POLICY AND PROCEDURE MANUAL

FOR THE MARKETING

PROCUREMENT AND OPERATION OF
ON-THE-JOB TRAINING AND
CUSTOMIZED TRAINING PROGRAMS

Rev. 01/10/06
 Table of Contents

I. Introduction.I-1, I-2

II. General Policies For OJT/CT Contracting..II-1 to II-7

III. Marketing.III-1 to III-4

IV. Field VisitsIV-1 to IV-6

V. Job Order ProcessingV-1 to V-3

VI. Account Management...VI-1, VI-2

VII. Job Order Status Changes..VII-1, VII-2

VIII. Contract Delivery and Return..VIII-1 to VIII-3

IX. Field Work/Vehicle Log...IX-1 to IX-4

X. Career Counseling...X-1 to X-2

XI. Contract Processing XI 1 to XI-11

XII. Tracking.. XII-1, XII-2

XIII. Customized TrainingXIII-1 to XIII-3

2
 I-1

SECTION I
Introduction

3
 I-2

Introduction

The purpose of this manual is to document the policies and procedures of the Town of
Hempstead Workforce Investment Board (WIB) for the marketing, procurement and
operation of On-The-Job Training (OJT) and Customized Training (CT) programs. All
policies and procedures described herein are intended to provide services to eligible local
workforce investment area (LWIA) residents in the most efficient manner possible, while
at the same time ensuring that programs are administered in full compliance with the
Workforce Investment Act of 1998, (WIA) the Balance Budget Act Welfare-to-Work
Block Grant Program (WtW), and all related Federal and State regulations and policies.

This manual is intended as a training guide for staff, as well as a reference source for
management and audit purposes. In any instances where policies or procedures are not
described in detail, it is intended that programs will be administered in accordance with
the governing legislation and regulations described above, as well as with the Town of
Hempstead Code of Ethics, and the terms and conditions contained in the DOOR
boilerplate reimbursement agreements for On-The-Job Training (OJT) and Customized
Training (CT).

4
 II-1

SECTION II

General Policies For On-The-Job Training and

Customized Training Contracting

5
 II-2

II. General Policies For On-The-Job Training (OJT) and Customized Training (CT)
Contracting

The following are general policies to be adhered to by staff in the development,

procurement, and operation of OJT and CT.

1. Conflict of Interests for Workforce Investment Board (WIB) Members

The WIB by-laws state the following:

In accordance with the provisions of the Town of Hempstead WIB Code

of Ethics, it shall be the right of a member to vote on all matters before the
WIB except where there is a clear conflict of interests as defined in the
Federal regulations governing WIA and/or the New York State General
Municipal Laws and as specified herein. A member shall not vote on any
matter which has a direct bearing on training, employment, services, or on
any matter which would have a financial benefit to the member or any
organization that member represents or is associated with as an officer,
member or employee. The member shall disclose the affiliation causing
any potential conflict of interests and shall not vote on the subject. The
results of all voting should be recorded in the meetings minutes.

2. Nepotism

A. The DOOR OJT/CT boilerplate agreements state the following:

The CONTRACTOR agrees that no officer of its organization is

related by blood marriage to any participant funded under this
agreement.

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 II-3

3. Purpose of Reimbursement

In accordance with WIA, the purpose of reimbursement to employers

participating in DOOR OJT/CT programs is to compensate those
employers for the extraordinary costs associated with training
participantsand in compensation for the costs associated with the lower
productivity of such participants. Subsidies to employers are therefore
not provided for employment generating activities, economic development
activities, investment in revolving loan funds, capitalization of businesses,
investment in contract bidding resource centers, foreign travel, company
relocation and similar activities.

4. Employer Selection Policy

Employers will be selected for OJT/CT contracting only if all of the

following conditions exits:

A. DOOR has requested that the employers collective bargaining

agent provide union concurrence and as a result of that request, the
agent has posed no objection to the program

B. The employer has in force a valid Workers Compensation

Insurance Policy, and provides documentation of the existence of
such a policy in the form of a policy number and carrier name.

C. The employer does not have at present a high employer turnover

rate, nor does the employer have a history of high employee
turnover.

D. The number of proposed DOOR OJT/CT enrollees is not

disproportionately large in relation to the total number of
employees of the firm.

E. The working conditions of the proposed work site are safe, healthy,
and conducive to training.

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 II-4

F. The nature of the training positions available is not seasonal,

temporary, or contract labor.

G. The salary for the training position is not straight commission, Vs

draw, or incentive pay.

H. The proposed participant wages are comparable to similar non-

federally positions.

I. The OJT/CT positions provide participants with career

advancement.

J. The employer has adequate capacity to provide federally funded

OJT/CT.

K. The employer has not received payments under previous contracts

and exhibited a pattern of failing to provide on-the-job training
participants with continued long-term employment benefits
(including health benefits) and working conditions at the same
level and to the same extent as other employees working a similar
length of time and doing the same type of work.

L. The job for which OJT/CT training is proposed will not

subsequently be subject to competitive labor procedures such as
civil service examinations.

