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Performance reporting across ETA workforce programs
Summary ETA aligned performance measures, definitions and reporting rules across 15 federal workforce programs with WIOA accountability requirements. The letter tells program grantees how to count and report participant outcomes, with program-specific instructions in its attachments. It also rescinds listed older guidance.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
TEGL No. 14-18
Date issued
March 25, 2019
Status
Active
ETA lists this advisory Active as of 2026-10-24; its PDF prints Expiration Date: Continuing and names prior TEGLs rescinded in its rescissions box.
Status last verified October 24, 2026
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About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Performance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OWI
Washington, D.C. 20210 DATE
March 25, 2019
ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER WIOA NO. 14-18
OPERATING GUIDANCE for the WORKFORCE INNOVATION AND
OPPORTUNITY ACT (referred to as WIOA)
TO: STATE AND LOCAL STAKEHOLDERS IN THE WORKFORCE
INNOVATION AND OPPORTUNITY ACT
STATE WORKFORCE AGENCIES
STATE WORKFORCE ADMINISTRATORS
STATE WORKFORCE LIAISONS
H-1B JOB TRAINING PROGRAM GRANTEES
INDIAN AND NATIVE AMERICAN (INA) PROGRAM GRANTEES
JOB CORPS CONTRACTORS
JOBS FOR VETERANS STATE GRANTS (JVSG) GRANTEES
OFFICE OF UNEMPLOYMENT INSURANCE (OUI)
STATE MONITOR ADVOCATES
NATIONAL FARMWORKER JOBS PROGRAM GRANTEES
NATIONAL DISLOCATED WORKER GRANTEES
REGISTERED APPRENTICESHIP (RA) PROGRAMS
REENTRY EMPLOYMENT OPPORTUNITIES (REO) GRANTEES
SENIOR COMMUNITY SERVICE EMPLOYMENT PROGRAM
(SCSEP) GRANTEES
TRADE ADJUSTMENT ASSISTANCE (TAA) LEADS
YOUTHBUILD GRANTEES
FROM: MOLLY E. CONWAY /s/
Acting Assistant Secretary
Employment and Training Administration
J.S. SHELLENBERGER /s/
Deputy Assistant Secretary
Veterans’ Employment and Training Service
SUBJECT: Aligning Performance Accountability Reporting, Definitions, and Policies
Across Workforce Employment and Training Programs Administered by the
U.S. Department of Labor (DOL)
1. Purpose. This Training and Employment Guidance Letter (TEGL) aligns and streamlines
performance indicators and requirements across 15 DOL Employment and Training
Administration (ETA) programs to the Workforce Innovation and Opportunity Act (WIOA)
RESCISSIONS EXPIRATION DATE
TEGL 14-00; TEGL 14-00, Change 1; TEGL 01-02; TEGL 01-02, Continuing
Change 2; TEGL 08-02; TEGL 14-03; TEGL 14-03, Change 1; TEGL
17-05; TEGL 17-05, Change 2; TEGL 01-09; TEGL 01-09, Change 1;
TEGL 01-09, Change 2; TEGL 06-09; TEGL 06-09, Change 1; TEGL
06-09, Change 2; TEGL 17-09; TEGL 07-12; TEGL 32-12; TEGL 4-
13; TEGL 25-13; TEGL 30-14
performance indicators, while also rescinding and eliminating outdated performance
guidance for these programs in addition to clarifying existing ETA performance
accountability policies that changed due to WIOA.
2. References. See Appendix VII.
3. Background. This guidance provides sub-regulatory guidance on reporting performance
accountability, including the requirements set forth in the WIOA, related to the
implementation and operation of the performance accountability systems under WIOA
section 116 and the implementing regulations in 20 CFR parts 677, 684, 685, 686, and 688.
WIOA section 116 establishes performance accountability indicators and performance
reporting requirements to assess the effectiveness of States, local areas, program grantees,
and Job Corps contractors in achieving positive outcomes for individuals served by the
workforce development system. WIOA provides an historic opportunity to align
performance-related definitions across the employment and training programs administered
by DOL and by U.S. Department of Education (ED), align performance indicators, integrate
reporting, and ensure comparable data collection and reporting across programs, while also
implementing program-specific requirements related to data collection and reporting.
Initial sub-regulatory guidance for the six core WIOA programs (referred to in this guidance
as “core programs”) was developed jointly by DOL and ED, and can be found in 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
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255), published on August 23,
2017. These six core programs are the Adult, Dislocated Worker, and Youth programs,
authorized under WIOA title I and administered by DOL; the Adult Education and Family
Literacy Act (AEFLA) program, authorized under WIOA title II and administered by ED; the
Employment Service (ES) program authorized under the Wagner-Peyser Act, as amended by
WIOA title III and administered by DOL;1 and the Vocational Rehabilitation (VR) program
authorized under title I of the Rehabilitation Act of 1973, as amended by WIOA title IV and
administered by ED.2
This issuance provides additional DOL-specific guidance on performance accountability for
DOL programs that are not included in the core programs, referred to in this guidance as
“non-core programs,” as well as additional DOL-specific guidance on the DOL-administered
core programs, which can be found in the attachments of this guidance. Those non-core
programs include programs authorized by WIOA, as well as programs authorized by other
Federal legislation. Collectively, the non-core programs include:
Indian and Native American (INA) Program, under WIOA section 166;
Job Corps, under WIOA sections 141-162;
National Farmworker Jobs Program (NFJP), under WIOA section 167;
1
Although this program is authorized under the Wagner-Peyser Act, it was amended by title III of WIOA and is a
“core program” of WIOA, as defined at WIOA section 3(12). Throughout this guidance, it is referred to as the “title
III Employment Service.”
2
Although this program is authorized under title I of the Rehabilitation Act of 1973, it was amended by title IV of
WIOA and is a “core program” of WIOA, as defined at WIOA section 3(12). Throughout this guidance, it is
referred to as the “title IV VR program.”
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YouthBuild, under WIOA section 171;
Reentry Employment Opportunities (REO), authorized under WIOA section 169 3;
National Dislocated Worker Grants (DWG), under WIOA section 170;
H-1B Job Training Programs (grants awarded July 1, 2016, and later), authorized
under section 414(c) of the American Competitiveness and Workforce Improvement
Act of 1998 (29 U.S.C. § 3224a);
Senior Community Service Employment Program (SCSEP), authorized under title V
of the Older Americans Act of 1965 (42 U.S.C. 3056 et seq.);
Trade Adjustment Assistance (TAA), authorized under chapter 2 of title II of the
Trade Act of 1974 (19 U.S.C. 2271 et seq.); and
Jobs for Veterans State Grants (JVSG), authorized under 38 U.S.C. chapter 41.
In addition this guidance also describes performance accountability for the reporting
requirements for the Monitor Advocate System, which is not technically a program but a
system that protects the standard of services provided to migrant and seasonal farmworkers
(MSFWs) under the title III Employment Service program.
WIOA, signed into law on July 22, 2014, is designed to help job seekers access employment,
education, training, and support services to succeed in the labor market and to match
employers with the skilled workers they need to compete in the global economy. WIOA
supersedes titles I and II of the Workforce Investment Act of 1998 (WIA) and amends the
Wagner-Peyser Act and the Rehabilitation Act of 1973.
This guidance is based on the statutory requirements and the implementing final regulations
of WIOA and the authorizing program legislations listed above.
The Department announced an implementation schedule for an integrated performance
reporting system for certain DOL core and non-core programs—consistent with this
opportunity for alignment, streamlining, and integration—in Training and Employment
Notice (TEN) 8-16, Implementation of an Integrated Performance Reporting System for
Multiple Employment and Training Administration (ETA) and Veterans’ Employment and
Training Service (VETS) Administered Programs, published on Aug. 24, 2016
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5317). Under the implementation
schedule, reporting requirements for core programs became effective July 1, 2016. The
implementation date for non-core programs varied and programs should refer to program-
specific attachments for their program’s implementation date.
Programs Included:
WIOA section 116(b) establishes performance indicators and reporting requirements for the
WIOA core programs: the title I Adult, Dislocated Worker, and Youth programs; title II
AEFLA program; title III Employment Service program; and title IV VR program. Under
WIOA, these indicators also apply to the NFJP program (WIOA section 167(c)(3)), the INA
programs (WIOA section166(h)), YouthBuild (WIOA section 171(c)(3)(B)(xii)), and Job
3
Section 212 of the Second Chance Act was repealed by section 504(a) of the First Step Act, P.L. 115-391
(December 21, 2018). While the Reentry Employment Opportunities program used to be authorized under both
Section 212 of the Second Chance Act and section 169 of WIOA, the program now is authorized under only section
169 of WIOA. The terms of the grants awarded prior to December 21, 2018, are unaffected by this change.
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Corps (WIOA section 159(c)). The Department is aligning the performance accountability
requirements for the DWG program by adopting the performance indicators of the title I
Dislocated Worker program, as described in WIOA section 116.
The recent reauthorization of the TAA program through the Trade Adjustment Assistance
Reauthorization Act (TAARA) of 2015, title IV of the Trade Preferences Extension Act of
2015 (Pub. L. No. 114-27), aligns many of the same performance accountability indicators
for the TAA program by specifying many of the same performance indicators as specified for
WIOA core programs (19 U.S.C. 2311(j)(2)(A)(i)). Therefore, the TAA program is aligned
with the requirements and definitions in this guidance, as well.
Under 29 USC 3224a(7), for the H-1B Job Training Grants, DOL is required under statute to
“require grantees to report on the employment outcomes obtained by workers receiving
training under this subsection using indicators of performance that are consistent with other
indicators used for employment and training programs administered by the Secretary [of
Labor].” Therefore, the H-1B Job Training Grants program is aligned with the requirements
and definitions in this guidance, as well, for grants with a start date of July 1, 2016, and later.
While REO does not have a legislative requirement for aligned reporting, DOL is adopting
the WIOA performance indicators for this program, and aligning REO with WIOA data
element definitions and reporting templates for grants with a start date of July 1, 2017, or
later.
38 U.S.C. 4102A(f) requires DOL to establish performance indicators for the JVSG program
that are “consistent with State performance accountability measures applicable under section
116(b)” of WIOA. Therefore, the WIOA section 116(b) indicators and reporting
requirements apply to the JVSG program.
In addition, grantees in the Homeless Veterans Reintegration Programs (HVRP),
administered by the VETS, must co-enroll all homeless veterans program participants into
the Employment Service program, a JVSG program, or another WIOA title I program, as
stated in TEGL 4-16 (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7820) and
Veterans’ Program Letter (VPL) 03-16,
(https://www.dol.gov/vets/VPLS/VPLDirectory.html), Enrollment of Homeless Veterans
Program Participants into a Workforce Innovation and Opportunity Act (WIOA) Workforce
Program at an American Job Center (AJC) published on July 15, 2016. Therefore,
performance information related to employment and education or training outcomes will be
reported through the integrated performance reporting system.
SCSEP was reauthorized on April 19, 2016, through the Older Americans Act Reauthorization
Act of 2016 (Pub. L. No. 114-144), which in great part aligns the SCSEP indicators of
performance with those of WIOA. DOL published an Interim Final Rule (IFR) implementing
the new SCSEP performance indicators with an effective date of January 2, 2018, and has added
SCSEP performance data elements to the DOL-only Participant Individual Record Layout
(PIRL). On July 30, 2018, the Department issued a Final Rule adopting the IFR as final without
change. SCSEP performance information under the new measures are required to be reported
beginning July 1, 2018.
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Furthermore, the DOL Office of Apprenticeship and the Office of Unemployment Insurance
have partnered in the development of this guidance to highlight where the requirements of
this guidance overlap with those programs’ separate performance reporting and
accountability requirements.
Therefore, as described in this guidance, non-core programs are aligning with the
performance accountability indicators and performance reporting requirements established
under WIOA section 116(b); the extent of this alignment, for each non-core program, is
described in program-specific guidance at Attachments 1 through 11. In addition, this
guidance provides additional performance accountability indicators and performance
reporting requirements for the Monitor Advocate System, regarding the effectiveness and
equity of the title III Employment Service in serving migrant and seasonal farmworkers
(MSFWs).
Organization of This Guidance
This TEGL is intended to align the guidance relating to the definitions and requirements
listed below and in the appendices of this TEGL, while allowing individual non-core
programs to provide program-specific information on their distinct and unique requirements
in the 11 program-specific attachments to this TEGL.
Through this guidance, DOL elaborates on the performance accountability requirements in
WIOA section 116 and part 677 of the Joint WIOA Final Rule, as well as parts 684, 685,
686, and 688 of the WIOA Final Rule, and the performance reporting requirements in the
WIOA DOL-only PIRL (ETA-9172), approved by the Office of Management and Budget
(OMB) on June 30, 2016.4 Specifically, this guidance addresses the:
Methodology for calculating the six primary indicators of performance;
Definitions of reportable individual, participant, and exit;
Definitions of common exit, self-service and information-only services or activities, and
period of participation;
Requirements related to: (1) Workforce Integrated Performance System (WIPS)
Reporting, (2) State Annual Report Narratives, (3) Eligible Training Provider
Performance Reporting, (4) Pay-for-Performance Reporting, (5) Quarterly Narrative
Reports for Non-Core Programs, (6) Use of Social Security Numbers for Performance
Reporting, and (7) Supplemental Wage Information; and
Unique performance requirements for each non-core program.
It should be noted that the performance guidance for each non-core program may differ due
to the unique statutory limitations and policies of each program. Attachments 1 through 11
of this TEGL provide specific information and requirements for each program and highlight
areas where each differs from the shared DOL performance guidance described in the body
of this TEGL and its appendices.
4
The DOL-only PIRL has been approved under OMB Control Number 1205-0521 (ETA Workforce Innovation and
Opportunity Act Performance Accountability, Information, and Reporting System, current expiration date June 30,
2021), available at https://doleta.gov/performance/reporting/eta_default.cfm. The PIRL provides a standard layout
of the data elements, definitions, and reporting instructions used to describe the characteristics, activities, and
outcomes of participants of DOL administered workforce employment and training programs.
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Where applicable, this document refers to data elements in the DOL-only PIRL. Note that
the guidance in TEGL 10-16, Change 1 refers to data elements in the WIOA Joint PIRL,5 all
of which are included as a part of the DOL-only PIRL. The elements from the WIOA Joint
PIRL are highlighted blue in the DOL-only PIRL for ease of identification.
4. List of Appendices and Attachments.6
Appendix I: Primary Indicators of Performance
Appendix II: Definitions of Terms Related to the Performance Accountability System
Appendix III: Participant Level Services Charts
o Table A: Indian and Native American Programs
o Table B: National Dislocated Worker Grants
o Table C: National Farmworker Jobs Program
o Table D: Trade Adjustment Assistance
Appendix IV: PIRL Elements Used in the Calculation of Each Primary Indicator of
Performance
Appendix V: Periods of Performance Reporting Cohorts
Appendix VI: Supplemental Wage Information for Non-Core Programs
Appendix VII: References
Attachment 1: H-1B Grants
Attachment 2: Indian and Native American Programs
Attachment 3: Job Corps
Attachment 4: Jobs for Veterans State Grants
Attachment 5: Monitor Advocate
Attachment 6: National Dislocated Worker Grants
Attachment 7: National Farmworker Jobs Program
Attachment 8: Reentry Employment Opportunities
Attachment 9: Senior Community Service Employment Program
Attachment 10: Trade Adjustment Assistance
Attachment 11: YouthBuild
5. Definitions of Terms Related To the Performance Accountability System.
This guidance provides definitions of the following terms. See Appendix II for complete
definitions.
Common Exit
Customized Training
Employment
Incumbent Worker
Non-Core Programs
Participant Individual Record Layout
Period of Participation
5
The WIOA Joint PIRL has been approved under OMB Control Number 1205-0526 (Workforce Innovation and
Opportunity Act Common Performance Reporting, expiration date March 31, 2021).
6
Note that in this guidance “Appendices” provide information for all programs while “Attachments” provide
program specific information.
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Secondary School Diploma
Unsubsidized Employment
6. Primary Indicators of Performance. Appendix I provides the description, methodology,
and operational parameters for each of the six primary indicators of performance. Appendix
I is aligned with the guidance presented in TEGL 10-16, Change 1, but revised as necessary
to provide guidance applicable to the DOL-administered non-core programs, as TEGL 10-16,
Change 1, was issued jointly by DOL and ED to provide guidance for the six WIOA core
programs. Unless otherwise stated, all of the core and non-core programs listed will be using
these indicators as defined in Appendix I. Each of the non-core programs has some unique
differences as it relates to this and subsequent sections of this guidance, which can be found
in the corresponding programmatic guidance found in Attachments 1 through 11.
7. Categories of Enrollment: Reportable Individual, Participant & Date of Program Exit.
The definitions of the categories of enrollment—reportable individual and participant—in
this section of the guidance apply to the core programs. However, given the degree to which
the definitions converge for these enrollment categories for non-core programs and core
programs, it is useful for non-core programs to understand these definitions, even where they
do not directly apply to a non-core program. For programs that recognize the category of
reportable individual, there are two points to understand in reading these definitions: (1) all
participants are reportable individuals, but some reportable individuals do not become
participants (i.e., they remain reportable individuals only), and (2) an individual can be a
participant in multiple programs, a reportable individual in multiple programs, or be a
participant in one program while still being considered just a reportable individual in a
different program. Non-core programs included in this guidance should refer to the
appropriate attachment for program-specific definitions and guidance for the following
categories of enrollment.
Reportable Individual: The category of reportable individual allows DOL to identify the
individuals who engaged with the workforce development system on an initial level. By
definition this includes two categories: (1) those individuals who also meet the requirements
to become participants in a given program and (2) those who do not meet the requirements to
become a participant. For the purposes of performance reporting, the second category is
what this guidance refers to as “reportable individuals.” This category of enrollment applies
to the core programs and to certain non-core programs; program-specific guidance specifies
the application and, as applicable, definition of this category to each non-core program.
DOL will use this category to track the number of individuals who take part in self-services,
receive information-only services or activities, or do not complete the program requirements
for eligibility or for participation. For DOL-administered core programs, as set forth in 20
CFR 677.150(b), a reportable individual is an individual who has taken action that
demonstrates an intent to use program services and who meets specific reporting criteria of
the program, including:
1) Individuals who provide identifying information;
2) Individuals who only use the self-service system; or
3) Individuals who only receive information-only services or activities.
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For the DOL-administered core and non-core programs, the Department will not negotiate
levels of performance or impose sanctions based on the outcomes of reportable individuals,
because only participants are included in the performance indicators. However, the
Department requires inclusion of certain information about reportable individuals in the State
quarterly performance reports and associated WIOA performance reporting instruments or
program-specific performance reporting instruments, which allows the system to accurately
represent the number of individuals served by the system.
Participant: Although the definition of participant is consistent across the core programs,
there are some slight differences to account for programmatic requirements. Specifically for
the WIOA title I Adult, title I Dislocated Worker, and title III Employment Service
programs, a participant is a reportable individual who has received services other than the
services described in 20 CFR 677.150(a)(3) after satisfying all applicable programmatic
requirements for the provision of services, such as an eligibility determination.
As set forth in more detail in 20 C.F.R. 677.150(a)(3), the following individuals are not
participants:
Individuals who only use the self-service system; or
Individuals who receive information-only services or activities, which provide readily
available information that does not require an assessment by a staff member of the
individual’s skills, education, or career objectives.
For the title I Youth program, a participant is a reportable individual who has satisfied all
applicable program requirements for the provision of services, including eligibility
determination, an objective assessment, and development of an individual service strategy,
and received one or more of the 14 WIOA Youth program elements identified in WIOA
section 129(c)(2) and 20 C.F.R. 677.150(a)(2).
For the non-core programs, the definition of participant is specified in program-specific
guidance. In general, however, for the non-core programs, a participant is an individual who
has received grant-funded services after satisfying all applicable programmatic requirements
for the provision of services, such as eligibility determination.
As a general matter, participants’ outcomes on the applicable primary indicators of
performance may be relevant:
For negotiating levels of performance;
For the calculation and imposition of sanctions (as applicable); and
To decisions related to contract awards and renewal and to the award of competitive
grants.
For the DOL-administered core programs, the Department will negotiate levels of
performance and calculate sanctions (as applicable) based on the outcomes of program
participants upon exit (for the exit-based indicators) or during participation in a program.
The DOL-administered non-core programs, grantees, and Job Corps contractors should refer
to guidance in individual program attachments or other programmatic guidance, regulations,
and statutes to determine if grantees for their program or Job Corps contractors are required
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to negotiate levels of performance as this may not apply to all programs. Furthermore, past
performance may be a consideration in decisions to award or renew a grant or contract to an
applicant to programs administered by ETA or by VETS.
Programmatic Criteria for Becoming a Participant in Each Program: Due to the
variability in programmatic criteria to receive services, the particular services that trigger
inclusion as a participant vary across the core and non-core programs. Below are the criteria
for the core WIOA programs, as is also detailed in TEGL 10-16, Change 1. Variations in
alignment with these definitions across the non-core programs are further described in each
program’s attachment. Furthermore, Appendix III provides participation-level services
charts for the INA, DWG, NFJP, and TAA programs, as participant status in those non-core
programs is based in part on the type of services received.
Title I Adult and Dislocated Worker – Receipt of any training services or
individualized career services makes a reportable individual a participant. For basic
career services, a reportable individual becomes a participant when he or she receives a
service that is neither self-service nor information-only. See the chart in TEGL 10-16,
Change 1, Attachment 7, Table A
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255), which lists types of
services received, identifies those services as basic career services, individualized career
services, or training services, and states whether each type of service triggers inclusion in
participation for the title I Adult and Dislocated Worker programs and for the title III
Employment Service program.
Title I Youth – When a reportable individual has satisfied all applicable program
requirements for the provision of services, including eligibility determination, an
objective assessment, development of an individual service strategy, and received at least
one of the 14 WIOA Youth program elements identified in WIOA section 129(c)(2), then
he or she is considered a participant. See the chart in TEGL 10-16, Change 1,
Attachment 7, Table B (see link above).
Title III Employment Service – When a reportable individual receives an individualized
career service he or she is considered a participant. For basic career services, a reportable
individual becomes a participant when he or she receives a service that is neither self-
service nor information-only. See the chart in TEGL 10-16, Change 1, Attachment 7,
Table A (see link above).
Exit: Exit from a program, as set forth in 20 CFR 677.150(c), generally occurs when the
participant has not received services for a specified period of time and has no additional
services scheduled.
For the title I and title III core programs, the date of exit from the program is the last date of
service. Specifically:
The date of exit cannot be determined until 90 days have elapsed since the participant
last received services; furthermore, there must be no plans to provide the participant
with future services. At that point, the date of exit is applied retroactively to the last
date of service.
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When determining whether 90 days have elapsed since the participant last received
services, grantees must not include the receipt by the participant of any self-service,
information-only services or activities, or follow-up services, as these services do not
delay, postpone, or affect the date of exit. Because the date of exit is retroactive to
the last date of service, follow-up services may begin immediately following the
anticipated last date of service if it is expected that the participant will not receive any
future services other than follow-up services.7 Provision of follow-up services does
not extend the date of exit.
PIRL data element 901 (Date of Program Exit) is used to collect and report the date of
exit. For exit-based performance measures, the quarter8 for collecting follow-up data
is determined by the quarter in which the date of exit occurs. For example, if the date
of exit is between January 1 and March 31, the first quarter after exit would be April
1 through June 30.
Follow-up services do not trigger the exit date to change or delay exit, as they may occur
after exit in title I Adult and Dislocated Worker programs (see TEGL 19-16
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3851) and can only occur after exit in
the title I Youth program (see TEGL 21-16
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7159), (See program-specific
guidance for non-core programs.) States should count each exit of a participant during the
same program year as the end date of a separate period of participation if a participant has
more than one exit in a program year.
For the non-core programs, the definition of exit is stated in program-specific guidance. In
general, exit occurs on the last day of service, and the exit date is determined when the
participant has not received services (other than self-service, information-only services or
activities, or follow-up services) for 90 days, and no additional services are scheduled.
Furthermore, when future services are scheduled more than 90 days after the most recent date
of service, such as might happen when there is a delay before the beginning of training,
grantees and Job Corps contractors should make sure that these participants are not
automatically exited from their Management Information System (MIS) when 90 days have
elapsed. Grantees and Job Corps contractors must document that these future services have
been scheduled when necessary in those rare instances where future services are needed to
take place more than 90 days out. Program specific guidance for scheduling future services
can be found in the individual program attachments.
Under limited circumstances, some participants who exit programs are excluded from the
performance calculations for the primary indicators of performance. The table below
7
WIOA title I core programs should note the following clarification on follow up services from TEGL 10-16,
Change 1: “Follow-up services in the title I Adult and Dislocated Worker programs may begin immediately
following placement into unsubsidized employment if it is expected that the participant will not receive any future
services other than follow-up services. For the title I Youth program, follow-up services may begin immediately
following the last date of service if it is expected that the participant will not receive any future services other than
follow-up services.”
8
In this guidance, the term “quarter” refers to one of the four set 3-month periods each year: January 1 – March 31,
April 1 – June 30, July 1 – September 30, and October 1 – December 31.
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describes these exclusions in greater detail and clarifies to which programs’ participants they
are applicable. These categories of exclusion, where a participant is exited but not reported
in performance calculations for the primary indicators of performance, include instances
where a participant is exited from a program because of medical treatment that lasts longer
than 90 days and that precludes entry into unsubsidized employment or continued
participation in the program.
Exclusions from Performance Indicators – PIRL Element 923
*Note that unless explicitly stated in program guidance, these are not applicable should one of
these conditions occur after a participant’s Date of Program Exit (PIRL 901)
Applicable
Code Value Explanation
Programs
The participant exits the program because he or she has
become incarcerated in a correctional institution or has
01
ALL become a resident of an institution or facility providing 24-
(Institutionalized)
hour support, such as a hospital or treatment center, during
the course of receiving services as a participant.
The participant exits the program because of medical
02 treatment and that treatment is expected to last longer than
ALL
(Health/Medical) 90 days and precludes entry into unsubsidized employment
or continued participation in the program.
03
ALL The participant is deceased.
(Deceased)
04 The participant exits the program because the participant is
(Reserve Forces a member of the National Guard or other reserve military
ALL
called to Active unit of the armed forces and is called to active duty for at
Duty) least 90 days.
WIOA title I The participant is in the foster care system, as defined in 45
05 Youth; CFR 1355.20(a), and exits the program because the
(Foster Care) YouthBuild; participant has moved from the local workforce area as part
REO Youth of such a program or system.
The participant who was determined to be eligible for
program services and is later determined not to have met the
WIOA title program’s eligibility criteria. This exclusion applies only to
IV Voc. the VR program, Job Corps, and SCSEP in which
06
Rehab; participant eligibility is routinely revisited during the
(Ineligible)
SCSEP; Job participation period. For all other programs, eligibility is
Corps determined at the time an individual becomes a participant
and such eligibility is not revisited during the individual’s
participation in the program.
- 11 -
WIOA title II
07 AEFLA –
(Criminal sec. 225 See Attachment 2 of TEGL 10-16, Change 1
Offender) participants
only
Period of Reportable Individual Activity: A period of reportable individual activity refers
to the period of time that begins either (a) when a person first takes part in a qualifying
reportable individual activity or (b) 91 days after the date of exit of a preceding period of
participation. A period of reportable individual activity ends when either (a) no services have
been received for more than 90 days or (b) 90 days prior to the start of a subsequent period of
participation.9 A new period of reportable individual activity must recorded when more than
90 consecutive days have elapsed since that reportable individual last engaged with the
program via self-service or an information-only service or activity. This “end of the period
of reportable individual activity” is needed in order to prevent reportable individuals who
have stopped receiving services from staying in the system indefinitely.
In cases where a person has a period of reportable individual activity lasting more than 90
days, prior to becoming a participant, two records must be reported. The first record
represents the period of reportable individual activity and must end 91 days before the date of
program entry for the subsequent period of participation. The second record represents the
period of participation and will include any reportable individual services or activities
occurring within 90 days prior to the date or program entry.
In cases where a person has a period of reportable individual activity lasting fewer than 90
days, prior to becoming a participant, only one record must be reported. The record
represents a period of participation and will include any reportable individual services or
activities occurring within 90 days prior to the date or program entry.
The same logic applies to periods of reportable individual activity occurring after a period of
participation. Any reportable individual activities occurring within 90 days after the date of
program exit will be reported as part of the period of participation. Reportable individual
activities occurring more than 90 days after the date of program exit will not be included in
the record for the period of participation. A second record representing a period of reportable
individual activity beginning more than 90 days after the date of program exit must be
reported.
Common Exit: DOL encourages states to use a “common exit” for DOL-administered
programs and envisions full implementation of a common exit across the DOL-administered
core programs within each State. While DOL encourages states that implement common exit
policies to include DOL-administered non-core programs within the scope of each state’s
common exit policy, DOL recognizes the challenges this potentially poses. The decision of
whether to implement a common exit policy, or to include DOL-administered non-core
9
Note that for reportable individuals, grantees or Job Corps contractors should not be reporting either Date of
Program Entry (PIRL #900) or Date of Program Exit (PIRL #901). References to “Date of Exit” and “Exit” in this
section are meant to highlight how long a reportable individual is expected to continue to be reported in the files that
grantees or Job Corps contractors submit to the Department.
- 12 -
programs within that policy, is ultimately left to each state, subject to the following
requirements and exceptions. The WIOA final rule allows for States to establish common
exit policies that include any of the DOL-administered non-core programs (as defined in
Appendix II) except for the H-1B Job Training Programs, which are not included in the list
of required one-stop partners in WIOA section 121(b)(1)(B).
A “common exit” occurs when a participant, enrolled in multiple partner programs, has not
received services from any DOL-administered program to which the common exit policy
applies for at least 90 days and has no future services planned. States that retain or develop a
common exit policy must require that a participant is only exited when all the criteria for exit
are met for the WIOA titles I and III core programs to which the common exit policy applies,
as well as the exit criteria for any additional DOL-administered required partner programs to
which the State’s common exit policy applies and in which the participant is enrolled.
Any State that chooses to adopt or retain a common exit policy may include some or all of
the following core programs in the common exit policy:
WIOA title I Adult program;
WIOA title I Dislocated Worker program;
WIOA title I Youth program; and
WIOA title III Employment Service program.
Additionally, DOL encourages the inclusion in the common exit policy of the additional
required partner programs listed in WIOA section 121(b)(1)(B) that are under the authority
of DOL (i.e., the non-core programs). DOL notes, for instance, that in the past, a number of
States implemented co-enrollment policies for TAA and additionally included TAA in the
State’s common exit policy. In addition, JVSG program grantees are encouraged to utilize a
common exit with core programs and also to co-enroll participants in the title III
Employment Service program for more efficient service delivery and compliance with
reporting requirements.
Common exit policies can be very beneficial for partner programs, as well as the participants
being served. By implementing common exit policies, programs are able to more efficiently
and effectively integrate service delivery and performance reporting, which can improve the
program resources available, the quality of services provided through a common period of
participation, and performance outcomes as a result. These improvements can come from
greater ability to track, coordinate, and report services and outcomes, as well as from the
ability of states to create common exit policies across programs that allow for coordination of
a participant’s services before their outcomes are tracked. For example, when a wage match
is conducted by one program, those outcomes would be the same for each of the programs in
which an individual participates under a common exit policy; therefore, the outcomes would
only need to be obtained once rather than each program tracking that information separately.
This may enable grantees or Job Corps contractors access to data that they otherwise would
not be able to access.
As a procedural matter, states are required to identify the programs for which they have
adopted a common exit in their WIOA State Plans, beginning with the plans submitted for
- 13 -
PY 2016. Additionally, states must identify in the Program Performance Report Template
(ETA–9173) the programs that share a common exit with the program being reported.
It should be noted that the Monitor Advocate System does not have a co-enrollment
requirement, because the Monitor Advocate System is a system that uses performance data
within the title III Employment Service and does not operate as a completely separate
program. It evaluates minimum and equity service levels for MSFW participants compared
to all participants that are enrolled in the title III Employment Service. This comparative
evaluation of service provision and outcomes within a State is, therefore, not impacted by
whether or not the State adopts common exit, because any decision to adopt common exit
will affect all ES participants alike, MSFW or not.
8. Self-Service and Information-Only Activities. Non-core programs included in this
guidance should refer to the appropriate attachment for the applicability of self-service and
information-only activities, as these categories do not apply to the services offered by all
non-core programs.
Workforce development system programs offer many services to the public, both virtually
and in person, that are general in nature. These are commonly known as self-services or
information-only services or activities. These services do not constitute participation in a
program. Therefore, individuals who receive only self-services or information-only services
or activities are considered reportable individuals, not participants. Note that the “reportable
individual” category is used for some, but not all, of the non-core programs. Core programs
that do not use the reportable individual category track only participants.
As described in 20 CFR 677.150(a)(3)(ii)(A), self-service occurs when individuals
independently access any workforce development system program’s information and
activities in either a physical location, such as an American Job Center resource room or
partner agency, or remotely via the use of electronic technologies. However, it is important
to note that self-service does not uniformly apply to all virtually-accessed services. For
example, virtually-accessed services that provide a level of support beyond independent job
or information seeking on the part of an individual would not be considered self-service and
would therefore be a participant-level service.
