Compliance Surveys for
OJT / Apprenticeship
VETERANS BENEFITS ADMINISTRATION
March 2015
Presenters
Jorge L. Carrasquillo, KY ELR
- Compliance Surveys
Charles Humble, ATL ELR
- Basic Duties of Certifying Officials /
- Basic Forms Completion / Certification Issues
Tracy Clay, KY SAA
- SAA Approvals
Tom Morrison, TN SAA
- SAA Approvals
VETERANS BENEFITS ADMINISTRATION
2
Training Overview
-
Objectives
SCO turnover rate
VA enrollment statistics
Purpose and Authority
Access to Institutional Records
Jurisdiction of Regional Processing Offices
St Louis RPO survey data
VA Fiscal Year Schedules/Types of compliance
surveys
VA Education Benefit Chapters - Surveys
PL111-377 (SAA & VA conduct surveys)
Who conducts surveys
Preparation, Scheduling, Conducting, & Post Survey
VETERANS BENEFITS ADMINISTRATION
Objectives of Compliance Surveys
Compliance surveys have five principal objectives:
(1) To verify the propriety of payments of educational benefits to eligible individuals
under the provisions of the laws administered by VA;
(2) To provide a reasonable basis for cooperating with SAAs;
(3) To assist school or training officials and eligible individuals in better understanding
their responsibilities and the procedural requirements of VA;
(4) To determine, on the basis of facts disclosed from document reviews and personal
visits, whether there are deviations from the responsibilities and requirements by
eligible individuals, schools or training establishments; and
(5) To assure that proper action is promptly taken through appropriate channels for the
correction of existing discrepancies, or for the discontinuance of benefits in the event
correction is not accomplished.
In general,
the ADMINISTRATION
purpose is to
VETERANS
BENEFITS
help insure the integrity of the GI Bill.
Training Overview
-
Generally the turnover rate of
designated VA School Certifying
Officials is approximately 30% annually.
- New SCO training is a continuing
requirement
- VA compliance surveys can be of
assistance to a new SCO however
compliance surveys are conducted by
ELR, ECSS, and SAA Consultants
VETERANS BENEFITS ADMINISTRATION
Enrollment Certification
• VA Form 22-1999, Enrollment Certification states
the SCO/Institution is certifying:
• Exercised reasonable diligence in meeting all
applicable requirements for the following seven
(7) criteria:
VETERANS BENEFITS ADMINISTRATION
Enrollment Certification
- The institution has exercised diligence in meeting all
applicable requirements of Title 38 USC and any failure by the
institution to meet any requirements of the law will be
reported promptly to VA
- The institution agrees to report promptly to VA any
enrollment change and any change due to unsatisfactory
progress, conduct or attendance. Promptly means within 30
days of the enrollment change. Except for students receiving
benefits under Chapter 33, the institution need not report an
enrollment change for a student who was in full-time
attendance before the change and in fulltime after the
enrollment change.
VETERANS BENEFITS ADMINISTRATION
Enrollment Certification
-
-
The 85/15% enrollment ratio requirement has been satisfied
Student certified is not an owner or officer of the school nor is the
student certified as an official authorized to sign enrollment
certifications
The institution holds no power of attorney agreement authorizing the
institution to negotiate VA educational assistance allowance checks
No course certified is a repetition of any course previously
satisfactorily completed except as permitted by VA regulations
The course or courses certified (added: excluding DEEMED approved
institution degree programs) are approved by the State Approving
Agency and are generally acceptable to meet requirements for the
student’s objective
VETERANS BENEFITS ADMINISTRATION
Benefit Chapters
VA education benefit chapters reviewed on compliance
surveys are:
Chapter 30 – Montgomery GI Bill©
Chapter 32 – VEAP
Chapter 33 – Post-9/11 GI Bill©
Chapter 35 – Dependent Education Assistance
Chapter 1606 – Selected Reserves
Chapter 1607 – REAP
Fry Amendment administered under CH33
CH33TOE
Excluded: Chapter 31 Vocational Rehabilitation Benefit
VETERANS BENEFITS ADMINISTRATION
Purpose and Authority
Compliance surveys are conducted in order to ensure
that schools and training establishments, and their
approved courses, are in compliance with all applicable
provisions of the laws administered by VA.