M. The employer is not in violation of local, state or federal labor

laws.

N. No abnormal labor conditions, such as a strike, a lockout, or other

similar conditions exist at the establishment or its affiliates.

O. The presently employed workers will not be fully or partially

displaced by any participant involved in an OJT/CT.

P. The OJT/CT positions appear to be such that participants will be

hired with the reasonable expectation that they will continue
employment in the occupation (or one higher skill) for which they
are trained.

Q. The employer is located in a geographical area which affords

reasonable accessibility to program participants.

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 II-5

R. In cases where an employer proposing to conduct OJT in a new,

expanding, and/or relocating establishment, the DOOR pre-award
survey has been completed and clearly establishes that the
proposed OJT/CT program is in compliance with federal
regulations.

6. Limitation on Duration of OJT

OJT is limited in duration to a period not in excess of that generally

required for acquisition of skills needed for a position within a particular
occupation, but in no event shall exceed six months, unless the total
number of hours of such training is less than 500 hours. In determining
the period the period generally required for acquisition of skills
consideration will be given to the ONet Dictionary of Occupational
Titles (DOT), the content of the training, the prior work experience and
the individual employment plan (IEP), or Individual Service Strategy
(ISS) of the participant.

An OJT contract is limited to the period of time required for a participant

to become proficient in the occupation for which the training is provided.
In determining the lengths of a contract, consideration will be given to the
skill requirements of the occupation, the academic and occupational skill
level of the participant, prior work experience of the participant, and the
participants IEP/ISS.

7. OJT/CT Contract Provisions

Each OJT/CT contract shall specify the types and duration of OJT/CT and
other services to be provided in sufficient detail to allow for a fair analysis
of the reasonableness of proposed costs.

8. OJT/CT Contract Approval Policy

OJT/CT Contracts will only be approved in cases where all of the

following conditions exist:

A. Occupations for which OJT/CT contracts are written require a skill

level sufficient to justify at least eight weeks (320 hours) training
time;

B. Such training time is in accordance with the ONet DOT

suggested Education;

9
 II-6

C. The length of training time is tailored to fit the individual needs of

the trainee;

D. The training time is based on the training outline written as a result

of the information developed in the IEP/ISS;

E. The OJT commences after or is concurrent with the execution of

the contract;

F. The maximum permissible duration of training may only be

exceeded when the IEP/ISS clearly indicates that the participant
has severe mental or physical disabilities and the application
indicates that there is such a barrier to employment (limited to 6
months);

G. The training outline is included and reflects a separate training

outline for each occupation;

H. For each occupation the training outline includes:

I. major areas of training to be provided;

II. estimated percentage of time needed to accomplish each
training area;
III. provisions for basic orientation;
IV. description of supervision;
V. method of instruction.

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 II-7

I. The contract includes the number of hours in the employers

standard workweek.

J. Employer reimbursement does not exceed 50% of the total wages

received by the trainee for the period covered by the training
contract;

K. Employers will be reimbursed only for the hours that a participant

is on the job an in training and for job related education release
time;

L. Participants will be afforded benefits at the same level and to the

same extent as other employees in similar positions;

M. Participants will be afforded working conditions and promotional

opportunities neither more nor less favorable than other such
employees;

N. Participants will not be employed when another individual is on

layoff from the same or equivalent job, or when the employer has
reduced its work force to hire such participants;

O. Participants will not be employed in that part of any facility used

for sectarian instruction or workship;

P. The contract includes a collective bargaining agreement clause

between the employer and the union, including written
concurrence when applicable to the job;

Q. The contract will not result in DOOR exceeding the acceptable

ratio of public versus private sector employment (The acceptable
ratio is the same ratio that exists for the local labor market);

R. Participants will be paid on a wage, and not on a commission only

or piece rate basis;

S. Participants will be compensated at the same rates, including

periodic increases, as similarly situated employees or trainees and
in accordance with applicable law, but in no event less than the
higher of the rate specified in section 6 (a) (1) of the Fair Labor
Standards Act of 1983 (Federal Minimum Wage) or the applicable
State or local minimum wage;

11
 III-8

T. The maximum allowable wage for OJT participants is $25.00 per

hour;

U. The maximum reimbursement level per participant per OJT

contract is $4,000.

12
SECTION III
Marketing

13
 III-2

III. Methods of Marketing:

1. Promotional and Labor Market Survey Mailing Campaigns

A. Campaign Coordination

All promotional and survey mailings for the purpose of

marketing are conducted by DOOR with the approval of
the Town of Hempstead Supervisors Office.

B. Form Letter Packet

A TOH DOOR or WIB approved form letter is used for

mass mailings. Included in the packet is a Return Form.
This form allows the employer to respond to mailing, and
to request additional information.

C. Timing

All mass mailing are dated as directed and approved by the

Commissioner of DOOR.

D. Master Mailing List

All mailings are directed only to those employers contained

on the master lists, which are maintained by Core and
Intensive Services (CIS) Coordinator and approved by the
Commissioner. These lists are comprised of employer
information obtained from a variety of sources.