Information-only services or activities are those that provide readily available information
that does not require an assessment by a staff member of the individual’s skills, education, or
career objectives.
9. Period of Participation. Non-core programs included in this guidance should refer to the
appropriate attachment for the applicable period of performance definition, as it may differ
by program.
For the core programs, for all indicators, except Measurable Skill Gains, a period of
participation refers to the period of time beginning when an individual becomes a participant
and ending on the participant’s date of exit from the program. States must count each
participant’s exit during the same program year as a separate period of participation for
purposes of calculating levels of performance. For all indicators, except the Measurable Skill
Gains indicator, a new period of participation is counted each time a participant re-enters and
exits the program—even if both exits occur during the same program year. For the
- 14 -
Measurable Skill Gains indicator, a new period of participation is counted each time a
participant enrolls—even if both enrollments occur within the same program year. It is not
necessary to wait until the participant exits the program in order to count a measurable skill
gain because the Measurable Skill Gains indicator is not an exit-based indicator. The skill
gain may be counted as soon as it is earned at any point during the participation period of the
program year in which it was earned. TEGL 10-16, Change 1, Attachment 6
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255) illustrates the counting of
periods of participation and its relation to each performance indicator.
A person with more than one period of participation in a program year is counted separately
for each period of participation in both the numerator and denominator of each applicable
performance indicator; therefore, the person is counted multiple times—once for each period
of participation. Specific examples of counting periods of participation are included in
TEGL 10-16, Change 1, Attachment 6 (see link above).
State levels of performance on all primary indicators under WIOA are calculated as a
percentage (except Median Earnings, for which the calculation produces a dollar amount) of
the number of outcomes achieved for each reporting period (whether quarterly or annually, or
as applicable) by the number of periods of participation during the same reporting period.
Reporting Unique Participants: Non-core programs included in this guidance should refer
to the appropriate attachment for the requirements for reporting unique participants, as it may
differ by program. For the core programs and certain non-core programs, DOL has
determined it necessary to calculate the unduplicated count of participants served each
program year, by each program reporting performance under the DOL-only PIRL. As a
result, it is likely that many States and programs will need to modify their data systems and
processes to be able to track each period of participation (i.e., a duplicate count) while also
retaining the ability to calculate an unduplicated count of individual participants across
multiple periods of participation in any given program year.
To meet this requirement states and grantees of designated non-core programs and Job Corps
contractors must:
1. Develop systems to track multiple periods of participation within a program year;
2. Calculate an unduplicated count of individuals who are served as participants across
multiple periods of participation in any given program year; and
3. For core programs only, establish a unique identification number that will be retained
by the same individual across multiple programs.
Note that DOL does not accept Social Security Numbers (SSNs) as a unique identifier for
participants in the DOL-administered core programs. For the non-core programs, DOL will
not accept a SSN as a form of unique identifier, unless specifically noted in that program’s
specific attachment to this guidance and required under the individual program; however,
many non-core programs do, in fact, require grantees or Job Corps contractors to collect
SSNs on a voluntary basis for performance reporting purposes.
10. Workforce Integrated Performance System (WIPS) and How to Report. WIPS is the
vehicle through which DOL grantees, as directed in program-specific guidance, must submit
individual records based on the PIRL. This Web-based reporting system is accessed using
- 15 -
the following link https://dol.appiancloud.com/suite/. Access requires a username and
password and, unless otherwise stated in program specific attachments, must be requested by
email to [email protected]. Detailed information regarding the site and its use are
available on the WIPS User Resource Library Information Page found here:
https://doleta.gov/performance/wips/. The system can receive comma delimited files with a
.csv extension in multiple layouts. These layouts include (1) the full PIRL layout, which
includes all PIRL data elements and can be used by any program or combination of
programs; (2) the State Integrated Reporting Schema (SIRS), which is used by WIOA Adult,
WIOA Dislocated Worker, WIOA Youth, DWG, JVSG, and TAA; or (3) program specific
layouts that include only data elements required by the specific program, which are used by
the programs not included in SIRS. The acceptable layouts (schemas) are found on the WIPS
User Resource Library Information Page. Files uploaded in an acceptable format undergo
various data edit checks that ensure valid values and logical integrity. Files that violate edit
checks will be rejected by the system; users will be notified of specific edit check violations
and must first correct the errors and then resubmit the data. Once a file has been successfully
submitted, the quarterly performance report (QPR) (ETA-9173) can be generated. At this
point, users must review the report and certify it, if they find the results to be accurate, to
complete the process of submitting their quarterly performance reports. After a report is
certified, the individual records used to populate the report will be stored in DOL’s data
warehouse. Please direct all requests for WIPS technical assistance to
[email protected].
Discontinued Reporting Systems: With the introduction of WIPS, many of the existing
reporting systems (including Enterprise Business Support System (EBSS)/Enterprise Data
Reporting and Validation System (EDRVS) and Labor Exchange Reporting System (LERS)
used by DOL will be replaced and discontinued, along with the reports that were submitted
through those systems; DOL’s intent is to discontinue the WIA and Labor Exchange
reporting systems, including all 9002 reports and VETS 200 reports. See individual program
attachments for the status of program specific reporting systems or reports.
11. State Annual Report Narratives. Non-core programs should refer to the attached program-
specific guidance for the applicability of the State Annual Report Narratives, as only
specified non-core programs are required to submit a State Annual Report Narrative.
In addition to performance accountability data, DOL requires states to submit separately an
Annual Statewide Performance Report Narrative for the WIOA title I and title III
Employment Service core programs, which must be limited to no more than 25 pages, and is
due on December 1 of each year for the previous program year. Other required partner
programs are required to participate in the development of the report narrative, as
appropriate. The specific items to be described by states in the Annual Statewide
Performance Report Narrative can be found in TEGL 05-18 Workforce Innovation and
Opportunity Act (WIOA) Annual Statewide Performance Report Narrative, published on
November 7, 2018 (https://wdr.doleta.gov/directives/corr_doc.cfm?docn=3118).
In their Annual Statewide Performance Report Narratives, states must address all of the items
requested through TEGL 05-18; however, states will not be limited to the requested items
and may want to include additional information about their programs. Thus, states have
flexibility in the contents of the Annual Statewide Performance Report Narrative, as long as
- 16 -
they address the requested items and stay within the 25-page limit established for the
narrative requirement.
12. Eligible Training Provider (ETP) Performance Reporting. WIOA requires States to
report on the performance of ETPs for the WIOA Adult, WIOA Dislocated Worker, and
WIOA Youth (Out-of-School Youth only) programs. These reports will be submitted to
ETA through WIPS annually and will include aggregated data about individuals receiving
training from those providers, including non-WIOA participants. The full list of required
elements and definitions can be found in the ETA-9171 report. The Department has
published detailed guidance on ETP Performance Reporting Requirements in TEGL 03-18
Eligible Training Provider (ETP) Reporting Guidance under the Workforce Innovation and
Opportunity Act (WIOA), published August 31, 2018
(https://wdr.doleta.gov/directives/corr_doc.cfm?docn=3527).
Non-core programs are not required to submit an ETP performance report.
13. Pay-for-Performance Reporting. The following guidance applies only to the title I Adult,
Dislocated Worker, and Youth core programs. WIOA allows local workforce boards to use
up to 10 percent of their WIOA Adult, WIOA Dislocated Worker, and WIOA Youth funds to
implement innovative, “Pay-for-Performance” strategies. States are required to submit an
annual narrative report describing the different pay-for-performance strategies being used
within their states using ETA- 9174. Additionally, state and local staff must ensure that
participants receiving services funded by a pay-for-performance strategy are coded as a “1”
in the data element PIRL # 930 “Pay-for-Performance” and that the Pay-for-Performance
provider identification (ID) number is reported in the data element PIRL #107 “Special
Project ID – 3.”
For non-core programs, unless otherwise specified in program-specific or grant-specific
guidance, the provisions regarding pay-for-performance reporting do not apply.
14. Quarterly Narrative Reports for Discretionary Programs. Some non-core programs
require quarterly narrative reports to be submitted in addition to the required PIRL-formatted
performance data submissions. Non-core programs included in this guidance should refer to
the appropriate attachment for the applicability of these requirements.
15. Use of Social Security Numbers and Direct Wage Match for Performance Reporting.
The requirements regarding the collection and use of SSNs for the purpose of performance
reporting vary across the programs included in this guidance, with substantial differences
between the core and non-core programs. In general, for those programs that are directed to
collect SSNs, SSNs are collected for the purpose of reporting on primary indicators of
performance for employment status in the second and fourth quarters after exit, on the
primary indicator of performance for median earnings in the second quarter after exit, and on
post-exit employment status for participants who attain secondary school diplomas or their
recognized equivalent for the primary indicator of performance for credential attainment.
SSNs may also be collected for the purpose of reporting on the approach to measuring one of
the three effectiveness in serving employers indicators—the one that calculates retention with
the same employer in the second and fourth quarters after exit. Matching a participant’s SSN
against quarterly wage record information is, where a wage match is available, the most
efficient method for determining employment status and earnings for a program participant.
- 17 -
Reporting by States: In general, the core programs collect participants’ SSNs in order to
obtain quarterly wage record information on those participants, but states do not report core
program participants’ SSNs to DOL. DOL interprets WIOA section 116(i)(2) as requiring
states to use state and out-of-state quarterly Unemployment Insurance (UI) wage records,
consistent with state law, to measure their progress on satisfying state and local performance
accountability indicators for the core programs. States must submit the records of individual
participants in core programs to the Department using a unique personal identifier other than
a SSN. TEGL 26-16, Guidance on the use of Supplemental Wage Information to implement
the Performance Accountability Requirements under the Workforce Innovation and
Opportunity Act published on June 1, 2017,
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5002) provides additional guidance
regarding the availability of SSNs and UI wage records for collecting employment
information for core programs.
In addition, in the non-core programs listed below, for which grantees are states, the state
grantees are directed to collect participants’ SSNs in order to obtain quarterly wage record
information on those participants. For these non-core programs, which are listed below,
states will request but not report the participants’ SSNs to DOL. Rather, states will be able to
use quarterly wage records, consistent with state law, to report on participants’ exit-based
performance indicators (which all have an employment-related component) in these
programs. States will submit exit-based outcomes for these participants in these grant
programs to DOL using a unique personal identifier rather than a SSN.
These non-core programs, for which this guidance directs states to request the participants’
SSNs and submit quarterly wage record information (but not the participants SSNs) on those
participants to DOL, are:
Jobs for Veterans State Grants;
National Dislocated Worker Grants (for grantees that are states or local workforce
development boards (WDBs) reporting through states); and
Trade Adjustment Assistance.
Reporting by Non-State Entities: This guidance directs grantees of certain non-core
programs and Job Corps contractors to request participants’ SSNs and to report those SSNs
to DOL through the DOL-only PIRL. For these specified non-core programs, DOL will,
through an agreement with states that allows access to quarterly unemployment insurance
(UI) wage records, obtain aggregate quarterly employment and earnings results for program
participants and provide those aggregate results to the relevant grantee or contractors.
The non-core programs, for which this guidance directs grantees and Job Corps contractors to
request participants’ SSNs and to report those SSNs to DOL, are:
H-1B Job Training Programs (awarded July 1, 2016, and later);
Indian and Native American (INA) Program;
Job Corps;
- 18 -
National Dislocated Worker Grants (for grantees that are not States, such as entities
under WIOA section 166 and Indian tribal governments10);
National Farmworker Jobs Program;
Reentry Employment Opportunities;
Senior Community Service Employment Program; and
YouthBuild.
Reporting by Both State and Non-State Entities: While grantees in the core and non-core
programs specified above and Job Corps contractors are required to request participants’
SSNs, participants cannot be denied services if they choose to not disclose their SSN.
Furthermore, when requesting a participant’s SSN, the participant must be informed, in
writing, of the following as applicable to the particular program:
(1) Authority: The statute, regulation, Executive Order, or other authority under which the
SSN is solicited. In general, the authority for collecting participants’ SSNs is found in
WIOA and the regulations implementing WIOA.
(2) Purpose: The information will be used to collect quarterly wage data for the purposes of
assessing the overall performance outcomes of a grantee or Job Corps contractor and of
the program.
(3) Opportunity and/or right to decline to provide SSNs: SSN disclosure must be
voluntarily provided by the individual.
(4) Consequences of refusing or failing to disclose one’s SSN: Grantees and Job Corps
contractors cannot deny the participant access to services if the SSN is not provided. In
such instances, the participant will be identified by an alternate unique identifier.
DOL will ensure appropriate security within the data collection system to protect SSNs and
any other personally identifiable information (PII) collected and transmitted to DOL.
Grantees and Job Corps contractors also must follow appropriate practices in collecting,
storing, handling, and transmitting PII. For further guidance, reference TEGL No. 39-11,
Guidance on the Handling and Protection of Personally Identifiable Information
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7872).
16. Supplemental Wage Information. While the most efficient method for determining both
employment status and earnings for program participants is to obtain quarterly wage records
for those participants, such wage records will not be available in all circumstances. For
circumstances where wage records are not available, supplemental wage information may be
used to provide information needed to calculate the applicable primary indicators of
performance.
For the core programs, the guidance on the use of supplemental wage information can be
found in TEGL 26-16 (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5002). For
non-core programs, the guidance on supplemental wage information can be found in
Appendix VI of this guidance and aligns closely with the guidance in TEGL 26-16.
Programs should also refer to individual program attachments for programmatic differences.
10
While the Department is unable at this time to facilitate wage matches on behalf of these grantees, the Department
anticipates that these entities will be included in future agreements concerning UI wage record matching.
- 19 -
Supplemental information collection is important where participants’ SSNs were not
collected, because quarterly UI wage matching utilizes the SSN to match against employer
records. Where an SSN is not provided, the grantee must gather supplemental information to
obtain employment and earnings status for outcome reporting purposes.
Supplemental information can be collected to record credential attainment and the occupation
of employment participants were placed in for reporting purposes, as well as earnings and
employment status post-exit.
Supplemental information should be well-documented to verify its accuracy and subject to
records retention policies.
17. Reporting of Individuals Served with Statewide Funds. This section applies to only the
WIOA title I core programs (Adult, Dislocated Worker, and Youth).
Performance outcome data of individual participants who receive direct services with
funding from statewide reserve funds must be reported by the State under the title I Adult,
Dislocated Worker (including WIOA participants who receive Rapid Response), and Youth
program(s) and must be reported following the same guidelines that apply to participants
served with local formula funding. For the WIOA title I core programs, States must ensure
that these participants are coded in the appropriate funding stream data element(s) in the
PIRL (e.g., 903, 904, or 905) and must be assigned code “2” if they are served only using
statewide reserve funds or code “3” if they are served using statewide funds in combination
with local formula funds. This means the performance outcomes of these individuals will be
included for performance accountability purposes.
18. Performance Reporting and Apprenticeship. DOL has consistently supported the
integration of apprenticeship11 programs into the public workforce system. Apprenticeship is
both a contributor to—and collaborator in—the continuing development of a skilled
workforce that is responsive to business needs and our evolving economy, (see TEGL 02-07,
Leveraging Registered Apprenticeship as a Workforce Development Strategy for the
Workforce Investment System
[https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2491]). Apprenticeship is an
important component of education and training services (see TEN 44-11, Encouraging
Enhanced Partnerships and Collaboration between the Workforce Investment System and
Registered Apprenticeship Programs
[https://wdr.doleta.gov/directives/corr_doc.cfm?docn=4843]).
As the states, other grantees, and Job Corps contractors adopt apprenticeship programs as
part of their sector strategies and career pathways approaches, complete and accurate
reporting of the workforce system’s investments in these programs is vital. Within the
workforce system, data on program participants and program outcomes is reported through
the DOL-only PIRL, which includes the enrollment of core and non-core program
participants in apprenticeship programs.
11
The definition of “apprenticeship” in both WIOA and the WIOA final rule refers to “Registered Apprenticeship”;
however, in this guidance references to apprenticeship include both Registered Apprenticeship and apprenticeships
that are not registered.
- 20 -
Note that the information collected in the DOL-only PIRL regarding enrollment of core and
non-core program participants in Registered Apprenticeship (RA) programs, is separate and
apart from the Office of Apprenticeship’s current reporting requirements. The Office of
Apprenticeship requires RA program sponsors to report on program participants using the
program’s case management system, either the Registered Apprenticeship Partners
Information Data System (RAPIDS) or an appropriate State Apprenticeship Agency (SAA)
case management system. The information collection in the DOL-only PIRL regarding
apprentices, serves two main purposes within the workforce system: (1) to record which core
or non-core program participants are also apprentices, and (2) to record training, credentials,
work experiences, employment, and other services received via an apprenticeship program
for program reporting within the workforce system, for both programmatic as well as
performance reporting purposes.
Pursuant to Executive Order 13801 “Expanding Apprenticeships in America”
(issued June 15, 2017, https://www.whitehouse.gov/presidential-actions/3245/), DOL is
working to implement the recommendations of the Task Force on Apprenticeship Expansion.
On May 10, 2018, the Task Force released a report with recommendations
(https://www.dol.gov/apprenticeship/docs/task-force-apprenticeship-expansion-report.pdf),
which include recommendations relating to the Registered Apprenticeship program’s
interaction with WIOA. These recommendations (#24 and #25 in the report) are addressed
by the guidance in this section. As it pertains to reporting on various types of apprenticeship
models, the training type options in the PIRL are sufficient to report the different components
of apprenticeship programs (see “Type of Training Services” discussion below). Further
guidance, as well as requisite changes to the DOL-only PIRL, will be provided should it be
determined that the Task Force’s recommendations require additional changes to the PIRL
reporting.
Apprenticeship and Pre-Apprenticeship in the PIRL: The DOL-only PIRL directly
supports a collaborative relationship between workforce development and apprenticeship, by
including data elements reflecting enrollment of a core or non-core program participant in
apprenticeship. In particular, PIRL #931 indicates whether a core or non-core program
participant either entered into an apprenticeship program during program participation or was
a registered apprentice at the time of program entry.
In addition to PIRL #931, there are a number of other PIRL data elements that are
particularly important for the complete and accurate reporting of apprenticeship and pre-
apprenticeship participation; some of these data elements are identified below, although this
is not an exhaustive list.
Three PIRL data elements focus on Type of Training Services being provided to a
participant (i.e., PIRL #1303, #1310, and #1315). In each case, “Registered
Apprenticeship” is an option among the coding values (code value “09”), as is On-the-
Job Training (OJT) (code value “01”), and Skill Upgrading (code value “02”). The
instructions make clear that if OJT or Skill Upgrading is being provided to an individual
as part of a Registered Apprenticeship program, the code value “09” for Registered
Apprenticeship must be used. This emphasizes both the importance of apprenticeship
and the fact that OJT and Skill Upgrading may be components of an apprenticeship
program.
- 21 -
For the PIRL data elements focused on employment status post-exit (i.e., PIRL #1600,
#1602, #1604, and #1606), the reporting instructions similarly clarify that if the
unsubsidized employment is through a Registered Apprenticeship, the code value “02”
for Registered Apprenticeship should be used.
Three PIRL data elements focus on the Type of Recognized Credential (i.e., PIRL #1800,
#1802, and #1804). Although “Registered Apprenticeship Completion Certificate” is not
a specific coding value/option, the RA Completion Certificate is considered a recognized
post-secondary credential under WIOA sec. 3(52). Therefore, if an individual receives a
Registered Apprenticeship Completion Certificate, the code value “06” for Occupational
Certificate should be used.
One PIRL data element focuses on the Type of Work Experience (PIRL #1205) provided
to program participants. Pre-apprenticeship programs (code value “03”) are included
among the types of work experiences that can be provided as a service to adults and
dislocated workers, as well as youth. If code values “02” (Employment opportunities,
including internships, not limited to summer months) or “05” (On-the-Job Training
[WIOA Youth]) would normally be applicable but the participant is receiving them as a
part of a pre-apprenticeship program, then code value “03” for pre-apprenticeship is to be
used.
The PIRL data element for Received Pre-Vocational Services (PIRL #1210) records the
date that the participant received short-term pre-vocational services (at any time during
an individual’s period of participation). An adult pre-apprenticeship program may
include the kind of pre-vocational services listed; if so, the date on which such pre-
vocational services were received in the context of an adult pre-apprenticeship program
should be recorded. (Note: This PIRL data element is not used for title I Youth.)
Apprenticeship and WIOA Primary Indicators of Performance:
Employment Rates and Median Earnings
Whether or not they are a participant in a core/non-core program, DOL will facilitate a wage
match between data from RAPIDS and UI wage records for participants that exit DOL’s
Registered Apprenticeship program (both cancellers and completers) for certain
employment-related performance indicators. The three employment-related performance
indicators for which the Department will facilitate a wage match are:
Employment Rate – Second Quarter After Exit;
Employment Rate – Fourth Quarter After Exit; and
Median Earnings – Second Quarter After Exit.
The Department will calculate these outcomes using PII including each participant’s SSN.
Differences between the Calculation of the WIOA Primary Indicator of Performance for
Credential Attainment and the Operational Parameters for the Office of Apprenticeship
Credential Attainment Measure
The core and non-core programs identified in this guidance and the Registered
Apprenticeship program all require the reporting of participants’ credential attainment and
recognize certificate of completion of an apprenticeship as a credential; in particular, under
- 22 -
WIOA section 3(52), the definition of recognized postsecondary credential specifically
includes a certificate of completion of an apprenticeship.
However, the Registered Apprenticeship program and the core and non-core programs
identified in this guidance vary slightly in their methodologies for calculating the attainment
of credentials. The Office of Apprenticeship calculates certificate of completion attainment
within one year of expected completion. The WIOA Credential Attainment primary
indicator used in the WIOA core and non-core programs calculates certificate of completion
attainment during participation or within one year of exit from a core or non-core program.
Detailed specifications and methodologies for the calculation of these indicators can be found
in the applicable program guidance. For the core and non-core programs identified
throughout this guidance, refer to Appendix I of this guidance and its program-specific
attachments, as well as TEGL 10-16, Change 1. RA programs should refer to the Office of
Apprenticeship’s Bulletin 2015-10, “Calculation of Registered Apprenticeship Completion
Rates,” for RA programs.
For the Registered Apprenticeship program, the “Registered Apprenticeship Program
Completion Rate” is calculated as the percentage of an apprenticeship cohort who receive a
certificate of completion of Registered Apprenticeship within one (1) year of the expected
completion date, out of the total number of registered apprentices in the cohort who exited
the program minus the total number of registered apprentices in the cohort who cancelled
their apprenticeship program during the probationary period. (For state apprenticeship
programs reported via RAPIDS, this is tracked and reported directly through participant level
data collected in RAPIDS.) These operational parameters are consistent with the Office of
Apprenticeship’s Bulletin 2015-10 (“Calculation of Registered Apprenticeship Completion
Rates”).
Recording Measurable Skill Gains for Participants Co-Enrolled in Apprenticeship Programs
This measure of interim progress enables programs to identify a participant’s achievement of
training milestones during a program year, which is particularly consequential for longer
term programs, such as apprenticeships, that may span several program years. These
milestones marking Measurable Skill Gains include, as noted in 20 CFR 677.155(a)(1)(v)(D),
completion of one year of an apprenticeship program, as well as similar milestones. Other
measurable skill gains achieved by a participant in an apprenticeship, could include the
following:
Completion of a front-loaded related technical instruction (RTI) component of an
apprenticeship;
Completion of a semester of related instruction; or
A scheduled wage increase commensurate with an increase in skill levels gained
during an apprenticeship.
For these latter three types of milestones (i.e., completion of front-loaded RTI, completion of
a semester of related instruction, or receipt of a scheduled wage increase), they must be
attested to by an employer or verified by a training provider to be counted as a Measurable
Skill Gain in the WIOA primary indicator of performance. DOL anticipates that such
attestation or verification will be most likely in situations where an individual is
- 23 -
simultaneously a participant in Apprenticeship and an additional DOL-administered WIOA
core or non-core program.
19. Performance Reporting and Unemployment Insurance.
The Department is in the process of developing a “Facilitate Re-employment” performance
metric and methodology that will report on what percent of UI participants are re-employed
by the second quarter after program exit. This reporting will be required for WIOA core
program or non-core program participants who received or were receiving UI and were
subject to the requirement to search for work. The data elements needed to report on this
metric are already built in to existing PIRL requirements, and a few of these elements are
listed below as a reference only. DOL will issue additional guidance, including the full
methodology and established targets, once the measure has been fully developed. States are
currently required to report data toward the “Facilitate Re-employment” performance metric
for the UI program and must continue to report on this metric.
Applicable PIRL Data Elements for Calculation of a “Facilitate Re-Employment”
Performance Metric: The Department anticipates using the following PIRL data elements
to calculate the Re-Employment Rate:
PIRL # 401 – This data element, “UC Eligible Status,” records whether an
individual, who is a participant in a core or non-core program, is monetarily eligible
for benefit payments under one or more State or Federal unemployment
compensation (UC) program(s), as well as whether the individual has exhausted all
UC benefit rights for which he or she was determined monetarily eligible. This
element further differentiates into categories based on whether the individual, as a UC
claimant, was referred to the workforce system by the Reemployment Services
Eligibility Assessment (RESEA) and/or Worker Profiling and Reemployment
Services (WPRS) programs. Please note that if the individual is not eligible for
benefits on the date of entry into the core or non-core program, this data element
should be left blank as it does not apply to the individual.
o 401(5) – Within PIRL data element number 401, there is also a fifth subcategory
where a grantee can flag a participant as exempt from its work search requirement
if the state workforce agency has determined exemption pursuant to state law or
policy. An example where this may occur would be the participant returning to
work in the near future or starting new employment in the immediate future. This
category, which is code value “05” in the PIRL element number 401, requires
program staff to make the determination on exemption based on State law and
policy and cannot be self-attested by the participant.
PIRL # 1602 – This data element, “Employed in 2nd Quarter After Exit Quarter
(WIOA),” records whether a core or non-core program participant was in
unsubsidized employment, in a Registered Apprenticeship, in the military, or not
employed, in the second quarter after the quarter of exit.
PIRL # 1609 - This data element, “Recalled by Layoff Employer,” is a required data
element for participants in the TAA program. When the Department calculates a
“Facilitate Re-employment” performance metric, it will include both those
participants who were recorded as eligible for “UC Eligible Status” in PIRL #401, as
well as those participants who were recorded as “Employed in 2nd Quarter After Exit
- 24 -
Quarter (WIOA)” in PIRL #1602 but exclude any participant who was recorded as
recalled by the employer where the qualifying separation took place in PIRL #1609.
It is important to remember that the following data elements are particularly important for
ensuring accurate reporting on UI eligible participants:
#100 – Unique Individual Identifier
#101 – State Code of Residence
#300 –Veteran Status
#401 – UI Eligible Status
20. Action Requested. States, grantees, and Job Corps contractors are requested to distribute
this information to the appropriate staff.
21. Inquiries. Questions concerning this guidance should be directed to the appropriate regional
office.
- 25 -
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Appendices_Acc.pdf)
Appendix I
Primary Indicators of Performance
The language below is aligned with the guidance in Training and Employment Guidance
Letter (TEGL) 10-16, Change 1, developed by the Department of Labor (DOL) and the
Department of Education (ED) (collectively referred to in this guidance as “the
Departments”), which provides joint performance guidance on the performance provisions
in the Workforce Innovation and Opportunity Act (WIOA) for the six WIOA core programs:
the title I Adult, Dislocated Worker, and Youth programs, administered by DOL; the title II
Adult Education and Family Literacy Act (AEFLA) program, administered by ED; the
Employment Service (ES) program authorized under the Wagner-Peyser Act, as amended by
WIOA title III, 1 administered by DOL; and the Vocational Rehabilitation (VR) program
authorized under title I of the Rehabilitation Act of 1973, as amended by WIOA title IV, 2
administered by ED. This appendix provides guidance for the DOL-administered core
programs as well as for the DOL-administered non-core programs.
This appendix will serve as a point of reference for the individual DOL programs in their
programmatic attachments in this guidance. The attachments provide guidance on when and
how to implement these indicators for each program.
WIOA Primary Indicators of Performance.
Under WIOA section 116(b)(2)(A) and 20 CFR 677.155, there are six primary indicators of
performance. For the first two indicators, there is a modified indicator for the title I Youth
program, which is provided below:
A. Employment Rate – 2nd Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the second quarter after exit from the program.
Youth Education or Employment Rate – 2nd Quarter After Exit: The percentage of
participants in education or training activities, or in unsubsidized employment, during the
second quarter after exit.
B. Employment Rate – 4th Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the fourth quarter after exit from the program.
1
Although this program is authorized under the Wagner-Peyser Act, it was amended by title III of WIOA and is a
“core program” of WIOA, as defined at WIOA section 3(12). Throughout this appendix, it is referred to as the “title
III Employment Service.”
2
Although this program is authorized under title I of the Rehabilitation Act of 1973, it was amended by title IV of
WIOA and is a “core program” of WIOA, as defined at WIOA section 3(12). Throughout this appendix, it is
referred to as the “title IV VR program.”
Appendix I -1-
Youth Education or Employment Rate – 4th Quarter After Exit: The percentage of
participants in education or training activities, or in unsubsidized employment, during the
fourth quarter after exit.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who are
in unsubsidized employment during the second quarter after exit from the program.
D. Credential Attainment: The percentage of those participants enrolled in an education or
training program (excluding those in on-the-job training (OJT) and customized training)
who attain a recognized postsecondary credential or a secondary school diploma, or its
recognized equivalent, during participation in or within one year after exit from the
program. A participant who has attained a secondary school diploma or its recognized
equivalent is included in the percentage of participants who have attained a secondary
school diploma or its recognized equivalent only if the participant also is employed or is
enrolled in an education or training program leading to a recognized postsecondary
credential within one year after exit from the program.
E. Measurable Skill Gains (MSG): The percentage of program participants who, during a
program year, are in an education or training program that leads to a recognized
postsecondary credential or employment and who are achieving measurable skill gains,
defined as documented academic, technical, occupational, or other forms of progress,
towards such a credential or employment. Depending on the type of education or training
program, documented progress is defined as one of the following:
a) Documented achievement of at least one educational functioning level of a
participant who is receiving instruction below the postsecondary education level;
b) Documented attainment of a secondary school diploma or its recognized equivalent;
c) Secondary or postsecondary transcript or report card for a sufficient number of credit
hours that shows a participant is meeting the state unit’s academic standards3;
d) Satisfactory or better progress report, towards established milestones, such as
completion of OJT or completion of one year of an apprenticeship program or similar
milestones, from an employer or training provider who is providing training; or
3
Within each state there is an administrative unit that provides authorization to postsecondary institutions within the
state. States differ in the requirements to which they hold postsecondary institutions responsible for satisfactory
progress. Progress for WIOA purposes must comply with any applicable state standards. Likewise, every state has
a state educational agency that establishes education standards for secondary education within the state, which
would apply for purposes of determining if a participant is meeting the state’s academic standards.
Appendix I -2-
e) Successful passage of an exam that is required for a particular occupation or progress
in attaining technical or occupational skills as evidenced by trade-related benchmarks
such as knowledge-based exams.
F. Effectiveness in Serving Employers: WIOA section 116(b)(2)(A)(i)(VI) requires the
Departments to establish a primary indicator of performance for effectiveness in serving
employers. This primary indicator of performance applies to many, but not all, DOL
non-core programs. As described further below, particular DOL non-core programs will
track effectiveness in serving employers using an approach that measures participants’
retention of employment with the same employer in the 2nd and 4th quarter after exit.
For the six core WIOA programs, the Departments are piloting three approaches to
measuring this indicator. Descriptions of these approaches, and the pilot for the core
programs, can be found in TEGL 10-16, Change 1.
The methodologies of calculating most of the primary indicators of performance are written
as equations (see TEGL 10-16, Change 1, Attachment 10
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255), clearly identifying what
cohorts are in the numerator and what cohorts are in the denominator. In cases where
conditions that apply to both, the condition is represented in italics at the beginning of the
discussion about the indicator.
These primary indicators of performance apply to all six core programs, excepting indicators
for credential attainment and for measurable skill gains for the title III Employment Service
program. For the non-core programs, the program-specific guidance in Attachments 1
through 11 describes the extent to which these primary indicators of performance apply to
each non-core program, as well as any program-specific variation in their definition,
methodology, or calculation.
For the employment-related performance indicators4, status in unsubsidized employment and
quarterly earnings may be determined by direct Unemployment Insurance (UI) wage match,
federal employment records, military employment records, or supplemental wage
information. Participants who are in the military or in a Registered Apprenticeship are also
considered as employed, and their quarterly earnings are calculated, for the purpose of these
indicators. Supplemental wage information may be used to report these indicators only in
those circumstances where quarterly wage records are not available or may not apply (e.g.,
for participants who are self-employed, or for participants who decline to provide a social
4 These indicators are: employment rate in the second and fourth quarters after exit, median earnings in the second
quarter after exit, the employment-related portion of the credential attainment indicator, and effectiveness in serving
employers as measured by retention with the same employer.
Appendix I -3-
security number (SSN), as well as for grantees or Job Corps contractors that do not collect
SSNs).5 States may document supplemental information in case files and their Management
Information Systems (MIS), submitting this information to the Departments by using the data
reporting instruments (e.g., Participant Individual Record Layout (PIRL) and Statewide and
Local Performance Report Template and Specifications). The Departments have provided
specific protocols on the use of supplemental wage information in TEGL 26-16
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5002) and in section 17 of this
guidance.