Authority:
Title 38
38 CFR
M22-4
VETERANS BENEFITS ADMINISTRATION
Access to Records
• CFR 21.4209 – Title 38 provides VA & SAA access to any
institutional records as condition of approval
• VA and SAA exempt from FERPA concerning privacy of student
records
• Access to VA and non VA student academic and financial
records
• Access to review Institutional Advertising Materials
• Principles of Excellence
• Student Interviews
VETERANS BENEFITS ADMINISTRATION
Access to Records
• The Buckley amendment (Public Law 93-380) requires that
institutions receiving Federal funds administered by the
Department of Education must obtain the student's consent to
release information from school records.
• It has been determined that school records relating to VA
benefits fall into the "financial aid" category and are therefore
exempt from the provisions of the Buckley amendment.
• Therefore, the VA (and SAA) shall have access to the records of
VA beneficiaries as well as non-VA students without the
written consent of the student in order to monitor the school's
compliance with the law.
VETERANS BENEFITS ADMINISTRATION
Access to Records
Title 38 United States Code, Section 3690(c)
Notwithstanding any other provision of law, the records and
accounts of educational institutions pertaining to eligible
veterans or eligible persons….as well as the records of other
students which the Secretary determines necessary to ascertain
institutional compliance with the requirements of such chapters,
shall be available for examination by duly authorized
representatives of the Government.
VETERANS BENEFITS ADMINISTRATION
VA Regional Processing Offices and Jurisdictions
VETERANS BENEFITS ADMINISTRATION
VA Regional Processing Offices and Jurisdictions
VETERANS BENEFITS ADMINISTRATION
Types of Surveys
• VA compliance surveys are conducted at the following types of
active facilities as of October 1, 2013 (FY14)
–
–
–
–
–
Institutions with 300 plus VA certified VA beneficiaries
Institutions of Higher Learning – (less than 300) – as required
Non College Degree Institutions
Vocational Flight Training Schools
Training Establishments
• Apprenticeship (APPR)
• On-the-Job training (OJT)
• Federal and Nationally approved OJT and APPR facilities
– Director, Education Service, may act for the Secretary and may waive compliance
surveys at institutions with a demonstrated record of compliance. The CELO can request
ELR staff to review and submit waiver requests for schools that had met demonstrated
record of compliance – meaning no compliance survey at these institutions in FY15.
VETERANS BENEFITS ADMINISTRATION
Who Conducts Compliance Surveys
Effective October 1, 2011 per Public Law 111377 both VA (Education Liaison
Representative (ELR) and Education
Compliance Surveys Specialist (ECSS), and
State Approving Agency (SAA) staff conduct
compliance surveys.
VETERANS BENEFITS ADMINISTRATION
Surveys
Each survey conducted by VA consists of a random sample of
VA student records for those who have been certified and
awarded benefits at that institution.
Sample size is based on total VA student awarded enrollment
total. NOTE: We review minimum of 10 VA student records
unless there are fewer than 10 students enrolled (excluding
Chapter 31)
Purpose of the sample size is to validate and confirm
institutional certifications and practices – to ensure accurate
and timely reporting to VA by the designated SCO.
VETERANS BENEFITS ADMINISTRATION
The Compliance Survey
-
Areas of Review
Verification of Enrollment Data
Credit for Previous Education and Training
Records and Reports of Enrollment
Changes in Enrollments
Termination and interruptions
Wages Paid
Records and Reports of Progress, Conduct, or
Attendance
Related Training
Training Agreement
Family Relationship
VETERANS BENEFITS ADMINISTRATION
Verification of Enrollment Data
Requirements:
For on-job and apprenticeship training, the beginning
date to be certified is the first date of employment in the
training position. The ending date of training must be
certified in accordance with the credit granted for prior
training. The beginning and ending dates of training and
the credit allowed as reported on the enrollment
certification must agree with the information shown on the
on-job or apprenticeship training agreement.
