Annual WIOA statewide performance report narratives

CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION                 WIOA Performance
               ADVISORY SYSTEM                            CORRESPONDENCE SYMBOL
          U.S. DEPARTMENT OF LABOR                        OWI/OPDR
             Washington, D.C. 20210                       DATE
                                                          November 7, 2018


ADVISORY:       TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 5-18

TO:             STATE AND LOCAL STAKEHOLDERS IN THE WORKFORCE
                INNOVATION AND OPPORTUNITY ACT
                STATE WORKFORCE AGENCIES

FROM:           MOLLY E. CONWAY /s/
                Acting Assistant Secretary

SUBJECT:        Workforce Innovation and Opportunity Act (WIOA) Annual Statewide
                Performance Report Narrative

1. Purpose. To provide guidance to WIOA state grantees regarding the content of the WIOA
   Annual Statewide Performance Report Narrative for titles I and III and the procedures for
   submission to the Employment and Training Administration (ETA). The report is due
   annually on December 1, or the first business day thereafter should that date fall on a
   weekend. The PY 2017 report is due December 3, 2018.

2. Action Requested. WIOA Title I and III grantees are to submit the annual report narrative in
   accordance with this guidance. Recipients should distribute this TEGL to those personnel
   responsible for developing the WIOA Annual Statewide Performance Report Narrative,
   including personnel responsible for performance reporting.

3. Summary and Background.

      a. Summary – This guidance details when and how states submit WIOA Annual
         Statewide Performance Report Narratives and the content ETA requests in these
         narratives.

      b. Background – Each state that receives an allotment under WIOA section 127 (Youth),
         or section 132 (Adult and Dislocated Worker) (for the purposes of this guidance the
         programs within these two sections will be referred to as title I), or sections 301-308
         (title III Wagner Peyser Employment Service) must prepare and submit a WIOA
         Annual Statewide Performance Report Narrative of performance progress to the
         Secretary of Labor in accordance with the “WIOA Common Performance Reporting -
         OMB Control No. 1205-0526.” The WIOA Annual Statewide Performance Report


 RESCISSIONS                                             EXPIRATION DATE
 TEGL 06-13, TEGL 09-14                                  Continuing

          Narrative serves as a complement to the WIOA Annual Statewide Performance Report
          (ETA 9169) requirements defined in OMB Control No. 1205-0526 and in Training and
          Employment Guidance Letter (TEGL) 10-16, Change 1.

          States were previously required to submit annual report narratives under the Workforce
          Investment Act of 1998 (WIA) through PY 2015, but were not required to submit an
          Annual Statewide Performance Report Narrative for PY 2016 as they transitioned to
          the new performance reporting requirements under WIOA.

4. WIOA Annual Statewide Performance Report Narrative Contents. For titles I and III
   core programs, states must submit an Annual Report Narrative, which must be limited to no
   more than 25 pages. States are permitted (but not required) to include appendices, such as
   relevant data tables or state/local area reports, which are not subject to the 25-page limit. The
   WIOA Common Performance Reporting (OMB Control No. 1205-0526) joint information
   collection request requires that other core partner programs (WIOA title II Adult Education
   and Family Literacy Act and WIOA title IV Vocational Rehabilitation) assist in the
   development of the report narrative as appropriate, but these other core programs are not
   required to submit the narrative described in this guidance.

   The WIOA Annual Statewide Performance Report Narrative provides an opportunity for
   states to describe progress towards meeting their strategic vision and goals for the workforce
   system. States are not limited to the requested items below and may include additional
   information about their programs. States have flexibility regarding the contents of the
   Annual Report Narrative, as long as they address the requested items and stay within the 25-
   page limit.

   In their narratives, states should include the following requested items:

      Identify each waiver that the state has had in place for at least one program year and
       provide information regarding the state’s progress toward achieving the goals and
       performance outcomes in ETA’s letter of approval for the waiver (sec 189(i)(3)(C)(ii))
       and outlined in the state’s waiver request (when applicable). Discuss how activities
       carried out under each approved waiver have directly or indirectly affected state and local
       area performance outcomes. To the extent possible, provide quantitative information.