As detailed in TEGL 10-16, Change 1, Attachment 2, Table A and TEGL 10-16, Change 1,
Attachment 2, Table B (see link to TEGL 10-16, Change 1 above), under very limited
circumstances, some participants who exit programs are excluded from the performance
calculations for the six indicators. These categories of exclusions apply to participants who
exit for any of the reasons described in TEGL 10-16, Change 1, Attachment 2, Table A (for
programs using title I Adult performance indicators) and TEGL 10-16, Change 1, Attachment
2, Table B (for programs using title I Youth performance indicators) (see link to TEGL 10-
16, Change 1 above).
Furthermore, participants who have exited a program but for whom information is not yet
available, are not included in performance calculations until such data become subsequently
available. For the employment-related indicators (e.g. employment rate in the second and
fourth quarters after exit, median earnings in the second quarters after exit, credential
attainment6, and effectiveness in serving employers—retention with the same employer), if
employment status is recorded as “Information not yet available,” or if total earnings are
recorded as “999999.99” (data were not yet available), the participant record will be
excluded from the performance calculations. The Departments anticipate that data for the
employment indicators will generally be available at the time of reporting, as there is a two-
quarter lag built into the reporting times for the employment- and wage-based indicators to
allow time for reporting participant exit and direct UI wage record match. The two-quarter
lag is also sufficient for obtaining supplemental wage information.
5
The Department notes that as announced on July 28, 2017 via TEN 3-17, Informing the States about Reassessment
of the Federal Employment Data Exchange System (FEDES), the operation of the Federal Employment Data
Exchange System (FEDES) was temporarily suspended in January 2018. FEDES was a pilot program that had
supported reporting based on Federal civilian and military employment records, including records maintained by the
Office of Personnel Management and the Department of Defense. Until and unless a similar data sharing agreement
is implemented for federal employment information, supplemental wage records is currently the only method of
documenting employment status and wages after December 31, 2017, for individuals employed by the Federal
government as a civilian (e.g., civil service, U.S. Postal Service, and civilians employed by the Department of
Defense) or as a member of the military.
6
Employment status is only relevant for the credential attainment indicator when the credential attained is a
secondary school diploma, which requires that the participant be employed or education/training in order to count as
a positive outcome.
Appendix I -4-
The methodology for calculating the primary indicators of performance for the core programs
and for the non-core programs (unless otherwise specified in program-specific guidance), and
the operational parameters determining the population assessed for each primary indicator,
are described below.
A. Employment Rate – 2nd Quarter After Exit
Employment Rate – 2nd Quarter After Exit is the percentage of program participants who
are in unsubsidized employment during the second quarter after exit from the program.
Methodology:
Calculation includes all program participants, except those participating in the title I
Youth program or participating in non-core programs employing the youth indicators
(which will be discussed separately below):
The number of participants who exited during the reporting period who are found to
be employed, either through direct UI wage record match, Federal or military
employment records, or supplemental wage information, in the second quarter after
the exit quarter DIVIDED by the number of participants who exited during the
reporting period. This is described in TEGL 10-16, Change 1, Attachment 10, Figure
1 (see link to TEGL 10-16, Change 1 above).
Operational Parameters:
For the DOL core programs, when calculating levels of performance for this indicator,
states must include all participants exiting the program for the WIOA title I Adult, title I
Dislocated Worker, and title III Employment Service programs. However, states must
not include (in either the numerator or denominator) those participants who exit during
the reporting period for any of the reasons listed in TEGL 10-16, Change 1, Attachment
2, Table A or TEGL 10-16, Change 1, Attachment 2, Table C (PIRL 923) regarding
exclusions (see link to TEGL 10-16 above).
For non-core programs for which the adult indicators apply, grantees and Job Corps
contractors must include all participants exiting the program when calculating levels of
performance for this indicator. Note that grantees and Job Corps contractors must not
include (in either the numerator or denominator) those participants who exit during the
reporting period for any of the reasons listed in TEGL 10-16, Change 1, Attachment 2,
Table A (PIRL 923) regarding exclusions, unless specified otherwise in program-specific
guidance.
Appendix I -5-
A-1. Youth Education and Employment Rate – 2nd Quarter After Exit
Youth Education and Employment Rate – 2nd Quarter After Exit is the percentage of
youth program participants (or participants in non-core programs using the youth
indicators) who are in education or training activities, or in unsubsidized employment,
during the second quarter after exit from the program.
Methodology:
Calculation includes all youth program participants:
The number of youth program participants who exited during the reporting period
who are found to be employed, either through direct UI wage record match, Federal
or military employment records, or supplemental wage information, OR found to be
enrolled in secondary education, postsecondary education, or occupational skills
training (including advanced training) in the second quarter after the exit quarter
DIVIDED by the number of youth program participants who exited the program
during the reporting period. This is described in TEGL 10-16, Change 1, Attachment
10, Figure 2.
Operational Parameters:
For the title I youth core program, calculations for determining levels of performance for
this indicator include all participants who exit the program except those that exit for any
of the reasons listed in TEGL 10-16, Change 1, Attachment 2, Table B (PIRL 923). Title
I Youth who are in the AmeriCorps program or Job Corps program in the second quarter
after exit are counted as a success in the training portion of the indicator.
For non-core programs in which the youth indicator applies, calculations for determining
levels of performance for this indicator include all participants who exit the non-core
youth program except those that exit for any of the reasons listed in TEGL 10-16, Change
1, Attachment 2, Table B (PIRL 923), unless specified otherwise in program-specific
guidance. Furthermore, youth who are in the AmeriCorps program or Job Corps program
in the second quarter after exit are counted as a success in the training portion of the
indicator.
B. Employment Rate – 4th Quarter After Exit
Employment Rate – Fourth Quarter After Exit is the percentage of program participants
who are in unsubsidized employment during the fourth quarter after exit from the
program.
Appendix I -6-
Methodology:
Calculation includes all program participants, except those participating in the title I
Youth program or participating in non-core programs employing the youth indicators
(which will be discussed separately below):
The number of participants who exited during the reporting period who are found to
be employed, either through direct UI wage record match, Federal or military
employment records, or supplemental wage information, in the fourth quarter after
the exit quarter DIVIDED by the number of participants who exited during the
reporting period. This is described in TEGL 10-16, Change 1, Attachment 10, Figure
3.
Operational Parameters:
For core programs, calculation of levels of performance for this indicator includes all
participants who exit from the WIOA title I Adult, title I Dislocated Worker, and title III
Employment Service. Note that states must not include (in either the numerator or
denominator) those who exit for any of the reasons listed in TEGL 10-16, Change 1,
Attachment 2, Table A or TEGL 10-16, Change 1, Attachment 2, Table C (PIRL 923)
regarding exclusions (see link to TEGL 10-16, Change 1 above).
For non-core programs, grantees and Job Corps contractors must include all participants
exiting the program when calculating levels of performance for this indicator. Note that
grantees and Job Corps contractors must not include (in either the numerator or
denominator) those participants who exit during the reporting period for any of the
reasons listed in TEGL 10-16, Change 1, Attachment 2, Table A (PIRL 923) regarding
exclusions, unless specified otherwise in program-specific guidance.
B - 1. Youth Education and Employment Rate – 4th Quarter After Exit
Youth Education and Employment Rate – Fourth Quarter After Exit is the percentage of
youth program participants (or participants in non-core programs using the youth
indicators) who are in education or training activities, or in unsubsidized employment,
during the fourth quarter after exit from the program.
Methodology:
Calculation includes all youth program participants who exit from the program:
The number of youth program participants who exited the program during the
reporting period who are found to be employed, either through direct UI wage record
match, Federal or military employment records, or supplemental wage information,
Appendix I -7-
OR found to be enrolled in secondary education, postsecondary education, or
occupational skills training (including advanced training) in the fourth quarter after
the exit quarter DIVIDED by the number of youth program participants who exited
the program during the reporting period. This is described in TEGL 10-16, Change 1,
Attachment 10, Figure 4.
Operational Parameters:
For the WIOA title I youth core program, calculation of levels of performance for this
indicator includes all participants who exit from the program, except those who exit for
any of the reasons listed in TEGL 10-16, Change 1, Attachment 2, Table B (PIRL 923).
Title I Youth who are in the AmeriCorps program or Job Corps program in the fourth
quarter after exit are counted as a success in the training portion of the indicator.
For non-core programs in which the youth indicator applies, calculations for determining
levels of performance for this indicator include all participants who exit the non-core
youth program except those that exit for any of the reasons listed in TEGL 10-16, Change
1, Attachment 2, Table B or TEGL 10-16, Change 1, Attachment 2, Table C (PIRL 923),
unless specified otherwise in program-specific guidance. Furthermore, youth who are in
the AmeriCorps program or Job Corps program in the fourth quarter after exit are
counted as a success in the training portion of the indicator.
C. Median Earnings – 2nd Quarter After Exit
Median Earnings – 2nd Quarter After Exit is the median earnings of program participants
who are in unsubsidized employment during the second quarter after exit from the
program, as established through direct UI wage record match, Federal or military
employment records, or supplemental wage information.
Methodology:
To calculate the median earnings for all participants employed in the second quarter
after exit from any of the core programs or non-core programs (unless specified
otherwise in program-specific guidance):
Total quarterly earnings, for all participants employed in the second quarter after exit,
are collected by either direct wage record match or supplemental wage information.
The collected quarterly wage information values are listed in order, from the lowest to
the highest value. The value in the middle of this list is the median earnings value,
where there is the same quantity of numbers above the median number as there is
below the median number. This is described in TEGL 10-16, Change 1, Attachment
10, Figure 5.
Appendix I -8-
The Wage Conversion Chart (TEGL 10-16, Change 1, Attachment 3, see link to TEGL
10-16, Change 1 above) is used to convert supplemental wage information values that do
not represent the total amount a participant earned in the second quarter after exit. When
using the Wage Conversion Chart it is important to distinguish between wages and
earnings. Wage refers to a ratio of a specified amount of earnings over a specified period
of time (e.g. $15/hour). The Wage Conversion Chart should be used only when the wage
rate—and not the earnings information—is available. This Wage Conversion Chart
applies to both the core and non-core programs unless otherwise specified.
Operational Parameters:
The following participants and any associated earnings figures are excluded from the
calculation for median earnings:
1. Participants who have exited and are not employed in the second quarter after exit
(PIRL 1602 – Employed in 2nd Quarter After Exit Quarter – with code value 0)
2. Participants who have exited a program and for whom information is not yet
available:
PIRL 1602 – Employed in 2nd Quarter After Exit Quarter – with code 09
(Information not yet available); or
PIRL 1603 – Type of Employment Match 2nd Quarter After Exit Quarter –
with code value 5 (Information not yet available); or
PIRL 1704 – Wages 2nd Quarter After Exit Quarter – with code value
999999.99 or blank.
There is a two quarter lag built into the reporting times for the wage and
employment-based indicators to allow time for reporting participant exit and
direct wage record match. After two quarters, if the information is still not
available, wages will be converted to $0 permanently. Wages reported as $0 will
indicate that the participant was not employed in the second quarter after exit,
thereby counting as a negative outcome in the Employment Rate 2nd Quarter
After Exit indicator and excluding that participant from the Median Earnings 2nd
Quarter After Exit indicator.
3. Participants who have exited from a program and who have $0 income.
4. Participants who have exited a program and are in subsidized employment.
5. Participants who have exited for any of the reasons listed in Attachment 2, Table
A, Attachment 2, Table B, or Attachment 2, Table C to TEGL 10-16, Change 1.
Appendix I -9-
D. Credential Attainment
Credential Attainment is the percentage of those participants enrolled in an education or
training program (excluding those in OJT and customized training) who attained a
recognized postsecondary credential or a secondary school diploma, or its recognized
equivalent, during participation in or within one year after exit from the program.
A participant who has attained a secondary school diploma or its recognized equivalent is
included in the percentage of participants who have attained a secondary school diploma
or its recognized equivalent only if the participant also is employed or is enrolled in an
education or training program leading to a recognized postsecondary credential within
one year after exit from the program.
This indicator does not apply to the title III Employment Service program.
Methodology:
Calculation includes all participants who exited from a program and were in either a
postsecondary education or training program (other than OJT and customized training)
OR in a secondary education program at or above the 9th grade level without a
secondary school diploma or its equivalent:
The number of participants who exited during the reporting period who obtained a
recognized postsecondary credential during the program or within one year after exit
OR those who were in a secondary education program and obtained a secondary
school diploma or its recognized equivalent during the program or within one year
after exit and were also employed, or in an education or training program leading to a
recognized postsecondary credential within one year after exit DIVIDED by the
number of participants enrolled in an education or training program (excluding those
in OJT and customized training) who exited during the reporting period. This is
described in TEGL 10-16, Change 1, Attachment 10, Figure 6.
Operational parameters:
This indicator measures attainment of two types of credentials: a recognized
postsecondary credential, or a secondary school diploma or its recognized equivalent.
Definition of a Recognized Postsecondary Credential: A recognized postsecondary
credential is defined as a credential consisting of an industry-recognized certificate or
certification, a certificate of completion of an apprenticeship, a license recognized by the
Appendix I -10-
state involved or federal government, or an associate or baccalaureate degree. A
recognized postsecondary credential is awarded in recognition of an individual’s
attainment of measurable technical or industry/occupational skills necessary to obtain
employment or advance within an industry/occupation. These technical or
industry/occupational skills generally are based on standards developed or endorsed by
employers or industry associations. Neither certificates awarded by workforce
development boards (WDBs) nor work readiness certificates are included in this
definition because neither of them document measurable technical or
industry/occupational skills necessary to gain employment or advance within an
occupation. Likewise, to be counted as recognized postsecondary credentials, certificates
must recognize technical or industry/occupational skills for the specific
industry/occupation rather than general skills related to safety, hygiene, etc., even if such
general skills certificates are broadly required to qualify for entry-level employment or
advancement in employment.
A variety of different public and private entities issue recognized postsecondary
credentials. Below is a list of the types of organizations and institutions that award
recognized postsecondary credentials (not all credentials by these entities meet the
definition of recognized postsecondary credential).
A state educational agency or a state agency responsible for administering vocational
and technical education within a state;
An institution of higher education described in Section 102 of the Higher Education
Act (20 USC 1002) that is qualified to participate in the student financial assistance
programs authorized by title IV of that Act. This includes community colleges,
proprietary schools, and all other institutions of higher education that are eligible to
participate in federal student financial aid programs;
An institution of higher education that is formally controlled, or has been formally
sanctioned or chartered, by the governing body of an Indian tribe or tribes.
A professional, industry, or employer organization (e.g., National Institute for
Automotive Service Excellence certification, National Institute for Metalworking
Skills, Inc., Machining Level I credential) or product manufacturer or developer (e.g.,
recognized Microsoft Information Technology certificates, such as Microsoft
Certified IT Professional (MCITP), Certified Novell Engineer, a Sun Certified Java
Programmer, etc.) using a valid and reliable assessment of an individual’s knowledge,
skills and abilities;
Appendix I -11-
Employment and Training Administration’s (ETA) Office of Apprenticeship or a
State Apprenticeship Agency;
A public regulatory agency, which awards a credential upon an individual’s
fulfillment of educational, work experience, or skill requirements that are legally
necessary for an individual to use an occupational or professional title or to practice
an occupation or profession (e.g., Federal Aviation Administration aviation mechanic
license, or a state-licensed asbestos inspector);
A program that has been approved by the Department of Veterans Affairs to offer
education benefits to veterans and other eligible persons; or
Job Corps, which issues certificates for completing career training programs that are
based on industry skills standards and certification requirements.
Definition of a Secondary School Diploma: For purposes of the credential attainment
performance indicator, a secondary school diploma (or alternate diploma) (commonly
referred to as high school diploma) is one that is recognized by a state and that is
included for accountability purposes under the Elementary and Secondary Education Act
of 1965 (ESEA), as amended by the Every Student Succeeds Act (ESSA). A secondary
school equivalency certification signifies that a student has completed the requirements
for a high school education. The types of recognized equivalents, for those not covered
under ESEA, that would satisfy this performance indicator are those recognized by a
state.
Examples of secondary school diplomas, alternate diplomas, and recognized equivalents
recognized by individual states include:
obtaining certification of attaining passing scores on a state-recognized high school
equivalency test;
earning a secondary school diploma or state-recognized equivalent through a credit
bearing secondary education program sanctioned by state law, code, or regulation;
obtaining certification of passing a state recognized competency-based assessment; or
completion of a specified number of college credits.
Appendix I -12-
Types of Acceptable Credentials: The following are acceptable types of credentials that
count toward the credential attainment indicator:
Secondary School diploma or recognized equivalent;
Associate’s degree
Bachelor’s degree
Occupational licensure
Occupational certificate, including Registered Apprenticeship and Career and
Technical Education educational certificates
Occupational certification
Other recognized certificates of industry/occupational skills completion sufficient
to qualify for entry-level or advancement in employment.
Note: WIOA section 3(52) defines a recognized postsecondary credential as a credential
consisting of an industry-recognized certificate or certification, a certificate of
completion of an apprenticeship, a license recognized by the state involved or Federal
Government, or an associate or baccalaureate degree. Graduate degrees are not included
in the definition of a recognized postsecondary credential. Therefore, graduate degrees
do not count towards credential attainment.
It should be noted that the Credential Resource Guide published as TEGL 15-10,
Attachment 2 was designed for use under WIA.7 There are six Educational
Credentials/Awards listed in that attachment that must no longer be applied toward
credential attainment (with the exception of TAA). These six credentials/awards are:
1. Post-baccalaureate certificate;
2. Post-master’s certificate;
3. First-professional certificate (post-degree);
4. Master’s degree;
5. First-professional degree; and
6. Doctor’s degree.
Who is included in the Calculation of the Credential Attainment Indicator:
Participants who exit and are in a postsecondary education or training program, or who
are in a secondary education program (at or above the 9th grade level) without a
secondary school diploma or equivalent, are included in the credential attainment
indicator, subject to the “Special Rule” below. However, participants enrolled in work-
7
At the time of publishing of this guidance, TEGL 15-10 is still considered to be active guidance but in areas where
the guidance conflicts with WIOA guidance (such as those areas described in this section) grantees should defer to
more recently published guidance and WIOA statute and final rules.
Appendix I -13-
based OJT or customized training are excluded from this indicator because such training
does not typically lead to a credential.
Special Rule Relating to Secondary School Diplomas and Recognized Equivalents in
the Calculation of the Credential Attainment Measure:
Participants who obtain a secondary school diploma or its recognized equivalent must
also meet an additional condition before they are counted as a successful outcome and
included in the numerator of the credential attainment indicator. These participants must
be employed, or enrolled in an education or training program leading to a recognized
postsecondary credential within one year following exit.
For each core program administered by DOL, a description of who is considered to be
enrolled in an “education or training program”, and thus included in the credential
attainment indicator, follows:
Title I Adult: All Adult program participants who received training that was not OJT
or Customized Training are included in the credential attainment indicator.
Title I Dislocated Worker: All Dislocated Worker program participants who
received training that was not OJT or Customized Training are included in the
credential indicator.
Title I Youth: All in-school Youth (ISY) are included in the credential attainment
indicator since they are attending secondary or postsecondary school. Only out-of-
school Youth (OSY) who participate in one of the following are included in the
credential attainment indicator:
- the program element occupational skills training
- secondary education during participation in the title I Youth program
- postsecondary education during participation in the title I Youth program
- Title II-funded adult education during participation in the title I Youth
program
- YouthBuild during participation in the title I Youth program; and
- Job Corps during participation in the title I Youth program.
For each non-core program, unless otherwise specified in program guidance, all program
participants who received education or training that was not OJT or Customized Training
are included in the credential attainment indicator.
Appendix I -14-
Exclusions from the Measure:
Participants who exited an education or training program and who were enrolled in OJT
only or Customized Training only are excluded from the indicator:
Also, participants who exit for any of the reasons listed in TEGL 10-16, Change 1,
Attachment 2, Table A, Attachment 2, Table B, or Attachment 2, Table C are excluded
from the credential attainment indicator.
E. Measurable Skill Gains
The Measurable Skill Gains indicator is the percentage of participants who, during a
program year, are in education or training programs that lead to a recognized
postsecondary credential or employment and who are achieving measurable skill gains,
defined as documented academic, technical, occupational, or other forms of progress,
towards such a credential or employment. This indicator does not apply to the title III
Employment Service program.
The measurable skill gains indicator is used to measure interim progress of participants
who are enrolled in education or training services for a specified reporting period. It is
not an exit-based measure. Instead, it is intended to capture important progressions
through educational or skill pathways that offer different services based on program
purposes and participant needs. It can also help fulfill the vision for a workforce system
that serves a diverse set of individuals with a range of services tailored to individual
needs and goals. Depending upon the type of education or training program in which a
participant is enrolled, documented progress is defined as one of the following:
1. Documented achievement of at least one educational functioning level of a
participant who is receiving instruction below the postsecondary education level;
2. Documented attainment of a secondary school diploma or its recognized
equivalent;
3. Secondary or postsecondary transcript or report card for a sufficient number of
credit hours that shows a participant is meeting the state unit’s academic
standards;
4. Satisfactory or better progress report, towards established milestones, such as
completion of OJT or completion of one year of an apprenticeship program or
similar milestones, from an employer or training provider who is providing
training; or
Appendix I -15-
5. Successful passage of an exam that is required for a particular occupation or
progress in attaining technical or occupational skills as evidenced by trade-related
benchmarks, such as knowledge-based exams.
Examples:
A participant is enrolled in a four-year registered apprenticeship program: the
measurable skill gains indicator tracks the skills the participant gains throughout the
reporting period in each program year, not just at the end of the four-year training
program.
Low-skilled adult participants of an adult education program: the measurable skill
gains indicator provides an opportunity to track and report multiple types of gains in
reading, writing, mathematics, and English proficiency for each participant once per
program year per period of participation (while more than one of each type can be
earned, when reporting the grantee must only report the most recent of each type of
gain).
Documenting Progress for Types of Measurable Skill Gains
1. Documented achievement of at least one educational functioning level (EFL) of a
participant who is receiving instruction below the postsecondary level – Programs
may measure educational functioning level gain in one of three ways:
(a) states may compare the participant’s initial educational functioning level, as
measured by a pre-test, with the participant’s educational functioning level, as
measured by a post-test;8
(b) states that offer adult high school programs that lead to a secondary school
diploma or its recognized equivalent may measure and report educational gain
through the awarding of credits or Carnegie units; or
(c) states may report an educational functioning level gain for participants who exit a
program below the postsecondary level and enroll in postsecondary education and
training during the program year. A program below the postsecondary level
applies to participants enrolled in a basic education program.
8
The approved pre- and post-tests must be based on the list of tests the Secretary of Education determines to be
suitable for use in the National Reporting System for Adult Education. The list of approved assessments is
published annually in the Federal Register. See Tests Determined To Be Suitable for Use in the National Reporting
System for Adult Education; Department of Education, 81 FR 89920 (December 13, 2016).
https://www.federalregister.gov/documents/2016/12/13/2016-29899/tests-determined-to-be-suitable-for-use-in-
thenational-reporting-system-for-adult-education.
Appendix I -16-
2. Documented attainment of a secondary school diploma9 or its recognized
equivalent – Programs may document attainment of a secondary school diploma or
its recognized equivalent if the participant obtains certification of attaining passing
scores on all parts of a state-recognized high school equivalency test, or the
participant obtains a diploma or state-recognized equivalent documenting satisfactory
completion of secondary studies or an alternative diploma,10 including a high school
or adult secondary school diploma.
3. Secondary or postsecondary transcript or report card for a sufficient number of
credit hours that shows a participant is meeting the State unit’s academic
standards – For secondary education, this gain may be documented through receipt
of a secondary transcript11 or report card for one semester showing that the participant
is achieving the state unit’s policies for academic standards. For postsecondary
education, this gain must demonstrate a sufficient number of credit hours—which is
at least 12 hours per semester (or equivalent12) or, for part-time students, a total of at
least 12 hours over the course of two completed semesters (or equivalent) during a 12
month period—that shows a participant is achieving the state unit’s academic
standards (or the equivalent for other than credit hour programs). For example, if a
postsecondary student completed 6 hours in the spring semester and 6 more hours in
the fall semester and those semesters crossed two program years, they would not
count as a skill gain in the first program year but they would count as a skill gain in
the second program year.
4. Satisfactory or better progress report, towards established milestones, such as
completion of OJT or completion of one year of an apprenticeship program or
similar milestones, from an employer or training provider who is providing
training – Documentation for this gain may vary, as grantees should identify
appropriate methodologies based upon the nature of services being provided. The
gain may be documented by a satisfactory or better progress report from an employer
or training provider. Progress reports may include training reports on milestones
completed as the individual masters the required job skills, or steps to complete an
OJT or apprenticeship program. Documented increases in pay resulting from newly
9
Secondary school diploma refers to a regular high school diploma, as defined in the Every Student Succeeds Act.
Every Student Succeeds Act, Pub. L. 114-95, Sec. 8002(43). December 2015.
10
Alternative diploma must meet the requirements under the Every Student Succeeds Act.
11
Secondary transcript is specific to youth attending high school.
12
For gain type three, the Departments recommend that States and local areas develop policies suitable for the
applicable academic system in use by the secondary or postsecondary institution in which the participant is enrolled
including, but not limited to, semesters, trimesters, quarters, and clock hours for the calculation of credit hours (or
their equivalent) when documenting progress towards Measurable Skill Gains.
Appendix I -17-
acquired skills or increased performance also can be used to demonstrate successful
progress.
Note: In the description of this type of Measurable Skill Gains, “completion of one
year of an apprenticeship” is just one example of a timeframe that may be established
for achieving a satisfactory or better progress report toward a specific milestone, and
the ‘one year’ timeframe should not be construed as a required timeframe or the only
way that a participant in an apprenticeship can achieve a Measurable Skill Gain.
5. Successful passage of an exam that is required for a particular occupation or
progress in attaining technical or occupational skills as evidenced by trade-
related benchmarks, such as knowledge-based exams – Documentation for this
gain may include passage of a component exam in a Registered Apprenticeship
program, employer-required knowledge-based exam, satisfactory attainment of an
element on an industry or occupational competency-based assessment, or other
completion test necessary to obtain a credential.
Methodology:
Calculation includes all participants enrolled in an education or training program that
leads to a recognized postsecondary credential or employment:
The number of program participants during the reporting period who are in an
education or training program that leads to a recognized postsecondary credential
or employment and are achieving measurable skill gains based on attainment of at
least one type of gain DIVIDED by the number of program participants during the
reporting period who are in an education or training program that leads to a
recognized postsecondary credential or employment.
Participants who, during any point in the program year, are in an education or
training program that leads to a recognized postsecondary credential or
employment are included in the denominator. This includes participants who
continue to receive services as well as those who have participated during the
reporting period and have exited the program. Data for the denominator in this
calculation is drawn from PIRL 1811: Date Enrolled During Program
Participation in an Education or Training Program Leading to a Recognized
Postsecondary Credential or Employment.
The numerator is the number of program participants defined above who achieved
at least one type of gain. A participant may have achieved more than one type of
gain in a reporting period and all skill gains attained are encouraged to be collected
and recorded for participants; however, only the most last skill gain recorded per
participant during a period of participation in a reporting period may be used to
Appendix I -18-
calculate success on the measurable skill gains indicator for that reporting period.
These calculations are described in TEGL 10-16, Change 1, Attachment 10, Figure
7.
Operational Parameters:
All participants who, during a program year, are in an education or training program that
leads to a recognized postsecondary credential or employment are counted in the
calculation of this indicator. Participants who exit for any of the reasons listed in TEGL
10-16, Change 1, Attachment 2, Table A and TEGL 10-16, Change 1, Attachment 2,
Table B are excluded from the measurable skill gains indicator. For the title I Adult and
Dislocated Worker program and the title I Youth program, a description of who is
considered to be enrolled in an “education or training program”, and thus included in the
measurable skill gains indicator, is provided below:
Title I Adult and Dislocated Worker – All participants who are in a title I Adult- or
Dislocated Worker-funded training program are included in the measurable skill gains
indicator (which includes funding a training program for a secondary school program
equivalent). This includes all participants in work-based training.
Title I Youth – All (In-School Youth) ISY are included in the measurable skill gains
indicator since they are attending secondary or postsecondary school. Only (Out-of-
School Youth) OSY who are in one of the following are included in the indicator:
- the program element occupational skills training
- secondary education during participation in the title I Youth program
- postsecondary education during participation in the title I Youth program
- Title II-funded adult education during participation in the title I Youth
program
- the YouthBuild program during participation in the title I Youth program
- Job Corps during participation in the title I Youth program
For each non-core program all program participants who received education or training
are included in the measurable skill gains indicator unless otherwise specified in program
guidance. Unlike Credential Attainment, this includes all participants in OJT and
customized training.
Additional Operational Parameters:
Participants are only included in the denominator one time per reporting period (i.e.,
program year), regardless of how many skill gains they achieve in a given program
year unless the individual has more than one period of participation in a given
Appendix I -19-
program year. Likewise, participants are only included in the numerator one time per
reporting period (i.e., program year), regardless of how many skill gains they achieve
in a given program year unless the individual has more than one period of
participation in a given program year (See Section 9 of this TEGL for discussion on
periods of participation.);
A participant who exits the program and re-enrolls in the program during the same
program year and is in an education or training program will be in the indicator two
times for that particular program year, as explained in the discussion of periods of
participation in Section 9 of this guidance;
The measurable skill gains indicator is different from the other indicators because it is
not exit-based, meaning that a participant can achieve one or more measurable skill
gains while still participating in a program; and
Programs must not delay enrollment or services to participants until a new program
year even if programs believe there is insufficient time for the participant to make any
type of measurable skill gain by the end of that program year.
For performance accountability purposes, the measurable skill gains indicator calculates
the number of participants who attain at least one type of gain during each period of
participation within a given program year. Since this indicator is not exit-based, each
unique program entry date (not exit date) triggers inclusion in the calculation.
Participants will achieve a successful outcome in the indicator as long as they attain one
type of gain applicable to the core program or non-core program in which the participant
is enrolled. See the example below for how this would apply in a typical scenario.
Example
Chris enters an American Job Center and becomes a participant on October 2, 2016 (PY16). He
exits the program on February 10, 2017. During this time, Chris achieves two types of gain under
the measurable skill gain indicator.
He re-enters the program as a participant on June 11, 2017 (PY16). By the end of the program
year (June 30, 2017), he is still in his second participation period. During this time, Chris obtains
an additional type of gain under the measurable skill gain indicator.
In this example, Chris has two periods of participation, for which he falls into the denominator of
the measure twice, and two positive outcomes on the measurable skill gains indicator. Although
two types of gain were achieved in the first period of participation, only one of the two types of
gains counts toward the indicator in the first participation period. During the second period of
participation, another type of gain was achieved before the end of the program year, which counts
as another positive outcome towards the measurable skill gains indicator.
This information is collected for all core programs (except the title III Employment
Appendix I -20-
Service program), as part of the Measurable Skill Gains Report Template. If a participant
achieves more than one type of measurable skill gain in a reporting period, the most
recent gain of each skill gain type must be recorded on the Measurable Skill Gains Report
Template (MSG template is part the of WIOA core program Annual Performance Report,
and is not applicable to non-core programs).
Operational Parameters – DOL-administered Core and Non-Core Programs:
For the title I Adult, Dislocated Worker, and Youth core programs, achievement may be
measured by any of the five types of measurable skill gains. There are no specific
measurable skill gain types required for specific participants in each of these three title I
core programs, except that for participants in the title I youth program, the type of skill
gain must be based on the youth’s individual service strategy. The measurable skill gains
indicator does not apply to the title III Employment Service program.
For the non-core programs achievement may be measured by any of the five types of
measurable skill gains unless otherwise specified in program guidance.
F. Effectiveness in Serving Employers
WIOA section 116(b)(2)(A)(i)(VI) requires the Departments to establish a primary
indicator of performance for effectiveness in serving employers. For the six core WIOA
programs, the Departments are piloting three approaches to measuring this indicator.
Descriptions of these approaches, and the pilot for the core programs, can be found in
TEGL 10-16, Change 1.
Starting in PY 2018 (or the point at which wage matching data becomes available for this
indicator), and throughout the employer measure pilot, the following DOL non-core
programs will begin tracking “Effectiveness in Serving Employers” using the approach
that measures retention with the same employer in the 2nd and 4th quarter after exit:
H-1B Job Training Programs
Indian and Native American Programs (INAP)
Job Corps
Jobs for Veterans State Grants (JVSG)
National Dislocated Worker Grants (DWG)
National Farmworker Jobs Program (NFJP)
Re-entry Employment Opportunities (REO)
YouthBuild
This approach to the “Effectiveness in Serving Employers” indicator is based on what is
reported in PIRL element #1618, which will be a part of the wage record matching that DOL
Appendix I -21-
will conduct on behalf of those programs that do not conduct their own wage matching as
specified in program specific guidance. Grantees and Job Corps contractors may report on
this retention measure using supplemental wage information in addition to the wage match
data, as provided in program-specific guidance on supplemental wage information. Grantees
and Job Corps contractors may also choose to track additional measures of effectiveness in
serving employers that they determine in addition to tracking and reporting on this approach.