14
 III-3

E. Responses

Business reply mail and telephone responses are directed to

the CIS Coordinator. The CIS Coordinator assigns the
Career Counselor assigned to the geographical area where
the employer is located to follow-up the employers
response. All responses are noted by the coordinator on the
appropriate master list.

F. Follow-up of Responses

When a Career Counselor is assigned a job lead, it is the

responsibility of that counselor to arrange a field visit
appointment with employer at the employers earliest
possible convenience. The Career Counselor should
consult the DOOR Employer DataBase to determine if an
Employer File folder exists for that particular employer. If
one does exist, then the counselor should review the file
prior to speaking to the employer.

2. Telemarketing

In conjunction with mailing campaigns, a telemarketing campaign may be

conducted as part of a follow-up effort. The Management Information
Systems (MIS) Unit will upon request provide the CIS Coordinator with
printouts which are retrieved from word processing equipment according
to listings of zip codes. These printouts represents all employers contacted
by the mass mailing, compiled according to the geographic territories.
The coordinator may assign these lists to be maintained by each
appropriate Career Counselor.

These lists are to be maintained in the following manner:

A. Upon receiving the list, the counselor records any employer

previously contacted and writes the results of that contact on the
face of the list.

B. The Counselor proceeds to call the remaining employers.

15
 III-4

C. Upon making initial telephone contact with the employer, the

counselor does the following:

I. Confirms that the employer has received the promotional letter;

II. Attempts to arrange a field visit appointment.

3. Response to Incoming Telephone Calls

Upon receiving telephone calls from employers who wish to obtain

program information, or place job order request, the counselor who
receives the call does the following:

A. Obtains the employers name, address, and telephone number;

B. Informs the appropriate counselor of the employers request, based
upon the geographic territory in which the employer is located;
C. The appropriate counselor then arranges a field visit.

4. Linkages

Job leads are submitted to the coordinator on a regular basis form such
sources as: One-Stop Partner, the Web site, Incorporated Village of
Hempstead Department of Community Development; Nassau Placement
Network. Linkages such as these are established to coordinate marketing
related efforts and maintain an efficient, timely method of discovering
business developments which results in job leads.

5. Classified Newspaper Ads

6. Newspaper and periodical articles

7. Follow-up of existing accounts

8. Job Fairs

9. Word of Mouth

10. Speaking engagements at Rotary Clubs, Chambers of Commerce, etc.

11. The Internet

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 IV-1

SECTION IV
Field Visits

17
 IV-2

IV. Field Visits

1. After an appointment has been arranged, the counselor visits the

employer. It is suggested that an atlas be consulted before leaving for the
employers place of business.

2. The following material should be in the Counselors possession when

making field visits:

A. HempsteadWorks Literature
B. Calling cards;
C. Union Concurrence packet;
D. Job Order form (DOOR 403);
E. On-The-Job Training Application (DOOR 402-Amend-6);
F. DOOR OJT/CT Letter of Inent.

3. Upon meeting with employer, the Counselor provides a verbal training

presentation in regard to the following:

A. The HempsteadWorks WIA and WtW statues and

regulations;
B. The functions of the WIB, the Youth Council, DOOR and
the One Stop System;
C. Regulatory and policy requirements for On-The-Job
Training (OJT) and Customized Training (CT);
D. The processes of listing job orders, obtaining unsubsidized
vs. subsidized placements, record keeping, program
operation, reimbursement, submission of proposals, etc.;
E. Tax Credit information.
F. The OJT/CT contracting process.

4. After making the initial training presentation, the staff person discusses the
following topics with the employer:

A. Employer Qualifications

The Counselor interviews the employer to confirm that the

he/she will participate in accordance with WIA/WtW
regulations and the requirements of Section II of this
manual.

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 IV-3

B. DOOR Referrals

I. The Counselor determines if the employer desires

referrals;
II. If referrals are desired, the case manager ascertains
if the employer wishes to hire on an unsubsidized or
subsidized basis, or both;
III. For subsidized referrals, the case manager
interviews the employer to obtain the information
necessary to complete the JO. Separate JOs are
complete for each occupation the employer is
listing. The OJT Application is required only if
company is not already on file, providing that the
file contains the information required by the DOOR
402-Amend 5.

C. Union Concurrence

I. The counselor attempts to obtain a signed statement

of union concurrence from the union shop steward,
using the DOOR Union Concurrence form;
II. If the shop steward is not available, then the DOOR
Letter of Request For Union Concurrence, in
addition to the Union Concurrence form, is mailed
by Counselor to the appropriate bargaining agent
and copy is placed in the Employer File Folder;
III. The counselor instructs the employer that if union
concurrence is not received in writing 30 calendar
days of the original request, DOOR will assume that
the union does not object to the hiring of WIA/WtW
participants.

