Program Reporting and Record Keeping Information

The following reporting information includes timelines and links to reporting formats for the Workforce Investment Act, Wagner-Peyser, Jobs for Veterans Act, National Farmworker Jobs Program, Trade Adjustment Assistance and the PY 2008 High Growth And Community-Based Job Training Grants.

A. Are there certain tests (used to assess literacy and numeracy gains in the WIA Youth Program) determined suitable for use in the National Reporting System that are expiring?

ETA would like states and local areas to be aware of the Federal Register Notice (FRN), Tests Determined To Be Suitable for Use in the National Reporting System for Adult Education, posted on Monday, August 6, 2012, by the Office of Vocational and Adult Education at the U.S. Department of Education (ED). The FRN can be found at http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19143.pdf. The Notice reminds people that a number of tests approved by the National Reporting System (NRS) may expire on February 2, 2013. It explains that the Secretary of Education will allow States a period of time to sunset an expiring test and transition to other tests suitable for use in the NRS. States may use the transition period to select new tests, purchase appropriate inventories of assessment materials, and provide training to staff. Specifically, tests with three-year NRS approvals expiring on February 2, 2013, may continue to be used during a transition period ending on June 30, 2014.

It is possible for tests that were granted the initial three year authorization to provide additional information to ED in order to extend their approval. This NRS assessment review process begins each year on October 1. Which tests will be submitted or whether they will be determined suitable for use in the NRS is unknown. States and local areas should review this FRN and if states and/or local areas are concerned about tests expiring, they can contact the test publisher for more information.

A1. How should the workforce system account for work readiness certifications?

ETA considers work readiness training and assessment to be intensive services, similar to other skill assessment and educational remediation services offered through the public workforce system. According to TEGL 17-05, and more recently in TEGL 15-10, ETA has clearly stated that work readiness certificates do not count for the purposes of the credential attainment rate measure. ETA recognizes that work readiness skills are valued by employers and can help job seekers secure and retain employment and we encourage public workforce agencies to ensure that job seekers are work ready. However, the focus of our credential definition is on attainment of measurable technical or occupational skills. The type of skills documented in work readiness certificates are foundational for many careers, rather than being technical preparation for any specific career. For these reasons, a work readiness certificate, while valuable, is not equivalent to an occupation-specific certificate or degree or to a personnel certification.

A2. Does a Cardiopulmonary Resuscitation (CPR) certificate or a Occupational Safety and Health Administration (OSHA) certificate count towards the Attainment of a Degree or Certificate WIA Performance measure?

ETA has received requests to provide specific guidance related to whether or not a CPR or an OSHA certificate counts for the Attainment of a Degree or Certificate WIA Performance measure. While ETA does not typically specify which credentials count and which credentials do not count toward this measure, it is providing clarification for these two specific credentials given the high volume of questions. The CPR certificate and the OSHA certificate do not count for the degree/certificate measure as they do not meet ETA's intent of its credential definition. By definition (found in Training and Employment Guidance Letter (TEGL) 17-05, Attachment B and further clarified in TEGL 15-10), a credential must be awarded in "recognition of an individual's attainment of measurable technical or occupational skills necessary to gain employment or advance within an occupation." While a CPR or an OSHA training may provide benefit to participants as they begin to gain general knowledge about occupations and occupational standards, participants are unlikely to gain employment or advance within an occupation based solely upon receiving a CPR or an OSHA certificate.

It is important to note that the goal of the Attainment of a Degree or Certificate WIA Performance measure is not simply to increase the number of credentials attained by participants; the credential should ultimately help participants gain employment or advance within an occupation as a result of attaining occupational credentials. Additionally, while they do not count towards the credential measure, WIA funds can pay for CPR and OSHA training if such training is relevant to the design of the individual's service plan.

• September, 2011 Answers:

  A1. What are the ARRA monthly reporting requirements after June 30, 2011?

  As stated in TEGL 27-10, the last required submission of ARRA monthly reports were associated with the month of June, 2011. These reports were to be submitted to ETA by August 15, 2011. After these reports have been submitted, the ARRA monthly reporting process is complete. However, there are two exceptions to this. The first has to do with the reporting of ARRA funded National Emergency Grants (NEGs) that have unexpired ARRA funds. The second relates to the reporting of TANF-funded summer employment participants for states with waivers to report only the work readiness indicator for youth in summer employment who are co-enrolled in TANF. These two exceptions will be explained in questions two and three below.

  A2. What are the requirements for reporting ARRA funded National Emergency Grants (NEGs)?

  The Department of Labor announced the one-time availability of up to $75 million in funding for OJT NEGs funded through the American Recovery and Reinvestment Act of 2009 (ARRA) in TEN 38-09. Additional details, as well as, the reporting requirements were provided in TEGL 04-10. In addition, approximately 40 existing NEGs have active Recovery Act funds that did not expire June 30, 2011.