Those grantees and Job Corps contractors that do choose to track additional measures
relating to this indicator are encouraged to report these approaches and their outcomes to
DOL, as DOL continues to evaluate different approaches to this indicator.
Retention with the same employer – This approach captures the percentage of participants
who exit and are employed with the same employer in the second and fourth quarters after
exit. Grantees and Job Corps contractors must use wage records or supplemental wage
information, as directed in program-specific guidance, to identify whether a participant’s
employer wage record indicates a match of the same establishment identifier (such as a
Federal Employer Identification Number (FEIN) or State tax id) in the second and fourth
quarters.
a. How to Calculate Retention with the Same Employer
Percentage of participants with wage records who exit and were employed by the
same employer in the second and fourth quarters after exit.
Methodology:
The number of participants with wage records who exit during the reporting period
and were employed by the same employer during the second quarter after exit and the
fourth quarter after exit DIVIDED by the number of participants with wage records
who exit and were employed during the second quarter after exit.
For this measure, Grantees and Job Corps contractors must report on data element
1618 (Retention with the Same Employer in the 2nd Quarter and the 4th Quarter) in
the PIRL. This data element is calculated based on information included in the wage
record matches for participants in their fourth quarter after exit. This means that the
only participants who are included in this approach are those for whom a wage record
match is available. In order to count as a “yes” for this measure, the participant must
have the same establishment identifier (such as an employer FEIN or State tax id) in
both the second and fourth quarters after exit. This creates the numerator for this
measure. The denominator for this measure is calculated based on those participants
with wage records who were employed in the second quarter after exit.
Appendix I -22-
The other two Effectiveness in Serving Employers measures – employer penetration
rate and repeat business customer rate – will be piloted initially by programs under
Titles I and III along with retention with the same employer in the second and fourth
quarters after exit. Formula grantees will choose two of the three to report on until a
permanent measure has been implemented. The Department’s evaluation of the
piloted approaches will be reviewed upon its completion to make a determination
about how the Department will measure effectiveness in serving employers in the
future.
Appendix I -23-
Appendix II
Definitions of Terms Related to the Performance Accountability System
Non-core programs included in this guidance should refer to the appropriate attachment for
the applicability of these definitions, as some programs have definitions that are specific to
that program.
Common Exit – Occurs when a participant, enrolled in multiple partner programs (as
defined by WIOA section 121 (b)), has not received services from any DOL-administered
program, in which the participant is enrolled and to which the common exit policy applies for
at least 90 days, and no future services are planned.
(Common Exit) Date of Program Exit -- for a participant who is enrolled in
multiple partner programs and exits under a common exit policy as described above,
the date of program exit is recorded as the last date that the participant received a
service (other than self-services, information only services or activities, or follow-up
services) from any of the partner programs that are a part of the common exit policy.
Customized Training – Defined as training that:
is designed to meet the specific requirements of an employer (including a group of
employers);
is conducted with a commitment by the employer to employ an individual upon
successful completion of the training; and
for which the employer pays---(i) a significant portion of the cost of training,
as determined by the local board involved, taking into account the size of the
employer and such other factors as the local board determines to be appropriate,
which may include the number of employees participating in training, wage and
benefit levels of those employees (at present and anticipated upon completion of the
training), relation of the training to the competitiveness of a participant, and other
employer-provided training and advancement opportunities; and (ii) in the case of
customized training involving an employer located in multiple local areas in the State,
a significant portion of the cost of the training, as determined by the Governor of the
State, taking into account the size of the employer and such other factors as the
Governor determines to be appropriate.
Employment – For the purpose of this guidance, and unless otherwise specified in program-
specific guidance, employment refers to a period in which an individual is working in a paid,
unsubsidized job or, working 15 hours or more a week in an unpaid job on a farm or business
Appendix II -1-
operated by a family member or participant.1 For clarity, the Department notes that
employment includes, but is not limited to, employment in the military, in a Registered
Apprenticeship, and/or self-employment.
Incumbent Worker – To qualify as an incumbent worker, the individual worker needs to be
employed in a situation that meets the Fair Labor Standards Act requirements for an
employer-employee relationship, and have an established employment history with the
employer for six months or more. The exception to this is in the event that the incumbent
worker training is being provided to a cohort of employees, not every employee in the cohort
must have an established employment history with the employer for 6 months or more as
long as a majority of those employees being trained do meet the employment history
requirement. An incumbent worker does not have to meet the eligibility requirements for
career and training services for Adults and Dislocated Workers under WIOA, unless they
also are enrolled as a participant in the WIOA Adult or Dislocated Worker program.
Non-core Programs – For the purposes of this guidance, “non-core programs” refers to the
following workforce employment and training programs authorized under WIOA or other
federal legislation:
Indian and Native American (INA) Program, under WIOA section 166;
Job Corps, under WIOA sections 141-162;
National Farmworker Jobs Program (NFJP), under WIOA section 167;
YouthBuild, under WIOA section 171;
Reentry Employment Opportunities (REO), authorized under WIOA section 169;
National Dislocated Worker Grants (DWG), under WIOA section 170;
H-1B Job Training Programs (grants awarded July 1, 2016 and later), authorized
under section 414(c) of the American Competitiveness and Workforce Improvement
Act of 1998 (29 U.S.C. § 3224a)
Senior Community Service Employment Program (SCSEP), authorized under title V
of the Older Americans Act of 1965 (42 U.S.C. 3056 et seq.);
Trade Adjustment Assistance (TAA), authorized under chapter 2 of title II of the
Trade Act of 1974 (19 U.S.C. 2271 et seq.);
Jobs for Veterans State Grants (JVSG), authorized under 38 U.S.C. chapter 41; and
Monitor Advocate System2, under WIOA title III Employment Service. (authorized
by the Wagner-Peyser Act)
1 TEGL 10-16 contains a definition of employment applicable to all six core programs, which contains
additional provisions specific to the title IV VR program (authorized by the Rehabilitation Act of 1973).
2 Note that this guidance includes the Monitor Advocate System in the definition of “non-core programs”,
although it is not technically a program but a subset of analysis of services to migrant and seasonal
farmworkers (MSFWs) under the title III Employment Service program.
Appendix II -2-
Participant Individual Record Layout (PIRL) – The data layout that provides a
standardized set of data elements, definitions, and reporting instructions that will be used to
describe and report the characteristics, activities, and outcomes of WIOA participants.
Period of Participation – For all indicators (except Measurable Skill Gains) a period of
participation refers to the period of time beginning when an individual becomes a participant
and ending on the participant’s date of exit from the program.
Secondary School Diploma – For purposes of the credential attainment performance
indicator, a secondary school diploma (commonly referred to as high school diploma) or
alternate diploma is one that is recognized by a state and that is included for accountability
purposes under the Elementary and Secondary Education Act of 1965 (ESEA), as amended
by the Every Student Succeeds Act (ESSA). A secondary school equivalency certification
signifies that a student has completed the requirements for a high school education and is
recognized by the state.
Unsubsidized Employment – Employment in the private sector or public sector for which
the employer does not receive a subsidy from public funds to offset all or a part of the wages
and costs of employing an individual.
Appendix II -3-
Appendix III – Table A
Participation Level Services Chart
WIOA Title I, Subtitle D, Section 166 - Indian and Native American Programs
Does this
service
Applicable PIRL Data
Service Type trigger Category of Service
Element Number(s)
inclusion in
participation?
Eligibility Determination No Basic Career Service 1007
Outreach, Intake, Orientation No Basic Career Service 1007
Initial assessment of skill level
Yes Basic Career Service 1001, 1003, 1004
& other service needs
Job search assistance
No Basic Career Service 1002
(Self-directed)
Job search assistance
Yes Basic Career Service 1001, 1003, 1004
(Staff-assisted)
Job placement assistance
(includes “Referred to
Yes Basic Career Service 1001, 1003, 1004
Employment”)
(Staff-assisted)
Career Counseling (includes
“Staff-assisted career Yes Basic Career Service 1001, 1003, 1004
guidance”)
Providing info on in-demand
sectors, occupations, or No Basic Career Service 1002
nontraditional employment
Provision of referrals and
associated coordination of
No Basic Career Service 1002
activities with other programs
and services
Provision of workforce and
labor market employment No Basic Career Service 1002
statistics information
Provision of info on job
No Basic Career Service 1002
vacancies
Provision of info on job skills
No Basic Career Service 1002
necessary to fill vacancies
Appendix III -1-
Does this
service
Applicable PIRL Data
Service Type trigger Category of Service
Element Number(s)
inclusion in
participation?
Provision of info on local
demand occupations, with
earnings, skill requirements, No Basic Career Service 1002
and opportunities for
advancement for those jobs
Referral to supportive
services and assistance; such
as, child care, medical or No Basic Career Service 1002
health assistance, SNAP, and
TANF
Provision of information and
No Basic Career Service 1007
assistance filing for UI
Assistance establishing
No Basic Career Service 1007
eligibility for financial aid
Comprehensive and Individualized Career
Yes 1200, 1201
specialized assessments Service
Individualized Career 1200,
Development of IEP Yes
Service 1201, 1202
Individualized Career
Group Counseling Yes 1200, 1201
Service
Individualized Career
Individual Counseling Yes 1200, 1201
Service
Individualized Career
Career Planning Yes 1200, 1201
Service
Short-term prevocational Individualized Career 1200,
Yes
services Service 1201, 1210
Internships and work Individualized Career 1200, 1201, 1203,
Yes
experiences Service 1205
Workforce preparation Individualized Career
Yes 1200, 1201
activities Service
Individualized Career 1200,
Financial literacy services Yes
Service 1201, 1206
Appendix III -2-
Does this
service
Applicable PIRL Data
Service Type trigger Category of Service
Element Number(s)
inclusion in
participation?
Individualized Career
Job readiness training* Yes 1200, 1201
Service
Tutoring, Study Skills Training, Individualized Career 1200,
Yes
Dropout Prevention Service 1201
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Occupational skills training Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
On-the-job training Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
Customized training
1306, 1307, 1308,
conducted with a
1309, 1310, 1311,
commitment to hire by an Yes Training
1312, 1313, 1314,
employer or group of
1315, 1316, 1317,
employers
1300, 1302, 1303,
1306, 1307, 1308,
Programs that combine
1309, 1310, 1311,
workplace training with Yes Training
1312, 1313, 1314,
related instruction
1315, 1316, 1317,
Appendix III -3-
Does this
service
Applicable PIRL Data
Service Type trigger Category of Service
Element Number(s)
inclusion in
participation?
1300, 1302, 1303,
1306, 1307, 1308,
Training programs operated 1309, 1310, 1311,
Yes Training
by the private sector 1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Skills upgrading and retraining Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Entrepreneurial training Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
GED Preparation or Returned 1309, 1310, 1311,
Yes Training
to Secondary School 1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Adult basic education Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
Appendix III -4-
Does this
service
Applicable PIRL Data
Service Type trigger Category of Service
Element Number(s)
inclusion in
participation?
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
English language training Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Literacy training Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Customized training Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
1309, 1310, 1311,
Post-secondary education Yes Training
1312, 1313, 1314,
1315, 1316, 1317,
1300, 1302, 1303,
1306, 1307, 1308,
Registered Apprenticeship 1309, 1310, 1311,
Yes Training
Program 1312, 1313, 1314,
1315, 1316, 1317,
*Note: For reporting purposes under WIOA, Job Readiness Training is categorized as an
individualized career services.
Appendix III -5-
Appendix III – Table B
Participation Level Services Chart
National Dislocated Worker Grants
Does this
Service Type service
Category Applicable PIRL Data
(WIOA sections 134(c) and trigger
of Service Element Number(s)
170(d)) inclusion in
participation?
Eligibility Determination No Basic Career Service 1000, 1002, 1007
Outreach, Intake, Orientation No Basic Career Service 1000, 1002, 1007
Initial assessment of skill level
Yes Basic Career Service 1003, 1004, 1102
& other service needs
Job search assistance
No Basic Career Service 1000, 1002, 1101
(Self-directed)
Job search assistance
Yes Basic Career Service 1003, 1004, 1104
(Staff-assisted)
Placement assistance
1003, 1004, 1105,
(includes “Referred to
Yes Basic Career Service 1106, 1107, 1108,
Employment”)
1109, 1110, 1111
(Staff-assisted)
Career Counseling (includes
“Staff-assisted career Yes Basic Career Service 1003, 1004, 1102
guidance”)
Providing info on in-demand
sectors, occupations, or No Basic Career Service 1000, 1002, 1103
nontraditional employment
Provision of referrals and
associated coordination of 1003, 1004, 1113,
Yes Basic Career Service
activities with other programs 1115
and services
Provision of workforce and
labor market employment No Basic Career Service 1000, 1002, 1103
statistics information
Provision of info on job
No Basic Career Service 1000, 1002, 1103
vacancies
Provision of info on job skills
No Basic Career Service 1000, 1002, 1103
necessary to fill vacancies
Appendix III -6-
Does this
Service Type service
Category Applicable PIRL Data
(WIOA sections 134(c) and trigger
of Service Element Number(s)
170(d)) inclusion in
participation?
Provision of info on local
demand occupations, with
earnings, skill requirements, No Basic Career Service 1000, 1002, 1103
and opportunities for
advancement for those jobs
Provision of performance and
program cost info for
No Basic Career Service 1000, 1002, 1100
providers of education and
training
Provision of info on local
No Basic Career Service 1000, 1002, 1100
performance
Provision of info on
availability of supportive No Basic Career Service 1000, 1002, 1100
services or assistance
Referral to supportive 1003, 1004, 1113,
Yes Basic Career Service
services 1115
Provision of information and
meaningful assistance filing Yes Basic Career Service 1003, 1004, 1112
for UI
Assistance establishing
Yes Basic Career Service 1003, 1004, 1116
eligibility for financial aid
Comprehensive and Individualized Career
Yes 1004, 1200, 1201
specialized assessments Service
Development of IEP Individualized Career 1004, 1200,
Yes
Service 1201, 1202
Group Counseling Individualized Career
Yes 1004, 1200, 1201
Service
Individual Counseling Individualized Career
Yes 1004, 1200, 1201
Service
Career Planning Individualized Career
Yes 1004, 1200, 1201
Service
Short-term prevocational Individualized Career 1004, 1200,
Yes
services Service 1201, 1210
Internships and work
Individualized Career 1004, 1200, 1201,
experiences (including Yes
Service 1203, 1205, 1211
transitional jobs)
Workforce preparation Individualized Career
Yes 1004, 1200, 1201
activities Service
Appendix III -7-
Does this
Service Type service
Category Applicable PIRL Data
(WIOA sections 134(c) and trigger
of Service Element Number(s)
170(d)) inclusion in
participation?
Financial literacy services Individualized Career 1004, 1200,
Yes
Service 1201, 1206
Out-of-area job search
Individualized Career
assistance and relocation Yes 1004, 1200, 1201
Service
assistance
English-language acquisition
Individualized Career 1004, 1200,
and integrated education and Yes
Service 1201, 1207
training programs
1300, 1301, 1302,
Training services under WIOA
1303, 1304, 1305,
section 134(c)(3)(D) with
1306, 1307, 1308,
exception of section Yes Training
1309, 1310, 1311,
134(c)(3)(D)(iii) (incumbent
1312, 1313, 1314,
worker training)
1315, 1316, 1317,
1318, 1319
Received Disaster Relief
Employment on projects as
Disaster Relief
defined in WIOA section Yes 2004
Employment
170(d)(1)(A)
(Disaster Recovery DWG only)
Safety orientation, safety
training, equipment training
Disaster Relief
(for Disaster Relief Yes 2004
Employment
Employment under
Disaster Recovery DWG only)
Supportive Services
authorized in WIOA section
No Supportive Services 1409
134(d)(2) and defined in 20
CFR 680.900
*Note: Receipt of any of the three types of services (Basic, Individualized, or Training) makes an
individual a “Reportable Individual” while it only takes the receipt of one service that triggers
Appendix III -8-
participation to be considered a participant. However, in Quarterly Performance Reports only those
Reportable Individuals that are not participants are displayed in the Reportable Individual counts.
** The DWG Participation Level Services Chart aligns with WIOA Title I Dislocated Worker program
definitions.
Appendix III -9-
Appendix III – Table C
Participation Level Services Chart
National Farmworker Jobs Program -
Career Services and Training Grants
Does this Category of
benefit/service Benefit/Service (i.e.
Benefit or Service Type Applicable PIRL Data
trigger Basic,
(WIOA section 167) Element Number(s)
inclusion in Individualized,
participation? Training)
Eligibility Determination1
See 20 CFR 685.110 at WIOA No Basic Career Service2 1007
Final Rule.
Outreach, Intake, Orientation No Basic Career Service 1007
Initial assessment of skill level
No Basic Career Service 1007
& other service needs
Job search assistance
No Basic Career Service 1000 AND 1002
(Self-directed)
Job search assistance
Yes Basic Career Service 1004
(Staff-assisted)
Placement assistance
(includes “Referred to
Yes Basic Career Service 1004 AND 1116
Employment”)
(Staff-assisted)
Career Assessment (includes
“Staff-assisted career Yes Basic Career Service 1004 AND 1116
guidance”)
Providing info on in-demand
sectors, occupations, or No Basic Career Service 1007
nontraditional employment
1
For NFJP program eligibility information, see TEGL 18-16. Note, the Participant Individual Record
Layout (PIRL) data element 808 Eligible Migrant and Seasonal Farmworker Status (WIOA sec. 167) is
only to be used for participants, who are enrolled or co-enrolled in NFJP. For Employment Service
performance reporting purposes, Wagner-Peyser partners should use PIRL data element 413 for Migrant
and Seasonal Farmworker Designation as defined in 20 CFR 651.10.
2
For detailed information about Basic Career Services and Individualized Career Services, see TEGL 10-
16, Change 1, Attachment 7 –Participation Level Services Chart Table A (Adult) and Table B (Youth).
Appendix III -10-
Does this Category of
benefit/service Benefit/Service (i.e.
Benefit or Service Type Applicable PIRL Data
trigger Basic,
(WIOA section 167) Element Number(s)
inclusion in Individualized,
participation? Training)
Provision of referrals and
associated coordination of
No Basic Career Service 1007
activities with other programs
and services
Provision of workforce and
labor market employment No Basic Career Service 1007
statistics information
Provision of info on job
No Basic Career Service 1007
vacancies
Provision of info on job skills
No Basic Career Service 1007
necessary to fill vacancies
Provision of info on local
demand occupations, with
earnings, skill requirements, No Basic Career Service 1007
and opportunities for
advancement for those jobs
Provision of performance and
program cost info for
No Basic Career Service 1007
providers of education and
training
Provision of info on local
No Basic Career Service 1007
performance
Provision of info on
availability of supportive No Basic Career Service 1007
services or assistance
Referral to supportive
No Basic Career Service 1007
services
Provision of information and
meaningful assistance filing No Basic Career Service 1007
for UI
Assistance establishing
No Basic Career Service 1007
eligibility for financial aid
Appendix III -11-
Does this Category of
benefit/service Benefit/Service (i.e.
Benefit or Service Type Applicable PIRL Data
trigger Basic,
(WIOA section 167) Element Number(s)
inclusion in Individualized,
participation? Training)
Related Assistance Services
(includes short-term forms of
direct assistance, including
emergency assistance 1007 AND (2209,
services, designed to assist No, when not
2210, 2211, 2212,
eligible MSFWs retain or involving career Basic Career Service
2213, 2214, AND/OR
stabilize their agricultural assessment
2216)
employment)
See 20 CFR 685.110, 685.380
and 685.400 at WIOA Final
Rule.
Supportive Services (includes
services to enable
Yes* Basic Career Service N/A
participation in career
services and training)
Career Assessment (includes
career planning (i.e.,
Individualized Career
comprehensive and Yes 1004 AND 1200
Service
specialized assessments and
Individual Employment Plan))
Career Services 1004 AND (1201,
Individualized Career
See 20 CFR 685.340 at WIOA Yes 1205, 1210, AND/OR
Service
Final Rule. 1211)
Group Counseling Individualized Career 1004 AND (1200 AND
Yes
Service 1201)
Individual Counseling Individualized Career 1004 AND (1200 AND
Yes
Service 1201)
Short-term prevocational Individualized Career
Yes 1004 AND 1210
services Service
Internships and work
Individualized Career
experiences (includes Yes 1004 AND 1205
Service
transitional jobs)
Appendix III -12-
Does this Category of
benefit/service Benefit/Service (i.e.
Benefit or Service Type Applicable PIRL Data
trigger Basic,
(WIOA section 167) Element Number(s)
inclusion in Individualized,
participation? Training)
Workforce preparation Individualized Career 1004 AND (1200 AND
Yes
activities Service 1201)
Financial literacy services Individualized Career 1004 AND (1200 AND
Yes
Service 1201)
Out-of-area job search
Individualized Career 1004 AND (1200 AND
assistance and relocation Yes
Service 1201)
assistance
Youth Services
Individualized Career 1004 AND (1401
See 20 CFR 685.370 at WIOA Yes
Service AND/OR 1406)
Final Rule.
Related Assistance (Staff
Individualized Career
Assisted) Services Yes 1004 AND 2215
Service
1300 AND
Training #1 (1302,
1303, 1306, 1307 and
Training Services (includes on 1308);
the job training and Training#2 (1309,
occupational skills training) Yes Training 1310, 1311, 1312,
See 20 CFR 685.350 at WIOA and 1313);
Final Rule. Training #3 (1314,
1315, 1316, 1317,
and 1318); AND
(1319, 1320, or 1332)
Basic Skills Training (includes
English language acquisition
Yes Training 2221
and integrated education and
training programs (non OJT)
Follow-up Services No Follow up Service N/A
*Note: Supportive services can only be provided to individuals that are already participants, so the
provision of supportive services is not technically a participation trigger because all recipients will all be
participants already.
Appendix III -13-
Appendix III – Table D
Participation Level Services Chart
Trade Adjustment Assistance (TAA)
Does this Category of Benefit/
benefit/ service Service (i.e. Basic, Applicable PIRL Data
Benefit or Service Type
trigger inclusion Individualized, Element Number(s)
in participation? Training)
Basic Trade Readjustment
Yes Individualized 1511
Allowance
Additional Trade
Yes Individualized 1516
Readjustment Allowance
Remedial/Prerequisite Trade
Yes Individualized 1521
Readjustment Allowance
Employment and Case
Management Services under Yes Individualized 902
Section 235 of the Trade Act
Job Search Allowance Yes Individualized 1507
Relocation Allowance Yes Individualized 1510
Alternative Trade Adjustment
Assistance/Reemployment Yes Individualized 1534
Trade Adjustment Assistance
Individualized Career Service* No Individualized 1200
TAA Benefit or Service** Yes Individualized 925
Waiver From Training
Yes Individualized 1323
Requirement
TAA-Approved Training Yes Individualized 1325
Individual Employment Plan
Individualized
(if applicable to TAA Benefit Yes 1202
or Service)
TAA Application No Individualized 924
TAA Eligibility Determination No Individualized 927
* Any TAA Benefit or Service triggers the population Date of First Individualized Career Service if it has not
already been populated under another co-enrolled program provided. However, not all Individualized Career
Services are related to the Trade Program.
** Date of First TAA Benefit or Service (PIRL 925) should be on or before the first date of any specific TAA
benefit or service.
Appendix III -14-
Appendix IV –
PIRL Elements Used in the Calculation of Each Primary Indicator of Performance
The table on pages 2-3 of this appendix lists the PIRL data elements needed to calculate each of the primary indicators of
performance. For details of how each of these elements is used in the calculations, users should refer to the specifications in the
“Amended WIOA Joint ICR WIOA Statewide and Local Perf Rep Template and Specs” published in the “Workforce Innovation and
Opportunity Act (WIOA) Common Performance Reporting Information Collection Request”
(https://doleta.gov/performance/reporting/).
Although every program is required to report on these elements in order to ensure consistent calculation of these indicators, some
programs may encounter elements that are always reported as “0,” as they are impermissible for programmatic purposes (see program
specific attachments for details). Programs that are dependent upon DOL-provided case management systems facing delays in
reporting these indicators during the transition to WIOA must still collect the data and retain a record of the data for these indicators,
though they may be unable to report on the indicators until a later date (these programs will provide additional guidance or technical
assistance on meeting this requirement).
(Table begins on next page)
Appendix IV -1-
PIRL Elements Used in Calculation of Indicator
Indicator PIRL Element Number Element Name
900 DATE OF PROGRAM ENTRY
901 DATE OF EXIT
923 OTHER REASON FOR EXIT
1303 TYPE OF TRAINING #1
1310 TYPE OF TRAINING #2
1315 TYPE OF TRAINING #3
PARTICIPATED IN POSTSECONDARY EDUCATION DURING PROGRAM
PARTICIPATION
1401 ENROLLED IN SECONDARY EDUCATION PROGRAM
DATE ENROLLED IN POST-EXIT EDUCATION OR TRAINING PROGRAM
Credential Attainment LEADING TO A RECOGNIZED POSTSECONDARY CREDENTIAL
1600 EMPLOYED 1ST QUARTER AFTER EXIT QUARTER
1602 EMPLOYED 2ND QUARTER AFTER EXIT QUARTER
1604 EMPLOYED 3RD QUARTER AFTER EXIT QUARTER
1606 EMPLOYED 4TH QUARTER AFTER EXIT QUARTER
1800 TYPE OF RECOGNIZED CREDENTIAL #1
1802 TYPE OF RECOGNIZED CREDENTIAL #2
1804 TYPE OF RECOGNIZED CREDENTIAL #3
1801 DATE ATTAINED RECOGNIZED CREDENTIAL #1
1803 DATE ATTAINED RECOGNIZED CREDENTIAL #2
1805 DATE ATTAINED RECOGNIZED CREDENTIAL #3
Appendix IV -2-
PIRL Elements Used in Calculation of Indicator
Indicator PIRL Element Number Element Name
900 DATE OF PROGRAM ENTRY
901 DATE OF EXIT
923 OTHER REASON FOR EXIT
1800 TYPE OF RECOGNIZED CREDENTIAL #1
1802 TYPE OF RECOGNIZED CREDENTIAL #2
1804 TYPE OF RECOGNIZED CREDENTIAL #3
1801 DATE ATTAINED RECOGNIZED CREDENTIAL
1803 DATE ATTAINED RECOGNIZED CREDENTIAL #2
1805 DATE ATTAINED RECOGNIZED CREDENTIAL #3
DATE OF MOST RECENT MEASUREABLE SKILL GAINS: EDUCATIONAL
FUNCTIONING LEVEL (EFL)
Measurable Skill Gains DATE OF MOST RECENT MEASURABLE SKILL GAINS: SECONDARY
TRANSCRIPT/REPORT CARD
DATE OF MOST RECENT MEASURABLE SKILL GAINS: POSTSECONDARY
TRANSCRIPT/REPORT CARD
DATE OF MOST RECENT MEASURABLE SKILL GAINS: TRAINING
MILESTONE
1810 DATE OF MOST RECENT MEASURABLE SKILL GAINS: SKILLS PROGRESSION
DATE ENROLLED IN DURING PROGRAM PARTICIPATION IN AN EDUCATION
1811 OR TRAINING PROGRAM LEADING TO A RECOGNIZED POSTSECONDARY
CREDENTIAL OR EMPLOYMENT (WIOA)
DATE COMPLETED, DURING PROGRAM PARTICIPATION, AN EDUCATION
1813 OR TRAINING PROGRAM LEADING TO A RECOGNIZED POSTSECONDARY
CREDENTIAL OR EMPLOYMENT (WIOA)
PIRL Elements Used in Calculation of Indicator
Indicator PIRL Element Number Element Name
900 DATE OF PROGRAM ENTRY
901 DATE OF EXIT
Median Earnings
923 OTHER REASON FOR EXIT
1704 WAGES 2ND QUARTER AFTER EXIT
Appendix IV -3-
PIRL Elements Used in Calculation of Indicator
Indicator PIRL Element Number Element Name
900 DATE OF PROGRAM ENTRY
Employment Rate 2nd 901 DATE OF EXIT
Quarter After Exit 923 OTHER REASON FOR EXIT
1602 EMPLOYED 2ND QUARTER AFTER EXIT QUARTER
900 DATE OF PROGRAM ENTRY
Employment Rate 4th 901 DATE OF EXIT
Quarter After Exit 923 OTHER REASON FOR EXIT
1606 EMPLOYED 4TH QUARTER AFTER EXIT QUARTER
900 DATE OF PROGRAM ENTRY
Youth Education or 901 DATE OF EXIT
Employment Rate 2nd 923 OTHER REASON FOR EXIT
Quarter After Exit 1602 EMPLOYED 2ND QUARTER AFTER EXIT QUARTER
1900 YOUTH 2ND QUARTER PLACEMENT (TITLE I)
900 DATE OF PROGRAM ENTRY
Youth Education or 901 DATE OF EXIT
Employment Rate 4th 923 OTHER REASON FOR EXIT
Quarter After Exit 1606 EMPLOYED 4TH QUARTER AFTER EXIT QUARTER
1901 YOUTH 4TH QUARTER PLACEMENT (TITLE I)
Appendix IV -4-
Appendix V – Periods of Performance Reporting Cohorts
Each color (blue, green, red) represents the program year the different cohorts of individuals are reported, and each shade of
those colors represents the quarter those cohorts are reported. For example, for programs with Annual Reports, all four
different blue shades represent the cohorts reported in the PY 2017 Annual Report, while the dark blue shaded boxes are the
cohorts in Quarterly Report for the April-June 2018 reporting period. All of the boxes with the same color/shade represent
cohorts that are reported in the reporting period with the corresponding color/shade (see example on page 2).
PY 2017 WIOA Annual PY 2018 WIOA Annual PY 2019 WIOA Annual Annual
Report ETA-9169 Report ETA-9169 Report ETA-9169 Report
Due October 2018 Due October 2019 Due October 2020 periods
Jul Oct Jan Apr Jul Oct Jan Apr Jul Oct Jan Apr
- - - - - - - - - - - - Quarterly
WIOA Performance Indicators Sep Dec Mar Jun Sep Dec Mar Jun Sep Dec Mar Jun report
periods
2017 2017 2018 2018 2018 2018 2019 2019 2019 2019 2020 2020
Based on individuals served in the same Quarter/Program Year of the Report
Participant Characteristics
Veterans' Priority of Service
Number of Reportable Individuals
Measurable Skill Gains
Based on individuals exiting in Quarters/PY prior to reporting period, lagged to account for data availability and outcome timeframes
Exiter Characteristics
Employment Rate 2nd Quarter After
The outcomes for these
Exit
exiters’ reported in PY 20
Median Earnings 2nd Quarter After reports
Exit
Employment Rate 4th Quarter After The
Exit outcomes for
The outcomes for these
Credential Attainment Rate exiters’ reported in PY 20 these exiters’
reports reported in
Effectiveness In Serving Employers: PY 21
Retention With The Same Employer reports
*Data availability based on data collection beginning July 1, 2017. Programs with delayed implementation of WIOA measures will have delayed availability
**Note: Not all programs are required to submit annual reports or report on all of the indicators in this chart. See program attachments for more details.
Appendix V -1-
For example, the quarterly report for July – September 2019 will include:
Participants From July – September 2019 Quarter
o Participant Characteristics,
o Veterans’ Priority of Service,
o Reportable Individuals,
o Measureable Skill Gains, and
Exiters from April – September 2019 Quarter
o Exiter Characteristics
Exiters from July – September 2018 Quarter
o Employment Rate 2nd Quarter After Exit and
o Median Earnings 2nd Quarter After Exit
Exiters from January – March 2018 Quarter
o Employment Rate 4th Quarter After Exit,
o Credential Rate, and
o Effectiveness in Serving Employers: Retention With the Same Employer1
1
Effectiveness in Serving Employers is only officially reported annually, but since the data for “Retention with the Same Employer” is reported quarterly though
the PIRL, the indicator can be calculated for different periods of reporting as well.
Appendix V -2-
Appendix VI –
Supplemental Wage Information for Non-Core Programs
The language below is aligned with the guidance in Training and Employment Guidance
Letter (TEGL) 26-16, which provides joint supplemental wage information guidance
developed by the Department of Labor (DOL or Department) and the Department of
Education (ED) to provide guidance on using supplemental wage information for reporting
performance under the Workforce Innovation and Opportunity Act (WIOA) for the six WIOA
core programs: the title I Adult, Dislocated Worker, and Youth programs, administered by
DOL; the title II Adult Education and Family Literacy Act (AEFLA) program, administered
by ED; the Employment Service program authorized under the Wagner-Peyser Act, as
amended by WIOA title III and administered by DOL;1 and the Vocational Rehabilitation
(VR) program authorized under title I of the Rehabilitation Act of 1973, as amended by
WIOA title IV and administered by ED.2 This appendix provides guidance for the DOL-
administered non-core programs.
Individual programs should refer to individual program attachments for additional details on
the use and applicability of supplemental wage information for performance reporting.
Background
This appendix provides clarification to grantees on the use of supplemental wage information
(described in detail in the section below entitled “Supplemental Wage Information Methods
and Procedures”) when reliance on such information is necessary for verifying and reporting
on the employment-related performance indicators listed below:
employment rate during the second quarter after exit from the program;
employment rate during the fourth quarter after exit from the program; and
median earnings during the second quarter after exit from the program.3
This guidance also applies to the employment-related portion of the credential attainment
indicator.4
While the most efficient method for determining both employment status and earnings for
program participants is to obtain quarterly wage records for those participants, such wage
1
Although this program is authorized under the Wagner-Peyser Act, it was amended by title III of WIOA and is a
“core program” of WIOA, as defined at WIOA section 3(12). Throughout this guidance, it is referred to as the “title
III Employment Service.”
