DIRECTIVE	:	TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 14-00
TO	:	ALL STATE WORKFORCE LIAISONS ALL STATE WORKER ADJUSTMENT LIAISONS ALL STATE EMPLOYMENT SECURITY AGENCIES ALL ONE-STOP CAREER CENTER SYSTEM LEADS
FROM	:	Wendy L. McConnell for LENITA JACOBS-SIMMONS Deputy Assistant Secretary
SUBJECT	:	Workforce Investment Act (WIA) Performance Reporting System

1. Purpose. To transmit guidance and instruction promoting the consistent integration and use of the web-based WIA Performance Reporting System.

2. References. Workforce Investment Act of 1998 (WIA), section 185(d)(2) and 188; 20 CFR Part 667.300(d), (e)(1)(2) of the WIA Final Rules (published at 65 FR 49429, Aug 11, 2000); Planning Guidance and Instructions for Submission of the Strategic Five-Year Plan for Title I of WIA and the Wagner-Peyser Act; WIA: Final Unified Planning Guidance; Training and Employment Information Notice (TEIN) No. 9-00, Submission to OMB of WIA Performance Reporting Packet; Notice of Office of Management and Budget (OMB) Action No. 1205-0420, dated March 1, 2001.

3. Background. Pursuant to 20 CFR 667.300, "All States and other direct grant recipients must report financial, participant, and performance data in accordance with instructions issued by DOL." Consequently, the Department has developed a reporting system, in consultation with WIA partners and stakeholders from around the country, for States to report participant and performance outcome data. The Employment and Training Administration (ETA) has been working to expedite the electronic reporting capability for States. Requirements are limited to those required by the Act, those required for compliance with Equal Opportunity (EO) requirements, and a few items necessary for oversight and management purposes. The Secretary is compelled to ensure that all elements of the information required for reports be defined and reported in a uniform manner. Hence, each State, Local Board, and recipient must maintain comparable management information systems to facilitate uniformity in reporting.

   The Department engaged in an extensive consultation process in the development of the WIA Performance Reporting system. DOL National and Regional staff conducted technical assistance efforts for States and Local Areas explaining the reporting system, discussing the comments received from the Federal Register Publication and answering questions concerning reporting. In September of 2000, DOL convened a meeting of thirty-five Federal, State and Local representatives to establish a partnership among the three levels of the system and to reach agreement on the major scope and policies for the reporting system. The outcomes of these agreements are reflected in the attached reporting instructions.

4. Reporting and Record Keeping Information. States are required to submit three different participant reports. They are:

   1) The Workforce Investment Act Standardized Record Data (WIASRD).  States are required to maintain this collection of individual records containing activity and outcome information for each participant. The WIASRD is the foundation for the quarterly and annual reports. These records are due by December 1^st following the end of each program year.

   2) The WIA Quarterly Performance Report.  This cumulative report provides a summary of State performance of individuals served by WIA Title I-B, including individuals served by both Statewide and local funds. This report is due no later than 45 days after the end of each quarter.

   3) The WIA Annual Performance Report.  Annual performance reports will contain information on the progress of the State in exceeding negotiated levels of performance, including information on the levels of performance achieved by the State with respect to the core indicators of performance and the customer satisfaction indicators. This report is due by December 1^st following the end of each program year.

   With the design of one reporting system, all three participant reports can be input into a system with which State reporting personnel are already familiar. This is the same web-based system States are currently utilizing to input Welfare-to-Work, Wagner-Peyser, ETA 9002, and WIA financial data. The internal, technical processes for the quarterly reports have been completed and the system is ready for States to input their data. The Department is currently preparing the calculations and edit checks for the WIASRD and the annual report. In the coming months, these will be available for States to utilize in the preparation of their reports.

5. Significant Changes. On March 1, ETA received OMB approval for the entire reporting packet. We have posted this reporting packet with all changes to our web site at www.usworkforce.org. Please note the approved reporting packet contains changes in response to comments forwarded to OMB by States. These changes increase the methodological rigor of the customer satisfaction surveys; prohibit the use of the Social Security Number in the individual record; revise the procedures for selecting a sample of individual records to be sent to ETA; and remove the proposed requirement for States to track and report expenditures separately for core, intensive and training services in their annual reports. The changes also instruct States that promises of confidentiality cannot be made to participants unless authority exists in State law or protections are incorporated in contracts for data collection.

   Changes are being made to all pertinent Training and Employment Guidance Letters (TEGLs) (6-00, 7-99 and 8-99) and will be widely distributed in the coming weeks.

6. Data Submission. State reporting personnel and those at the State level who are responsible for certifying the reports have already been issued a PIN/Password from ETA for reporting WIA Performance Reports. If your State has not completed this process, please contact your Regional Office as soon as possible in order to allow for timely reporting.

   This guidance letter transmits instructions for State offices to use in implementing this system. A detailed set of instructions are attached for all three reports (attachment B-1), with step-by-step instructions provided for the quarterly report. The web-based system for reporting is now open. The due date for the 2nd quarter WIA Quarterly Summary Report is March 16, 2001. Thereafter, all quarterly reports will be due in accordance with dates prescribed in the WIA Quarterly Performance Reporting packet (Attachment B). Further instructions for the electronic reporting of individual records and the annual report will be sent when they are available.

   With the implementation of this electronic reporting system, States have sole control over data entry. Once data is certified by the States, Regional Administrators will be responsible for ensuring that data submitted by the State is correct and timely.

7. Action Required. States are required to immediately implement this system. This TEGL and all referenced attachments should be sent to all Local areas responsible for administering the WIA programs, as well as those personnel responsible for participant reporting, and relevant workforce development partners.

8. Inquiries. Questions concerning this TEGL should be directed to your appropriate Regional Office.

9. Attachments.

   A.  Justification for WIA Standardized Record Data (WIASRD)

   B.  Sampling Guidelines for WIASRD

   C.  Use of Wage Records and Supplemental Data Sources

   D.  Customer Satisfaction

   E.  Workforce Investment Act Standardized Record Data (WIASRD)

   F.  Instructions and Form for the WIA Quarterly Summary Report (ETA 9090)

   F-1.  WIA Performance Quarterly Reporting Instructions - A Step-by-Step Guide to the On-Line Reporting System

   G.  Instructions and Form for the WIA Title IB Annual Report (ETA 9091)