Revised Welfare-to-Work financial and participant reporting

U. S. Department of Labor
Employment and Training Administration
Washington, D.C. 20210
CLASSIFICATION
WtW
CORRESPONDENCE SYMBOL
OAS
DATE
April 5, 2001
TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 11-97, CHANGE 2
TO: STATE WELFARE-TO-WORK CONTACTS
STATE WORKFORCE LIAISONS
for
FROM: LENITA JACOBS-SIMMONS
Deputy Assistant Secretary
SUBJECT: Revised Welfare-to-Work Financial and Participant Reporting RESCISSIONS: None stated EXPIRATION DATE: Continuing

1. Purpose. To transmit a revised Welfare-to-Work (WtW) financial and participant reporting format
   and corresponding revised instructions for WtW formula grantees.
2. Authorities and References.
   < Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L.104-193)
   < Balanced Budget Act of 1997 (Pub. L. 105-33) amending Title IV-A of the Social Security Act
   < WtW and Child Support Amendments of 1999 (1999 Amendments) (introduced as Title VIII of H.R. 3424 and enacted as part of the Consolidated Appropriations Act for FY 2000 (Pub. L. 106-113))
   < WtW Regulations, 20 CFR Part 645, Final/Interim Final Rule published at 66 Federal Register 2690 (January 11, 2001), effective date April 13, 2001
   < Notice of Office of Management and Budget (OMB) Action (OMB No. 1205-0385), dated April 2, 1998, approving Form Nos. ETA-9068 and ETA-9068-1, in accordance with the Paperwork Reduction Act of 1995
   < Notice of OMB Action (OMB No. 1205-0385), dated February 11, 1999, approving a revision to OMB Approval Action No.1205-0385, dated

April 2, 1998

< Notice of OMB Action (OMB No. 1205-0385), dated March 2, 2001, approving a revision to OMB Approval Action No. 1205-0385, dated February 11, 1999
< Training and Employment Guidance Letter (TEGL) No. 11-97, dated June 24, 1998
< TEGL No. 11-97, Change 1, dated February 22, 1999
< Federal Register (Volume 63, Number 225), dated November 23, 1998
< WtW Administrative and Fiscal Questions and Answers related to reporting; see all questions and answers at http://wtw.doleta.gov/q&a/administrative.asp
< WtW Eligibility Questions and Answers, Question and Answer #E27; see http://wtw.doleta.gov/q&a/eligibility.asp

3. Background. The 1999 Amendments made several changes to WtW Program, including
   the elimination of the participant and financial reporting requirements as originally enacted. The 1999 Amendments authorized the Secretary of Labor, in consultation with the Secretary of Health and Human Services as well as States, organizations representing States, and localities, to establish requirements for the collection and maintenance of financial and participant information and the reporting of such information. The reporting format and instructions transmitted in TEGL No. 11-97, Change 1, have thus been revised to conform with the financial and participant changes authorized under the 1999 Amendments.
4. Specific Revisions. The following changes have been made to the WtW Formula Grant
   Cumulative Quarterly Financial and Participant Status Report.
   < The “Federal Expenditures by Activity” section has been deleted, and has been replaced by line 7, “Federal Program Expenditures.”
   < New line items have been created to capture data on the new eligibility categories created by the 1999 Amendments. These lines items are:
   < 24(a): general eligibles/noncustodial parents
   < 24(a)(1): long-Term Temporary Assistance for Needy Families (TANF) recipients and exhaustees
   < 24(a)(2): noncustodial parents
   < 24(b): other eligibles
   < 24(b)(1): TANF recipients with characteristics of long-term welfare dependence or barriers to self-sufficiency
   < 24(b)(2): former foster care participants
   < 24(b)(3): custodial parents with incomes below 100% of poverty