2
Although this program is authorized under title I of the Rehabilitation Act of 1973, it was amended by title IV of
WIOA and is a “core program” of WIOA, as defined at WIOA section 3(12). Throughout this guidance, it is
referred to as the “title IV VR program.”
3
Further details on the methodology and operational parameters for each of the employment-related indicators may
be found in Appendix I of this guidance.
4
As noted in Appendix I, a participant who obtains a secondary school diploma or its recognized equivalent must
meet an additional condition before they are counted as a successful outcome and included in the numerator of the
credential attainment indicator. The participant is included in the calculation “only if the participant is also
employed or is enrolled in an education or training program leading to a recognized postsecondary credential within
one year after exit from the program.” Therefore, for the credential attainment indicator, Grantees may elect to use
supplemental wage information to collect information on employment within one year after exit.
Appendix VI -1-
records will not be available in all circumstances. For example, wage record matches will
not be available for participants who decline to provide a Social Security Number (SSN),5
nor for participants who are self-employed. In addition, during the interim transition period
wherein DOL reaches the necessary agreements to conduct wage queries on behalf those
programs whose grantees are unable do so for themselves, the Department will lack the
ability to obtain quarterly wage records for those programs not covered under existing
agreements.6 Finally, the Department will not be able to conduct quarterly wage record
queries for programs that do not have the authority to allow for SSNs to be reported to the
Department, or for programs that are not included in the Department’s agreements. In
instances such as these, supplemental wage information is necessary for verifying and
reporting on the employment-related performance indicators.
Circumstances for Collecting Employment-Related Data Using Supplemental Methods
for Performance Reporting Purposes
For purposes of the employment-related performance indicators, a participant’s status in
unsubsidized employment and quarterly earnings may be determined by a variety of data
sources. To the extent it is consistent with state law, direct Unemployment Insurance (UI)
wage match, obtained through appropriate agreement,7 via either state UI data or via out-of-
state wage record data exchange, will be the primary data source for verifying participant
outcomes for calculating levels of performance for the employment-related indicators and
will be used when available. UI wage records include private sector and certain government
employer wage reports, such as:
state government employment records;
local government employment records;
judicial employment records; and
public school employment records.
5
Program eligibility to participate in a program under WIOA is not contingent upon the individual providing an
SSN. See 81 Fed. Reg. at 55838. More broadly, since the performance indicators require reporting on all
participants, grantees are encouraged to develop a method for quantifying the performance outcomes of participants
who do not provide SSNs or for whom wage records are not available in order to include them in the calculation of
levels of performance for the program.
6
The Department notes that as announced on July 28, 2017 via TEN 3-17, Informing the States about Reassessment
of the Federal Employment Data Exchange System (FEDES), the operation of the Federal Employment Data
Exchange System (FEDES) was suspended as of January 2018. FEDES was a pilot program that had supported
reporting based on Federal civilian and military employment records, including records maintained by the Office of
Personnel Management and the Department of Defense. Until and unless a similar data sharing agreement is
implemented for federal employment information, supplemental wage records will be the only method of
documenting employment status and wages after December 31, 2017 for individuals employed by the Federal
government as a civilian (e.g., civil service, and civilians employed by the Department of Defense) or as a member
of the military.
7
The Wage Record Interchange System is used to exchange UI wage record information for performance reporting
purposes between States that are party to the data sharing agreement. ETA and the Kansas Department of
Commerce have a Memorandum of Understanding that enables grantees of specified non-core programs to access
aggregate wage record information through the Wage Record Interchange System (WRIS) and FEDES in order to
calculate the levels of performance for the employment-related indicators for those non-core programs. This current
arrangement between ETA and Kansas is the Common Reporting Information System (CRIS).
Appendix VI -2-
While most forms of employment in a state’s workforce system will be reported via
employer tax filings in the UI wage records system as noted above, certain types of
employers and employees are excluded from coverage under federal and state UI laws. For
program participants engaged in these types of employment, and for participants for whom
the grantee does not have an SSN on record, grantees may use supplemental wage
information and wage data from other reliable sources to collect employment-related data
necessary for calculating levels of performance.
Individuals for whom a quarterly wage record match would not be available through the state UI
data system include, but are not limited to:
federal employees;
military employees; or
individuals who are self-employed.
Sources of supplemental wage information (i.e., sources of wage information other than
direct UI wage match) include the following:
Employment records from such federal and state sources as:
State New Hires Registry (https://www.acf.hhs.gov/css/resource/state-new-hire-
reporting-websites) under the National Directory of New Hires (NDNH)
(https://www.acf.hhs.gov/css/resource/national-directory-of-new-hires-state-
directory-of-new-hires-prwora) requirements;
State Department of Revenue or Taxation; or
Railroad Retirement System.
Tax documents, payroll records, and employer records such as:
copies of quarterly tax payment forms to the Internal Revenue Service, such as a
Form 941 (Employer’s Quarterly Tax Return);
Standard Form 50 (SF-50) Notification of Personnel Action, for civilian employees of
the Federal government, or PS Form 50 (PS-50) Notification of Personnel Action, for
employees of the United States Postal Service;
verification of military service, as available from the Defense Manpower Data Center
(https://www.dmdc.osd.mil/appj/dwp/index.jsp), or a Leave and Earning Statement;
leave and Earnings statement from the Defense Finance and Accounting Service, for
civilian employees of the Department of Defense;
copies of pay stubs; or
signed letter or other information from employer on company letterhead attesting to
an individual’s employment status and earnings.
Other supplemental wage records:
follow-up survey (signed self-attestation from program participants);
documentation of income earned from commission in sales or other similar positions;
detailed case notes verified by employer and signed by the counselor, if appropriate to
the program;
automated database systems or data matching with other partners with whom data
sharing agreements exist;
Appendix VI -3-
One-Stop operating systems’ administrative records that may be shared amongst the
partner programs, such as current records of eligibility for programs with income-
based eligibility (e.g., TANF or SNAP); or
self-employment financial statements signed and attested to by program participants.8
Unless otherwise stated in the program specific attachments, all grantees are permitted to
collect supplemental wage information for the purpose of reporting on the employment-
related performance indicators. Please see program-specific guidance to determine whether a
grantee has discretion to collect supplemental wage information (i.e., collection is voluntary)
or not (i.e., collection is mandatory, or collection is not permitted).
However, for the Department to consider supplemental wage information as sufficient to
verify and report on the employment-related performance indicators, certain conditions
apply. It is important for grantees to consider the following when deciding to voluntarily
collect supplemental information for purposes of calculating levels of performance for the
employment-related indicators:
Grantees are required to report a participant’s status in unsubsidized employment
during the second quarter and fourth quarter after exit. In addition, a participant’s
quarterly earnings may only be reported for calculation of median earnings during the
second quarter after exit, upon direct wage record match or collection of
supplemental wage information. While median earnings are not reported for the
fourth quarter after exit, either a direct wage record match or supplemental wage
information is required to determine a participant’s employment status in the fourth
quarter after exit.
Within each quarter after exit wage period, if a direct wage match is being used to
determine either employment status or wages for the period, then the same direct
wage match record must be used for both wages and employment status. Likewise, if
supplemental wage information is being used to determine either employment status
or wages within the same reporting period, then the same supplemental wage
information must be used for both wages and employment status. There is no
requirement for the same direct wage record match or supplemental wage information
be used across multiple reporting periods.
When calculating levels of performance, grantees that elect not to use supplemental
wage information are expected to include participants who do not have the necessary
data to complete a wage record match in the denominator. In so doing, those
individuals would be counted as negatives (0 in the numerator) when calculating
levels of performance for the employment-related indicators (participants will be
excluded from the median earnings indicator calculation if the employment rate
second quarter after exit is a negative (0).
For grantees that elect to use supplemental wage information, grantees must ensure
that a participant’s quarterly earnings used for reporting the median earnings indicator
(second quarter after exit) only reflect those wages that are actually paid to the
8
Earnings (or net profit) can be calculated by subtracting total expenses from gross receipts. Not all self-employed
individuals receive a salary, but the funds that represent income over expenses that are available to be invested back
into the business are considered earnings.
Appendix VI -4-
participant during the quarter, and not wages that are earned in that quarter but
actually paid to the employee in another quarter.
Supplemental Wage Information Methods and Procedures
For grantees that determine the need to collect supplemental wage information for the
employment-related indicators, acceptable forms of supplemental wage information, relevant
to the core program, include, but are not limited to, the sources of supplemental wage
information identified above. Please see program-specific guidance for directions on any
categories of supplemental wage information that are either specifically required or
specifically prohibited under the terms of a particular program.
The Department recommends the following procedures:
Time Period for Collecting Supplemental Wage Information
As described above, for purposes of calculating levels of performance for the
employment rate indicators, grantees must collect data on participants’ employment
status during the second and fourth quarters after the participant exits the program9 and,
for purposes of calculating levels of performance for the median earnings indicator,
grantees must collect data on participants’ wages during the second quarter after exit
from the program. Following up to collect supplemental wage information may be
conducted by the grantee, local programs, or a third-party contractor. The timing for
collecting supplemental wage information may vary based on whether the grantee knows
or expects that UI wage data will not be available for a participant following the exit from
a program.
Because the information received from UI wage data is aggregate, rather than participant
level, grantees other than state agencies meeting UI confidentiality requirements are not
able to determine whether an individual is included in the wage data records they receive.
Therefore, it is recommended that grantees gather any supplemental wage information as
soon as possible for individuals that may not be included in UI wage records. Grantees
may also collect supplemental information on credentials earned up to twelve months
post-exit and on the occupational code of the exiter’s employment at any time during
follow up or during the period after exit.
UI wage data for the employment rate and the median earnings indicators during the
second quarter after exit will not become available until the latter part of the third quarter
after exit, and UI wage data for the employment rate and median earnings during the
fourth quarter after exit (which is also used for credential attainment when counting a
secondary school diploma or its recognized equivalent) will not become available until
the latter part of the fifth quarter after exit. When the grantee knows or anticipates that
UI wage data will not be available for individuals (such as those participants who did not
provide an SSN, or for participants whose employment is not covered by UI wage data,
such as those who received entrepreneurial or self-employment training), grantees do not
need to wait two quarters after the close of the second and fourth full quarters after exit to
9
For the purpose of the employment portion of the credential rate indicator, grantees must collect data on
participants’ employment status each quarter after exit within one year after the participant exits the program. (See
Table 1: Timeline for Commencing Data Collection for Employment-Related Performance Indicators).
Appendix VI -5-
formally document that UI wage data is not available and begin collection of
supplemental wage information.
For grantees that the Department will be conducting UI wage matching on their behalf,
the Department will ensure non-duplication of individuals through reporting of
supplemental wage information and UI wage records, by ensuring that individuals with
SSNs will have their supplemental wage data be included in the performance indicator
calculations such that there will not be duplication of earnings for unique individuals.
The optimal time to collect supplemental wage information is as soon as possible
following the close of the second and fourth full quarters after exit. In general, the
Department recommends the grantees remind participants before program exit that either
their employers or they themselves may be contacted to obtain confirmation of
employment status, earnings, occupational coding of employment, any credential attained
post-exit, and to explain the expected timeframe for those follow-up contacts. While this
reminder is applicable to all participants, it is especially important for those participants
for whom UI wage data will not be available.
Table 1, below, summarizes the times at when data match or supplemental wage data are to be
collected.
Table 1: Timeline for Commencing Data Collection for Employment-Related
Performance Indicators
Performance Indicator UI Wage Data Becomes Available Collection of Supplemental Wage
Information May Begina
Employment Rate – 2nd
Quarter after Exit During 3rd or 4th quarter after exit Beginning 3rd quarter after exit
(including Title I Youth)
Employment Rate – 4th During 5th or 6th quarter after exit
Quarter after Exit (1st or 2nd quarter, next program Beginning 5th quarter after exit
(including Title I Youth) year)
Median Earnings – 2nd
During 3rd or 4th quarter after exit Beginning 3rd quarter after exit
Quarter after Exit
Credential Attainment –
During 2nd or 3rd quarter after exit Beginning 2nd quarter after exit
within 1 Year after Exit
a
For individuals for whom the grantee knows or anticipates UI wage data will not be available (such as those
participants for whom there is no SSN available, or for participants receiving entrepreneurial or self-employment
training), Grantees should begin collecting supplemental wage information as close to the reference period as
possible.
Participants who provide a SSN and have exited a program, but for whom information is
not yet available, are not included in performance calculations until such data
subsequently become available. The Department expects that UI employer tax record
data for these indicators will generally be available at the time of reporting, since the
Department has built in a two-quarter lag (as described below) into the reporting periods.
This allows time for all data to be made available for reporting participant exit and direct
UI wage record match, as well as for obtaining supplemental wage information if a direct
Appendix VI -6-
UI wage record match, or Federal or military employment record.10 In order to ensure
data are available and reported consistently for all participants, UI data should be
reported four quarters after exit for second quarter wage and employment information,
and six quarters after exit for fourth quarter information. This allows for a one-quarter
lag in the reporting of UI wages by employers and an additional one-quarter lag for
reporting by the core programs.
Example: If a participant exited the program between July 1, 2016 and September 30,
2016 (first quarter of program year (PY) 2016), the participant is not included in the
Employment Rate – Second Quarter After Exit until the quarterly report for the quarter
ending September 30, 2017 (first quarter of PY 2017) and the annual report for PY 2017
for the period ending June 30, 2018.
To ensure data are collected to satisfy required reporting timelines, particularly for those
programs reporting on a quarterly basis, grantees may decide to conduct supplemental
wage information follow-up more frequently than quarterly, as more frequent follow-up
may be more convenient or cost efficient. For example, the program could conduct
continuous, ongoing, or monthly follow-up. Therefore, the Department recommends that
programs ensure the time lag to contact participants after they exit the program be as
short as possible. The longer a program waits to contact participants after they exit the
program, the greater likelihood of a lower response rate which could result in less valid
data or an inability to secure supplemental data.
The timeframes when employment-related information must be reported are shown in
Table 2 below:
Table 2: Deadlines for Timely Collection of Data for Employment-Related
Performance Indicators
Exit Quarter Report Report Report Report
Employment Employment Rate Median Earnings Credential
Rate – 2nd – 4th Quarter by End of: Attainment
Quarter (including Title I (Employment) –
(including Title Youth) by End of: within 1 Year after
I Youth) by Exit by End of:
End of:
First Quarter Q1, Q3, Q1, Q3,
(Q1) Next Program Next Program Year Next Program Year Next Program Year
(July 1 – Year (four (six quarters later) (four quarters later) (six quarters later)
September 30) quarters later)
Second Quarter Q2, Q4, Q2, Q4,
10
After the two-quarter lag concludes, if the information is still not available, wages will be converted to $0
permanently and employment status will be reported as not employed. Wages reported as $0 will indicate that the
participant was unemployed in the second quarter after exit, counting as a negative outcome for purposes of
calculating levels of performance for the Employment Rate 2nd Quarter after Exit indicator and excluding that
participant from the calculations of levels of performance for the Median Earnings 2nd Quarter after Exit indicator.
Likewise, if neither a wage record match nor supplemental wage information is available following a two-quarter
lag after the end of the fourth quarter following program exit, the participant will be reported as unemployed in the
fourth quarter after exit.
Appendix VI -7-
Exit Quarter Report Report Report Report
Employment Employment Rate Median Earnings Credential
Rate – 2nd – 4th Quarter by End of: Attainment
Quarter (including Title I (Employment) –
(including Title Youth) by End of: within 1 Year after
I Youth) by Exit by End of:
End of:
(Q2) Next Program Next Program Year Next Program Year Next Program Year
(October 1 – Year (four (six quarters later) (four quarters later) (six quarters later)
December 31) quarters later)
Third Quarter Q3, Q1, Q3, Q1,
(Q3) Next Program Second Program Next Program Year Second Program Year
(January 1 – Year (four Year After Exit (four quarters later) After Exit
March 31) quarters later) (six quarters later) (six quarters later)
Fourth Quarter Q4, Q2, Q4, Q2,
(Q4) Next Program Second Program Next Program Year Second Program Year
(April 1 – June Year (four Year After Exit (four quarters later) After Exit
30) quarters later) (six quarters later) (six quarters later)
Method for Identifying Participants Needing Follow-Up for Wage Information
Collection Purposes
In order to effectively identify individuals for whom the agency will need to follow-up to
collect supplemental wage information, the grantee’s case management database needs to
be capable of identifying participants who should be followed using supplemental
methods. Programs must also determine the appropriate information to collect from
participants to assist in follow-up, such as: (1) participants’ SSN (if available) and contact
information; and (2) supplemental wage information related to all of the employment-
related performance indicators, the credential measure and the occupational code of
placement. This information needs to be retrievable quarterly or according to the time
when grantees determine supplemental wage information follow-up is to be administered.
If a program uses supplemental wage information follow-up to retrieve data on any of the
employment-related performance indicators, this data must be used to report on all of the
employment-related indicators, or missing and incomplete data points will be counted as
a negative when calculating levels of performance for the indicator(s).
Staff Training on Supplemental Wage Information Follow-Up Methods
When conducting supplemental wage information follow-up, the Department
recommends that staff follow a uniform set of written policies and procedures to collect
and document data in a valid and reliable manner. Therefore, staff conducting the
supplemental wage information follow-up should be trained in the implementation of the
follow-up procedures, including what to say to former participants or their employers to
encourage their cooperation, ways to encourage voluntary and truthful disclosure, how to
document the information received, and how to respond to questions related to the
supplemental wage information follow-up process. Staff should be thoroughly familiar
with all procedures before beginning the process.
Appendix VI -8-
The Department recognizes that programs and grantees may consider supplemental wage
information to be a very difficult aspect of data collection, particularly since it is
sometimes difficult to follow up in a way that produces valid and reliable results (e.g.,
conducting follow-up surveys or other forms of self-attestation). The process includes
determining which individuals should be included in the supplemental wage information
follow-up, locating the individual, employer, or case manager, securing their cooperation,
and conducting the follow-up procedure. Maintaining contact with, or finding these
former participants and getting them to cooperate in the supplemental wage information
follow-up process is critical to its success since the response rate largely determines the
statistical validity of the information. Locating such individuals can be difficult, given
the transient nature of some core program participants. The procedures described below
will assist grantees in collecting valid supplemental wage information in a timely manner.
To help improve the follow-up process, it is very important that participants know how
they may be contacted later and asked about their employment outcomes. Therefore,
programs should inform participants at program entry about the supplemental wage
information follow-up process and collect extensive contact information about them, such
as addresses and phone numbers of relatives or others who may know the participants’
whereabouts over time, and employment information, if applicable. In addition,
participants should be encouraged to provide new addresses and phone numbers when
they move, and programs should implement procedures to update this information
periodically while the participant remains enrolled in the program. These procedures can
greatly assist in locating former participants months later when the supplemental wage
information may need to be collected.
Summary of Supplemental Wage Information Follow-Up Guidelines
1. Develop a method for identifying participants to contact for follow-up.
Have staff follow a uniform set of written policies and procedures to collect and
document data in a valid and reliable manner
2. Conduct the follow-up as close to the reference period as possible.
3. Ensure that the grantee has a uniform way to conduct the follow-up.
4. Train staff to conduct the follow-up.
5. Identify local resources available to conduct the follow-up.
6. Implement procedures to improve the quantity and quality of participant responses.
Best practice tip: Inform participants at program entry about the supplemental wage
information follow-up process and collect extensive contact information about them, such
as addresses and phone numbers of relatives or others who may know the participants’
whereabouts over time, and employment information, if applicable.
7. Ensure that the grantee has a database and procedures for supplemental wage information
reporting and documentation.
Appendix VI -9-
Appendix VII
References
Workforce Innovation and Opportunity Act (WIOA), Pub. L. 113-128
Wagner-Peyser Act, as amended (29 U.S.C. 49 et seq.)
Section 414(c) of the American Competitiveness and Workforce Improvement Act of
1998 (Div. C, Title IV of Pub. L. 105-277) (as amended), 29 U.S.C. 3224a
Trade Act of 1974, as amended, 19 U.S.C. 2271 et seq., including specifically but
without limitation, amendments enacted in the Trade Adjustment Assistance
Reauthorization Act of 2015 (Title IV of Pub. L. 114-27)
Title 38, United States Code, chapter 41 (Jobs for Veterans State Grants)
Elementary and Secondary Education Act, as amended by the Every Student Succeeds
Act, 20 U.S.C 6301, et seq.
WIOA Joint Rule for United and Combined State Plans, Performance Accountability, and
the One-Stop System Joint Provisions, 81 Fed. Reg. 55791 (Aug. 19, 2016)
Workforce Investment and Opportunity Act Final Rule, 81 Fed. Reg. 56071 (Aug. 19,
2016)
OMB Control Number 1205-0526, WIOA Participant Individual Record Layout
OMB Control Number 1205-0521, WIOA DOL-only Participant Individual Record
Layout
TEGL No. 02-07, Leveraging Registered Apprenticeship as a Workforce Development
Strategy for the Workforce Investment System, dated July 12, 2007
TEGL No. 39-11, Guidance on the Handling and Protection of Personally Identifiable
Information (PII), dated June 28, 2012
TEGL No. 19-14, Vision for the Workforce System and Initial Implementation of the
Workforce Innovation and Opportunity Act, dated February 19, 2015
Appendix VII -1-
TEGL No. 22-15, Program Year (PY) 2015/Fiscal Year (FY) 2016 and PY 2014/FY 2015
Data Validation and Performance Reporting Requirements and Associated Timelines,
dated May 12, 2016
TEGL No. 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, dated August 23, 2017
TEGL No. 18-16, Program Eligibility and Enrollment Guidance for the National
Farmworker Jobs Program, dated Jan. 19, 2017
TEGL No. 20-16, Designation of Significant Migrant and Seasonal Farm Worker
(MSFW) States, Significant MSFW One-stop Centers, and Significant Multilingual
MSFW One-stop Centers, dated March 1, 2017
TEGL No. 4-16, Enrollment of Homeless Veterans Program Participants into a
Workforce Innovation and Opportunity Act (WIOA) Workforce Program at an American
Job Center (AJC), dated August 4, 2016
VPL No. 3-16, Enrollment of Homeless Veterans Program Participants into a Workforce
Innovation and Opportunity Act (WIOA) Workforce Program at an American Job Center
(AJC), dated July 15, 2016
TEGL No. 19-16, Guidance on Services provided through the Adult and Dislocated
Worker Programs under the Workforce Innovation and Opportunity Act (WIOA) and the
Wagner-Peyser Act Employment Service (ES), as amended by title III of WIOA, and for
Implementation of the WIOA Final Rules, dated March 1, 2017
TEGL No. 21-16, Third Workforce Innovation and Opportunity Act (WIOA) Title I
Youth Formula Program Guidance, dated March 2, 2017
TEGL No. 26-16, Guidance on the use of Supplemental Wage Information to implement
the Performance Accountability Requirements under the Workforce Innovation and
Opportunity Act, dated June 1, 2017
TEGL No. 15-10, Attachment 2, Increasing Credential, Degree, and Certificate
Attainment by Participants of the Public Workforce System: Credential Resource Guide,
dated December 15, 2010
TEGL No. 7-16, Data Matching to Facilitate WIOA Performance Reporting, dated
August 23, 2016
Appendix VII -2-
TEGL 03-18, Eligible Training Provider (ETP) Reporting Guidance under the Workforce
Innovation and Opportunity Act (WIOA), dated August 31, 2018
TEGL 05-18, Workforce Innovation and Opportunity Act (WIOA) Annual Statewide
Performance Report Narrative, dated November 7, 2018
TEN No. 44-11, Encouraging Enhanced Partnerships and Collaboration between the
Workforce Investment System and Registered Apprenticeship Programs, dated May 10,
2012
TEN No. 08-16, Implementation of an Integrated Performance Reporting System for
Multiple Employment and Training Administration (ETA) and Veterans’ Employment and
Training Service (VETS) Administered Programs, dated August 24, 2016
http://www.doleta.gov/wioa
http://www.doleta.gov/performance
Appendix VII -3-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-1_Acc.pdf)
Attachment 1: H-1B Grants
I. Introduction
This attachment describes the program specific details of the performance accountability system
for H-1B job training program grants (H-1B grants). The Department of Labor (“the
Department” or “DOL”) has made a concerted effort to align the performance accountability
systems of its various workforce programs. In particular, the H-1B grants program is statutorily
required to report on the employment outcomes attained by workers receiving training under
these grants by using indicators of performance that are consistent with other indicators used for
employment and training programs. 29 U.S.C. §3224a(7). This attachment therefore describes
the alignment of the H-1B program’s performance accountability measures with the Workforce
Innovation and Opportunity Act (WIOA) indicators, and highlights areas where the H-1B grants
program differs from the shared DOL performance guidance described in the main body and
appendices of this TEGL. Note that references in this attachment to section numbers of this
guidance refer readers to the main body of this Training and Employment Guidance Letter
(TEGL).
This attachment provides H-1B performance reporting guidance unique to H-1B grants with
periods of performance start dates of July 1, 2016 and later.
As part of the DOL Employment and Training Administration’s (ETA) quarterly reporting
process, H-1B grants with start dates of July 1, 2016 and later are required to report in
accordance with WIOA performance reporting requirements, consistent with this guidance.
Although H-1B grants are authorized under the American Competitiveness and Workforce
Improvement Act (ACWIA) and not WIOA, all H-1B grants with a start date of July 1, 2016 and
later will report in alignment with WIOA performance reporting requirements as described in
this guidance. ETA, will also provide additional supplemental guidance that H-1B grantees must
follow, including the H-1B Grants Performance Reporting Handbook & Workforce Integrated
Performance System (WIPS) Reporting Guidance, Joint Quarterly Narrative Report Template
(ETA-9179), Frequently Asked Questions, and other technical assistance resources. These
resources can be found on the H-1B performance resources page on WorkforceGPS
(https://performancereporting.workforcegps.org/resources/2017/08/08/11/32/H-1B-Performance-
Reporting-Resources).
Current H-1B grants that fall under this guidance are H-1B TechHire Partnership Grants (FOA-
ETA-16-01), H-1B Strengthening Working Families Initiative (SWFI) (FOA-ETA-16-05), and
H-1B America’s Promise Job Driven Grants (FOA-ETA-16-12). This guidance also applies to
all future H-1B grants awarded after the release of this TEGL.
H-1B grant performance outcome measures will be established using the data collected through
the WIOA DOL-only Participant Individual Record Layout (DOL-only PIRL) schema for H-1B,
the Amended ETA-9172 DOL Participant Individual Record Layout (PIRL) for H-1B Grants
(https://h1bskillstraining.workforcegps.org/resources/2017/06/06/14/32/Amended_ETA-
9712_DOL_PIRL_for_H-1B_Grants), for two unique types of performance measures: 1) the
Attachment 1: H-1B Grants -1-
WIOA primary indicators of performance; and 2) H-1B grant specific “real-time” outcome
measures.
All H-1B grantees are required, as outlined in their grant’s Funding Opportunity Announcement
(FOA) and grant award, to report participant level data, for all individuals served using grant
funds, in alignment with the WIOA indicators, which are further identified in the DOL-only
PIRL. This data is required as part of submitting quarterly progress reports to DOL in order to
comply with the reporting and record keeping requirements of the grant. Grantees are required
to submit four quarterly progress reports each calendar year. Each grantee must submit a
quarterly progress report containing updates on the implementation and progress specified in
their grant Statement of Work (SOW). This progress report contains both a Quarterly
Performance Report (QPR) form and Quarterly Narrative Report (QNR). The QPR provides
aggregated performance data used to determine the levels of participation and program
accomplishments for the most recent quarter and cumulative to date. An H-1B program-specific
QPR form will be generated from WIPS once participant data is uploaded, validated, and edit
checks are complete.
II. Differences from Shared Guidance
1. Primary Indicators of Performance
H-1B grants report on two types of performance outcome measures: 1) the WIOA primary
indicators of performance; and 2) and H-1B specific “real-time” outcome measures. H-1B
grantees will use the DOL-only WIOA PIRL data elements (DE), definitions and code values
identified specifically for H-1B grants to collect and report on both types of performance
outcome measures.
Grantees will use the DEs specified for H-1B grants to collect and report participant level
information such as: demographics (including Social Security Numbers (SSNs) and date of birth
(DOB)) program start and end dates (including valid training activities and supportive services)
and program completion outcomes such as credential attainment and employment placement
outcomes. The PIRL DEs grantees collect and report are indicated in the DOL-only PIRL.
Unless otherwise specified in a particular H-1B grant FOA or grant award, grantees will apply
the definitions of terms as stated in this guidance. Please refer to the H-1B Grants Performance
Reporting Handbook & Workforce Integrated Performance System (WIPS) Reporting Guidance
(https://h1bskillstraining.workforcegps.org/resources/2017/07/07/12/48/H-
1B_Grants_Performance_Reporting_Handbook_-_WIPS_Reporting_Guidance) for additional
performance related guidance.
WIOA Primary Indicators of Performance
In compliance with 29 USC § 3224(a)(7), the Department requires H-1B grants with a start date
of July 1, 2016 and later to align with and report on the six WIOA primary indicators of
performance, as set forth in WIOA section 116(b)(2). Appendix I to this guidance further
describes these indicators, methodologies, and operational parameters.
It is important to note that H-1B grantees are not required to provide outcome targets for these
indicators of performance in their grant SOW. The information collected on these measures is
Attachment 1: H-1B Grants -2-
used by the Department to assess performance across numerous programs administered by the
Department.
The following WIOA primary indicators of performance are applicable to H-1B grants as
described in this guidance:
A. Employment Rate – 2nd Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the second quarter after exit from the program.
The H-1B grants program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there. Additional
guidance about reporting against this measure is provided in section 11 of this
attachment.
B. Employment Rate – 4th Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the fourth quarter after exit from the program.
The H-1B grants program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there. Additional
guidance about reporting against this measure is provided in section 11 of this
attachment.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who are
in unsubsidized employment during the second quarter after exit from the program.
The H-1B grants program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there. Additional
guidance about reporting against this measure is provided in section 11 of this
attachment.
D. Effectiveness in Serving Employers (Retention with the Same Employer 2nd and 4th
Quarter After Exit): The percentage of program participants who exit and are employed
with the same employer in the second and fourth quarters after exit.
The H-1B grants program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there. Additional
guidance about reporting against this measure is provided in section 11 of this
attachment.
E. Credential Attainment: The percentage of those participants enrolled in an education or
training program (excluding those in on-the-job training (OJT) and customized training)
who attain a recognized postsecondary credential during participation in the program or
within one year after exit from the program.
The H-1B grants program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described therein. Note that
secondary education training is prohibited in H-1B-funded grants; therefore, the
Attachment 1: H-1B Grants -3-
provision regarding participants who attain secondary school diplomas or their
recognized equivalent does not apply to the H-1B grants program.
PIRL data elements that are used to report the credential attainment outcomes for the
WIOA primary indicators of performance are also used to report real-time credential
attainment outcomes for H-1B grants. As credential attainment is a WIOA primary
indicator of performance, H-1B grantees report directly on outcomes related to this
indicator through the participant-level data file submitted in WIPS using the PIRL data
elements indicated in Appendix IV of this TEGL. In addition, H-1B grantees report on
real-time credential attainment outcomes after training completion in WIPS in the quarter
they were attained (see section III below).
Reporting credential attainment outcomes for inclusion in both the WIOA primary
indicators of performance and also the real-time measures help to determine the success
of ETA’s training programs and inform technical assistant efforts.
F. Measurable Skill Gains: The percentage of program participants who, during a program
year, are in an education or training program that leads to a recognized postsecondary
credential or employment and who are achieving measurable skill gains, defined as
documented academic, technical, occupational, or other forms of progress, towards such
a credential or employment.
The H-1B grants program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there. For additional
details, including types of documented progress, see Appendix I.
H-1B program grantees report directly on outcomes related to this indicator through the
participant-level data file submitted in WIPS in accordance with the PIRL data elements
indicated in Appendix IV of this TEGL.
2. Categories of Enrollment: Reportable Individual, Participant & Date of Program Exit
A. Reportable Individual
This category does not apply to the H-1B grants program.
B. Participant
The H-1B program defines a participant as an individual who receives an H-1B grant -
funded service beyond a determination of eligibility.
Please see Table A – Participation Level Services and Training Activities Chart for H-
1B Grants below that provides a list of H-1B training types and applicable PIRL data
element number(s), and the associated PIRL data element code values.
Note that each FOA for an H-1B grant identifies and defines types of eligible
participants for that grant.
C. Exit
Attachment 1: H-1B Grants -4-
The H-1B program adopts the definition of exit as stated in section 7 of this guidance.
Note that although the definition of exit in section 7 references that “follow up
services” do not change or delay exit, H-1B grant programs cannot use grant funds to
provide follow up services to participants after they have exited the program.
D. Common Exit for DOL–Administered Programs Only
This does not apply to the H-1B grant programs. As the H-1B grant programs are not
among the required partner programs listed in WIOA section 121(b)(1)(B), States may
not include them in a common exit policy.