19
 IV-4

D Pre-Award Survey

The counselor utilizes any appropriate information

available to determine if the employer is a relocating
establishment. Relocating establishment is defined as a
business entity, including a successor in interest, which is
moving from one labor market to another, within the
United States. If the employer is a relocating
establishment, then the counselor interviews the employer
to complete the DOOR Pre-Award Survey. The
counselor informs the employer that no funds provided
under the act shall be used for customized, or skill training,
on-the-job training, or company specific assessments of job
applicants or employees, for any establishment or part
thereof, that has relocated, until 120 days after the date on
which such establishment commences operations at the
new location, if the relocation of such establishment or part
thereof, results in a loss of employment for any employee
of such establishment at the original location.

E. Sharing of Job Orders with New York State Department of

Labor Community Services Division

The counselor informs the employer that his/her openings

may be listed with the New York State Department of
Labor NYSDOL Community Service Division, the Nassau
Suffolk Placement Network, etc.

F. Contract Process

The counselor describes the systems which are set in

motion once subsidized placements are made, such as
progress reports, attendance tracking, contract processing,
monitoring, auditing, and reimbursement.

20
 IV-6

I. If the employer agrees to enter an OJT or CT

contract, then the counselor processes a job order
and also obtains the employer signature on the
DOOR Letter of Intent. This letter is forwarded to
the coordinator for execution.

II. Once the letter of Intent is executed by the

Commissioner, it is forwarded to the CIS
coordinator who ensures that the original is filed in
the employer folder, with copies distributed to the
employer and the DOOR Fiscal Unit.

III. A new letter of Intent must be executed for the new

program year.

IV. The letter of Intent must be signed by the employer

on or before the participants first day of OJT
enrollment.

21
 V-1

SECTION V
Job Order Processing

22
 V-2

V. Job Order Processing

1. All job orders are logged by the counselor who develops a job order (JO)
on the Job Order Summary log, which is centrally located, and used by the
entire unit.

2. The following information is recorded on this log:

2
A. Job Order Number- This number represents the Julian calendar
date when the job was developed, and the next chronological
number available, beginning with one. (E.g. The first job order
developed on 4/17/01 would be assigned the number 107-1, the
second job order developed on that date would be assigned the
number 107-2, an so on);

B. The name of the employer listing the job;

C. The ONet Numbers and DOT Codes which correspond to the

occupational which the employer is listing;

D. The number of openings available;

E. The name of the career counselor;

F. Any relevant comments such as if the job is unsubsidized, part-

time, designed for a particular target group which may include
youth, disabled individual or older workers;

3. The counselor who develops a JO composes and types all JOs by the
employer and the On-The-Job Training Application.

5. The JO is composed using information provided by the employer. The

Qualifications listed by an employer are to reflect that employers
understanding of the OJT/CT concept within the framework of federal
laws and regulations. This understanding is to be reflected further in the
composition of the Description of Training section of the form. Training
duties are to include specific details which are peculiar to the individual
employers operation, as well as the nature of the employers business
(e.g. examines medical claims for an insurance company). Although the
relevant portions of a ONet data elements may be incorporated into a
Description of Training, specific employer descriptions are to be recorded,
as opposed to definitions of a more generic nature.

23
 V-3

V. Job Order Processing (continued)

5. In case where an Employer File does not exist for the employer
listing the JO, such a file is assembled by the counselor.

6. In cases where a folder already exists, a new folder is not created.

7. When typing is completed, the forms are enclosed in the Employer

Folder and filed by the counselor.

8. The counselor makes photocopies of the Jos and distributes them

to each counselor.

9. The counselor enters the JO into the HempsteadWorks Wide Area

Network (WAN) Job Bank.

10. Any additional correspondence or material which the counselor has

relevant to the employer is enclosed in the folder at this time.

11. The counselor then files the folder in the Employer File.

24
 VI-1

SECTION VI

Account Management

25
 VI-2

VI. Account Management

After developing a job with particular employer, the counselor is

responsible for the management of the employers OJT/CT programs.
This responsibility includes the following:

A. Maintaining contact and positive rapport with the employer;

B. Rectifying any discrepancies which arise in regard to information

provided during the initial field visit;

C. Contacting the employer periodically to determine if any new job

orders may be listed.

26
 VII-1

SECTION VII

Job Order Status Changes

27
 VII-2

VII. Job Order Status Changes

1. JO status changes are to be performed by the initial counselor who

developed the Job Order wherever possible. The following is a list
of notations to be used when amending Jos:

A. Filled = Job opening has been filled as a

result of Universal Resources System
placement;

B. Closed = Job has been filled by applicant who

Is not registered with DOOR;

C. Cancelled = Employer wishes to remove JO

Request (in such cases a reason for
this action must be written on the
JO).