Please note: Entries for items 24(a) and 24(b) should represent the cumulative aggregate number of all participants served in the general eligibility/noncustodial parents and other eligibles eligibility categories, respectively, since the inception of the grant. Therefore, item 24 should be the sum of items 24(a) and 24(b). Entries for items 24(a)(1) and 24(a)(2), and entries for items 24(b)(1) through 24(b)(3), should represent the cumulative aggregate number of all participants enrolled in the eligibility subcategories under the general eligibility/noncustodial parents and other eligibles eligibility categories, respectively, since the effective date of the 1999 Amendments (July 1, 2000). We are applying these new reporting elements retroactive to the effective date of the 1999 Amendments, not retroactive to the inception of the grant. Please review the reporting instructions for additional information.
< New line items have been created to capture basic participant demographic information. These line items are: 31 and subparts (gender), 32 and subparts (age), 33 and subparts (race and ethnicity), and 34 (participant-volunteered disability). Please note: Entries for Items 31 through 34 should represent the cumulative aggregate number of all participants enrolled in these categories since the effective date of the 1999 Amendments (July 1, 2000). We are applying these new reporting elements retroactive to the effective date of the 1999 Amendments, not retroactive to the inception of the grant. Please review the reporting instructions for additional information.
< The revised reporting instructions clarify that the earnings gained and retention line items are cumulative. Grantees who have not been reporting cumulatively on these line items in the past must cumulate all previously-submitted data and must enter cumulative data for these line items on the report for the quarter ending June 30, 2001.
< The revised reporting instructions clarify reporting on the placement line items (lines 26, 27, 28, and their subparts), and clarify the use of alternate data sources for reporting on the retention and earnings gained items (lines 29, 30(a) and 30(b)).

5. Action Required. The State is required to report on the revised format beginning with the quarter
   ending June 30, 2001 (April 1, 2001 - June 30, 2001). The first report on the revised format is, therefore, due in the Employment and Training Administration no later than August 15, 2001. The State is reminded to have the designated official within the organization review the data for accuracy and completeness prior to entering the Password and Personal Identification Number (PIN). This official is also responsible for timely submission of the data.
6. Inquiries. Questions of a technical nature, related to the electronic entry of WtW data, should be
   directed to Shakil Khandoker by E-Mail at [email protected], or by telephone

on (202) 693-3436. Questions related to financial and/or administrative data reporting should be directed to the Regional Office, or to Isabel Danley ((202) 693-3047; [email protected]) or Thomas Martin ((202) 693-2989; [email protected]). Questions related to participant data reporting should be directed to the Regional Office, or to Gretchen Sullivan ((202) 693-3386; [email protected]).

7. Attachments.
   A. Revised WtW Formula Grant Cumulative Quarterly Financial and Participant Status Report (ETA-9068) B. Revised Instructions for Reporting WtW Formula Grants Financial and Participant Data

Editor's note: The letter names Attachment A, a revised ETA-9068 report form, and Attachment B, reporting instructions. ETA's current advisory page links only the 15-page instructions PDF transcribed below; it does not provide Attachment A.

Attachment B — Revised Instructions for Reporting WtW Formula Grants Financial and Participant Data Official attachment PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2001/TEGL11-97-CH2Attach.pdf

INSTRUCTIONS FOR REPORTING
WELFARE TO WORK FORMULA GRANTS
FINANCIAL AND PARTICIPANT DATA
GENERAL INSTRUCTIONS: The Welfare to Work (WtW) Formula Grant Cumulative Quarterly Financial and Participant Status Report provides the required data elements for the formula grant recipients to report cumulative expenditures and program income on an accrual basis. Participant characteristics and summary data are also required to be reported. The format is structured so that only one report will be required for each reporting period. For Fiscal Year (FY) 1998 grants, only Column I will contain entries. For FY 99 grants, Column II will contain entries, as applicable. Electronic transmittal of the data requested on the attached hard copy prototype format is now available for all WtW formula grantees who have Internet accessibility and who have provided E-mail addresses to Employment and Training Administration (ETA). On-Line reporting instructions have been provided to the grantees with the issuance of Passwords and Personal Identification Numbers (PINs). The first required report on the revised format should include cumulative data through June 30, 2001. This data will be due to ETA no later than August 15, 2001. The majority of this data will be cumulative from the inception of the grant; however, certain data is required to be reported cumulatively only since the implementation date of the WtW Amendments (July 1, 2000). Please see Sections V. and VI. for detailed instructions. Subsequently, the required data is to be transmitted to Regional Offices quarterly, no later than 45 days after the end of each reporting quarter, and 90 days after the expiration of fund availability, or 90 days after all grant funds have been expended, whichever comes first. (Specifically, data for the quarter ending December 31 is due February 14, data for the quarter ending March 31 is due May 15, data for the quarter ending June 30 data is due August 15, and data for the quarter ending September 30 is due November 14.) NOTE: If a participant is being served concurrently by both FY 98 and FY 99 formula grant funds, that participant and his/her associated expenditures should be reported on both FY reports. In addition, if a grantee has expended its entire FY 98 formula grant, and wishes to continue to serve, with FY 99 grant funds, participants who were originally served under the FY 98 grant, the grantee should begin reporting the participants and their associated expenditures on the report for the FY 99 grant in the quarter in which the participants begin to receive services paid for with FY 99 money. The participants should not be terminated from the FY 98 grant in order to be served under