3. Self-Service and Information-Only Services and Activities
This does not apply to H-1B Grants.
4. Period of Participation
The H-1B grant program adopts the definition of period of participation as stated in section 9
of this guidance.
Reporting Unique Participants
The H-1B grant program does not require a count of unique participants as described in
section 9 of this guidance. H-1B program only requires that grantees report on each
individual’s period of participation. The H-1B grant program anticipates that the majority of
participants will each have only one period of participation. In certain instances, a
participant who has exited the program may return to receive additional services (e.g.,
additional educational and job training activities). In such instances, an individual might
have multiple periods of participation during the grant period of performance.
Consistent with section 9 of this guidance, the H-1B grant program therefore directs grantees
to:
1. Establish a unique identification number (PIRL 100) that will be retained by the same
individual across multiple periods of participation during the life of the grant.
2. H-1B grants are not expected to report on the total number of unique participants to the
Department; however, the Department may calculate this number based on participant-
level data in the WIPS system, which generates quarterly aggregate reports. If the
Department determines a need for a unique participant count, the Department will
calculate that number on behalf of grantees using participant SSNs provided by grantees.
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
Reporting H-1B Participant-level Data Through WIPS
The WIPS was made available to H-1B grants in February 2018. Grantees submitted a
comprehensive data file of all participants served to date, starting from the beginning of the
grant’s period of performance through the latest reporting quarter.
The WIPS system will aggregate performance data quarterly in an H-1B program specific
QPR Form.
Attachment 1: H-1B Grants -5-
For specific details on WIPS reporting requirements, grantees should review H-1B Grants
Performance Reporting Handbook & Workforce Integrated Performance System (WIPS)
Reporting Guidance for grants whose period of performance began July 1, 2016 and later.
The handbook is a supplemental document to this TEGL and provides detailed information
on performance outcome measures and performance tracking and reporting of the DOL-only
PIRL through WIPS. It also provides instruction on how QNRs will be submitted.
6. State Annual Report Narratives
This does not apply to H-1B Grants.
7. Eligible Training Provider (ETP) Performance Reporting
This does not apply to H-1B Grants.
8. Pay-for-Performance Reporting
While certain H-1B grantees, such as H-1B TechHire grantees, were encouraged to use pay
for performance strategies to lower the costs of training, there is no requirement for grantees
to report these strategies using PIRL data elements. In particular, grantees should not report
use of such strategies using the PIRL data element #930 “Pay for Performance,” as that data
element is exclusive to title I Adult and title I Dislocated Worker core programs. This PIRL
data element is not identified for H-1B grants for the purposes of data collection and
reporting to DOL. Instead, grantees incorporating a pay for performance strategy should
report this in their QNRs, including any successes that the grantee may experience from
using this strategy.
9. Quarterly Narrative Reports for Discretionary Programs
H-1B grantees are required to use the Joint Quarterly Narrative Report Template (ETA-
9179) for quarterly performance narrative reporting. This form was approved for use by the
Office of Management and Budget under OMB control no. 1205-0448. H-1B grantees utilize
the WIPS to submit and certify QNRs. Additional instructions for completing the QNR in
WIPS are included in the H-1B Grants Performance Reporting Handbook & Workforce
Integrated Performance System (WIPS) Reporting Guidance and other technical assistance
resources.
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with section 15 of this guidance, H-1B grantees are directed to request
participants’ SSNs and that information must be reported to the Department through PIRL
2700 in the PIRL. However, while H-1B grantees are required to request participants’ SSNs,
participants cannot be denied services if they choose to not disclose an SSN. Grantees
should also ensure that when they are collecting this information from participants, they
Attachment 1: H-1B Grants -6-
inform the participants of the reason for requesting SSNs, in accordance with the American
Competitiveness and Workforce Improvement Act.1
Wage Records for Employment-Based Primary Indicators of Performance (A-D)
For the exit-based WIOA primary indicators of performance (each of which has an
employment-related component), the Department acknowledges that H-1B program grantees
may not have access to wage records in order to track and report exit-based outcomes on
employment rates, median earnings and the effectiveness in serving employer measure.
Therefore, DOLETA matches wage records on behalf of grantees in order to capture these
specific exit-based outcomes for participants that have successfully exited the H-1B program
for the following indicators only:
A. Employment Rate – 2nd Quarter After Exit;
B. Employment Rate – 4th Quarter After Exit;
C. Median Earnings – 2nd Quarter After Exit; and
D. Effectiveness in Serving Employers – Retention with Same Employer 2nd and 4th
Quarter After Exit.
The Department calculates these specific exit-based outcomes on behalf of grantees using
SSNs provided for each H-1B participant as part of the information included in each
grantee’s WIPS quarterly participant-level data file submission. It is important to note that
while H-1B program grantees are required to collect SSNs, participants cannot be denied
services if they choose to not disclose their SSN.
To calculate these exit-based primary indicators of performance, H-1B grants are required to
track and report the following PIRL DOL-only DEs:
PIRL 900: Date of Program Entry;
PIRL 901: Date of Program Exit;
PIRL 923: Other Reasons for Exit*; and
*Individuals that are exited for the reasons noted in PIRL 923 will not be calculated in
the WIOA primary performance indicators.
1
The American Competitiveness and Workforce Improvement Act of 1998, title IV, section 414(c), as
amended by the Consolidated Appropriations Act of 2005, division J, title IV, subtitle B, section 428 and
WIOA section 512(a), directs the Secretary to require grantees to report on the employment outcomes
obtained by workers receiving training under this subsection using indicators of performance that are
consistent with other indicators used for employment and training programs administered by the
Secretary, such as entry into employment, retention in employment, and increases in earnings. The
principal purpose for collecting this information is to administer the program, including tracking and
evaluating participant progress. For individuals seeking or receiving services under an H-1B grant,
providing this information, including a social security number (SSN), is voluntary; failure to disclose a
SSN will not result in the denial of any right, benefit or privilege to which the participant is entitled. The
information that is collected will be retained in the program files of the grantee and may be released to
other Department officials in the performance of their official duties.
Attachment 1: H-1B Grants -7-
PIRL 2700: Social Security Number.
11. Supplemental Wage Information
As the reporting timelines for the exit-based WIOA primary indicators of performance
generally fall after the conclusion of the grant’s period of performance, the Department
calculates these measures on behalf of grantees using SSNs provided for each H-1B
participant as part of the information included in each grantee’s WIPS quarterly participant-
level data file submission. Therefore, H-1B grantees are not authorized to collect
supplemental data for the purposes of reporting the following measures:
A. Employment Rate – 2nd Quarter After Exit;
B. Employment Rate – 4th Quarter After Exit;
C. Median Earnings – 2nd Quarter After Exit; and
D. Effectiveness in Serving Employers – Retention with the Same Employer 2nd and
4th Quarter After Exit.
Grantees may use supplemental data to track and report real-time employment outcomes,
which are separate from and in addition to the exit-based WIOA primary indicators of
performance employment outcomes. Therefore, H-1B program grantees are directed to
follow section 17 of this guidance, regarding the voluntary collection of supplemental wage
information, when reliance on such information is necessary for verifying and reporting on
real-time employment-related performance measures alone.
III. Unique Features of H-1B Grants
H-1B Grants Performance Outcomes: “Real-Time” Performance Measures
In addition to the WIOA primary indicators of performance, grantees are required to track and
report “real-time” employment and training outcome measures for program participants in the
reporting quarter in which the outcome occurred. Grantees provide outcome targets for these
performance indicators in their SOWs, and the targets set for these measures are used to evaluate
program outcomes during the period of performance. Real-time data helps grantees benchmark
their progress against their target outcomes and is indicative of success for the most recent
reporting quarter.
H-1B grants “real-time” performance measures include:
1. total participants served;
2. total participants enrolled in education/training activities;
3. total participants completing education/training activities;
4. total participants who complete education/training activities and receive a degree, or
other type of credential;
a. It is important to note that this credential measure is separate from and in addition
to the WIOA primary indicators of performance “Credential Attainment.”
5. total number of unemployed and underemployed participants who complete
education/training activities and obtain employment; and
a. It is important to note that this entered employment measure is separate from and
in addition to the WIOA primary indicators of performance “Employment Rate.”
Attachment 1: H-1B Grants -8-
6. Total number of incumbent worker participants who complete training activities and that
advance into a new position.
For complete guidance on reporting real-time performance measures, please refer to H-1B
Grants Performance Reporting Handbook & Workforce Integrated Performance System (WIPS)
Reporting Guidance (https://h1bskillstraining.workforcegps.org/resources/2017/07/07/12/48/H-
1B_Grants_Performance_Reporting_Handbook_-_WIPS_Reporting_Guidance).
Definitions of Terms Related To the Performance Accountability System (Appendix II)
Appendix II of this guidance provides definitions of terms related to the performance
accountability system. This section summarizes which of these terms are (1) applicable to H-1B
grants; (2) are not applicable to H-1B grants; and (3) also provides the definition or citations to
the definition for specific terms unique to H-1B grants.
Terms That Apply to H-1B Grant Programs:
The following terms, as defined in Appendix II of this guidance, are applicable to H-1B grants:
Employment;
Participant Individual Record Layout (PIRL);
Secondary School Diploma; and
Unsubsidized employment.
Terms Unique to H-1B Grant Programs2:
In addition to the differences in terms described in section II of this attachment, the following
terms identified in the TEGL have different definitions for H-1B grants and are defined as
follows:
Incumbent Worker – H-1B grants have a unique definition of incumbent worker and
incumbent worker training. H-1B grants should apply the definition of this term as indicated
in their grant FOA.
Customized Training – H-1B grants have a unique definition of customized training. For H-
1B grants, it is defined as training that is designed to meet the special requirements of an
employer (or group of employers); and is conducted with a commitment by the employer to
employ, or in the case of incumbent workers, continue to employ, the individual on
successful completion of the training.
2
Note: H-1B grants should review the applicable FOA, as well as the H-1B Grants Performance
Reporting Handbook & Workforce Integrated Performance System (WIPS) Reporting Guidance
(https://h1bskillstraining.workforcegps.org/resources/2017/07/07/12/48/H-
1B_Grants_Performance_Reporting_Handbook_-_WIPS_Reporting_Guidance) for the specific
definitions of terms that apply to their specific H-1B grant funded program.
Attachment 1: H-1B Grants -9-
Table A – Participation Level Services and Training Activities Chart for H-1B Grants
Definition of Participant: Any individual who receives an H-1B grant-funded service
beyond a determination of eligibility is considered a participant.
Service Type Applicable PIRL PIRL Data Element Code Notes
Data Element Values
Number (s)
*Select appropriate *Select appropriate code value as
data element as it it applies
applies
Services
PIRL 2102: Previous 1 = the participant received Case
Quarter Received Case Management Services in the
Management Service previous quarter.
0 = the participant did not receive
Case Management Services in the
Case
previous quarter.
Management
Service
PIRL 902: Date of Record the date on which the
First Case participant begins receiving his/her
Management and first case management and
Employment Service employment service funded by a
program following a determination
of eligibility to participate in the
program.
PIRL 2104: Previous 1 = the participant received
Quarter Received Assessment Services in the
Assessment Services previous quarter.
0 = the participant did not receive
Assessment Assessment Services in the
Services previous quarter.
PIRL 2103: Most Record the most recent date on
Recent Date Received which the participant received
Assessment Services assessment services funded by the
program.
PIRL 2105: Previous 1 = the participant received
Quarter Received Supportive Services in the
Supportive Services previous quarter.
Supportive 0 = the participant did not receive
Services Supportive Services in the
previous quarter.
PIRL 1409: Most Use the appropriate code to
Recent Date Received indicate the primary type of
Attachment 1: H-1B Grants -10-
Supportive Services training being provided to the
participant.
Leave blank if the participant did
not enroll in training for Primary
Type of Training Service for
Training Activity #1.
PIRL 2107: Previous 1 = the participant received
Quarter Received Specialized Services in the
Specialized Services previous quarter.
0 = the participant did not receive
Specialized Services in the
previous quarter.
PIRL 2106: Most Record the most recent date on
Specialized Recent Date Received which the participant received
Services Specialized Participant specialized participant services
Services which include, but are not limited
to, financial counseling, behavioral
health counseling, mentoring,
assistance with re-location, job
coaching, networking, and job
search assistance.
Leave blank if the participant did
not receive Specialized Participant
Services.
PIRL 2108: Previous 1 = the participant participated in
Quarter Participated in Work Experience in the previous
Work Experience quarter.
0 = the participant did not
participate in Work Experience in
the previous quarter.
H-1B grants will only have
PIRL 1205: Type of 1 = the participant participated in the option to select the
Work Experience summer employment or an following code values:
internship during the summer
2 = the participant
Paid Work months (WIOA Youth).
participated in an
Experience 2 = the participant participated in internship or employment
an internship or employment opportunity during the non-
opportunity during the non- summer
summer 3 = the participant
3 = the participant participated in a participated in a pre-
pre-apprenticeship program. apprenticeship program.
4 = the participant participated in 4 = the participant
job shadowing. participated in job
5 = the participant participated in shadowing.
7 = the participant
on-the-job training (WIOA
participated in another type
Youth). of work experience not
6 = the participant participated in a covered in 1 through 5.
Attachment 1: H-1B Grants -11-
transitional job, as defined in 0 = the participant did not
WIOA section 134(d)(5). participate in a work
7 = the participant participated in experience.
another type of work experience OR blank
not covered in 1 through 5.
0 = the participant did not
participate in a work experience.
Leave blank if this data element
does not apply to the participant.
Training Applicable PIRL PIRL Data Element Code Notes
Activities Data Element Values
Number (s) *Select appropriate code value as
*Select appropriate it applies
data element as it
applies
PIRL 1303, PIRL 1310, 01 = On the Job Training (non-WIOA H-1B grants will only have
PIRL 1315: Type of Youth). the option to select the
Training Service #1, #2, 02 = Skill Upgrading following code values:
#3 (WIOA)
03 = Entrepreneurial Training (non- 01 = On the Job Training
WIOA Youth) (non-WIOA Youth).
04 = ABE or ESL (contextualized or 02 = Skill Upgrading
other) in conjunction with Training 05 = Customized Training
05 = Customized Training 06 = Occupational Skills
06 = Occupational Skills Training Training (non-WIOA
(non-WIOA Youth) Youth)
H-1B Training 07 = ABE or ESL (contextualized or 09 = Registered
Activities other) NOT in conjunction with Apprenticeship
training (funded by Trade Adjustment 00= No Training Service
Assistance only)
08 = Prerequisite Training
09 = Registered Apprenticeship
10 = Youth Occupational Skills
Training
11 = Other Non-Occupational-Skills
Training
12 = Job Readiness Training in
conjunction with other training
00 = No Training Service
Attachment 1: H-1B Grants -12-
PIRL 2109, PIRL 1 = On-the-Job Training The WIOA Workforce
2110 and PIRL 2111: 2 = Classroom Occupational Training Integrated Performance
Primary, Secondary and 3 = Contextualized Learning System, (WIPS) is
Tertiary Type of 4 = Distance Learning designed to capture three
Training Service for 5 = Customized Learning planned training activities
Training Activity #1 6 = Incumbent Worker Training and up to three types of
7 = Other Occupational Skills training services per
PIRL 2112, PIRL Training individual served in the H-
8 = Registered Apprenticeship 1B grant program. As a
2113, PIRL 2114:
0 = No training result, grantees can record
Primary, Secondary and
up to nine training types
Tertiary Type of
within three training
Training Service for
activities for each
Training Activity #2
participant record in the
WIPS reporting platform.
PIRL 2115, PIRL In total, up to nine training
2116 and PIRL 2117: types can be recorded
Primary, Secondary and within three Training
Tertiary Type of Activity dates.
Training Service for
Training Activity #3
Incumbent
PIRL 907: Recipient of 4 = H-1B Grants This data element is only
Worker
Incumbent Worker reported for incumbent
Training
Training workers
PIRL 931: Registered 1 = the participant entered into a
Apprenticeship Program Registered Apprenticeship program or
if the participant was a registered
apprentice at the time of program
Registered entry.
Apprenticeship 0 = the participant did not enter into a
Registered Apprenticeship program
9 = grantee is unable to track
enrollment in the program
Important note:
PIRL 1401: Enrolled in 0 = No Secondary education
Secondary Education training is prohibited in H-
Program (WIOA) 1B-funded grants.
Secondary
However, this element is
Education
required to generate a
Training
credential attainment rate
in WIPS and therefore
must always be coded as
“0.”
Attachment 1: H-1B Grants -13-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-2_Acc.pdf)
Attachment 2: Indian and Native American Programs
I. Introduction
This appendix describes the program-specific details of the performance accountability guidance
for the Indian and Native American (INA) Program authorized under Workforce Innovation and
Opportunity Act (WIOA) section 166. Please note that the Department of Labor (Department or
DOL) has made a concerted effort to align the performance accountability guidance of its various
workforce programs. In addition, WIOA section 166(h)(1)(A) states that the Secretary, in
consultation with Native American Employment and Training Council (NAETC), shall develop a
set of performance indicators and standards in addition to the primary indicators of performance
described in WIOA section 116(b)(2)(A). This attachment describes the convergence of the INA
program’s performance accountability measures with the WIOA performance indicators, and
also highlights areas where the INA program differs from the shared DOL performance guidance
described in the main body and appendices of this Training and Employment Guidance Letter
(TEGL). Note that references in this attachment to section numbers of this guidance refer
readers to the main body of the TEGL.
II. Differences from Shared Guidance
1. Primary Indicators of Performance
A. Employment Rate – 2nd Quarter After Exit: The percentage of participants who are
in unsubsidized employment during the second quarter after exit from the program.
For Comprehensive Services Plan (CSP) participants, the INA program applies this
indicator as it is described in Appendix I to this guidance, with the operating
parameters and methodology described there.
A-1. Youth Education and Employment Rate – 2nd Quarter After Exit: The percentage
of youth program participants (or participants in non-core programs using the youth
indicators) in education or training activities, or in unsubsidized employment, during
the second quarter after exit from the program.
For Supplemental Youth Services (SYS) participants, the INA program applies this
indicator as it is described in Appendix I to this guidance, with the operating
parameters and methodology described there.
B. Employment Rate – 4th Quarter After Exit: The percentage of participants who are
in unsubsidized employment during the fourth quarter after exit from the program.
Attachment 2: INA Grants -1-
For CSP participants, the INA program applies this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there.
B-1. Youth Education and Employment Rate – 4th Quarter After Exit: The percentage of
youth program participants (or participants in non-core programs using the youth
indicators) in education or training activities, or in unsubsidized employment, during
the fourth quarter after exit from the program.
For SYS participants, the INA program applies this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who
are in unsubsidized employment during the second quarter after exit from the
program.
For both CSP and SYS participants, the INA program applies this indicator as it is
described in Appendix I to this guidance, with the operating parameters and
methodology described there.
D. Credential Attainment: The percentage of those participants enrolled in an education
or training program (excluding those in on-the-job training (OJT) and customized
training) who attain a recognized postsecondary credential or a secondary school
diploma, or its recognized equivalent, during participation in or within one year after
exit from the program. A participant who has attained a secondary school diploma
or its recognized equivalent is included in the percentage of participants who have
attained a secondary school diploma or its recognized equivalent only if the
participant also is employed or is enrolled in an education or training program
leading to a recognized postsecondary credential within one year after exit from the
program.
For both CSP and SYS participants, the INA program applies this indicator as it is
described in Appendix I to this guidance, with the operating parameters and
methodology described there, including the description of who is considered to be
“in education or training” for the WIOA title I Adult program.
E. Measurable Skill Gains: The percentage of program participants who, during a
program year, are in an education or training program that leads to a recognized
Attachment 2: INA Grants -2-
postsecondary credential or employment and who are achieving measurable skill
gains, defined as documented academic, technical, occupational, or other forms of
progress, towards such a credential or employment.
For both CSP and SYS participants, the INA program applies this indicator as it is
described in Appendix I to this guidance, with the operating parameters and
methodology described there, including the description of who is considered to be
“in education or training” for the WIOA title I Adult program. For additional
details, including the acceptable types of documented progress, see Appendix I.
F. Effectiveness in Serving Employers: The percentage of program participants who
exit and are employed with the same employer in the second and fourth quarters
after exit.
For both CSP and SYS participants, the INA program applies this indicator as it is
described in Appendix I to this guidance, with the operating parameters and
methodology described there.
2. Categories of Enrollment: Reportable Individual, Participant, & Date of Program
Exit
a. Reportable Individual
The INA program applies the same definition of reportable individual in section 7 of
this guidance. For the INA program this means a reportable individual is an
individual who has taken action that demonstrates an intent to use program services
and who meets specific reporting criteria of the program, including:
1) Individuals who provide identifying information;
2) Individuals who only use the self-service system; or
3) Individuals who only receive information-only services or activities.
b. Participant
The definition for participant for the INA program is similar to the definition
described in section 7 of this guidance, differing only in its exclusion of section 7’s
definition for the title I Youth program because that definition includes the
completion of an objective assessment and an individual service strategy. DOL does
not require any individual in the INA SYS program to complete an objective
assessment or an individual service strategy in order to become a participant.
Participants in the INA program are defined as follows:
Attachment 2: INA Grants -3-
For CSP: Individuals who meet the INA program eligibility criteria, and who
have received at least one INA program service other than the services described
in 20 CFR § 677.150(a)(3), after satisfying all applicable programmatic
requirements for the provision of services.
For SYS: Individuals who meet the INA program eligibility criteria, and who have
received at least 1 of the 14 WIOA Youth program elements in 20 CFR 684.310(f),
or who have received an objective assessment or development of an individual
service strategy.
For assistance in determining whether an individual is a reportable individual or a
participant, see the chart in Appendix III, Table A, which list the types of CSP
services an INA participant may receive; identify those services as basic career
services, individualized career services, or training (for CSP); and state whether each
type of service triggers inclusion in participation for the INA program.
c. Exit
The INA program applies the definition of and criteria for exit provided in section 7
of this guidance. The date of exit from the program is the last date of any service
listed above.
Specifically, section 7 provides that:
The date of exit cannot be determined until 90 days have elapsed since the
participant last received services and the participant has no future services
planned. At that point the date of exit is applied retroactively to the last date of
service.
When determining whether 90 days have elapsed since the participant last
received services, do not include receipt by the participant of any supportive
services, as supportive services do not delay, postpone, or affect the date of exit.
Because the date of exit is retroactive to the last date of service, follow-up
services may begin immediately following the last date of service if it is expected
that the participant will not receive any future services other than follow-up
services. Provision of follow-up services does not extend the date of exit.
PIRL data element 901 (Date of Program Exit) is used to collect and report the
date of exit. For exit-based performance measures, the quarter for collecting
follow-up data is determined by the quarter in which the date of exit occurs. For
Attachment 2: INA Grants -4-
example, if the date of exit is between January 1st and March 31st, the first
quarter after exit would be April 1st through June 30th.
d. Common Exit for DOL-Administered Programs Only
As stated in section 7 of this guidance, while the Department encourages States to
implement common exit policies that include DOL-administered non-core programs
within the scope of the State’s common exit policy, that is ultimately left to the State
and INA grantee, subject to the requirements for common exit provided in section 7
of this guidance. INA programs should be aware that States may have a common exit
policy; in such cases, DOL encourages States and INA grantees to discuss and
determine whether or not a common exit policy makes sense for both the State and
the INA program, and whether they can share data to track the last date of qualifying
service. Even if a common exit policy might not be appropriate for an INA grantee,
the Department encourages INA grantees to consider co-enrollment. Grantees should
be aware that co-enrollment without common exit may result in multiple exit dates,
based on the individual programs’ service end dates.
3. Self-Service and Information–Only Services and Activities
The INA program adopts the definitions of self-service and information-only service and
activities as stated in section 8 of this guidance.
4. Period of Participation
The INA program adopts the definition of period of participation as stated in section 9 of
this guidance.
Reporting Unique Participants
The INA Program will be reporting unique participants as stated in section 9 of this
guidance.
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
A case management reporting system is being developed to support the WIOA performance
reporting requirements for the INA Program. INA grantees are currently using the existing
case management reporting system known as Bear Tracks to provide outcomes on the three
WIA common measures (Entered Employment, Employment Retention and Average
Earnings).
Attachment 2: INA Grants -5-
While the Bear Tracks system does not generate outcomes for the WIOA performance
indicators, it does generate an individual participant record file (known as the SPIR file) that
is uploaded to ETA and can be used to report on all performance indicators for CSP
participants except the measurable skill gains indicator. For the SYS program, an individual
participant record is not currently available and therefore none of the WIOA indicators will
be collected for the INA youth participants until a new case management system is
developed to collect the data that will be reported into WIPS.
Accordingly, ETA will begin collecting baseline data for each CSP participant using the
existing SPIR file generated by Bear Tracks for] only the following indicator: second
quarter employment status, fourth quarter employment status, second quarter median
earnings, and effectiveness in serving employers.
For reporting on the measurable skills indicator for CSP participants, ETA will provide a
spreadsheet template and submission instructions for grantees to use until the transition to
the new case management system is complete. For reporting on all indicators for SYS
participants, ETA is using its transition authority under WIOA section 503(b) to delay the
implementation of these indicators until the new case management system is fully
implemented, as described in TEN 8-16
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5317).
Once the new case management system is developed, INA grantees will use that system to
generate and submit the required WIOA Quarterly Performance Report information, subject
to each grantee’s grant agreement and any applicable waivers.
6. State Annual Narrative Reports
This does not apply to INA Programs.
7. Eligible Training Provider (ETP) Performance Reporting
This does not apply to INA Programs.
8. Pay-for-Performance Reporting
This does not apply to INA Programs.
9. Quarterly Narrative Reports for Discretionary Programs
This does not apply to INA Programs.
Attachment 2: INA Grants -6-
10. Use of Social Security Numbers for Performance Reporting
In accordance with section 15 of this guidance, INA grantees are directed to request
participants’ social security numbers (SSNs) for participants in both the CSP and the SYS
program. However, while INA grantees are required to request participants’ SSNs,
participants cannot be denied services if they choose to not disclose an SSN.
The Department will, as described in section 15 of this guidance, use state quarterly
unemployment insurance (UI) wage records to obtain aggregate quarterly employment and
earnings results for INA program participants, and provide those aggregate results to the
relevant grantee. In particular, the Department will match wage records on behalf of
grantees in order to capture exit-based performance outcomes (each of which have an
employment component) for participants who have exited the program for following
indicators only:
A. Employment Rate – 2nd Quarter After Exit
B. Employment Rate – 4th Quarter After Exit
C. Median Earnings – 2nd Quarter After Exit
D. Credential Attainment (Secondary School Diploma or Recognized Equivalent)
F. Effectiveness in Serving Employers – Retention with the Same Employer
The Department will calculate these specific exit-based outcomes on behalf of grantees,
using SSNs provided for each INA participant as part of the information included in each
grantee’s Workforce Integrated Performance System (WIPS) quarterly participant-level data
file submission.
This facilitated matching of UI wage data has been the practice for the CSP program. The
INA program will also now begin using SSNs for UI wage matching for the SYS program
because the performance indicators for the SYS program under WIOA now include exit-
based outcomes. The use of SSNs for the youth program will begin with the
implementation of the case management and reporting system that is currently being
developed for the INA program.
11. Supplemental Wage Information
As described in section 16 and Appendix VI of this guidance, INA grantees may collect and
document supplemental wage information to calculate the exit-based primary indicators of
performance. Supplemental wage information is the only means for grantees to report exit-
based outcomes for those participants who do not provide SSNs, and frequently the only
means to report such outcomes for participants for whom wage record data is not predicted
Attachment 2: INA Grants -7-
to be available. Additional details regarding circumstances for collecting supplemental
wage information, and methods and procedures for doing so, is provided in Appendix VI of
this guidance.
III. Unique Features of the Indian and Native American Program
Additional Performance Indicators. WIOA section 166(h) states that the Secretary, in
consultation with the NAETC, shall develop a set of performance indicators and standards
that is in addition to the primary indicators of performance described in WIOA section
116(b)(2)(A). Accordingly, ETA, on behalf of the Secretary, will be working with the
NAETC to develop two additional measures (“Percent in Training” and “Employability
Skills Enhancement”), which as of the issuance of this guidance have not been developed.
Once these have been finalized ETA will provide additional information on these elements,
including how they are calculated.
INA Youth Indicators. As the Department stated in the preamble of the WIOA Final Rule,
it recognizes that there are significant challenges in implementing the youth performance
indicators in WIOA section 116(b)(2)(A)(ii) for the INA youth program. While the
Department cannot change statutory requirements such as performance indicators,
consideration was given to how youth performance indicators can be implemented in a way
that is realistic and feasible for INA program grantees while also maintaining the
requirements in WIOA.
Attachment 2: INA Grants -8-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-3_Acc.pdf)
Attachment 3: Job Corps
I. Introduction
This attachment describes the program specific details of performance accountability for Job
Corps. Please note that under the Workforce Innovation and Opportunity Act (WIOA), the
Department of Labor (Department or DOL) is aligning performance accountability provisions of
its various workforce programs. In particular, WIOA section 159(c) requires the Secretary to
establish expected levels of performance for Job Corps centers, the Job Corps program, and Job
Corps Career Transition Service (CTS) providers relating to each of the primary indicators of
performance for eligible youth described in WIOA section 116(b)(2)(A)(ii), and to report on the
performance of the centers, the program, and CTS providers in comparison to those expected
levels of performance. This attachment describes the convergence of the Job Corps program’s
performance accountability measures with the WIOA measures, and also highlights areas where
the Job Corps program differs from the shared DOL performance guidance described in the main
body and appendices of this Training and Employment Guidance Letter (TEGL). Note that
references in this attachment to section numbers of this guidance refer readers to the main body
of the TEGL.
WIOA requires the Job Corps program to report on the primary indicators of performance,
common to all WIOA programs, which provide key outcome information on how many students
obtained employment or were placed in education or training, their median wages, whether they
attained credentials, their measurable skill gains during training, and the effectiveness of the
program in serving employers.
II. Differences from Shared Guidance
In order to implement these primary indicators of performance, Job Corps revised its reporting
periods for Program Year (PY) 2018 and subsequent years. Job Corps previously employed a
program-specific definition of the time period constituting the second quarter after the exit date
and the fourth quarter after the exit date. Beginning July 1, 2018, Job Corps adopted the
definition employed by other DOL employment and training programs, which define the second
quarter after exit as the second quarter after the exit quarter, and which define the fourth quarter
after exit as the fourth quarter after the exit quarter. For example, if the participant’s date of exit
is between January 1st and March 31st, the second quarter after exit would be July 1st through
September 30th. This definitional shift is necessary for full alignment with quarterly wage
records, which record employment status and earnings in each of the four quarters of a calendar
year. Furthermore, employing the same definition used by other WIOA core and non-core
programs eases logistical difficulties that might otherwise prove an impediment to calculating
common exit and outcomes between the Job Corps program and Job Corps participants enrolled
in other WIOA programs.
In addition, beginning PY 2018, Job Corps will use quarterly wage records, as available, to
report on the employment status and wages of Job Corps participants. This use of quarterly
wage record data to assess participant outcomes is required under WIOA section 159(e).
Currently, Job Corps uses a program-specific survey to collect responses regarding employment,
Attachment 3: Job Corps -1-
education and training status, and earnings (OMB No. 1205-0426, Placement Verification and
Follow-up of Job Corps Participants). In PY 2018 and subsequent program years, Job Corps
will retain its follow-up survey of exited participants as a supplemental information source, and
use quarterly wage records as the primary source. In addition, with OMB approval, Job Corps
will revise the reporting periods in the follow-up survey to account for the revised definition of
second and fourth quarters after exit quarter.
1. Primary Indicators of Performance
As required under WIOA section 159(c)(1) and 20 CFR 686.1010, the primary indicators
of performance for eligible youth, as set forth in WIOA section 116(b)(2)(A)(ii), are the
primary indicators of performance for the Job Corps centers and the Job Corps program.
Likewise, as required under 159(c)(3) of WIOA and 20 CFR 686.1030, the primary
indicators of performance for eligible youth, as set forth in WIOA section
116(b)(2)(A)(ii), are the primary indicators of performance for CTS providers. Appendix
I to this guidance further identifies these indicators, and their methodology and
operational parameters.
Under WIOA section 116(b)(2)(A)(ii), there are six primary indicators of performance, as
further described in Appendix I and in TEGL 10-16, Change 1
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255). Where the adult
indicators and youth indicators differ, Job Corps will follow the WIOA title I Youth
indicator. Job Corps will report all six performance measures as outlined below with the
following program-specific clarifications:
A. Youth Employment or Education/Training Rate – 2nd Quarter After Exit: The
percentage of program participants who are in education or training activities, or in
unsubsidized employment, during the second quarter after exit from the program.
Beginning with PY 2018, Job Corps will apply this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there.
B. Youth Employment or Education/Training Rate – 4th Quarter After Exit: The
percentage of program participants who are in education or training activities, or in
unsubsidized employment, during the fourth quarter after exit from the program.
Beginning with PY 2018, Job Corps will apply this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who
are in unsubsidized employment during the second quarter after exit from the
program.
Attachment 3: Job Corps -2-
Beginning with PY 2018, Job Corps will apply this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there.