2. In cases where a counselor is reopening or otherwise updating an

existing JO, the following procedure applies:

A. The word update, along with the date of that update, and
the counselors initials are written on the face of a copy of
the original JO;

B. If excessive data changes are required, the JO is re-typed,

however, the new copy must reflect the information in step
A of this subsection, along with the name of the original
counselor;

C. In all cases, the letter u is added to the original JO

number (e.g. 293-u);

D. The updated JO is written on the Job Order Summary Log

in the usual manner, with the word update written in the
comments section;

E. The updated JO is then distributed as usual.

28
 VIII-1

SECTION VIII

Contract Delivery And Return

29
 VIII-2

VIII. Contract Delivery And Return

1. Wherever possible a contract delivery is assigned by the CIS

Coordinator to the specific career counselor who developed the
training program which the contract funds, and also according to
the territory to which the employer is assigned. In cases where the
contract to be delivered funds an OJT/CT slot which was
developed by one counselor but falls within the territory of another
counselor the delivery is assigned according territory.
2. All actions related to contract delivery are recorded on the contract
log by the coordinator. This log is maintained in the DOOR wide
area network (WAN).
3. The following is the procedure for contract delivery and return:

A. If upon receiving the contract, the counselor has any

questions regarding its content, such questions are directed
to the coordinator;

B. The counselor telephones the employers contact person to

confirm that the participant is still employed by the firm. If
the participant is no longer employed, then the counselor
informs the CIS Coordinator and takes no further action to
deliver the contract until directed to do so. If the
participant is still employed by the firm, then the counselor
arranges an appointment to meet with the appropriate
officer of the firm to obtain his/her signature. The
counselor attempts to arrange this appointment at the
employers earliest convenience;

C. Once an appointment is arranged the counselor visits the

officer and presents the contract for signature by the
organizations Chief Executive Officer (CEO);

D. The counselor provides an explanation of the contract, with

special emphasis being placed on the Training Plan as it
relates to the Enrollment Rationale of the IEP/ISS;

30
 VIII-3

VIII. Contract Delivery And Return (continued)

E. The CEO is directed by the counselor to write his/her

organizations name, his/her signature and title, along with the date
signed under the word Contractor on the signature page. Under
no circumstances should a contract be delivered if it has been
signed by the Commissioner prior to being signed by the employer;

F. At the time the employer signs the contract, the counselor also
signs next to the words Witnessed By on the signature page;

G. The officer is informed by the counselor that a copy of the duly

executed contract will be forthcoming in the mail within ten (10)
business days. At this time the counselor again reminds the
employer of the systems set in motion once placements are made,
including: evaluation reports mailed to the employer on a monthly
basis for the duration of the contract, attendance tracking, which
consists of bi-weekly telephone calls made from DOOR to the
contractor to record attendance for the duration of the contract,
monitoring, auditing, etc.;

H. Once the preceding steps are completed the counselor returns the
signed contract on the same day to the coordinator;

I. The CIS Coordinator records these actions on the contract log and
submits the contract for processing.

31
 IX-1

SECTION IX

Field Work/Vehicle Log

32
 IX-2

IX. Field Work/Vehicle Log

1. This log is maintained for the following purposes:

A. To document that DOOR vehicles and staff are engaged in

appropriate WIA/WtW field activities;
B. To provide contact information in case of an emergency.

2. The log is completed in the following manner:

A. Prior to leaving the office, the following fields of the log

are completed;

I. Date;
II. Name;
III. Destination
IV. Telephone Number To Be Reached At;
V. Time Out;
VI. Time Expected;
VII. Car Plate Number.

B. If a counselor is visiting more than one organization during

a single time period, then the telephone numbers of each
organization where the counselor can be reached are listed.

C. If a counselor is unable to provide a telephone number

where he/she can be contacted because the nature of the
field work to be performed will be cold calls, then the
counselor is to record this activity on the Marketing Field
Report. This report is submitted to the coordinator on the
same day the cold calls are performed.

33
 IX-3

D. Upon returning to the office, on the same day field work is

performed, the following fields of the log are to be
completed:

I. Time In;
II. Odometer Reading (Start/End);
III. Miles Traveled.
IV. Marketing Field Report

34
 X-1

SECTION X

Career Counseling

35
 X-2

X. Career Counseling

1. Career Counseling for On-The-Job Training (OJT) Customized Training

OJT and CT interventions are selected only as appropriate in with the

IEP/ISS. The following is the procedure for referral to the OJT and CT
interventions:

(A) Once the career counselor and the participant agree on the most
appropriate job order, the career counselor contacts the employer
who listed the order to arrange an interview. If the job is not open,
then the career counselor continues this process until an interview
is arranged;

(B) If the participant is referred to an interview, this referral is recorded

in the counseling notes, and or DOOR Referral Form, a copy of
which is maintained in the participant file, with the original
provided to the participant to submit to the employer;

(C) After a participant is referred to a private sector interview, the

career counselor contacts the employer to obtain the interview
results;

(D) If the participant is not hired by an employer, then the career

counselor continues to provide him/her with referrals until
placement is accomplished, the participant finds employment, or
the IEP is amended

(E) In addition to these procedures, it is the responsibility of the career

counselor to follow up after placement and to resolve any
problems, which occur during, and after the participants
enrollment in the program.