the FY 99 grant, nor should the participants’ counts or associated expenditures be removed from the FY 98 report and moved onto the FY99 report. Participants served by both FY grants should appear, with their associated expenditures, on the reports for both FY grants. DETAILED INSTRUCTIONS: ITEM a. Enter the name and address of the grant recipient. ITEM b. Enter the end date of the quarter reported. COLUMN I. Place an "X" by either Quarterly or Final to indicate whether data entered in Column I is cumulative through quarter identified in item b. above, or final data for the FY 98 award. Enter the FY 98 Grant #. All data entered in Column I should correspond to the FY 98 funds and Grant # identified. Adjustments to amounts entered in Column I of a previous report should be reflected in current reporting quarter, with an explanation in Section VII., Remarks. COLUMN II. Place an "X" by either Quarterly or Final to indicate whether data entered in Column II is cumulative through quarter identified in item b. above, or final data for the FY 99 award. Enter the FY 99 Grant #. All data entered in Column II should correspond to the FY 99 funds and Grant # identified. Adjustments to amounts entered in Column II of a previous report should be reflected in current reporting quarter, with an explanation in Section VII., Remarks. COLUMN III. Place an "X" by either Quarterly or Final to indicate whether data entered in Column III is cumulative through quarter identified in Item b. above, or final data for the FY 2000 award. Enter the FY 2000 Grant #. All data entered in Column III should correspond to the FY 2000 funds and Grant # identified. Adjustments to amounts entered in Column III of a previous report should be reflected in current reporting quarter, with an explanation in Section VII., Remarks. SECTION I. GRANT TOTAL ITEM 1. Federal Allotment (NOO) States should enter the amount of the Federal WtW formula grant award amount when submitting quarterly data. ITEM 2. Non-Federal Match Expenditures Enter the cumulative total amount of non-federal match expenditures, including both cash and in-kind.

(Entry includes the amount reported at Item 3).
ITEM 3. Non-Federal In-Kind Match Expenditures (75% Maximum)
Enter that portion of the amount entered at Item 2 which is in-kind match from third parties (entities that receive no WtW funds). This entry should not exceed 75% of total match expenditures reported at the end of the grant. ITEM 4. Federal Expenditures Enter the State cumulative aggregate Federal WtW accrued expenditures for the FY of funds reported, through the end of the quarter being reported. This entry should equal the sum of Items 8(a) and 8(b), and also the sum of Items 13 and 18. ITEM 5. Federal Administrative Expenditures (15% Maximum) Enter the State cumulative aggregate administrative expenditures included in Item 4. (Be sure to exclude Federal Technology Computerization expenditures reported at Item 6.) NOTE: At the end of the three-year life of a fiscal year of funds, or when all of a FY of funds have been expended, this entry should not exceed 15 percent of the total grant award amount. ITEM 6. Federal Technology/Computerization Expenditures Enter the State cumulative aggregate expenditures for information technology (computer hardware or software) needed for tracking or monitoring under a WtW grant. This amount is included in Item 4. (Do not include this amount in Item 5.) ITEM 7. Federal Program Expenditures Enter the State cumulative aggregate expenditures for allowable program activities provided to all eligible WtW participants. This amount is to be included as part of Item 4. NOTE: WtW Formula grantees are required to use vouchers or contracts for the provision of job readiness, job placement, and post-employment services. When vouchers or contracts are used for placement in unsubsidized jobs, only include expended portion of the voucher or contract as a program expenditure. Do not include the ½ holdback for 6-month unsubsidized placement in the workforce until the expenditure has been incurred. ITEM 8. Federal Expenditures For:

ITEM 8(a) GENERAL ELIGIBILITY/NONCUSTODIAL PARENTS CATEGORY
Enter the State cumulative aggregate Federal accrued expenditures for individuals served in the “General Eligibility/Noncustodial Parents” category. Please note: Section 403(a)(5)(C), as amended by the “Welfare-to-Work and Child Support Amendments of 1999" (Title VIII, Section 801 of the Consolidated Appropriations Act for FY 2000), which addresses expenditures upon participants served in the “Other Eligibles” category, states that an operating entity may spend not more than 30 percent of the WtW funds allotted to or awarded to the operating entity to assist individuals who meet the “Other Eligibles” eligibility requirements. Therefore, as not more than 30 percent of a grantee’s award may be spent upon individuals in the “Other Eligibles” category, the remaining funds allotted to or awarded to the operating entity are to be spent to benefit individuals who meet the “General Eligibility/Noncustodial Parents” eligibility requirements. ITEM 8(b) OTHER ELIGIBLES CATEGORY Enter the State cumulative aggregate Federal accrued expenditures for individuals in the “Other Eligibles” category. Please note: Section 403(a)(5)(C), as amended by the “Welfare-to-Work and Child Support Amendments of 1999" (Title VIII, Section 801 of the Consolidated Appropriations Act for FY 2000), which addresses expenditures upon participants served in the “Other Eligibles” category, states that an operating entity may spend not more than 30 percent of the WtW funds allotted to or awarded to the operating entity to assist individuals who meet the “Other Eligibles” eligibility requirements. Note: The sum of Items 8(a) and 8(b) should equal Item 4. ITEM 9. Federal Unliquidated Obligations Enter the State cumulative aggregate Federal WtW funds that have been obligated (contracts and purchase orders) but for which services or goods have not been received. States have 90 days after the fund availability period has expired to liquidate obligations made during the period of fund availability. This amount should be zero on the final report submitted for each grant. (Obligations incurred minus accrued expenditures (Item 4) should equal unliquidated obligations.) ITEM 10. Federal Unobligated Funds Enter that portion of the State cumulative aggregate Federal WtW allotment that has neither been expended nor obligated. (Federal Allotment, Item 1, minus Federal Expenditures, Item 4, minus Unliquidated Obligations, Item 9, should equal Federal Unobligated Funds.)

SECTION II. FEDERAL SPECIAL PROJECTS (15% MAXIMUM SET ASIDE PLUS SPECIAL RULE DISTRIBUTION) ITEM 11. Set Aside (15% Maximum) Enter the State Set Aside (a maximum of 15% of States WtW allotment for the FY) The 15 percent Set Aside may be expended for such items as special projects, state administration, capacity building and incentive awards. NOTE: Item11 should equal no more than 15 percent of Item 1. ITEM 12. Federal Special Rule Distribution (SDA formula <$100,000) Enter that portion of the State Federal WtW allotment attributable to the State's service delivery areas (SDAs) whose formula allocation was calculated to be less than the $100,000 threshold. (This amount is then added to the 15% Set Aside and may be used for same purposes.) ITEM 13. Federal Expenditures Enter the State cumulative aggregate expenditures from the 15% Set Aside funds identified at Item 11, plus the expenditures from the Special Rule Distribution funds identified at Item 12. ITEM 14. Federal Administrative Expenditures Enter the cumulative aggregate administrative expenditures included in Item 13. Do not include technology/computerization expenditures, which are reported at Item 15. ITEM 15. Federal Technology/Computerization Expenditures Enter the cumulative aggregate expenditures for information technology (computer hardware or software) needed for tracking or monitoring under a WtW grant. This amount is included in Item 13. Do not include these expenditures in Item14. ITEM 16. Federal Program Expenditures Enter the cumulative aggregate expenditures for allowable program activities provided to participants attributable to the State Set Aside funds. This amount is included as part of Item 13. SECTION III. PASS THROUGH FUNDS (85% LESS SPECIAL RULE DISTRIBUTION) ITEM 17. Allocation of Federal WtW Funds to Local Areas Enter the Federal 85% minimum WtW funds distributed by the State among the service delivery areas