VETERANS BENEFITS ADMINISTRATION
Verification of Enrollment Data
Review Procedures:
Review employer records including timecards, progress
or other records as necessary to verify that the beginning
date certified was the actual first date of training. If the
beginning date certified was not the first date of training,
record the correct date on the compliance survey
worksheet. Also record the hours worked commencing
with the verified first date of training. Confirm first date of
employment and first date of training during trainee
interviews.
VETERANS BENEFITS ADMINISTRATION
Credit for Prior Education and Training
Requirements:
For training establishments, apprenticeship standards
require the granting of advanced standing or credit for
previously acquired experience, training or skills with
commensurate wages for any progression step granted.
The veteran or eligible person may not be already
qualified by reason of training and experience for the job.
VETERANS BENEFITS ADMINISTRATION
Credit for Various Education and Training
Review Procedures:
In preparation for the survey, review the trainee's
application for benefits and, if a veteran, the discharge
certificate, to determine if the trainee has had previous
education, training or experience in the job objective
being pursued. Review the enrollment certification and
training agreement to determine if any credit was granted
for previous experience or training. Note the amount of
credit granted on the compliance survey worksheet. If a
substantial amount of training or experience is shown on
the application or discharge certificate, determine if
proper development was undertaken to ensure that the
trainee
wasADMINISTRATION
not already qualified for the objective.
VETERANS
BENEFITS
RECORDS AND REPORTS OF ENROLLMENT, CHANGES IN
ENROLLMENT, AND TERMINATION OR INTERRUPTION
Requirements:
The trainee and the employer must certify the hours
worked each month on VA Form 22-6553d, Monthly
Certification of On-the-Job and Apprenticeship Training.
Full payment is based on 120 hours in 1 full month. In
months in which less than 120 hours are worked, benefits
are proportionately reduced.
The hours certified may include related training during
working hours, but may not include related training
received or pursued after working hours. The hours
certified may not include leave or vacation time or hours
not worked
due to strikes or layoffs, nor overtime hours.
VETERANS
BENEFITS ADMINISTRATION
RECORDS AND REPORTS OF ENROLLMENT, CHANGES
IN ENROLLMENT, AND TERMINATION OR INTERRUPTION
Review Procedures:
Verify the hours certified for each month of the review
period through review of official payroll or time and leave
records. Ensure that the hours certified represent only
actual hours on the job and do not include vacations,
leave for medical purposes, strikes, layoff time, related
training after working hours, etc.
During interviews with trainees, confirm that leave periods
and hours of related training, if required, have been
properly reported.
VETERANS BENEFITS ADMINISTRATION
WAGES PAID
Requirements:
For OJT programs, the beginning wage must be at least 50
percent of the journeyman wage. The wages must be increased
in regular periodic increments until, not later than the last full
month of the training period, they will be 85 percent of the
journeyman wage. Wages for on-the-job programs must be fixed
and certain. Wages for a journeyman or for a trainee may not be
based in whole or in part on commissions, fees or other
variables. Exceptions are made for OJT programs offered
through government agencies, whether federal, state, or local.
VETERANS BENEFITS ADMINISTRATION
WAGES PAID
Requirements:
For apprenticeship programs, the wage scale must meet the
requirements of the apprenticeship standards (29 CFR 29.5).
There must be a progressively increasing schedule of wages to
be paid the apprentice consistent with the skill acquired. The
entry wage may not be less than the minimum wage under the
Fair Labor Standards Act. If a higher wage is required under
other Federal or State law or regulations, or by a collective
bargaining agreement, the entry wage may not be less than that
higher wage. Payment of commissions is not precluded for
apprenticeship programs.
VETERANS BENEFITS ADMINISTRATION
WAGES PAID
Requirements:
The approved wage scale is shown on the training or
apprenticeship agreement furnished to the trainee. Changes in
the wage rate are to be reported on VA Form 22-6553d.