(F) In order to request to enroll a participant in OJT/CT, the career

counselor must complete the Activity form, and complete in
written narrative form the Enrollment Rationale for making the
enrollment. This documentation, along with any specific required
under the enrollment procedure describe below for each activity, is
submitted to the CIS Coordinator for review and approval. The
CIS Coordinator then submits the documentation to the coordinator
of the appropriate activity for review, approval and recording.

36
 X-3

(G) Once an OJT/CT enrollment date is established, the participant is

referred to report to the employer with a copy of the enrollment
rationale from their IEP/ISS.

37
 XI-1

SECTION XI

Contract Processing

38
 XI-2

I. On-The-Job Training (OJT) Contract Negotiation

1. When an employer indicates intent to hire a participant in an OJT

position, the career counselor who originally referred the
participant to the employer is responsible to negotiate the initial
terms of the OJT agreement with the employer.
2. The counselor confirms that a letter of Intent between DOOR and
the employer (contractor) has been properly executed before the
participant is enrolled in OJT.
3. The counselor must attempt to maintain consistency with the
information established in the Employer File by the counselor who
developed the file, such as a Letter of Intent, JO, the ONet
Number and DOT Code, job title, etc., however, amendments of
the original data may be made where appropriate.
4. Any additions or amendments to the Employer File should be
made by the counselor who developed the file. If amendments are
necessary, then the counselor making the enrollment notifies the
coordinator, who in turn directs original counselor to amend the
file.
5. In the process of negotiating the reimbursement agreement, the
DOOR counselor speaks with the employer to confirm the specific
task which the participant will perform, based upon the initial JO.
6. The counselor prepares a draft Training Plan (TP) based upon the
employers description, the JO, and research of the ONet DOT.
7. Based upon the employers description of the task to be performed,
and the participants prior experience as documented on the
Assessment and on the IEP/ISS, the counselor determines if OJT is
appropriate for the participant to perform the job at the required
skill level.
8. If training is required, then the counselor reviews the OJT
Application in the employer file to confirm that the processing of
an OJT reimbursement agreement is appropriate. The OJT
Application should be updated as changes occur.
9. If OJT is appropriate, then the counselor jointly develops an
Enrollment Rationale (ER) on the IEP with the participant to
document the rationale for enrollment.

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 XI-3

10. If the counselor is dealing with a new employer, then he/she

submits the appropriate MIS paperwork with the participant file to
the CIS Coordinator, who will arrange for an employer file to be
developed.
11. In cases where OJT is appropriate, then the counselor confirms the
WIB OJT policies with the employer and the participant before
enrolling the participant into OJT.
12. If at any point in the negotiation process, the counselor determines
that OJT is not appropriate for the placement in question, then the
counselor advises the employer of this determination and requests
that the participant be hired on an unsubsidized basis.
13. After confirming the OJT policy requirements, the counselor
processes the MIS enrollment documentation, along with a draft
TP to the Coordinator review, approval and processing.
14. If the ER is approved by the CIS Coordinator, then it is returned to
the counselor who provides a copy to the participant.
15. The counselor then submits the participant file and MIS
documentation to the CIS Coordinator for contract preparation.
16. At the time the contract is delivered to the employer, a copy of the
ER is provided to the employer.

II. OJT/CT Contract Review Process

1. The submission with an ER approved by the CIS Coordinator,

along with MIS enrollment documentation by a counselor to the
CIS Coordinator constitutes a request to process an OJT
reimbursement agreement.
2. Upon receiving such a request, the CIS Coordinator reviews both
the participant file and the Employer File to confirms the
appropriateness of, need for, and duration of OJT. This review
includes an examination of the participants assessment, prior
experience, academic and barriers to employment, ISS/IRP, ER,
the counseling notes, etc. The OJT Coordinator also reviews the
employers track record by examining the Employer Contract
Record.

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 XI-4

3. Based upon this review, the CIS Coordinator determines the

appropriate duration of training. The rationale for this
determination is documented on the ER to describe how it impacts
upon the reimbursement formula. For example, if a participant is
partially experienced in the occupation to be trained for, then the
rationale may describe that a short-term OJT will be provided. In
cases where the ONet DOT recommends a short-term OJT and
where the customer already possesses experience, no OJT will be
provided.
4. Using the draft TP, the CIS Coordinator prepares the TP Schedule
A for inclusion in the contract. A copy of the TP is also given to
the participant.
5. The following are specific instructions to follow for the
composition and typing of the TP:

A. The TP must detail a logical sequence of all relevant tasks

to be learned, or competencies to be attained;
B. The TP must adhere specifically to the employers
definition, utilizing the ONet DOT job description as a
research guide;
C. Any tools, equipment or machines for which training is
provided are identified specifically and incorporated into
the description of duties in the TP;

6. Based upon the reimbursement level determined by research of the

ONet DOT and the participants IEP/ISS and ER the CIS
Coordinator prepares the Reimbursement Schedule B for inclusion
in the contract.
7. In order to assure uniformity in the establishment of the length of
OJT programs, the following is the procedure for the completion of
Activity Form and the OJT contract:

A. The occupational title of the position is to be matched to

the ONet DOT codes. The ONet DOT recommended
length of OJT next to the Education category is to be
converted into days using the attached Length of Training
Guide. The actual hours per day spent in training should
be considered in this computation. Once the amount of
days is determined, then this amount is to be counted on a
calendar beginning with the participants start date,
including only five days from each calendar week. Once
the completion date is determined, one month is to be
added to that date to arrive at the Contract End Date.