within the State pursuant to Section 403(a)(5)(A)(vi). This excludes the amount of the State's allotment attributable to SDAs whose formula allocation was calculated to be less than the $100,000 threshold (amount reported at Item 12). ITEM 18. Federal Expenditures Enter the State cumulative aggregate Federal expenditures attributable to the Pass Through Funds. ITEM 19. Federal Administrative Expenditures Enter the State cumulative aggregate administrative expenditures included in Item 18. Do not include technology/computerization expenditures which are reported at Item 20. ITEM 20. Federal Technology/Computerization Expenditures Enter the State cumulative aggregate expenditures for information technology (computer hardware or software) needed for tracking or monitoring under a WtW grant. This amount is included in Item 18. Do not include these expenditures in Item19. ITEM 21. Federal Program Expenditures Enter the State cumulative aggregate Federal program expenditures for allowable activities attributable to the Pass Through Funds. This amount is included as part of Item 18. SECTION IV. FEDERAL PROGRAM INCOME ITEM 22. Program Income Earned Enter the State cumulative aggregate Federal WtW program income earned in carrying out the objectives of the grant, less any costs incident to the generation of the program income. These funds are additional to the Federal allotment amount, Item 1. ITEM 23. Program Income Expended Enter that portion of earned program income reported at Item 21, which has been expended to further the WtW program objectives. (These cumulative aggregate accrued expenditures are separate from any other expenditures reported.) SECTION V. PARTICIPANT SUMMARY IMPORTANT NOTE:

Entries for Items 24(a) and 24(b) should represent the cumulative aggregate number of all participants served in the general eligibility/noncustodial parents and other eligibles eligibility categories, respectively, since the inception of the grant. Therefore, Item 24 should be the sum of Items 24(a) and 24(b). Entries for Items 24(a)(1) and 24(a)(2), and entries for Items 24(b)(1) through 24(b)(3), should represent the cumulative aggregate number of all participants enrolled in the eligibility subcategories under the general eligibility/noncustodial parents and other eligibles eligibility categories, respectively, since the effective date of the WtW 1999 Amendments (July 1, 2000). We are applying these revised reporting elements retroactive to the effective date of the WtW 1999 Amendments, not retroactive to the inception of the grant. Therefore, grantees are required to report data for Items 24(a)(1) and 24(a)(2), and for Items 24(b)(1) through 24(b)(3), retroactive only to July 1, 2000. Because of this discrepancy, Item 24(a) will not be the sum of Items 24(a)(1) and 24(a)(2), and Item 24(b) will not be the sum of Items 24(b)(1) through 24(b)(3). However, as noted above, Item 24 should be the sum of Items 24(a) and 24(b). Items 24(a)(1) and 24(a)(2), and Items 24(b)(1) through 24(b)(3), are cumulative aggregate entries retroactive to the effective date of the WtW 1999 Amendments (July 1, 2000). All other items in Section V., Federal Participant Summary, are cumulative aggregate entries since the inception of the grant. ITEM 24. Total Participants Served Enter the State cumulative aggregate number of WtW clients served under this grant. If a client ceases to be served under the program and then returns for additional services, the client is to be counted again. (Item 24 should be the sum of Items 24(a) and 24(b)). NOTE: An individual is classified as a “participant served” when the participants receives one of more of the WtW allowable services (vocational educational training or job training, community service, work experience, job creation through public or private sector employment wage subsidies, on-the-job training, job readiness, job placement, post-employment services, job retention or support services, and individual development accounts). Also included as services which constitute “participant served” status are “in-depth” assessment (e.g. assessment beyond that which is required for intake and eligibility determination purposes), development of an individualized service strategy, and case management services. Intake, initial assessment, and eligibility determination do NOT constitute “participant served” status for an individual. ITEM 24(a) General Eligibility/Noncustodial Parents Category Enter the cumulative aggregate number of participants served who met the criteria for “General Eligibility/Noncustodial Parents” as defined at Section 403(a)(5)(C)(ii). This is the cumulative number of participants served by the expenditures reported at Item 8(a).

