Employment and Training Administration
Washington, D. C. 20210


Labor Exchange




November 21, 2002















Assistant Secretary




Clarification and Guidance on PY 2002 Labor Exchange Transition Issues for the ETA 9002 and VETS 200 Reports

  1. Purpose. To provide state workforce agencies with clarification and guidance on transition issues affecting the revised ETA 9002 and VETS 200 reports contained in the ET Handbook 406 and reporting for the first quarter; the continued reporting of Migrant and Seasonal Farm Worker (MSFW) program activity via the ETA Standard Form 5148; and the projected timeframe to establish labor exchange performance levels for states.

  2. References.

    1. Training and Employment Guidance Letter 1-02 on Transmittal of ET Handbook No. 406: Reporting Instructions for ETA 9002 and VETS 200 Reports

    2. Labor Exchange Performance Measures, 66 FR 29848-53, May 31, 2001; Federal Register, Vol. 66, No. 109, June 6, 2001

    3. Wagner-Peyser Act as amended, Section 10 (c) and Section 3 (c)(2).

    4. Public Law (P.L.) 38 U.S.C. 4107 (b) (c) and 4212 (c) and P.L. 100-323 and P.L. 105-339 38 U.S.C. 4212 (a).

    5. Workforce Investment Act of 1998, Section 168.

    6. Code of Federal Regulations 20 Part 651, 653 and 658.

  3. Background. In the May 31, 2001, Federal Register, the Department announced the establishment of final performance measures for the public labor exchange administered as part of the One-Stop delivery system of the states. These measures became effective July 1, 2001. A revised set of reporting instructions for the ETA 9002 and VETS 200 reports to support the new labor exchange performance measurement system was published by the Department in the June 6, 2001 Federal Register (Vol. 66, No. 109). These instructions, distributed to the states through the draft ET Handbook 406, received approval in accordance with the Paperwork Reduction Act by the Office of Management and Budget (OMB) in April 2002 and will remain in effect until April 30, 2005.

    Effective July 1, 2002, states began using ET Handbook No. 406 (ETA 9002 and the VETS 200 instructions and forms) to report quarterly information on the services and outcomes of registered job seekers and employers receiving services through the public labor exchange as part of the One-Stop delivery system of the states. Information derived from the ETA 9002 and VETS 200 reports and specifications will enable the Department and states to more effectively assess and further enhance the value of the labor exchange for our customers.

  4. Transition Issues.

    1. PY 2002 Carry-In of Job Seekers and Job Openings. There is no carry-in of registered job seekers from PY 2001 into PY 2002. Similarly, there is no carry-in of job openings/orders received. Additional questions on topics related to implementation of the new Labor Exchange Performance Measurement system will be covered in a set of questions and answers to be issued in this first quarter of PY 2002.

    2. Validation Software. ETA 9002 and VETS 200 data validation software and user's guide are now available for downloading by states at oui.doleta.gov. The software was developed as a tool to assist states in assessing the accuracy of their 9002/VETS 200 data. States are encouraged to use the report validation software to: 1) verify the accuracy of data extract files produced by current state management information systems; and/or 2) create in text file format, the actual ETA 9002/VETS 200 reports needed for quarterly uploading to DOL's Enterprise Information Management System (EIMS) for the public labor exchange. Version 1 of the report validation software was beta-tested by several states in June 2002.

      The EIMS system has been programmed for "zero report handling" (i.e., the acceptance of reports in which certain data elements may not be available at report submission and zeros are entered to allow for report submission). Guidance to states on the submission of a "zero" quarterly report, as well as instructions on uploading the ETA 9002/VETS 200 reports to the EIMS system are also posted on the OWS website.

    3. 5148 Reporting for MSFWs. States are required to continue the quarterly reporting of services to MSFWs via the 5148 Report. The tables below indicate the 5148 elements that are linked to the revised 9002 as well as those that are not. States should be aware that the current service delivery model for MSFWs is under review and the current reporting regime will remain in place until written guidance is issued to states regarding the establishment of a new reporting system. Until that point, USES has developed a crosswalk to facilitate reporting on the equity indicators of compliance (Referred to Jobs, Provided Some Service, Referred to Supportive Services, Counseled and Job development).

      Equity Indicators
      Data from 5148 New 9002 data
      1) Referred to Jobs Replace with “Referred to Employment” (See 9002A, Column H, Row 15)
      2) Provided w/ Some Services Replace with “Received Staff Assisted Services” (See 9002A, Column H, Row 12)
      3) Referred to Supportive Services Same. (See 9002A, Column H, Row 17)
      4) Job Development Contacts This data item is a constituent element of the aggregate item entitled “Received Staff-Assisted Services” (See 9002A, Column H, Row 12)
      5) Counseled Replace with “Career Guidance” (See 9002A, Column H, Row 13)

      Minimum Service Level Indicators
      1) Placed in a jobContinue to Report
      2) Placed $.50 above minimum wageContinue to Report
      3) Placed in a long-term non-ag jobContinue to Report
      4) Review of Significant OfficeContinue to Report
      5) Field Checks conductedContinue to Report
      6) Outreach ContactsContinue to Report
      7) Timely process of ES ComplaintsContinue to Report
    4. Levels of Performance. ETA expects to begin state negotiation of performance levels for the new labor exchange performance measures sometime during PY 2003. ETA will use Program Year 2002 to collect and analyze data from the states' quarterly reports, from the results of a joint pilot with the Veterans' Employment and Training Service (VETS), and from state-developed baselines to study how the system is performing under the new labor exchange and VETS performance measures. These analyses will be supplemented by the development of an econometric model as a means of establishing a process to work with states to develop a basis for the determination of proposed performance levels for each measure.

      Regarding the ETA/VETS pilot mentioned above, ETA is currently administering a pilot to collect aggregate, state-wide data matched against UI wage record data to anticipate expected state performance outcomes under the new labor exchange performance measures. Data from three (3) program years (PYs 1999, 2000 and 2001) will be analyzed under the scope of the pilot. Individual state reports will continue to be submitted on a quarterly basis, with aggregate national data reviewed quarterly and semi-annually by regional and national office staff.

    5. First Quarter ETA 9002/VETS 200 Report Expectations. States are reminded that the first ETA 9002 and VETS 200 quarterly reports due (November 14, 2002) under the revised reporting requirements will capture services only. These reports are the: ETA 9002A (Services to Job Seekers); ETA 9002B (Services to Veterans); and the VETS 200 (DVOP/LVER Services to Veterans). The first reportable data on job seeker entered employment outcomes will be due November 13, 2003; and, the first data job seeker retention of employment data will be due May 15, 2004.

  5. Action Required. The revised reporting instructions for the ETA 9002 and VETS 200 reports as well as the report submission date for the SF-5148 report became effective on July 1, 2002. State workforce agencies shall distribute this guidance to all appropriate state and local staff. The revised reporting instructions (ET Handbook No. 406) are available at oui.doleta.gov/employ.asp.

  6. Inquiries. Questions regarding this issuance should be directed to your Regional Office.