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 XI-6

B. Following the above method, the date entered in field #10:

Estimated Completion Date should agree with the
Contract End Date. Below is an example of this method:

ONet Number: 58028 (sample page attached)

DOT Code: 222.567-010
Occupation: Shipping and Receiving Clerk
Education: Short-term OJT
Hours: (Based upon an 7 hour day in this example): 320
Days: 46
Start Date: 01/02/01
Estimated Completion and Contract End Date:
03/16/01.

C. For contracts in which participants are employed part-time,

i.e. less than thirty hours per week, the amount of training
days is to be doubled to obtain the completion date. Once
that date is obtained, one month is to be added to the total
to obtain the Estimated Completion and Contract End
Date.
D. Based upon the participants assessment and IEP the CIS
Coordinator adjusts the actual reimbursement hours for
each contract.
E. No contract is to exceed six months unless the total number
of training hours is 500. Calculated Contract End Dates
are to be adjusted accordingly.

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 XI-7

LENGTH OF TRAINING GUIDE

ONET TRAINING HOURS 8HR/DAY 7HR/DAY

EDUCATION:
OJT LENGTH

SHORT-TERM 320 40 46
MODERATE-TERM 480 60 69
LONG-TERM 640 80 91

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 XI-8

8. Once the contract is typed and logged, the CIS Coordinator

conducts a final review of the participant file, employer file and
contract. If all documentation is in order, the coordinator signs the
Contract Authorization form to indicate that the reimbursement
agreement is approved for final execution by the employer and the
Commissioner.

III. Clerical Procedure For Contract Processing

1. The following forms are required for the clerical procedures

related to contract processing:

A. Employer Contract Record;

B. Participant Contract Record;
C. Agreement Cover Sheet;
D. Tracking Sheet;
E. Participant Evaluation Report Form;
F. Contract Authorization Form;
G. Boilerplace Contract.

2. The following is the procedure for assigning contract numbers:

A. Number series are assigned according to the following

coding system:

I. Title Adults/Older youth = 1000 (series)

Adults/Older Youth
II. Dislocated Worker = 2000 (series)
III. Incumbent Workers = 3000 (series).

B. Contract numbers are recorded in the Contract Number

Log. For new employers a number is assigned within the
series that corresponds to the appropriate title in a sequence
of six. (E.g. Initial contract 1000 Adult/Older Youth with
1001 to 1005 be reserved for future contracts with the same
employer).

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 XI-9

Once the sequence of six numbers is exhausted, then the same procedure is
repeated with the next available sequence within the series.

3. The following information is recorded on the Participant Contract

Record:

A. Participant name;
B. Social Security number;
C. Age;
D. Participant address;
E. OJT/CT enrollment date;
F. OJT/CT completion date;
G. DOOR interviewer;
H. Employer name;
I. Employer address;
J. Employer telephone number;
K. Employer contact person;
L. Participants job title;
M. ONet Number and DOT Code;
N. Additional comments.

These records are separated according to the following categories:

I. Active;
II. Termination;
III Completion;
IV Void.

4. The following information is recorded on the Employer Contract Record:

A. Employer name, address contact person;

B. Employer telephone number;
C. Employer work site code;
D. Contract number;
E. DOOR interviewer;
F. Participant name;
G. OJT/CT enrollment date;
H. OJT/CT completion date;
I. Participant separation date;
J. Amount of contract;
K. Actual program completion date;
L. Comments.
M.

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 XI-10

These records are separated into the same categories as the Participant Contract Record.

5. The following information is typed on the Agreement Cover Sheet:

A. Employer name (in two places);

B. Contract number;
C. Label with appropriate funding title.

6. The following is typed on the tracking sheet:

A. Employer name;
B. Employer telephone number;
C. Employer contact person;
D. Career counselor (making enrollment);
E. Participant name;
F. Contract number;
G. OJT/CT enrollment date;
H. OJT/CT completion date;
I. Training hours;
J. Wage;
K. Total training hours accrued.

7. The following information is entered on the Contract Authorization form;

A. Employer name;
B. Career counselor (making enrollment);
C. Career counselor (negotiating contract);
D. Participant name;
E. Contract amount;
F. Contract number.

8. The following information is entered on to the boilerplate agreement:

A. Employer name;
B. Employer address;
C. Employer telephone number;
D. Employer Workers Compensation Policy Number and Carrier
Name;
E. Schedule A Training Plan;
F. Schedule B for reimbursement details;
G. Cover letter.