ITEM 24(a)(1) Long-Temporary Assistance for Needy Families Recipients Enter the cumulative aggregate number of participants served who met the criteria for long-term Temporary Assistance for Needy Families (TANF) receipt, as defined at Section 403(a)(5)(C)(ii)(I) and (II). Also include on this line the cumulative aggregate number of participants served who exhausted their TANF benefits due to having reached a Federal or State time limit, as defined at Section 403(a)(5)(C). ITEM 24(a)(2) Noncustodial Parents Enter the cumulative aggregate number of participants served who met the criteria for noncustodial parents, as defined at Section 403(b)(1)(B)(iii)(I), (II), and (III). ITEM 24(b) Other Eligibles Category Enter the cumulative aggregate number of participants served who met the criteria for the “Other Eligibles” category, as defined at Section 403(a)(5)(C). This is the cumulative number of participants served by the expenditures reported at Item 8(b). ITEM 24(b)(1) TANF Recipients with Characteristic of Long-Term Welfare Dependence or Barriers to Self-Sufficiency Enter the cumulative aggregate number of participants served who met the criteria for TANF recipients who have characteristics associated with, or predictive of, long-term welfare dependence, as defined at Section 403(a)(5)(C)(iv)(I), and for TANF recipients who have significant barriers to self-sufficiency, as defined at Section 403(a)(5)(C)(iv)(III). ITEM 24(b)(2) Former Foster Care Participants Enter the cumulative aggregate number of participants served who met the criteria for youth 18 - 24 years of age who, before turning 18, were participants in the foster care system, as defined at Section 403(a)(5)(C)(iv)(II). ITEM 24(b)(3) Custodial Parents with Incomes Below 100% of Poverty Enter the cumulative aggregate number of participants served who met the criteria for custodial parents with incomes below 100 percent of the poverty line, as defined at Section 403(a)(5)(C)(iv)(IV). ITEM 25. Total Participants Terminated

Enter the State cumulative aggregate number of WtW clients terminated under this grant. If a client is terminated, then returns to the program for additional services, and is later terminated again, the client is to be counted as a termination again. Item 25 should be the sum of Item 25(a) and Item 25(b). ITEM 25(a) General Eligibility/Noncustodial Parents Category Enter the cumulative aggregate number of participants terminated under the grant who met the criteria for “General Eligibility/Noncustodial Parents” as defined at Section 403(a)(5)(C)(ii). This is the cumulative number of participants terminated under the grant who had been served by the expenditures reported at Item 8(a). ITEM 25(b) Other Eligibles Category Enter the cumulative aggregate number of participants terminated under the grant who met the criteria for the “Other Eligibles” category, as defined at Section 403(a)(5)(C). This is the cumulative number of participants terminated under the grant who had been served by the expenditures reported at Item 8(b). Note on unsubsidized placement, employed in unsubsidized employment when entering WtW, and subsidized placement line items (lines 26, 27, and 28): Grantees should report an individual already employed in an unsubsidized job when becoming a participant served by the WtW Program on line 27, and on and line 27a or line 27b, as appropriate. If the grantee obtains a subsequent unsubsidized placement for this individual (such as a promotion within the existing job for increased hours or wages, or an entirely new unsubsidized placement for increased hours or wages, etc.), the grantee may receive one placement credit for this subsequent unsubsidized placement. In this situation, the grantee should remove the individual from the “employed in unsubsidized employment when entering WtW” lines (27 and 27a or 27b, as appropriate), and then add the individual to the “placed in unsubsidized employment” lines (26 and 26a or 26b, as appropriate) in the quarter in which the subsequent unsubsidized placement occurs. The purpose of moving the individual from line 27 to line 26 in this situation is to avoid a double-count between these two line items, as these two line items combined form the base for the retention calculation. Please note that the grantee cannot report an unsubsidized placement for an individual more than once unless the individual is terminated from the WtW Program and comes back after not receiving WtW services for at least 90 days (see note below, line 26). Please also note that for those individuals originally reported on line 27 (employed in unsubsidized employment when entering the WtW Program), the base quarter from which retention is measured is the quarter in which WtW services were first provided, and thus the quarter in which an individual was first counted on the line 27 entry. Grantees may not “re-start” the period for measuring retention when an individual is moved from