D. Credential Attainment Rate: The percentage of program participants enrolled in an
education or training program (excluding those in on-the-job training (OJT) and
customized training) who attain a recognized postsecondary credential or a secondary
school diploma, or its recognized equivalent, during participation in or within one
year after exit from the program. A participant who has attained a secondary school
diploma or its recognized equivalent is included in the percentage of participants who
have attained a secondary school diploma or its recognized equivalent only if the
participant is also employed or enrolled in an education or training program leading
to a recognized postsecondary credential within one year after exit from the program.
Beginning with PY 2018, Job Corps applies this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there. Job Corps notes that all Job Corps participants who have exited in
the reporting period and either (1) entered without an HSD/HSE and participated in
an HSD/HSE program, or (2) entered with an HSD/HSE and participated in a CTT,
AT, ACT program, are to be included in the denominator for this indicator.
Types of recognized postsecondary credentials are described in further detail in
Appendix I. These types include certificates issued by Job Corps for completing
career training programs that are based on industry skills standards and certification
requirements. Therefore, a participant who attains such a credential from Job Corps
upon completion of career technical training (CTT), career technical advanced
training (AT), or an Advanced Career Training Program (ACT), or who attains a
“primary” training-related industry recognized credential (IRC), is to be counted as
successfully attaining a recognized postsecondary credential.
E. Measurable Skill Gains Rate: The percentage of program participants who, during a
program year, are in an education or training program that leads to a recognized
postsecondary credential or employment and who are achieving measurable skill
gains. Measurable skill gains are defined as documented academic, technical,
occupational, or other forms of progress, and can include the following five types of
skill gains:
I. Documented achievement of at least one educational functioning level of a
participant who is receiving instruction below the postsecondary education level;
II. Documented attainment of a secondary school diploma or its recognized
equivalent;
Attachment 3: Job Corps -3-
III. Secondary or postsecondary transcript or report card for a sufficient number of
credit hours that shows a participant is meeting the State unit’s academic
standards;1
IV. Satisfactory or better progress report, towards established milestones, such as
completion of OJT or completion of one year of an apprenticeship2 program or
similar milestones, from an employer or training provider who is providing
training; or
V. Successful passage of an exam that is required for a particular occupation or
progress in attaining technical or occupational skills as evidenced by trade-related
benchmarks such as knowledge-based exams.
Beginning with PY 2018, Job Corps applies this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there. Job Corps notes that all Job Corps participants (i.e., those who have
exited in the reporting period and those who have not exited in the reporting period)
are to be included in the denominator for this indicator as all Job Corps participants
are enrolled in an education or training program.
Within the context of the Job Corps program, participants will often record a
measurable skill gain as a result of the following marks of progress. First, as Job
Corps administers the Test of Adult Basic Education (TABE) reading and math
subtests for assessment purposes, a measurable skill gain is recorded if a participant
obtained at least one educational functioning level (EFL) gain, as measured by
comparing the participant’s initial educational functioning level, on a pre-test, with
the participant’s educational functioning level, as measured by the last post-test that
occurs in the reporting period. Second, a participant attaining a secondary school
diploma (commonly referred to as a high school diploma) or its recognized equivalent
(commonly referred to as a high school equivalency credential). Third, achieving
established milestones or marks on a transcript or report card within a CTT program,
an AT program, a post-secondary ACT program, or an approved industry foundations
course, as well as earning at least 12 credits in a post-secondary ACT program. For
example, a measurable skill gain may be recorded when a Job Corps participant in a
CTT program demonstrates competency in the skills at the level indicated on the
relevant e-TAR, or when a Job Corps participant in an ACT program receives a one-
year certificate of completion.
1
Within each State there is an administrative unit that provides authorization to postsecondary institutions within the
State. States differ in the requirements to which they hold postsecondary institutions responsible for satisfactory
progress. Progress for WIOA purposes must comply with any applicable State standards. Likewise, every State has
a State educational agency that establishes education standards for secondary education within the State, which
would apply for purposes of determining if a participant is meeting the State’s academic standards.
2
The definition of “apprenticeship” in both WIOA and the WIOA final rule refers to “registered apprenticeship” and
therefore in this guidance references to apprenticeship are to be interpreted as “registered apprenticeship” unless
otherwise stated. The term “Registered Apprenticeship” will only be used to refer directly to the RA program or
items with “Registered Apprenticeship” in the name.
Attachment 3: Job Corps -4-
F. Effectiveness in Serving Employers: The percentage of program participants who
exit and are employed with the same employer in the second and fourth quarters after
exit.
Beginning with PY 2018 Job Corps applies this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology
described there.
As background, the Department notes that measuring retention with the same
employer is only one of several potential approaches to measuring a program’s
effectiveness in serving employers. The Department is currently implementing the
approach described above—retention with the same employer—for Job Corps as well
as for other non-core programs. This approach is useful in determining whether the
Job Corps centers, program, and CTS providers are serving employers effectively by
improving the skills of their workforce and decreasing employee turnover.
Job Corps is also considering adding an alternate approach for this measure by
gauging employer satisfaction through an employer survey. The feasibility of this
alternate approach is still being evaluated.
Calculating Primary Indicators
Table 1 below identifies the measure, denominator and numerator for each of the primary
six indicators listed above as calculated for Job Corps. Note that the denominator for
calculations of the primary indicators of performance is neither restricted to graduates
(i.e., the subpopulation of Job Corps participants who successfully complete the program)
nor restricted to individuals who consent to participate in post-separation follow-up
surveys. Rather, the primary indicators of performance measure the performance
outcomes for, as appropriate, all Job Corps participants who exited during a reporting
period, or the subset of those who exited during a reporting period and participated in
either secondary or postsecondary education.
TABLE 1. CALCULATIONS - PRIMARY INDICATORS OF PERFORMANCE FOR JOB
CORPS
Indicator Calculation*
Youth Employment Numerator
or
Of all participants in the denominator:
Education/Training
Job Corps participants who were employed, and/or in an education or training
Rate (Quarter 2
program in the second quarter after exit quarter
After Exit)
Denominator
All Job Corps participants who exited during the reporting period.
Youth Employment Numerator
or
Of all participants in the denominator:
Education/Training
Attachment 3: Job Corps -5-
Rate (Quarter 4 Job Corps participants who were employed, and/or in an education or training
After Exit) program in the fourth quarter after exit quarter
Denominator
All Job Corps participants who exited during the reporting period.
Median Earnings {(n + 1) ÷ 2}th value, where n is the number of earnings for all participants
(Quarter 2 After who exited during the reporting period employed in unsubsidized
Exit) employment in the 2nd quarter after exit quarter
1. To calculate the median, wages must first be ranked (sorted in ascending
order).
2. The median earnings value is the wage in the middle of the rank order
list.
3. Median = the middle value of a set of ordered data.
Note: If the list rank order earnings contains an even number of values, sum
the two middle values and divide by two. Whether there is an odd or even
number of entries in the list of earnings values, there will be an equal number
of records above and below the median value.
Credential
Attainment Rate
Numerator
Of all participants in the denominator:
The date on which a participant attains a credential occurs during
participation in, or within 1 year after Program Exit
AND
The type of credential attained is recognized as postsecondary credential
(e.g., this includes, but is not limited to, Job Corps participants who
completed a CTT program, an AT program, or an ACT program, or who
Attained Post- obtained a primary training-related IRC)
Secondary
Credential Denominator
Date of Program Exit is within the timeframe being reported
AND
At least one type of training service in which the Job Corps participant was
enrolled is considered “Postsecondary” (e.g., this includes, but is not limited
to, Job Corps participants who entered a CTT program, an AT program, or an
ACT program)
OR
The Job Corps participant participated in postsecondary education
Numerator
Of all participants in the denominator:
The date on which a participant attains a credential occurs during
Attained participation in, or within 1 year after program exit
Secondary AND
Credential The type of credential attained is recognized as a secondary school diploma
or its recognized equivalent
AND
The participant enrolls in a post exit education or training program leading to
Attachment 3: Job Corps -6-
a recognized postsecondary credential within 1 year after program exit
OR
The participant is employed within 1 year after program exit
Denominator
Date of Program Exit is within the timeframe being reported
AND
The Job Corps participant lacked a secondary school diploma or its
recognized equivalent at enrollment in Job Corps
AND
The Job Corps participant was in a secondary education program (at or above
the 9th grade level) while in Job Corps
Measurable Skill Numerator
Gains Rate
Of all participants in the denominator:
The unique count of the most recent date on which the participants achieved a
Measurable Skill Gain during the reporting period
Denominator
All Job Corps participants served (i.e., participants who did not exit Job
Corps during the reporting period plus participants who did exit during the
reporting period).
Effectiveness in Numerator
Serving Employers
Of all participants in the denominator:
The number of Job Corps participants who were employed by the same
employer during the second quarter after exit quarter and the fourth quarter
after exit quarter
Denominator
All Job Corps participants who were employed in unsubsidized employment
in the second quarter after exit quarter
*The denominators of all six measures exclude participants who exit for any of the reasons listed in
PIRL 923 for which Job Corps collects data, as seen in the table in section 7 of this guidance.
2. Categories of Enrollment: Reportable Individual, Participant & Date of Program
Exit
Reportable Individual: An individual who has submitted a completed application to the
Job Corps program.
Participant: An individual who meets the Job Corps eligibility criteria and has been
accepted and enrolled into the program, and has demonstrated a commitment to the
program by either completing the Career Preparation Program (CPP) or remaining
enrolled in Job Corps for at least 60 calendar days. The term “Participant” includes both
graduates and enrollees and former enrollees that have completed their career preparation
Attachment 3: Job Corps -7-
period. It also includes all enrollees and former enrollees who have remained in the
program for at least 60 days.
Program Exit: The date of program exit is the date the participant was separated from
the Job Corps center. While a subset of Job Corps participants receives follow up career
transition services, this benefit occurs after program exit. Receipt of follow-up services
does not extend exit.
–Period of Reportable Individual Activity: The end of the period of reportable
individual activity for reportable individuals from the Job Corps program is determined
as follows:
the individual has not become a participant; and
the individual has either (1) had 90 days elapse since being identified as a reportable
individual and the individual has not enrolled in the Job Corps program or (2)
enrolled in the Job Corps program as a reportable individual but exited (i.e., stopped
receiving services) prior to demonstrating a commitment to the program by either
completing CPP or remaining enrolled in Job Corps for at least 60 calendar days.
Common Exit: As stated in Section 7 of this guidance, while the Department encourages
states that implement common exit policies to include DOL-administered non-core
programs as additionally within the scope of the State’s common exit policy, the
Department also recognizes that the decision of whether to retain or develop a common
exit policy, as well as which, if any, DOL-administered non-core programs to include
within the scope of the policy, is ultimately left to the states, subject to the requirements
for common exit stated in section 7 of this guidance. Grantees should be aware that co-
enrollment without common exit may result in multiple exit dates, based on the
individual programs’ service end dates. States are permitted to include the Job Corps
program within a common exit policy.
3. Definition of Terms for Job Corps
Reporting Period: Job Corps will report results based on calendar quarters (i.e., January
1 - March 31, April 1 - June 30, July 1 - September 30, and October 1 - December 31).
Participants Exited: All Job Corps participants who met the definition of Job Corps
participant, and subsequently exited
Participants Served: All Job Corps participants who exited in the reporting period, plus
all participants who did not exit during the reporting period.
Quarter 2 after Exit Quarter: The second quarter after the exit quarter is the second
complete calendar quarter after the exit quarter for a cohort of participants that exit in the
reporting period. As a result, the time from exit to the start of the second calendar quarter
after exit period varies for each participant that exits in the reporting period; there are
more days from exit to the second calendar quarter for those who separate earlier in the
reporting period versus those that separate near the end of the reporting period. This
Attachment 3: Job Corps -8-
definition will be utilized by Job Corps (and with OMB approval of the revisions
necessary to the post-separation survey to support the change in timeframe) for data
collected July 1, 2018 onward and aligns from the definition used by other programs.
Quarter 4 after Exit Quarter (and within One Year after Exit): The fourth quarter
after exit is the fourth complete calendar quarter after the exit quarter for a cohort of
participants that exit in the reporting period. As a result, the time from exit to the start of
the fourth calendar quarter after exit period varies for each participant that exits in the
reporting period; there are more days from exit to the fourth calendar quarter for those
who separate earlier in the reporting period versus those that separate near the end of the
reporting period. This definition will be utilized by Job Corps (and with OMB approval
of the revisions necessary to the post-separation survey to support the change in
timeframe) for data collected July 1, 2018 onward and aligns from the definition used by
other programs. Additionally, in alignment with other programs, Job Corps will define
employed “within one year after exit” as the complete calendar year after the exit
calendar quarter while entry into post-secondary education “within one year after exit”
will be defined as the 365-day period immediately following the participant’s date of exit.
Employed during Quarter 2 after Exit Quarter: “Employment” is defined in
Appendix II. A participant was employed during Quarter 2 after the exit quarter if that
participant was in unsubsidized employment during the second complete calendar quarter
immediately following the participant exit calendar quarter.
Employed during Quarter 4 after Exit Quarter: “Employment” is defined in
Appendix II. A participant was employed during Quarter 4 after the exit quarter if that
participant was in unsubsidized employment during the fourth complete calendar quarter
immediately following the participant’s exit calendar quarter.
Enrolled in an Education/Training Program during Quarter 2 after Exit Quarter
and Quarter 4 after Exit Quarter: Job Corps participants who are registered for an
education or training program in the second quarter after exit and the fourth quarter after
exit are to be counted as successfully enrolled in an education or training program for the
“Youth Employment or Education/Training Rate (Quarter 2 After Exit)” and “Youth
Employment or Education/Training Rate (Quarter 4 After Exit) indicators. This includes,
but is not limited to, programs that are:
At the secondary level (e.g., high school diploma or high school equivalency
program);
At the post-secondary level (e.g., college, university or career technical training
Other technical, vocational, or occupational skills training;
Apprenticeship programs;
National service programs (e.g., AmeriCorps, including such AmeriCorps programs
as VISTA, National Civilian Community Corps, and other state and national
programs); and
Online courses or other programs that lead to an industry-recognized certificate or
credential.
Attachment 3: Job Corps -9-
This does not include programs that are avocational or adult basic education programs
below the 9th grade level.
4. Other Operational Parameters
Participants in a Postsecondary Education/Training Program: A Participant in a
postsecondary education or training program while in Job Corps will be considered to be
those who enrolled with a secondary school diploma or its equivalent and who, while in
Job Corps, entered:
(1) a CTT program;
(2) an AT program; or
(3) an Advanced Career Training Program (ACT).
Quarterly Earnings in the Second Quarter: Quarterly earnings for each participant
who has entered an unsubsidized job is calculated as the sum of gross (before taxes)
dollars earned on all jobs worked during the second quarter after exit quarter, where
earnings may include wages, overtime pay, bonuses, commissions, and tips.
Readmitted Students: Exited participants may return to active status once they re-enroll
in Job Corps. When exited participants are readmitted, the follow-up period is reset to
the new date of exit.3
5. Self-Service and Information–Only Activities
This does not apply to the Job Corps program.
6. Period of Participation
For Job Corps, period of participation is defined as follows:
For all indicators, except measurable skill gains, a period of participation refers to the
period of time beginning with the date an individual, who subsequently becomes a Job
Corps participant, enrolls in the Job Corps program, and ending on the participant’s date
of exit from the Job Corps program. Each participant’s exit during the same program
year is counted as a separate period of participation for purposes of calculating levels of
performance. For all indicators, except the measurable skill gains indicator, a new period
of participation is counted each time a participant re-enters and exits the Job Corps
program—even if both exits occur during the same program year. For the Measurable
Skill Gains indicator, a new period of participation is counted each time a participant
enrolls—even if both enrollments occur within the same program year. It is not
necessary to wait until the participant exits the Job Corps program in order to count a
3
Note that for reporting purposes, a readmitted student will be reported as a separate participant record as it is a
separate period of participation.
Attachment 3: Job Corps -10-
measurable skill gain because the measurable skill gains indicator is not an exit-based
indicator. The skill gain may be counted as soon as it is earned at any point during the
participation period of the program year in which it was earned.
Reporting Unique Participants
Job Corps does not require a count of unique participants be calculated in reports as
described in section 9 of this guidance. Instead, Job Corps only requires that contractors
report on each participant’s period of participation. For a unique participant count, the
Department will be able to calculate that count on behalf of contractors using participant
Social Security Numbers (SSNs). Job Corps anticipates that the majority of participants
will each have only one period of participation; however, in certain instances, a
participant who has exited the program may return to receive additional services (e.g.,
additional job training activities). In such instances, an individual might have multiple
periods of participation, and multiple exit dates.
7. Workforce Integrated Performance System (WIPS) and How to Functionally
Report
Job Corps contractors will not directly report via the Workforce Integrated Performance
System (WIPS). Rather, Job Corps contractors will continue to provide data on
reportable individuals and participants to the Job Corps Data Center (JCDC). The JCDC
will be responsible for compiling and transmitting raw data in the PIRL format to WIPS
for verification and incorporation into the WIPS data warehouse. WIPS will generate the
ETA-9173 Quarterly Program Performance Report, which will generate performance
outcomes for the six primary indicators of performance; JCDC will continue to generate
quarterly performance reports for all other Job Corps required metrics on behalf of Job
Corps contractors.
8. State Annual Report Narratives
This does not apply to the Job Corps program.
9. Eligible Training Provider (ETP) Performance Reporting
This does not apply to the Job Corps program.
10. Pay-for-Performance Reporting
This does not apply to the Job Corps program.
11. Quarterly Narrative Reports for Discretionary Programs
This does not apply to the Job Corps program.
Attachment 3: Job Corps -11-
12. Use of Social Security Numbers for Performance Reporting
In accordance with Section 15 of this guidance, Job Corps center operators and Outreach
and Admission (OA)/CTS providers are directed to request participants’ SSNs for
performance reporting purposes. However, while Job Corps center operators and CTS
providers are required to request participants’ SSNs, participants cannot be denied
services if they choose to not disclose an SSN.
The Department will, as described in Section 15 of this guidance, facilitate the
acquisition of aggregate quarterly employment and earnings results for Job Corps
participants, and provide those aggregate results to the relevant contractors. In particular,
the Department will match wage records on behalf of Job Corps center operators and Job
Corps CTS providers in order to capture exit-based outcomes (each of which has an
employment-related component) for participants who have exited the program for
following indicators only:
A. Employment Rate – 2nd Quarter After Exit
B. Employment Rate – 4th Quarter After Exit
C. Median Earnings – 2nd Quarter After Exit
D. Credential Attainment (Secondary School Diploma or Recognized Equivalent)
F. Effectiveness in Serving Employers – Retention with the Same Employer
The Department will calculate these specific exit-based outcomes on behalf of
contractors, using SSNs provided for Job Corps participants as part of the information
included in the Workforce Integrated Performance System (WIPS) quarterly participant-
level data file submission compiled by JCDC on behalf of the Job Corps contractors.
13. Supplemental Wage Information
As described in Section 16 and Appendix VI of this guidance, supplemental wage
information may be collected and used to calculate the exit-based primary indicators of
performance. Supplemental wage information is the only means to report exit-based
outcomes for those participants who do not provide SSNs, and frequently the only means
to report such outcomes for participants for whom wage record data is not predicted to be
available. Additional details regarding circumstances for collecting supplemental wage
information, and methods and procedures for doing so, are provided in Appendix VI of
this guidance.
In particular, Job Corps collects supplemental wage information, and additional
information regarding status of education and training, via its program-specific post-
separation follow-up survey (OMB No. 1205-0426) (described further below) and ETA
678 Form (Job Corps Placement and Assistance Record, OMB No. 1205-0035). Job
Corps uses information collected via these methods to assist in its reporting on the
primary indicators of performance for eligible youth, as set forth in WIOA section
116(b)(2)(A)(ii), and also to report on the following additional performance information
required under WIOA section 159(d)(1):
Attachment 3: Job Corps -12-
the number of graduates who entered the Armed Forces;
the number of graduates who entered apprenticeship programs;
the number of graduates who received a regular secondary school diploma;
the number of graduates who received a state recognized equivalent of a secondary
school diploma;
the number of graduates who entered unsubsidized employment related to the career
and technical education and training received through the Job Corps program;
the number of graduates who entered unsubsidized employment not related to the
education and training received;
the percentage and number of graduates who enter postsecondary education; and
the average wage of graduates who enter unsubsidized employment—
i. on the first day of such employment; and
ii. on the day six (6) months after such first day.
The post-separation survey data supplements information obtained via quarterly wage
records for reporting on all the exit-based primary indicators of performance (i.e., all
except the measurable skill gains indicator). Job Corps is also exploring the use of other
third-party employment, education and earnings verification data to further supplement
the post-separation survey data.
III. Unique Features of Job Corps
1. Data Tracking and Sources
Job Corps tracks information on all participants from the point of program admission
through program exit, including their enrollment, progress and completion of academic
and career technical training programs, and attainment of any skills and
certificates/credentials. For a subset of participants, Job Corps also provides and tracks
follow up career transition services and placements in jobs or academic/training
programs. This information is captured in real-time and stored in a comprehensive
Management Information System (MIS).
Job Corps has historically used a post-separation survey administered to participants
immediately following the second and fourth quarters after exit to capture participants’
employment and education status during Quarter 2 and Quarter 4 after exit (OMB No.
1205-0426). The survey captures information on participant employment, education,
earnings, and employer retention to report on the employment related indicators, and on
the effectiveness in serving employers indicator. Additionally, information captured
through the survey contributes to reporting on the Credential Attainment Rate indicator
by capturing employment or enrollment in a postsecondary education/training program
within one year after exit, and attainment of a postsecondary credential. Job Corps will
both continue to use the post-separation survey data as well as aggregated performance
results based on quarterly unemployment insurance wage records to report on the primary
indicators of performance. Job Corps may potentially employ other sources of
employment data as well for performance reporting purposes.
Attachment 3: Job Corps -13-
Participants who have exited a program, but for whom UI wage record information is not
available, are not included in performance calculations until such data subsequently
become available. The Department expects that survey data for these indicators will
generally be available, since there is a two-quarter lag built into the reporting periods to
allow time for reporting. Once the performance reports are due, participants for whom no
information becomes available – i.e., no positive information was obtained via UI wage
records, and no information was obtained via the post-separation survey or other forms of
supplemental wage information – are reported as negative outcomes.
Specifically, if a participant does not complete the Quarter 2 or Quarter 4 post-separation
survey by the reporting deadlines, the participant record will initially be counted as
negatives (0 in the numerator) for the relevant quarter, when calculating levels of
performance for the employment-related indicators and the credential attainment
indicator (for status in employment and training for those participants that obtain a
secondary school diploma or its equivalent) (participants will be excluded from the
median earnings indicator if the employment rate in the second quarter after exit is
negative (0), and will be excluded from the effectiveness in serving employers indicator
if the employment rate in the second quarter after exit is negative (0)). However, if
positive information is obtained for such a participant via either UI wage records or via
other supplemental wage information, the participant will be reported as a success for the
indicator in question, notwithstanding the participant’s failure to complete the post-
separation survey by the reporting deadline.
2. Reporting Template
Job Corps will report all six primary indicators of performance, along with other
demographic information, using the ETA-9173 Program Performance Report for each
reporting quarter.
Attachment 3: Job Corps -14-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-4_Acc.pdf)
Attachment 4: Jobs for Veterans State Grants
I. Introduction
This attachment describes the program-specific details of the performance accountability
guidance for the Jobs for Veterans State Grants (JVSG) program. Please note that the
Department of Labor (Department, or DOL) has made a concerted effort to align the
performance accountability guidance of its various workforce programs. In particular, the
Veterans’ Employment and Training Service (VETS) is statutorily required to establish and
implement a comprehensive performance accountability system to measure the performance of
employment service delivery systems, including the Disabled Veterans’ Outreach Program
(DVOP) specialists and Local Veterans’ Employment Representatives (LVERs) providing
employment, and placement services. This performance accountability system must be
consistent with state performance accountability measures applicable under Workforce
Innovation and Opportunity Act (WIOA) section 116(b) at 38 U.S.C. § 4102A(f). This
attachment describes the convergence of JVSG’s performance accountability measures with the
WIOA measures since July 1, 2016, and highlights areas where JVSG differs from the shared
DOL performance guidance described in the main body and appendices of this Training and
Employment Guidance Letter (TEGL). Note that references in this attachment to section
numbers of this guidance refer to the body of the TEGL.
II. Differences from Shared Guidance
1. Primary Indicators of Performance.
A. Employment Rate – 2nd Quarter After Exit: The percentage of participants who are
in unsubsidized employment during the second quarter after exit from the program.
The JVSG program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there.
B. Employment Rate – 4th Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the fourth quarter after exit from the program.
The JVSG program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who
are in unsubsidized employment during the second quarter after exit from the
program.
The JVSG program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there.
D. Credential Attainment: The JVSG program does not report on this indicator.
E. Measurable Skill Gains: The JVSG program does not report on this indicator.
Attachment 4: JVSG -1-
F. Effectiveness in Serving Employers: The percentage of program participants who
exit and are employed with the same employer in the second and fourth quarters after
exit.
The JVSG program applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described there.
2. Categories of Enrollment: Reportable Individual, Participant & Date of Program
Exit
A. Reportable Individual: This category does not apply to the JVSG program.
B. Participant: The JVSG program defines a participant as an individual who has
received a JVSG-funded service in WIOA from a Disabled Veteran Outreach
Program (DVOP) specialist, after satisfying all applicable programmatic requirements
for the provision of services, such as an eligibility determination. It is still required
for DVOP specialists to provide individualized career services when available.
C. Exit: Consistent with section 7 of this guidance, the date of exit from the program is
the last date of service. Specifically:
The date of exit cannot be determined until 90 days have elapsed since the
participant last received services; furthermore, there must be no future planned
services scheduled to provide the participant with future services. At that point
the date of exit is applied retroactively to the last date of service.
For determining whether 90 days have elapsed since the participant last received
services, receipt by the participant of any self-service, information-only services
or activities, or follow-up services, regardless of the providing program, do not
delay, postpone, or affect the date of exit. Because the date of exit is retroactive
to the last date of service, follow-up services may begin immediately following
the last date of service if it is expected that the participant will not receive any
future services other than follow-up services. Provision of follow-up services
does not extend the date of exit.1
PIRL data element 901 (Date of Program Exit) is used to collect and report the
date of exit. For exit-based performance measures, the quarter for collecting
follow-up data is determined by the quarter in which the date of exit occurs. For
example, if the date of exit is between January 1st and March 31st, the first
quarter after exit would be April 1st through June 30th.
1 Note that JVSG does not provide follow up services. This provision is still applicable in the scenario where a
participant in a State that has a common exit policy that includes the JVSG program is co-enrolled in a program that
does provide follow up services.
Attachment 4: JVSG -2-
D. Common Exit: As stated in section 7 of this guidance, while the Department
encourages states that implement common exit policies to include DOL-administered
non-core programs as within the scope of the state’s common exit policy, the
Department also recognizes that the decision of whether to retain or develop a
common exit policy, and the scope of the such policy, is ultimately left to the states,
subject to the requirements for common exit stated in section 7 of this guidance.
Grantees should be aware that co-enrollment without common exit may result in
multiple exit dates, based on the service end dates individual programs. If the state’s
common exit policy includes JVSG, then a JVSG participant will not exit until the
last date of service in all programs included in the common exit policy.
E. Co-Enrollment: Regardless of whether a state has adopted a common exit policy, the
Department strongly encourages the co-enrollment of JVSG participants in the title
III Wagner-Peyser Act Employment Service (ES) program2 to ensure more efficient
service delivery compliance with reporting requirements.3 States may elect to co-
enroll all JVSG participants in the title III ES program. Under WIOA, the required
data elements for reporting outcomes for JVSG participants are the same as for
participants in the title III ES program. The data submission requirements for JVSG
participants are found in the DOL-only Participant Individual Record Layout (PIRL),
which is shared by other various DOL workforce programs, including the core
programs under title I and title III of WIOA.
3. Self-Service and Information–Only Services and Activities
This does not apply to the JVSG program.
4. Period of Participation
The JVSG program is aligned with the title III ES program. The JVSG program adopts
the definition of period of participation as stated in section 9 of this guidance.
Reporting Unique Participants
The Department has determined it necessary to calculate the unique number of
participants being served each program year, by the JVSG program.
To meet this requirement, JVSG grantees must:
2 Although this program is authorized under the Wagner-Peyser Act, it was amended by title III of WIOA and is a
“core program” of WIOA, as defined at WIOA section 3(12). Throughout this guidance, it is referred to as the “title
III Employment Service.”
3 The Department acknowledges that this statement is inconsistent with Attachment II to TEGL 16-16, One-Stop
Operations Guidance for the American Job Center Network, which described co-enrollment and common exit
between the JVSG program and the title III ES program as a requirement. Attachment II to TEGL 16-16 will be
revised to describe co-enrollment between JVSG and the title III ES program as a strongly encouraged practice, but
not as a requirement.
Attachment 4: JVSG -3-
1. develop systems to track multiple periods of participation within a program year;
2. calculate a unique count of individual participants across multiple periods of
participation in any given program year; and
3. either (a) establish a unique identification number that will be retained by the
same individual across the DOL-administered title I and title III core programs, or
(b) submit data for JVSG participants under the full PIRL, such that the record
submitted would show an individual’s participation the JVSG program as well as
all DOL-administered core programs.
The Department notes that the requirement to either submit a unique identification
number, or to report under the full PIRL is integral to its analysis of whether veterans and
eligible spouses are receiving priority of service for receipt of employment, training, and
placement services. See TEGL 10-09, Implementing Priority of Service for Veterans and
Eligible Spouses in all Qualified Job Training Programs Funded in whole or in part by
the U.S. Department of Labor (DOL)
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816.); TEN 15-10, Protocol for
Implementing Priority of Service for Veterans and Eligible Spouses in all Qualified Job
Training Programs Funded in whole or in part by the U.S. Department of Labor (DOL)
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2954).
5. Workforce Integrated Performance System (WIPS) and How to Functionally
Report
States, as JVSG program grantees, report using WIPS to submit individual records, based
on the PIRL, for JVSG program participants.
In addition to the guidance provided in section 10 of this TEGL, States must comply with
the following guidance specific to JVSG. States must either submit all JVSG-funded
participant records into the Workforce Integrated Performance System using one of the
WIPS schemas allowable for JVSG, which can be found on ETA’s WIPS resource page
(https://doleta.gov/performance/wips/). (Note that JVSG participant records are no
longer submitted as a subset of participant records for title III ES.) After the data file is
submitted and all errors have been corrected, a report specific to participant services
provided by JVSG-funded staff will be generated. This report will be automatically
formatted for uniformity with the other DOL-administered programs that use the PIRL
(OMB 1205-0521, form number ETA-9173). Grantees are required to submit JVSG
individual record data files each calendar year, on a quarterly basis.
6. State Annual Report Narratives
This does not apply to the JVSG program.
However, the quarterly reporting requirements for JVSG grantees include the submission
of quarterly narrative reports (Manager’s Report on Services to Veterans and Technical
Performance Narrative (TPN), as described in Veterans Program Letter (VPL) 01-15,
Jobs for Veterans State Grants Recurring Report Requirements. Given these existing
Attachment 4: JVSG -4-
reporting requirements, DOL does not require JVSG grantees to additionally submit a
separate annual narrative report.
7. Eligible Training Provider (ETP) Performance Reporting
This does not apply to the JVSG program.
8. Pay-for-Performance Reporting
This does not apply to the JVSG program.
9. Quarterly Narrative Reports for Discretionary Programs
This does not apply to the JVSG program.
As stated above, the quarterly reporting requirements for JVSG grantees includes the
submission of quarterly narrative reports (Manager’s Report on Services to Veterans and
Technical Performance Narrative (TPN), as described in VPL 01-15).
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with section 15 of this guidance, JVSG program grantees are directed to
request participants’ SSNs, and to report corresponding wages for the quarter required to
the Department through the DOL-only PIRL. While states, as JVSG program grantees,
are required to request participants’ SSNs, participants cannot be denied services if they
choose to not disclose an SSN.
11. Supplemental Wage Information
As described in section 16 and Appendix VI of this guidance, JVSG program grantees
may collect and document supplemental wage information to calculate the employment-
related primary indicators of performance. Supplemental wage information is the only
means for grantees to report exit-based outcomes (each of which has an employment-
related component) for those participants who do not provide SSNs, and frequently the
only means to report such outcomes for participants for whom wage record data is not
predicted to be available. Additional details regarding circumstances for collecting
supplemental wage information, and methods and procedures for doing so, are provided
in Appendix VI of this guidance.
III. Unique Features of JVSG
JVSG Policies under WIOA.
Under the Workforce Investment Act (WIA), DVOP specialists were directed to provide
higher rates of intensive services to eligible veterans. VPL 03-14, Jobs for Veterans’
State Grants (JVSG) Program Reforms and Roles and Responsibilities of American Job
Center (AJC) Staff Serving Veterans
Attachment 4: JVSG -5-
(https://www.dol.gov/vets/VPLS/VPLDirectory.html); TEGL 19-13, Jobs for Veterans’
State Grants (JVSG) Program Reforms and Roles and Responsibilities of American Job
Center (AJC) Staff Serving Veterans
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7239). This requirement
continues under WIOA, although the terminology of the services delivered is slightly
altered. Instead of “core” and “intensive” services used under WIA, WIOA uses the
terms “basic career services,” and “individualized career services.” It is these
individualized career services that DVOP specialists are to provide as appropriate. For
more information on these service types, please refer to the body of the accompanying
guidance, as well as TEGL 10-16, Change 1, Attachment 7. Additional guidance is
being developed covering responsibilities for DVOP specialists and LVERs.