Attainment of the journeyman rate indicates the trainee has
acquired the skills of a fully trained employee and benefits must
be discontinued even though the approved length of the
program may not have been completed. However, cost-of-living
or other wage increases which affect VA and non-VA trainees
alike may be considered revisions to the wage scale and may be
approved if the applicable requirements of the law and
regulations are met.
VETERANS BENEFITS ADMINISTRATION
WAGES PAID
Review Procedures:
Review the establishment's official payroll records to verify the
wages which have been paid during the training program. If
differences exist between the approved wage scale and the
wages which have been paid, record the amounts paid and the
effective dates of change. If the trainee has reached the
journeyman wage, note the effective date that the increase was
granted.
When the wages paid do not agree with the approved wage
scale, determine the cause through interviews with
establishment officials.
During trainee interviews, confirm with the trainee the amounts
actually paid and the dates of increases.
VETERANS BENEFITS ADMINISTRATION
RECORDS AND REPORTS OF PROGRESS,
CONDUCT AND ATTENDANCE
Requirements:
Training establishments must keep accurate, current and
complete records to show progress toward the student's
objective, and must establish and enforce standards related to
progress, conduct, and in certain cases, attendance. Schools and
training establishments must report accurately and promptly
when, in accordance with the school's official standards, a
student fails to maintain satisfactory progress, conduct, or
attendance. Generally, a report must be made within 30 days of
the date progress, conduct or attendance became unsatisfactory
in order to be considered prompt.
VETERANS BENEFITS ADMINISTRATION
RECORDS AND REPORTS OF PROGRESS,
CONDUCT AND ATTENDANCE
Review Procedures:
Review training establishment records to determine whether
they are adequate to identify when progress, conduct or
attendance are satisfactory.
If an individual trainee's progress, conduct or attendance have
been unsatisfactory, determine the date the employer's standard
was not met. Determine if reports were made accurately and
promptly.
VETERANS BENEFITS ADMINISTRATION
RELATED TRAINING
Requirements:
For apprenticeship programs, supplemental related instruction is
required. A minimum of 144 hours of such instruction for each
year of apprenticeship is recommended (29 CFR 29.5). Such
instruction may be given in trade, industrial or correspondence
courses or other forms of approved self-study. The
establishment must periodically review and evaluate the
trainee's progress in related instruction.
For on-job programs, related instruction may be required as part
of the training program for the veteran or eligible person who
may need it.
VETERANS BENEFITS ADMINISTRATION
RELATED TRAINING
Review Procedures:
If related instruction is required, verify through interviews with
establishment officials and with trainees that such instruction is
being provided and that progress is being evaluated. Review any
available records of related training maintained by the
establishment or trainee. Ensure that related instruction
furnished or received after working hours was not certified as
hours worked.
VETERANS BENEFITS ADMINISTRATION
TRAINING AGREEMENT
Requirements:
The training establishment must provide a signed copy of the training or
apprenticeship agreement to the veteran or eligible person and VA. An on-job
training agreement must include the training program (schedule of work processes in
which training will be provided and approximate amount of time to be spent in each
process) and the approved wage scale.
For apprenticeship programs, the apprenticeship agreement must include either
explicitly or by reference the training program, approved wage scale and information
regarding the number of hours to be spent in related instruction. Registered
apprenticeship programs receive an indenture agreement from the Bureau of
Apprenticeship which is used in lieu of the VA training agreement form, VA Form 228864.
The on-job training agreement may also include the amount of credit allowed for
previous education or training, if any, and the beginning and ending dates of training.
The information shown on the training agreement should agree with the information
VETERANS
certified
onBENEFITS
the VAADMINISTRATION
Form 22-1999.
TRAINING AGREEMENT
Review Procedures:
During the trainee interview, verify that the trainee did
receive a signed copy of the training or apprenticeship
agreement; that the training provided agrees with the
approved training program; and that the wages paid
are in accordance with the approved wage scale.
VETERANS BENEFITS ADMINISTRATION
FAMILY RELATIONSHIP
Although no prohibition exists against family
relationships present between trainer and
trainee, such relationships often occur in on-job
training programs and must be evaluated
carefully. Care should be taken to ensure that a
bona fide training program exists and especially
to ensure that the trainee is not already
qualified for the position because of previous
experience or training.
