Use of workforce participant Social Security numbers

Accessible letter PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2008/TEGL05-08acc.pdf

CLASSIFICATION
         EMPLOYMENT AND TRAINING                    WIA/Performance Measures
      ADMINISTRATION ADVISORY SYSTEM                CORRESPONDENCE SYMBOL
         U.S. DEPARTMENT OF LABOR                   PROTECH
            Washington, D.C. 20210                  DATE
                                                    November 13, 2008

TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 5-08

TO:          ALL STATE WORKFORCE LIAISONS
             ALL STATE WORKFORCE AGENCIES

FROM:        Brent R. Orrell /s/
             Deputy Assistant Secretary

SUBJECT:     Policy for Collection and Use of Workforce System Participants’ Social
             Security Numbers


    1. Purpose. To provide guidance to states regarding the collection and use of social
     security numbers for participants accessing Workforce Investment Act (WIA)
     and other workforce programs’ services.

    2. References. Privacy Act of 1974, 5 U.S.C. section 552a Note; Workforce
     Investment Act of 1998, 29 U.S.C. section 2935; Performance Accountability
     under Title I of the Workforce Investment Act, 20 CFR 666.150; Income and
     Eligibility Verification System, 20 CFR 603; Training and Employment Guidance
     Letter (TEGL) 17-05, Common Measures Policy for the Employment and Training
     Administration’s (ETA) Performance Accountability System and Related Performance
     Issues.

    3. Background. States face a difficult challenge of balancing the need to collect a
     participant’s social security number for performance and reporting requirements
     with the obligations to limit the burden of data collection and maintain
     participant privacy. To that end, this guidance provides clarification about the
     point at which a state should request a participant’s social security number for
     WIA and other workforce system purposes.

       ETA’s statutory and regulatory authority to administer job training and
       employment programs includes provisions requiring performance reporting
       from states and other grantees on participant outcomes. ETA has provided
       guidance to states that a program participant is an individual who is determined
       eligible to participate in the program and receives a service funded by the
 RESCISSIONS                                        EXPIRATION DATE
                                                    Continuing

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   program in either a physical location or remotely through electronic
   technologies. (TEGL 17-05, Section 6 (Program Participation and Exit under
   Common Measures)). Consistent with that guidance, program participation
   begins on the first date that the individual receives a service funded by the
   program. Program participation also marks the point at which all participants,
   except some self-service participants, become part of the pool of participants
   used to calculate performance measure outcomes.

   States are required, consistent with state law, to use quarterly wage record
   information in measuring the progress against state and local performance
   measures. (20 CFR 666.150) States must use social security numbers to match a
   program participant’s records with that individual’s quarterly wage record
   information to assess the impact of program services.

4. Policy. When requesting a participant’s social security number, states should
   explain how the social security number will be used and how a participant’s
   privacy will be ensured. For purposes of compliance with ETA training
   programs, states must use social security numbers only for the calculation of
   program performance measure outcomes. States must ensure that social security
   numbers will be maintained in a secure and confidential manner. State
   workforce agencies are responsible for following the requirements pertaining to
   the confidentiality and disclosure of state unemployment compensation
   information (which includes wage records) found at 20 CFR 603.

   ETA interprets WIA to permit the prohibition of disclosure of a participant’s
   social security number. This prohibition springs from WIA section 185(a)(4).
   WIA section 185(a)(4) states that records maintained by states must be made
   available to the public upon request with certain exceptions. These exceptions
   include the disclosure of information that would constitute a clearly
   unwarranted invasion of personal privacy and privileged or confidential
   financial information. (WIA section 185(a)(4)(B)) A participant’s social security
   number is entitled to this exception.

   This guidance does not imply or require that a participant provide a social
   security number to the state to receive services through WIA or any other
   workforce investment program, with the exception of a participant filing a claim
   for unemployment compensation. In instances where a participant does not
   provide a social security number, states should exclude the outcomes of this
   individual from performance measures, unless supplemental information is
   available to verify the performance outcomes for non-wage based measures,
   which is consistent with established policy.

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   Section 7 of the Privacy Act (5 U.S.C. Section 552a Note (Disclosure of Social
   Security Number)) provides that unless the disclosure is required by Federal
   statute, "It shall be unlawful for any Federal, state or local government agency to
   deny to any individual any right, benefit, or privilege provided by law because
   of such individual's refusal to disclose his social security account number."
   Again, the one exception is that claimants filing for unemployment insurance
   must provide their social security number.

5. Guidelines. The following are guidelines for states regarding when to request a
   participant’s social security number. States should not consider these guidelines
   exhaustive. States may collect a social security number at an earlier point of
   service; however, such decisions must be defined by official state policies and
   shared with the appropriate One-Stop staff. States must request a participant’s
   social security number when offering the following services, keeping in mind
   that the state must not deny access to any participant who refuses to provide a
   social security number:

       •    Staff-Assisted Core Services related to eligibility determination, job
            search activities, and employment. These services would include
            activities such as: staff-assisted career guidance including the
            development of an employability and/or individual employment plan,
            assessments, career guidance and counseling, customized labor market
            information, resume assistance, federal bonding assistance, job search
            assistance, job referrals, and career workshops.

       •    All Training and Education Services. These services include assessment
            tests used to ascertain a participant’s educational level and/or
            employability, occupational skills training, on-the-job training,
            educational and job training counseling, referrals to educational
            services, and pre-vocational training and related services.

       •    Self-Services. These services are those that an individual accesses
            independently without staff assistance, either in a physical One-Stop
            Center, or remotely via the Internet. States should be clear that a social
            security number will be requested if and when a person who accesses
            self-services requests any staff-assisted service and/or is seeking to
            access more intensive services. Visitors who wish to review the list of
            services available through a One-Stop Center, who want to access labor
            market information, or who are conducting a job search without the
            assistance of staff and do not request a referral to a specific job may take
            advantage of self-service activities offered through the state’s One-Stop
            Centers without providing a social security number.

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   In addition to the services listed above, social security numbers shall be
   requested when a participant is co-enrolling in a program that offers intensive
   training services or provides financial assistance (for example, a Trade
   Adjustment Assistance Relocation Allowance).

6. Inquiries. States may contact the appropriate Regional Office if they have any
   questions or need further clarification on this guidance.