      Identify the two approaches the state has chosen for the Effectiveness in Serving
       Employers performance indicator pilot. If the state is piloting a state-established measure
       of Effectiveness in Serving Employers, or has any other metrics to assess employer
       engagement, describe the measure or metric as well.

      Include brief descriptions of: (a) current or planned evaluation and related research
       projects, including methodologies used; (b) efforts to coordinate the development of such
       projects with WIOA core programs, other state agencies and local boards; (c) a list of
       completed evaluation and related reports and links to where they were made accessible to
       the public electronically; (d) State efforts to provide data, survey responses, and timely

        site visits for Federal evaluations; and (e) any continuous improvement strategies utilizing
        results from studies and evidence-based practices evaluated.

       Describe the state’s approach to customer satisfaction, which may include such
        information used for one-stop center certification, in accordance with 20 CFR 678.800.
        This description should include: 1) the state’s methodologies; 2) the number of
        individuals/employers who were provided customer satisfaction outreach, the response
        rate, and efforts made to improve the response rate; 3) the results and whether the results
        are generalizable to the entire population of customers; and 4) a description of any
        continuous improvement processes for incorporating the customer satisfaction feedback.

In the report, states should consider providing information on:

       Progress made in achieving the state’s strategic vision and goals, as described in the
        state’s Unified or Combined State Plan, for developing its workforce and meeting
        employer needs in order to support economic growth and economic self-sufficiency.

       Progress made in implementing sector strategies and career pathways. The discussion
        may include: business engagement strategies, work-based learning (including
        apprenticeship), work experiences for youth and adults, transitional jobs, and incumbent
        worker training strategies and policies in the state.

       If the state has received a small state minimum allotment exception to decrease the
        minimum out-of-school youth expenditure requirement, describe how the exception has
        impacted services provided to both in-school youth and out-of-school youth, including
        specific strategies for serving each population, as well as how the state and/or local area
        is ensuring serving out-of-school youth remains a priority.

       The state’s performance accountability system, including:

        o Any specific state performance measures or goals and progress towards meeting them.

        o Any performance deficiencies on the primary indicators of performance, which may
          include descriptions of any factors impacting performance.

        o The state’s common exit policy, including which ETA-funded partner programs are
          included in the state’s common exit policy.1

        o Negotiated performance levels for local areas for titles I and III core programs for
          program years 2016-2017.


1
 Common exit occurs when a participant, enrolled in multiple partner programs, has not received services from any
DOL-administered program in which the participant is enrolled, to which the common exit policy applies, for at least
90 days, and no future services are planned.

       o The state’s approach to data validation and ensuring data integrity, including a
         description of the methodology of any validation activities that occurred.

      Activities provided by state funds:

       o Activities provided with the funds reserved by the governor, which can be up to 15%
         of the state’s allotment.2 In this section of the narrative, states may describe activities
         undertaken in whole or in part with their Governor’s Reserve and how those activities
         have directly or indirectly impacted performance.

       o Rapid response activities and layoff aversion, which may include:

              Data on number of companies served and number of individuals served.

              Discussion of strategies for linking Rapid Response recipients to American Job
               Centers and processes for intake or co-enrollment in the Trade Adjustment
               Assistance and the Dislocated Worker programs.

              Discussion of layoff aversion strategies, including any metrics/outcomes
               developed and/or tracked by the state with respect to layoff aversion, such as
               return on investment or measures showing the economic benefits of Rapid
               Response and layoff aversion.

              Discussion of how Rapid Response and layoff aversion activities are aligned with
               business engagement, sector strategy, and career pathway efforts, which may
               include a discussion of any systems, tools, networks or approaches designed to
               identify companies in distress and strategies to deliver necessary solutions as early
               as possible, as well as outcomes of the use of such systems or tools.

              Discussion of specific types of services or workshops provided to both companies
               and affected workers.

       o Activities provided under the Wagner-Peyser Act Employment Service section 7(b)
         (e.g., services to groups with special needs or extra costs of exemplary models for
         delivering services).