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 XI-11

9. The following information is entered on the Contract Log:

A. Contract number;
B. Employer name;
C. DOOR career counselor (who negotiated contract);
D. Date contract was requested;
E. Date contract was prepared;
F. Date contract was reviewed by the CIS Coordinator;
G. Date contract was delivered to employer;
H. Date employer returned signed contract to DOOR;
I. Date contract was forwarded to DOOR Commissioner for
execution;
J. Date contract was monitored;
K. Date contract copies were distributed.

10. The following is the procedure for issuing OJT/CT work site codes:

A. Assign next available number on work site log;

B. Record the name of the employer, the code number, and the
interviewer requesting the code on work site log;
C. Issue a memorandum to the DOOR MIS unit advising of the code
assignment.

11. The following is the procedure for filing and distributing contract
documentation:

A. The Contract Authorization original is filed in the employer file

with a copy filed in a binder;
B. The draft Reimbursement Schedule B is filed in a binder, with a
copy to the Fiscal Unit;
C. The original executed contract is filed in the employer file, with
copies distributed to the Fiscal and Monitoring Units and to the
employer;
D. The participant Contract Record and Employer Contract Record
are maintained in the HempsteadWorks LAN.

12. The following is the procedure for conducting monthly evaluations:

A. At the end of each month a Monthly Evaluation report form, with a

return envelope, is mailed to employers for any participants who
are active.

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 XI-12

B. As the evaluation reports are returned to DOOR by the employer,

they are submitted to the supervisor, who reviews them and
provides copies of staff persons when appropriate.

13. The following procedures are followed when a rider is written to modify
a contract:

A. Riders are executed in the same manner as original contracts.

B. The distribution of original riders is as follows:

I. Original to employer file

II. Copies to Fiscal Manager, Monitoring Coordinator, OJT
Auditor, and employer.

C. Riders are recorded in a log. If the rider amends the term or

amount of the contract this is noted on the Participant Contract
Record and Employer Contract Record.
D. Riders are executed when any of the following changes to
contracts are required:

I. Changes to the basic nature of the training;

II. Changes to the number of training slots;
III. Changes in the cost of the contract;
IV. Changes extending the end date of the contract;
V. Changes in signatories to the original contract.

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 XII-1

SECTION XII

TRACKING

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 XII-2

XII. Tracking

1. Contractors are contacted periodically by telephone to confirm that

a participant is still employed. If it is determined that a participant
has resigned or been laid off, and is no longer working at the OJT
work site, a Tracking Memo is issued transferring the participant
on Unassigned Participant Status (UPS).
2. If the participant has completed the training hours as specified in
the OJT/CT contract, a Tracking Memo is issued showing the
completion date and wage.
3. A copy of the Tracking Memo will go to each of the following:

Fiscal Unit
OJT Auditor
CIS Coordinator
Career Counselor
Monitoring Coordinator

4. The Tracking Memo will be the cue to the counselor to generate

the appropriate MIS documentation.

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 XIII-1

SECTION XIII-1

Customized Training

51
 XIII-2

XIII. Customized Training

1. Customized Training programs are developed in the following

manner:

A. Potential training providers submit a proposal outline

which conforms to the DOOR guide.
B. In response to the employers proposal outline, DOOR
publishes a Request For Proposals (RFP) in Newsday
inviting any interested parties to submit formal, competing
proposals to conduct training in the occupational targeted in
the original proposal outline. The formal proposal is
required to conform to the format of the Customized
Training guide, however it should also provide greater
detail than the original outline.
C. After the deadline established in the RFP passes, proposal
are review by the WIB.
D. DOOR staff evaluate the proposal and presents a summary
to the WIB for approval consideration.
E. Based upon the review process, if a training provider is
selected. DOOR then negotiates contract terms within the
framework of the standard DOOR Customized Training
boiler plate agreement.

2. Training providers may be reimbursed up to 50% for the cost of

training.

3. Training costs could include such elements as: cost of the

instruction, cost of the instructor, cost of curriculum development
associated with the training course, training materials and books as
needed for the course, etc. The wages of the employees being
trained, while they are participating in customized training,
may be used towards meeting the match requirement for the
training but may not be paid for with WIA funds. The purchase
of equipment, administration and the renovation of facilities are
not allowable costs.

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 XIII-3

The above list is not intended to be all inclusive as there may be

other legitimate costs that can be substantiated by the business as
necessary to allow for the conduct of the training program. For
example, additional appropriate match includes staff costs
associated with development and operations of the training
programs, uniforms, supplies, graduation ceremonies and
certificates, etc.

4. Employers wishing to provide Customized Training must submit a

proposal which responds to the WIB Requests For Proposals.

5. Customized Training requires documentation of a commitment by

an employer or group of employers to employ, or in the case of
incumbent workers, to continue to employ an individual upon
successful completion of training. If the employer providing the
training intends to retain the trainees as permanent employees at
the conclusion of the program, then the proposal must contain a
statement to that effect. If the employer providing the training
intends to place trainees with other employers, then the proposal
must contain letters of intent to hire signed by those other
employers. All letters of intent must state a minimum wage which
trainees will achieve upon entering unsubsidized employment.

53