line 27 to line 26. The base quarter from which retention is measured for these individuals is still the quarter in which an individual was first counted on the line 27 entry, regardless of whether they are later moved to line 26. Grantees may not report retention and earnings gained data for individuals more than once. If a grantee obtains a subsequent unsubsidized placement for an individual originally reported as placed in subsidized employment (line 28, and line 28a or 28b, as appropriate), the grantee may also receive one placement credit for this individual. In this situation, the grantee should retain the individual on the placed in subsidized employment lines, and also report the individual on the placed in unsubsidized employment lines, in the quarter in which the upgrade from subsidized to unsubsidized employment occurs. Reporting the individual in both of these employment categories will cause a double-count between these two line items; however, this double-count will not impact the calculation of the retention rate, as placements in subsidized employment as not included in the retention calculation. Additionally, for programmatic evaluation and management purposes, we are interested in retaining a record of the extent to which grantees utilize subsidized placement. Please note that the grantee cannot report an unsubsidized placement for an individual more than once unless the individual is terminated from the WtW Program and comes back after not receiving WtW services for at least 90 days (see note below, line 26). ITEM 26. Placed in Unsubsidized Employment Enter the sum of Items 26(a) and 26(b). Include all WtW participants who are placed in unsubsidized jobs for the first time, i.e. the Social Security Number is linked with the job placement, while receiving WtW services. Grantees may not report a placement for a participant more than once unless the participant is terminated from the WtW Program and comes back after not receiving WtW services for at least 90 days. Exclude participants who are placed in any job for which the employer receives a wage subsidy. Also exclude participants who are placed in on-the-job training (OJT) until after the OJT is completed and the participant is retained in an unsubsidized job. ITEM 26(a) Greater Than or Equal to 30 Hours Per Week at Placement Enter the cumulative aggregate number of WtW participants who entered unsubsidized employment of 30 or more hours per week at placement. ITEM 26(b) Less Than 30 Hours Per Week at Placement Enter the cumulative aggregate number of WtW participants who entered unsubsidized employment of less that 30 hours per week at placement.

ITEM 27. Employed in Unsubsidized Employment When Entering WtW Enter the sum of Items 27(a) and 27(b). Include those WtW participants who were already employed in an unsubsidized job when becoming a “participant served” by the WtW Program. Please refer to the definition of “participant served” at Item 24 in this section of the reporting instructions. Individuals should not be counted in this entry until they meet the “participant served” status. ITEM 27(a) Greater Than or Equal to 30 Hours Per Week at Program Entry Enter the cumulative aggregate number of WtW participants who were employed in unsubsidized employment of 30 or more hours per week when becoming a participant served by the WtW Program. ITEM 27(b) Less Than 30 Hours Per Week at Program Entry Enter the cumulative aggregate number of WtW participants who are employed in unsubsidized employment of less than 30 hours per week when becoming a participant served by the WtW Program. ITEM 28. Placed in Subsidized Employment Enter the sum of Items 28(a) and 28(b). Include all WtW participants who are placed in subsidized jobs for which the wage subsidy is less than 100% of the participant's total income and for which the subsidized job placement is not workfare, i.e. the total amount paid to the individual exceeds the amount of the subsidy. ITEM 28(a) Greater Than or Equal to 30 Hours Per Week at Placement Enter the cumulative aggregate number of WtW participants who entered subsidized employment of 30 or more hours per week at placement. ITEM 28(b) Less Than 30 Hours Per Week at Placement Enter the cumulative aggregate number of WtW participants who entered subsidized employment of less that 30 hours per week at placement. NOTE REGARDING THE FOLLOWING RETENTION AND EARNINGS GAINS ITEMS: The presumptive data source for retention and earnings gains information is the Unemployment Insurance (UI) wage record system (Federal Register Vol. 63, No. 225, Pages 64831-64833,

November 23, 1998). We anticipate a one-quarter lag in the availability of UI Wage Record data. Therefore, for instance, the report for the quarter ending March 31, 2001 should provide retention and earnings gained data (see Items 29 and 30) for participants who were reported as placed in unsubsidized employment on the report for the quarter ending June 20, 2000. However, as some grantees cannot or choose not to use UI wage records, grantees may use other data sources for the retention and earnings gains items so long as they can justify the sufficiency of the alternate methods used, can document these alternate methods in their operating policies and procedures, and can include retention and earnings gains documentation in participants’ case files. Appropriate alternate methods for collecting the retention and earnings gains data may include obtaining copies, with participants’ permission, of participants’ pay stubs for verification, or surveying participants’ employers to verify this information. Please note also that entities not using UI Wage Record data should utilize this one quarter lag period for collecting retention and earnings gained information. These entities must also report the data for Items 29 and 30 on the report for the third quarter after the base quarter in which participants were placed in unsubsidized employment. ITEM 29. Retained 6 Months (two quarters) in Unsubsidized Employment Enter the cumulative number of participants who were placed in unsubsidized employment in the base quarter (Item 26), plus the cumulative number of participants who were employed in unsubsidized employment when first receiving WtW services (Item 27), who remained in the workforce for six months after the base quarter, with earnings in both of the two consecutive quarters following the base quarter. NOTE: Retention is defined as when an eligible individual is placed in unsubsidized employment and remains in the workforce for 6 months with earnings in the two consecutive quarters following the base quarter. For those individuals reported at Item 27 (employed in unsubsidized employment when entering the WtW Program), the base quarter from which retention is measured is the quarter in which WtW services were first provided, and thus the quarter in which an individual was first counted in the Item 27 entry. ITEM 30. Earnings Gained in 6 Months (two quarters) Following Placement in Unsubsidized Employment ITEM 30(a) Enter the cumulative sum of earnings of those individuals who remained in the workforce in the second subsequent quarter following the base quarter (those participants identified at Item 29). ITEM 30(b) Enter the cumulative sum of the earnings of the same group (those participants identified at Item 29) in the base quarter. NOTE: The cumulative sum of earnings of those individuals who remained in the workforce in the second subsequent quarter (Item 30(a)) minus the cumulative sum of the earnings of