      Any National Dislocated Worker Grants (DWGs) awarded to or within the state and how
       those funds are coordinated with state rapid response activities and dislocated worker
       programs, as well as how the DWGs fit in with state co-enrollment policies and
       disaster/emergency management activities, as applicable.

      Any technical assistance needs of the state workforce system.


2 See WIOA section 128(a)(1).

      Promising practices, lessons learned, and success stories that focus on serving employers,
       communities, and individuals with barriers to employment, including information based
       on the state's evaluation and related research projects. This discussion should cover a
       broad range of at-risk and priority populations served, including out-of-school youth,
       low-income adults, dislocated workers, individuals who are basic skills deficient,
       individuals with limited language proficiency, individuals with disabilities, veterans, the
       long-term unemployed, and any other individuals with barriers to employment, or other
       populations the state may wish to discuss.

      Any challenges the state workforce system faces, which may include policy,
       implementation, or other relevant challenge.

      Any strategies/polices relating to Pay-for-Performance contracting, which may include
       examples from local areas.

5. Due Date: The Annual Statewide Performance Report Narrative for PY 2017 is due on
   December 3, 2018, and will reflect information about activities and outcomes taking place for
   PY 2017, which is July 1, 2017, through June 30, 2018. Subsequent Report Narratives are
   due by the close of business on December 1 for the program year ending June 30 of the same
   year, or the first business day thereafter should December 1 fall on a weekend.3

6. Submission: An electronic copy of the WIOA Annual Statewide Performance Report
   Narrative must be e-mailed to [email protected] by the close of business on December 3,
   2018, for the PY 2017 submission, with a courtesy copy e-mailed to the state’s respective
   ETA Regional Administrator and Federal Project Officer. Hard copies of the report may be
   submitted but are not required. ETA will publish each state’s report at
   https://www.doleta.gov/performance. ETA will only accept 508-compliant PDF formats,
   which means that WIOA Annual Statewide Performance Report Narratives must be
   submitted electronically in a machine-readable format to comply with requirements set forth
   in Section 508 of the Rehabilitation Act, since each state’s report will be posted on ETA’s
   Performance web site.

7. Inquiries. Please direct questions concerning this TEGL to your appropriate DOL ETA
   Regional Office.

8. References. See Attachment I.

9. Attachment(s).
   Attachment I – References


3 Please note, as identified in previous guidance (TEGL 03-17, WIOA Annual Performance Report

Submission), the WIOA Annual Statewide Performance Report (ETA-9169) is due not later than October
1 each year.

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2018/TEGL_5-18_Attachment_Acc.pdf)

Attachment I


                                     References


   Workforce Innovation and Opportunity Act, Pub. L. 113-128

   Joint Rule for Unified and Combined State Plans, Performance Accountability, and the
    One-Stop System Joint Provisions; Final Rule (WIOA Joint Final Rule) published at 81
    FR 55792 (Aug. 19, 2016)

   Employment and Training Administration, Workforce Innovation and Opportunity Act;
    Final Rule (WIOA DOL Final Rule) published at 81 FR 56071 (Aug. 19, 2016)

   DOLETA Performance Reporting page: https://doleta.gov/performance/reporting/

   DOLETA State Plan Resources page: https://doleta.gov/wioa/State_Plan_Resources.cfm

   Required Elements for Submission of the Unified or Combined State Plan and Plan
    Modifications under the Workforce Innovation and Opportunity Act, (OMB Control No.
    1205-0522), https://doleta.gov/wioa/docs/December17-ICR-State-Plan-Modification.pdf

   Workforce Innovation and Opportunity Act (WIOA) Common Performance Reporting -
    OMB Control No. 1205-0526

   Training and Employment Guidance Letter (TEGL) 10-16, Change 1, Performance
    Accountability Guidance for Workforce Innovation and Opportunity Act (WIOA) Title I,
    Title II, Title III and Title IV Core Programs (August 23, 2017)

   TEGL 03-17, WIOA Annual Performance Report Submission (September 12, 2017)


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