUSSION SCENARIO #1 • Paul is 16 years old, a high school drop out, who wants his GED and is having a hard time finding work. • He comes into the AJC and enrolls into the WIA Youth Program. • During his Intake, he discusses an issue he has had in the past with methamphetamines. • On his Individual Service Strategy (ISS) he emphasizes his desire to become an Electrician. • He attends to the local youth program regularly • By September, he has started working part-time during the day at a local convenience store and has not gotten his GED. • He is exited from the program due to lack of participation What follow-up services can be provided to Paul?

38. DISCUSSION SCENARIO #2 • Keshais a 19 year old, unemployed, high school drop-out, and pregnant with her second child. • During the creation of her Individual Service Strategy (ISS) she states she would like to be a nurse. • During her time in the WIA youth program she earns her GED, begins working part-time at the Mall and gives birth to her second child. • She is exited from the program. What follow-up services can be provided to Kesha?

39. DISCUSSION SCENARIO #3 • Logan is a 17 year old, unemployed, high school drop-out. • He comes into the AJC and enrolls into the WIA Youth Program. • During the creation of his ISS he states he desires to be an auto-mechanic • His participation in the Youth Program fluctuates and he stops attending the program. • After some investigation, the case manager is informed by his mother he was arrested for armed robbery. What follow-up services can be provided to Logan?

40. DISCUSSION SCENARIO #4 • Chaz is a 19 year old who is taking care of her ailing grandmother • She has completed the WIA Youth program with a GED and a full time job • She is exited and follow-up services begin • Each time Chaz is contacted she states she is doing well, employment & housing are stable and she will begin classes at the local Community College in the fall • She also states she is unable to attend “Follow-up” group career sessions the WIA program offers monthly Should you continue to contact her? What information should go into her file? What additional questions or services can you provide her?

41. RESOURCES • TEGL 9-00: Workforce Investment Act of 1998, Section 129- Competitive and Noncompetitive Procedures for Providing Youth Activities Under Title I • TEGL 17-05: Common Measures Policy for the Employment and Training Administration’s (ETA) Performance Accountability System and Related Performance Issues • TEGL 30-10: Workforce Investment Act (WIA) Youth Program Guidance for Program Year (PY) 2011 • TEGL 05-12: Workforce Investment Act (WIA) Youth Program Guidance for Program Year (PY) 2012 • 20 CFR Part 500 to End: Code of Federal Regulations

42. TOOLS • Effective Case Management, Workforce3One: This Workforce3One page is a technical assistance project that identifies existing tools and resources about integrated intake processes and high quality case management.https://effectivecasemanagement.workforce3one.org/index.aspx. • Improving Demand-Driven Services and Performance: Toolkit for Effective Front-Line Services to Youth: Toolkit for Frontline Services for Youth: Published in 2007 by the Department, this toolkit was developed to assist programs with improving case management, recruitment, intake, follow-up services, and developing Individual Service Strategies. http://www.doleta.gov/youth_services/Toolkit-improve.cfm.

43. TOOLS • The Ohio State University: Focused Futures Youth Development System Builder (2007) Follow-Up Services: provides information and tools to help local youth councils, WIA administrators, case managers, and service providers conduct systematic follow-up activities for youth who have completed participation in WIA youth programs and entered postsecondary education, advanced training, or unsubsidized employment. http://jfs.ohio.gov/owd/WorkforceProf/Youth/Docs/FollowUpServices.pdf • Recipes for Success: Youth Council Guide to Creating a Youth Development System Under WIA: Published by the Department in 2000, this guide provides practical information for community leaders, local Workforce Investment Boards (WIBs), and Youth Councils on developing and operating a Youth Council.http://www.doleta.gov/youth_services/pdf/recipes-ycouncil.pdf. • Youth Connections Community of Practice (CoP), Sample Documents: Tools for Youth Providers: These sample forms, policies, documents, and training tools have been developed by various states, local workforce boards, and youth providers across the country for use in their Workforce Investment Act youth programs. These samples are not endorsed or approved by the Department of Labor; but are documents being utilized by state and local WIA youth providers. Visitors are free to use these samples as models for developing tools, in accordance with state and local workforce board policies. https://youth.workforce3one.org/page/resources/1001200332592308266.

44. CONTACT INFORMATION Lane Kelly Kelly.lane@dol.gov 404-302-5359 Maisha Meminger meminger.maisha@dol.gov 202-693-3962