the same group in the base quarter (Item 30(b)), divided by the cumulative sum of the earnings of the same group in the base quarter (Item 30(b)), multiplied by 100, equals the average cumulative percent “Earnings Gain” in 6 months (second subsequent quarter) following placement in unsubsidized employment. Grantees are not required to perform this calculation; this calculation is performed by ETA staff. SECTION VI. PARTICIPANT CHARACTERISTICS IMPORTANT NOTE: Entries for Items 31 through 34 should represent the cumulative aggregate number of all participants enrolled in these categories since the effective date of the WtW 1999 Amendments (July 1, 2000). We are applying these revised reporting elements retroactive to the effective date of the WtW 1999 Amendments, not retroactive to the inception of the grant. Therefore, grantees are required to report data for Items 31 through 34 retroactive only to July 1, 2000. ITEM 31. Gender ITEM 31(a) Male Enter the cumulative aggregate total of male participants. ITEM 31(b) Female Enter the cumulative aggregate total of female participants. ITEM 32. Age For Items 32(a) through 32(e), enter the cumulative aggregate total of participants in each age range. Grantees should report participants’ ages at the time of participants’ enrollment into the program. ITEM 32(a) Age 14 - 17 ITEM 32(b) Age 18 - 35 ITEM 32(c) Age 36 - 50 ITEM 32(d) Age 51 - 64

ITEM 32(e) Age 65 and older
ITEM 33. Race and Ethnicity
For Items 33(a) through 33(f), enter the cumulative aggregate total of participants identifying in each category. Multi-racial/ethnic participants may identify in more than one category. For instance, a participant identifying as both “Hispanic or Latino” and “White” would be counted in both Items 33(d) and 33(f). ITEM 33(a) American Indian or Alaska Native: A person having origins in any of the original peoples of North America and South America (including Central America), and who maintains cultural identification through tribal affiliation or community recognition. ITEM 33(b) Asian: A person having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian Subcontinent (e.g., India, Pakistan, Bangladesh, Sri Lanka, Nepal, Sikkim, and Bhutan). This area includes, for example, Cambodia, China, Japan, Korea, Malaysia, the Philippine Islands, Thailand, and Vietnam. ITEM 33(c) Black or African American: A person having origins in any of the Black racial groups of Africa. ITEM 33(d) Hispanic or Latino: A person of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture in origin, regardless of race. ITEM 33(e) Native Hawaiian or Other Pacific Islander: A person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands. ITEM 33(f) White: A person having origins in any of the peoples of Europe, the Middle East, or North Africa. ITEM 34. Participants with Disabilities Enter the cumulative aggregate total of participants who voluntarily self-disclose as having disabilities. Grantees may not ask participants for their disability status, and participants may not be forced to disclose it. NOTE: An individual with a disability is defined as any individual who has a physical (such as motion, vision, or hearing) or mental (such as learning or developmental) impairment which substantially limits one or more of such person’s major life activities and who has a record of such an impairment, or is regarded as having such an impairment.

SECTION VII. REMARKS
Provide any explanations deemed necessary to support or describe entries provided above. Explanation of adjustments made to entries for a previous quarter should be provided in this section. (Electronic data entry instructions provide an “up-front” option to modify data submitted for a previous reporting quarter.) SECTION VIII. SIGNATORY INFORMATION With the provision of electronic formats via the Internet, the Department has provided Passwords for data input and PINs for data certification. The individual who was identified as the certifying official for each grantee should be responsible for the PIN entry, which then signifies that the data reported is valid. The date of data certification will automatically appear when the PIN is entered.