VETERANS BENEFITS ADMINISTRATION
Surveys - Scheduling
-Majority of compliance surveys we conduct involve travel, meaning a number of
institutions may be scheduled for a given week (Monday – Friday). We strive to not
schedule at institution peak workload periods however this may not always occur
based on travel plans.
-VA and SAA will call the primary SCO to schedule a date(s) and time for conducting
the survey in addition to providing institution with names of students in the sample
size to be reviewed.
-A letter or email will be furnished the SCO of the student names and the institutional
records to copy for our review.
-The institutional records copied will be retained by VA and SAA to include in our
compliance survey records – PII data is safeguarded and necessary as internal
quality reviews by VA are conducted to ensure all aspects of the compliance survey
were accurately reviewed and completed. (procedures changed for FY14)
PII data can be shredded following a reasonable period from date of closed survey
(normally within 90 days)
VETERANS BENEFITS ADMINISTRATION
Conducting Survey
The onsite compliance survey may involve 1 or more individuals based on the size
of the sample VA student records to review.
We will schedule an entrance briefing with the primary SCO and other institutional
staff to describe and explain purpose of our visit and to confirm the requested
records were provided for our review.
The second step is to review the student records and compare to VA Form 22-1999
and VA Form 22-1999b submissions to validate accurate and timely reporting to VA.
Questions and confirmation of additional data will be made to the SCO during the on
site compliance survey to validate last date of attendance, withdraw dates, or any
other action requiring justification or clarification.
The last step on the on site survey will be the exit briefing. The purpose of the exit
briefing is to provide institution with survey results based on the findings with
emphasis to identify the root cause of the exceptions.
VETERANS BENEFITS ADMINISTRATION
Post Survey Actions
VA and SAA will prepare narrative reports for the survey findings.
Findings of reporting discrepancies will involve referrals to the RPO for
award actions
Findings of no reporting discrepancies however late reporting is noted and
evaluated
Findings of approval criteria is referred to the SAA at all institution is for
appropriate review, investigation, and necessary corrective action
Our internal reports capture primary causes or root causes for non compliance
discrepancies found.
Training of SCO’s is often required due to an estimate of a 30% annual turnover of
designated certifying officials.
A letter is sent to the institution to acknowledge the compliance survey that conveys
the results of our visit. (Normally discrepancy issues are noted during our exit
briefing)
VETERANS BENEFITS ADMINISTRATION
Post Survey Actions
Evidence of non compliance may involve overpayments to both
institutions and students noted on compliance surveys.
Again summary on types of reporting discrepancies but not all
inclusive are provided on the next slide.
Overall the results of our compliance surveys have been good.
Noted is additional action can be taken by expanding the
number of student records to review based on a finding of 30%
or greater reporting discrepancies. Also a total reporting error
of 50% or greater may develop into a 100% review of VA
student records.
VETERANS BENEFITS ADMINISTRATION
Compliance Survey Findings
• Overall the findings have been very good. Common errors involve:
– Not reporting changes or terminations
– Late reporting of enrollment and enrollment changes to VA
– Failure to monitor prior credit evaluations
– Incorrectly reporting LDA – last day of attendance on
withdrawing
– Certifying incorrect program name or type of training
– Not reporting unsatisfactory progress or probation
– Lack of institutional records to support certifications to VA
– Certifying programs not approved by VA or SAA
VETERANS BENEFITS ADMINISTRATION
Summary
VA does maintain a tracking system on a fiscal year basis for all
compliance surveys conducted as well as:
- Name of institution and type
- Date of compliance survey
- Individual who conducted the survey
- number of VA student records reviewed
- number of VA students records with discrepancies
This information is reported to VA Central Office, Washington, DC on a
periodic basis to confirm institutional compliance.
VETERANS BENEFITS ADMINISTRATION
COMPLIANCE SURVEY
VETERANS BENEFITS ADMINISTRATION