  Per these guidance and in order to satisfy statutory and regulatory recordkeeping and reporting requirements in ARRA, states must report characteristics, services received, and outcomes of participants served with WIA funds, including active NEGs and the OJT NEGs described n TEN 38-09. Such information is critical to determine the success of these investments. The following performance and fiscal reports, including the monthly ARRA reports, will still be required for ARRA funded NEGs (including the OJT NEGs) through June 30, 2012:

  • ETA 9090 - WIA Quarterly Report (OMB Control No. 1205-0420);
  • Workforce Investment Act Standardized Record Data (WIASRD) Quarterly Submission (OMB Control No. 1205-0420);
  • ETA 9148 - WIA Adults, Dislocated Workers, and National Emergency Grants ARRA Monthly Report (OMB Control No. 1205-0474). This report will still be required to be submitted to ETA by the 15th of each month (for the previous month reporting period) by each state that received an OJT NEG grant or has an active existing ARRA funded NEG.

  As stated above, this report will only be required for states and grantees that received OJT NEG grants or that have active existing ARRA funded NEGs. Furthermore, the requirements associated with ETA form 9148 are different than they were under the previous ARRA reporting periods. Beginning with the July 2011 monthly ARRA report, states and grantees must report only the NEG portion of ETA form 9148. States must leave the Adult and Dislocated Worker sections as they are pre-populated (filled with zeros). The first two reports (July 2011 and August 2011) will be due on the same date as the September report (October 15, 2011).

  • ETA 9130 - U.S. DOL ETA Quarterly Financial Status Report (OMB 1205-0461);
  • ETA 9104 - NEG Quarterly Performance Report (QPR) (OMB 1205-0439);
  • ARRA Section 1512 - Quarterly Recipient Report. Please note, the ARRA recipient report is submitted by direct recipients or designated sub-recipients of ARRA funds to OMB through an electronic reporting system at www.FederalReporting.gov, no later than the 10th day after the end of each calendar quarter. This Recipient Report contains cumulative data on the projects and activities funded by ARRA from the inception of the grant award (jobs created/retained data is quarterly). For additional reporting guidance and references, see TEGL 1-09, Change 1 and 2, Reporting Requirements under Section 1512 of the American Recovery and Reinvestment Act of 2009 as well as OMB guidance found at www.recovery.gov.
  • Workforce Investment Act Standardized Record Data (WIASRD) Quarterly Submission (OMB Control No. 1205-0420);

  In addition, the WIASRD must be submitted quarterly on all participants and exiters from ARRA NEGs. In order to evaluate the success of these NEGs, it is imperative that states make every effort to submit the required reports on a timely basis, and that they be accurate and complete.

  There are a few important WIASRD elements pertaining specifically to OJT and NEG funding sources that must be completed for OJT NEG participants:

  • WIASRD data items 340 and 341 (Type of Training Service #1 and Type of
    Training Service #2) are the sources for determining which individuals received OJT. A lack of complete data on these WIASRD elements will result in an undercounting and underreporting of the number of individuals who received
    OJT;
  • WIASRD data item 342 (Occupational Skills Training Code) is important because it contains information on the occupation in which the individual was trained. This information facilitates the identification of occupations where OJT most often occurs or where it is the most successful in obtaining better employment outcomes for workforce system customers;
  • WIASRD data items 313a, 313b and 313c (1st, 2nd, and 3rd NEG Project IDs) in conjunction with WIASRD data item 326 (Other WIA or Non-WIA Programs) make possible the isolation of individuals who were provided OJT through ARRA-funded NEGs.

  A3. What are the reporting requirements for TANF-funded summer employment participants for states with waivers (MN, NY, CA) to report only the work readiness indicator for youth in summer employment who are co-enrolled in TANF?

  To ease the reporting burden on states, the modified monthly youth participant form (ETA 9149) used in the Summer of PY 2010 is the most convenient method for capturing the required performance data associated with the TANF source of funding in PY 2011.

  The columns titled “TANF Waiver Reporting” are to be used by those states that have a waiver to report only the work readiness indicator for youth in summer employment who are co-enrolled in TANF. These states must fill out and submit (via an email to ETAperforms@dol.gov) only the Program-to-Date Column (column d) of the appended modified ETA form 9149 by October 15, 2011.

  States without the TANF waiver no longer have to report using the Youth ARRA monthly reporting form (ETA 9149).

  • Youth participants served with regular WIA formula and TANF funds and are covered by the TANF waiver will only be reported in the TANF columns of the supplemental youth report.
  • Youth participants served only with TANF funds will not be reported in any of the WIA reports.