Performance Management and Target Setting.
WIOA section 116(b)(3) requires that states negotiate performance goals on the primary
indicators of performance for the WIOA core programs with DOL and the Department
of Education, and that a statistical adjustment model be employed in this negotiation
process. See TEGL 26-15, Negotiating Performance Goals for the Workforce
Innovation and Opportunity Act (WIOA) Title I Programs and the Wagner-Peyser
Employment Service as amended by Title III, for Program Year (PY) 2016 and PY 2017
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9363).
The Department also requires states, as JVSG program grantees, to negotiate
performance targets for the following primary indicators of performance with VETS:
Employment in the 2nd Quarter After Exit,
Employment in the 4th Quarter After Exit, and
Median Earnings in the 2nd Quarter After.
More specific guidance on this topic will be forthcoming, and will include how to use
the statistical adjustment model to help negotiate performance goals, timeline for
negotiations in PY 2019, and threshold to be considered “passing” an indicator. VETS
may also develop program-specific performance targets for JVSG-funded staff.
Uniform National Threshold Entered Employment Rate (UNTEER).
In accordance with statutory requirements, the Department has established a uniform
national threshold entered employment rate (UNTEER) achieved for veterans and
eligible persons served by the state employment service delivery systems. 38 U.S.C. §
4102A(c)(3)(B). The regulations implementing the UNTEER requirements are
applicable to all State agencies that are recipients of Wagner–Peyser State Grants, and/or
Jobs for Veterans State Grants. 20 CFR 1001.160-1001.167. For additional information
regarding the UNTEER, see VPL 03-15, Applying the Uniform National Threshold
Entered Employment (UNTEER) to States’ Program Year (PY) Veterans’ Entered
Employment Rates (VEERS) to Determine Compliance and Identify Need for Remedial
Action (https://www.dol.gov/vets/VPLS/VPLDirectory.html) and the corresponding
TEGL 2-13 (https://wdr.doleta.gov/directives/corr_doc.cfm?docn=7064). Participant-
level data reported through WIPS will serve as the basis for this calculation. The latest
UNTEER calculations can be found at https://www.dol.gov/vets/grants/state/jvsg.htm.
Attachment 4: JVSG -6-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-5_Acc.pdf)
Attachment 5: Monitor Advocate System
I. Introduction
This appendix describes the program specific details of the performance accountability guidance
for the Monitor Advocate System. States have a responsibility under the Wagner-Peyser Act
regulations to provide employment services, benefits, and protections to migrant and seasonal
farmworkers (MSFWs) on a basis that is qualitatively equivalent and quantitatively proportionate
to services provided to non-MSFWs. The Monitor Advocate System is the method by which the
Department, by monitoring established service level indicators, ensures the equitable provision
of employment services (career services) to these two populations (MSFWs and non-MSFWs) of
participants in the Workforce Innovation and Opportunity Act (WIOA) title III Wagner Peyser
Act Employment Service (ES) program.1 In particular, ETA both tracks the career services
provided to MSFWs in comparison to those provided to non-MSFWs in the title III ES program,
and also compares the outcomes for MSFWs receiving services through the title III ES program
to the outcomes for non-MSFWs receiving services through the title III ES program. The
Department, in Training and Employment Guidance Letter (TEGL) 20-16, Designation of
Significant Migrant and Seasonal Farm Worker (MSFW) States, Significant MSFW One-stop
Centers, and Significant Multilingual MSFW One-stop Centers
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4160), aligned certain service level
indicators with the primary indicators of performance under WIOA section 116 by adopting
outcomes on particular WIOA indicators as a proxy for certain minimum service level indicators.
These two indicators are explained in greater detail in Section III below.
II. Differences from Shared Guidance
1. Primary Indicators of Performance
A. Employment Rate – 2nd Quarter After Exit: The percentage of program participants
who are in unsubsidized employment during the second quarter after exit from the
program.
This primary indicator of performance under WIOA section 116(b)(2)(A) applies to
the title III Employment Service program. The Monitor Advocate System will be
using outcomes on “Employment Rate –2nd Quarter After Exit,” as defined in
Appendix I, as a proxy to calculate the minimum service level indicator of individuals
placed in a job. The Monitor Advocate System will also be using outcomes on
“Employment Rate –2nd Quarter After Exit” as a data point necessary for calculating
the proxy for the minimum service level indicator of individuals placed long term in
non-agricultural jobs.
1
Although this program is authorized under the Wagner-Peyser Act, it was amended by title III of WIOA and is a
“core program” of WIOA, as defined at WIOA section 3(12). Throughout this guidance, it is referred to as the “title
III Employment Service.”
Attachment 5: Monitor Advocate System -1-
B. Employment Rate – 4th Quarter After Exit: The percentage of program participants
who are in unsubsidized employment during the second quarter after exit from the
program.
This primary indicator of performance under WIOA section 116(b)(2)(A) applies to
the title III Employment Service program. The Monitor Advocate System will be
using outcomes on “Employment Rate –4th Quarter After Exit,” as defined in
Appendix I, as a data point necessary for calculating the proxy for the minimum
service level indicator of individuals placed long term in non-agricultural jobs.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who
are in unsubsidized employment during the second quarter after exit from the
program.
This primary indicator of performance under WIOA section 116(b)(2)(A) applies to
the title III Employment Service program. The Monitor Advocate System will be
using outcomes on “Median Earnings –2nd Quarter After Exit,” as defined in
Appendix I, as a proxy to calculate the minimum service level indicator of median
earnings of individuals in unsubsidized employment.
D. Credential Attainment
This indicator does not apply to the title III Employment Service program, or to the
Monitor Advocate System.
E. Measurable Skill Gains
This indicator does not apply to the title III Employment Service program, or to the
Monitor Advocate System.
F. Effectiveness in Serving Employers Measure for Non-Core Programs
This indicator applies generally to the title III Employment Service program, but does
not apply specifically to the Monitor Advocate System. However, as a proxy for a
minimum service level measure, MSFW retention with the same employer in the 2nd
and 4th quarters will be applied.
2. Categories of Enrollment: Reportable Individual, Participant & Date of Program Exit
A. Reportable Individual
The definition of reportable individual at 20 CFR 677.150(b), which is explained in
TEGL 10-16, Change 1
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255), and restated in this
guidance, applies to all individuals, whether MSFW or non-MSFW, in the title III
Employment Service program. However, the service level indicators employed by
the Monitor Advocate System do not apply to reportable individuals.
Attachment 5: Monitor Advocate System -2-
B. Participant
The definition of participant at 20 CFR 677.150(a), which is explained in TEGL 10-
16, Change 1, and restated in this guidance, applies to all individuals, whether
MSFW, as defined at 20 CFR 651.10, or non-MSFW, in the title III Employment
Service program.
C. Exit
The definition of exit at 20 CFR 677.150(c), which is explained in TEGL 10-16,
Change 1, and restated in this guidance, applies to all participants, whether MSFW or
non-MSFW, in the title III Employment Service program.2
D. Common Exit for DOL–Administered Programs Only
As stated in 20 CFR 677.150(c)(3)(i), and further explained in TEGL 10-16, Change
1, as well as in this guidance, a State may adopt a common exit policy for DOL-
administered programs, including the DOL-administered core programs. Therefore,
in any State that has adopted a common exit policy that includes the title III
Employment Service program, the policy applies to participants, both MSFW and
non-MSFWs, in the title III Employment Service program.
3. Self-Service and Information–Only Activities
The definitions of self-service and information-only activities, as stated in TEGL 10-16,
Change 1, and restated in this guidance apply to all participants, both MSFW and non-
MSFW, in the title III Employment Service program.
4. Period of Participation
The definition of period of participation, as stated in TEGL 10-16, Change 1, and restated in
this guidance, applies to participants, whether MSFW or non-MSFW, in the title III
Employment Service program.
Reporting Unique Participants
The title III Employment Service program tracks a count of unique participants;
consequently, the Monitor Advocate System will also track a count of unique participants.
The title III Employment Service program reports on the PIRL using participant records,
which are aggregated in WIPS to count the number of unique participants reported.
2
Note that the Wagner-Peyser Act Employment Service does not provide follow up services. The
provision regarding follow up services not extending exit is still applicable in the scenario where a
participant in a State that has a common exit policy that includes the title III ES program is co-enrolled in
a program that does provide follow up services.
Attachment 5: Monitor Advocate System -3-
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
The Monitor Advocate System will track the minimum service level indicators and equity
ratio indicators using the data in the title III Employment Service WIPS submissions as
described in this TEGL at Section III, in tables 1 and 2. Other aggregate data will be
reported through the ETA Form 5148 into the Labor Exchange Agricultural Reporting
System (LEARS). ETA is in the process of updating the ETA-5148 at this time and
anticipates providing additional guidance on submitting that form in LEARS when those
updates are complete.
6. State Annual Report Narratives
The Monitor Advocate System requires that states submit an annual narrative report through
the LEARS on services provided to MSFWs, as described at 20 CFR 653.108(s).
7. Eligible Training Provider (ETP) Performance Reporting
This section does not apply to the Monitor Advocate System.
8. Pay-for-Performance Reporting
This section does not apply to the Monitor Advocate System.
9. Quarterly Narrative Reports for Discretionary Programs
The Monitor Advocate System requires the State Monitor Advocates to submit a quarterly
narrative report through the LEARS.
10. Use of Social Security Numbers for Performance Reporting
Under 20 CFR 677.175, states are authorized to use social security numbers (SSNs) from
participants in the title III ES program as is necessary for performance reporting through
quarterly wage record information. However, program services cannot be withheld if an
individual is unwilling or unable to disclose a SSN, and program eligibility is not contingent
on the provision of a SSN for any of the core programs, including the title III Employment
Service program. The Department reiterates that SSNs may not be used as a form of unique
identifier for participants in the title III Employment Service program, and may not be
submitted to the Department via individual records in the DOL-only PIRL for participants in
the title III Employment Service program.
11. Supplemental Wage Information
The Monitor Advocate System performance data will be reported as a subset of the title III
Employment Service program data, and therefore will follow the guidance described in
Section 16 of this guidance.
Attachment 5: Monitor Advocate System -4-
III. Unique Features of the Monitor Advocate System
The guidance ETA provided in TEGL 20-16
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4160) for the minimum service level
indicators and equity ratio indicators is as follows:
Minimum Service Level Indicators:
The Department has established the following compliance levels for the minimum service
level indicators, as set forth in Table 1. In order to provide for comparison of services
provided for MSFW participants with services provided for ES participants who are not
MSFWs, the minimum service indicator for number of individuals placed in a job shall be
measured by the proxy of the employment rate in the second and fourth quarters after exit,
the minimum service indicator for the number of placements according to wage rate shall be
measured by the proxy of median wage in the second quarter, and the minimum service
indicator for the number of placement retentions in non-agricultural jobs according to
duration shall be measured by the proxy of retention with the same non-agricultural employer
in the second and the fourth quarter. State Workforce Agencies (SWAs) in all MSFW
Significant States are required to meet at least four out of the seven minimum service level
indicators listed below, in Table 1. Non-significant states are encouraged to meet these same
indicators to ensure MSFWs are being provided equitable services.
Table 1: Minimum Service Level Indicators
Minimum Service Performance Outcome for Measuring Compliance
Level Indicators the Indicator Levels
Individuals placed in a job The percentage of program participants Parity with the
who are in unsubsidized employment actual results for
during the second quarter after exit from the W-P program in
the program (as defined in “Employed— each state.
2nd Quarter After Exit”).
Applicable PIRL data element: 1602
Median earnings of The median earnings of program Parity with the
individuals in unsubsidized participants who are in unsubsidized actual results for
employment employment during the second quarter the W-P program in
after exit from the program (as defined in each state.
“Median Earnings—2nd Quarter After
Exit”).
Applicable PIRL data element: 1704
Attachment 5: Monitor Advocate System -5-
Table 1: Minimum Service Level Indicators
Minimum Service Performance Outcome for Measuring Compliance
Level Indicators the Indicator Levels
Individuals placed long term The percentage of program participants Parity with the
in non-agricultural jobs who retain unsubsidized employment actual results for
with the same employer in a non- the W-P program in
agricultural job in the second and fourth each state.
quarter after program exit (as defined in
“Employment Rate—4th Quarter After
Exit”).
Applicable PIRL data element: 1618
along with 1615 and/or 1617
Note: This is only measured with respect
to individuals for whom a non-
agricultural occupational code is
recorded.
Reviews of Significant Reviews of significant MSFW one-stop 100%
MSFW one-stop centers centers
Field checks conducted Field checks conducted when 10 or more 25%
when 10 or more job orders job orders have been placed through the
have been placed through the Agricultural Recruitment System
Agricultural Recruitment
System
Field checks conducted Field checks conducted when 9 or fewer 100%
when 9 or fewer job orders job orders have been placed through the
have been placed through the Agricultural Recruitment System
Agricultural Recruitment
System
Outreach contacts per week Outreach contacts 40 contacts per
week
Processing of complaints Timely processing of ES complaints 100%
Equity Ratio Indicators:
All SWAs must provide MSFWs the full range of services of the workforce development
system on a basis which is qualitatively equivalent and quantitatively proportionate to
services provided to non-MSFWs. In order for states to be in compliance with these
requirements, all states are required to meet the equity indicators that address provision of ES
services, including individuals referred to a job, receiving job development, and referred to
supportive services or career development. The data collection and performance
Attachment 5: Monitor Advocate System -6-
accountability measures that apply to all SWAs are set forth in 20 C.F.R. 653.109(a)-(g).
Pursuant to 20 C.F.R. 653.109(g), the Department has established equity indicators,
applicable to all SWAs that measure the outcomes of providing ES services. These equity
indicators are listed in Table 2 below.
Table 2: Equity Ratio Indicators
PIRL
Indicator Name element
number
1. Most Recent Date Received Basic Career Services (Staff-Assisted) 1002
2. Most Recent Date Received Staff-Assisted Career Guidance Services 1102
3. Most Recent Date Received Staff-Assisted Job Search Activities 1104
4. Most Recent Date Referred to Employment 1105
5. Most Recent Date Received Unemployment Insurance (UI) Claim Assistance 1112
6. Most Recent Date Referred to Federal Training 1106
7. Most Recent Date Referred to Other Federal /State Assistance 1113
8. Most Recent Date Received Individualized Career Service 1201
To determine if states are in compliance with the equity service level indicators, ETA
will track the services provided to MSFWs versus non-MSFWs through the ETA-
established reporting of WIOA career services provided to all participants and as
reported in the ES program on the PIRL in WIPS.
To meet the equity performance standards, the percentage of services provided to MSFWs
must be equal to or greater than the percentage of services offered to non-MSFWs. For
example, if 100 non-MSFWs and 50 MSFWs registered for services in the local ES office
and 50 of the non-MSFW participants receive basic career services, the local office must
provide basic career services to at least 25 of the MSFWs (50%) in order for that office to
meet this equity ratio indicator.
Attachment 5: Monitor Advocate System -7-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-6_Acc.pdf)
Attachment 6: National Dislocated Worker Grants
I. Introduction
This attachment describes the program specific details of the performance accountability guidance
for National Dislocated Worker Grants (DWG). Please note that the Department of Labor
(Department, or DOL) has made a concerted effort to align the performance accountability
guidance of its various workforce programs. DWG program grantees are required to report in
accordance the performance reporting requirements established under Workforce Innovation and
Opportunity Act (WIOA) section 116. This attachment describes the DWG program’s
performance accountability measures in alignment with the WIOA measures, and also highlights
areas where the DWG program differs from the shared DOL performance guidance described in
the main body and appendices of this guidance letter. Note that references in this attachment to
section numbers refer readers to the main body of the Training and Employment Guidance Letter
(TEGL).
DWG performance outcomes are established using data collected through the WIOA DOL
Participant Individual Record Layout (PIRL). All grantees are required to collect participant level
data identified in the DOL-only PIRL. This guidance will also highlight some of the specific
PIRL data elements required for DWG.
II. Differences from Shared Guidance
The performance reporting requirements for DWG grantees are closely aligned with the
performance reporting requirements for DOL-administered WIOA core programs, including the
WIOA title I Dislocated Worker program. This section describes that alignment and provides
instructions specific to the DWG program.
1. Primary Indicators of Performance
WIOA Section 116(b)(2)(A) establishes six primary indicators of performance. These
performance indicators apply to DWG grantees as described below.
A. Employment Rate – 2nd Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the second quarter after exit from the program.
The DWG program applies this indicator as it is described in Appendix I to this guidance,
with the operating parameters and methodology described there.
B. Employment Rate – 4th Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the fourth quarter after exit from the program.
The DWG program applies this indicator as it is described in Appendix I to this guidance,
with the operating parameters and methodology described there.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who are in
unsubsidized employment during the second quarter after exit from the program.
Attachment 6: DWG -1-
The DWG program applies this indicator as it is described in Appendix I to this guidance,
with the operating parameters and methodology described there.
D. Credential Attainment: The percentage of those participants enrolled in an education or
training program (excluding those in on-the-job training (OJT) and customized training)
who attain a recognized postsecondary credential or a secondary school diploma, or its
recognized equivalent, during participation in or within one year after exit from the
program.
A participant who has attained a secondary school diploma or its recognized equivalent is
included in the percentage only if the participant also is employed or is enrolled in an
education or training program leading to a recognized postsecondary credential within one
year after exit from the program.
In alignment with the WIOA title I Adult and Dislocated Worker programs, DWG
participants who receive OJT or customized training are not included in the credential
attainment indicator for performance accountability purposes, but must be included in the
calculation of the other performance indicators.
The DWG program applies the indicator at 20 CFR 677.155(a)(1)(iv) as it is described in
Appendix I to this guidance, with the operating parameters and methodology described
there.
E. Measurable Skill Gains: The percentage of program participants who, during a program
year, are in an education or training program that leads to a recognized postsecondary
credential or employment and who are achieving measurable skill gains, defined as
documented academic, technical, occupational, or other forms of progress, towards such a
credential or employment.
The DWG program applies this indicator as it is described in Appendix I to this guidance,
with the operating parameters and methodology described there.
F. Effectiveness in Serving Employers: The DWG program will utilize “retention with the
same employer in the 2nd and 4th quarter after exit” to measure Effectiveness in Serving
Employers. The DWG program applies this indicator as it is described in Appendix I to
this guidance.
2. Categories of Enrollment: Reportable Individual, Participant & Date of Program Exit
A. Reportable Individual: The DWG program defines “reportable individual” in alignment
with the WIOA title I Adult and Dislocated Worker programs definition. A DWG program
reportable individual has taken action that demonstrates an intent to use program services
and who meets specific reporting criteria of the program, including:
Attachment 6: DWG -2-
1) individuals who provide identifying information;
2) individuals who only use the self-service system; or
3) individuals who only receive information-only services or activities that does not
require an assessment by a staff member of the individual’s skills, education, or
career objectives.
Note that DWG reportable individuals may participate an intake process or receive an
eligibility determination.
Reportable individuals do not count towards performance measure outcomes for the DWG
program because only participants are included in the performance indicators. However,
the Department requires inclusion of certain information about reportable individuals.
DWG grantees must report reportable individuals consistent with Section 7 of this TEGL.
B. Participant: The DWG program defines “participant” in alignment with to the WIOA title
I Adult and Dislocated Worker programs definition. Participants are counted toward the
performance measure outcomes.
The DWG program is consistent with the definition of Participant as stated in Section 7 of
this TEGL. A DWG program participant is a reportable individual who:
1) has received an employment or training service or disaster relief employment,
funded in whole or in part with DWG funds, as authorized by WIOA section 170(b)
and described in 20 CFR § 687.180(a) (for Employment Recovery DWGs) or 20
CFR § 687.180(b) (for Disaster Recovery DWGs); and
2) has satisfied all applicable programmatic requirements for the provision of services,
including an eligibility determination.
For assistance in determining whether an individual is a reportable individual or a
participant, see the chart in Appendix III, Table B, which lists types of services a DWG
participant may receive. This table also identifies those services as basic career services,
individualized career services, training, or Disaster Relief Employment, and states whether
each type of service triggers inclusion in participation for the DWG program.
Specific criteria for both Employment Recovery and Disaster Recovery DWGs, as defined
in CFR 687.100, include the following:
For Employment Recovery DWGs, receipt of training services, individualized career
services, and basic career services that are neither self-service nor information-only
triggers inclusion as a participant.
For Disaster Recovery DWGs, the services above or receipt of Disaster Relief
Employment triggers inclusion as a participant.
The DWG program requires performance reporting on all participants in Disaster Relief
Employment. For Disaster Recovery DWG grantees, ETA will measure outcomes based
on participants who either (i) participated in career or training services or (ii) obtained
Disaster Relief Employment in addition to participating in career or training services.
Attachment 6: DWG -3-
Participants that only receive Disaster Relief Employment will not be calculated in the
grantee’s six primary performance indicators, unless they also participate in allowable
career or training services. Such participants are not calculated because the nature of the
services they received cannot be measured appropriately by the six primary indicators of
performance.
C. Date of Program Exit Program-Specific Criteria for DWG: The DWG program
defines Date of Program Exit in alignment with WIOA title I Adult and Dislocated Worker
programs. The DWG program is consistent with the definition of period of participation as
stated in Section 7 of this guidance. DWG grantees must align their exit policies with the
state’s common exit policies.
The DWG program defines Date of Program Exit as:
For DWG grantees included within a state’s Common Exit policy, the date of exit is
determined after 90 days of no services have elapsed; either through the DWG or DOL-
administered WIOA core or partner program, and no future, planned services are
scheduled. The date of program exit is applied retroactively to the last date of service.
DWG grantees not included within a state’s Common exit policy may determine date
of exit as after 90 days of no services have elapsed through the DWG, and no future
planned services are scheduled. The date of program exit is applied retroactively to the
last date of service.
Because the date of exit is retroactive to the last date of service, follow-up services may
begin immediately following placement into unsubsidized employment if it is expected
that the participant will not receive any future services other than follow-up services.
Provision of follow-up services does not extend the date of exit. For exit-based
performance measures, the quarter for collecting follow-up data is determined by the
quarter in which the date of exit occurs. For example, if the date of exit is between January
1st and March 31st, the first quarter after exit would be April 1st through June 30th.
Note the following PIRL data elements related to DWG program exit:
Date of Program Entry (900): Grantees must enter the date in which the individual
became a participant for any program service, in alignment with state co-enrollment
and common exit strategies.
Date of Program Exit (901): Grantees must enter the date of exit, in alignment with
the state’s common exit strategy, as discussed in section D below.
The DWG program applies the criteria for tracking reportable individual activity consistent
with WIOA title I Adult and Dislocated Worker programs found in Section 7 of this
TEGL. As described in Section 7, the end of the period of reportable individual activity
for reportable individuals from a DWG is determined as follows:
Attachment 6: DWG -4-
The individual does not become a DWG participant; and
The individual is served under the DWG program through receipt of services that do
not result in the individual becoming a participant; and
The individual has had 90 days elapse since the most recent receipt of self-service,
information-only services or activities, or reportable individual-level services under the
DWG program (including, but not limited to, the service or activity resulting in the
individual being identified as a reportable individual) with no future services
scheduled.
After the 90-day period, a new reportable individual record should be created if the same
individual returns. For reportable individuals, no data should be entered for Date of
Program Entry or Date of Program Exit. These data elements pertain only to participant-
level services.
D. Common Exit: As stated in Section 7 of this guidance, while the Department encourages
states that implement common exit policies to include DOL-administered non-core
programs as additionally within the scope of the state’s common exit policy, the
Department also recognizes that the decision of whether to retain or develop a common
exit policy is ultimately left to the states, as well as which (if any) DOL-administered non-
core programs to include within the scope of the policy. This is subject to the requirements
for common exit stated in section 7 of this TEGL. Grantees should be aware that co-
enrollment without common exit may result in multiple exit dates, based on the individual
programs’ service end dates. If the state includes the DWG program in its common exit
policy, then DWG participants will not exit until the last date of service in all programs
included in the policy.
3. Self-Service and Information-Only Services and Activities
The DWG program is aligned with WIOA title I Adult and Dislocated Worker programs.
Consistent with Section 8 of this TEGL, individuals who receive only self-services or information-
only services or activities are considered reportable individuals, not participants, in the DWG
program. The DWG program adopts the definition of self-service and information-only services
and activities as stated in Section 8 of this TEGL.
4. Period of Participation
The DWG program defines Period of Participation in alignment with WIOA title I Adult and DW
programs. The DWG program is consistent with the definition of period of participation as stated
in section 9 of this guidance.
Reporting Unique Participants: The DWG program will be reporting a count of unique
participants in alignment with WIOA title I Adult and DW programs, as described in Section 9 of
this guidance.
Attachment 6: DWG -5-
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
DWG program grantees should follow the instructions from Section 10 of this TEGL for the
Workforce Integrated Performance System (WIPS). WIPS is the vehicle through which DWG
grantees must submit individual records based on the PIRL. The Web-based reporting system is
accessed using the following link https://dol.appiancloud.com/suite/. Access requires a username
and password and, unless otherwise stated in program specific attachments, must be requested by
email to [email protected]. Detailed information regarding the site and its use are
available on the WIPS Resource Page found here: https://doleta.gov/performance/wips/.
The PIRL contains over 400 data elements, but not every element is required for each individual
program. A number of critical DWG-specific PIRL data elements are described below, in Part III
of this attachment, “Unique Features of DWG”.
6. State Annual Report Narratives
The Department issued TEGL 5-18 “WIOA Annual Statewide Performance Report Narrative” for
WIOA title I and title III core programs. Information on DWGs awarded to states must be
included in the Annual Report Narrative in accordance with the guidance.
7. Eligible Training Provider (ETP) Performance Reporting
DWG grantees are not responsible to report on ETPs. DWGs funds used for Individual Training
Accounts (ITA) must follow the same requirements to utilize ETPs as the title I Adult and
Dislocated Worker programs, as described in 20 CFR 680.300.
8. Pay-for-Performance Reporting
Pay-for-Performance reporting requirements do not apply to the DWG program at this time.
9. Quarterly Narrative Reports for Discretionary Programs
DWG grantees are required to use the Joint Quarterly Narrative Report Template (ETA-9179) for
quarterly performance narrative reporting. This form was approved for use by the Office of
Management and Budget under OMB control no. 1205-0448. DWG grantees submit the Quarterly
Narrative Report (QNR) using the WIPS reporting system described above in section 5 of this
attachment. In order to utilize the new QNR reporting feature within the WIPS system, each
grantee must contact the WIPS Helpdesk at [email protected] and request QNR reporting
permissions for the applicable DWG.
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with section 15 of this TEGL, DWG grantees must request participants’ Social
Security numbers (SSNs). However, participants cannot be denied services if they choose to not
disclose an SSN.
Attachment 6: DWG -6-
The requirements related to the use of SSNs for performance reporting differ depending on the
DWG grantee’s type of entity. A list of the types of entities eligible to receive Employment
Recovery DWGs and Disaster Recovery DWGs, may be found at 20 CFR 687.120.
Below is a chart that explains how each kind of entity that receives a DWG is required to use
SSNs and how to obtain the information needed to report on the exit-based performance
indicators.
The exit based performance indicators are as follows. Each of these indicators requires
information about a participant’s employment status to carry out the reporting.
1. Employment Rate – 2nd Quarter After Exit;
2. Employment Rate – 4th Quarter After Exit;
3. Median Earnings – 2nd Quarter After Exit;
4. Credential Attainment (to confirm employment status when the credential is Secondary
School Diploma or Recognized Equivalent only); and
5. Effectiveness in Serving Employers – 2nd and 4th Quarter Retention
with the Same Employer.
Type of How to Obtain Information Needed to Report on
Grantee Exit-Based Performance Indicators
State or Grantees that are states or a consortium of states are required to request
Consortium of participants’ SSNs, but these entities must not report SSNs to the Department.
States
State grantees are able, consistent with state law, to access quarterly wage
records to capture exit-based performance indicators (which all have an
employment-related component) for participants that have exited the
program. Therefore, state DWG grantees must follow the same requirements
with respect to the collection and use of SSNs that apply to the title I core
programs when reporting on DWGs performance.
Local Grantees that are local workforce development boards (WDBs) or a
Workforce consortium of local WDBs are required to request participants’ SSNs, but
Development these entities must not report SSNs to the Department.
Board (WDB)
or Consortium The chief elected official of a Local Area may enter into a data-sharing
of WDBs agreement that meets the requirements of 20 CFR 603.10 with the State’s
Unemployment Insurance (UI) Agency to obtain the individual-level wage
and employment information about participants’ earnings in the State needed
to report on the exit-based indicators.
Some State agencies responsible for WIOA performance reporting (referred
to as the State WIOA Performance Agency) may be willing to assist the Local
Areas in obtaining the information needed to report on the exit-based
indicators. Some WIOA Performance Agencies may have a 20 CFR 603.10
compliant agreement that permits the WIOA Performance Agency to obtain
UI wage records from the State agency that maintains those records (State UI
Agency) to assist the Local Area DWG grantees in carrying out their
Attachment 6: DWG -7-
performance reporting. If the State WIOA Performance Agency has such an
agreement, then it may use these UI wage records to help Local Area DWG
grantees report on wage and employment outcomes. However, unless the
WIOA Performance Agency’s data sharing agreement with the UI Agency
permits it, the State WIOA Performance Agency may not share this
individual-level information with the Local Area.
If one of these options will not work for the Local WDB or consortium of
WDBs, they must use supplemental wage information, as described in Section
12 below, to report on exit-based performance indicators.
While the Department is unable at this time to facilitate wage record matches
on behalf of these grantees, the Department anticipates that these entities will
be included in future agreements concerning UI wage record matching. Once
an agreement concerning UI wage record matching is in place, the
Department will provide aggregate information based on wage match records
on behalf of grantees in order to capture exit-based employment outcomes for
the performance indicators listed in the previous section. The Department
will calculate exit-based performance indicators on behalf of these grantees
using the information included in each grantee’s WIPS quarterly participant-
level data file submission.
Note that the grantee is responsible for tracking and reporting supplemental
data, particularly for the Measurable Skill Gains and Credential Attainment
(other than employment component of the Secondary School Diploma or
Recognized Equivalent) performance indicators.
Outlying Grantees that are outlying areas:
Areas
(a) With DOL approved UI systems are required to request participants’
SSNs, but these entities must not report SSNs to the Department.
These grantees may enter into a 20 CFR 603.10 agreement with their
state UI agency and receive wage records to report on exit-based
performance indicators (which all have an employment-related
component) for participants that have exited the program.
These grantees may also use supplemental information as explained in
section 12 below to report on the exit-based indicators.
(b) That do not have a DOL approved UI system may request
participants’ SSNs. Currently, these entities must obtain the
information needed to report on the exit-based indicators through
supplemental information as described in section 12 below.
While the Department is unable at this time to facilitate wage record
matches on behalf of these grantees, the Department anticipates that
these entities will be included in future agreements concerning UI
Attachment 6: DWG -8-
wage record matching. Until such agreements are established, these
grantees may only use supplemental wage information to capture exit-
based employment outcomes for the performance indicators. Once an
agreement concerning UI wage record matching is in place, the
Department will provide aggregate information based on wage match
records on behalf of these grantees in order to capture exit-based
employment outcomes for performance reporting.
The Department will calculate exit-based performance indicators on
behalf of these grantees using the information included in each
grantee’s WIPS quarterly participant-level data file submission.
Note that the grantee is responsible for tracking and reporting supplemental
data, particularly for the Measurable Skill Gains and Credential Attainment
(other than employment component of the Secondary School Diploma or
Recognized Equivalent) performance indicators.
Entities Grantees that are entities described in WIOA section 166(c) and Indian tribal
described in governments as defined under 42 U.S.C. 5122(6) must request participants’
WIOA section SSNs and report them to the Department. Currently, these grantees may only
166(c) and use supplemental wage information to capture exit-based employment
Indian tribal outcomes for the performance indicators.
governments
While the Department is unable at this time to facilitate wage record matches
on behalf of these grantees, the Department anticipates that these entities will
be included in future agreements concerning UI wage record matching. Until
such agreements are established, these grantees may only use supplemental
wage information to capture exit-based employment outcomes for the
performance indicators. Once an agreement concerning UI wage record
matching is in place, the Department will provide aggregate information
based on wage match records on behalf of grantees in order to capture exit-
based employment outcomes for the performance indicators listed in the
previous section in addition to the supplemental information reported by the
grantees.
The Department will calculate exit-based performance indicators on behalf of
these grantees using the information included in each grantee’s WIPS
quarterly participant-level data file submission.
Note that the grantee is responsible for tracking and reporting supplemental
data, particularly for the Measurable Skill Gains and Credential Attainment
(other than employment component of the Secondary School Diploma or
Recognized Equivalent) performance indicators.
Other eligible For Employment Recovery DWGs, a Governor of an affected state or
entities outlying area or the Secretary of Labor may determine that other entities not
named in 20 CFR 687.120(a)(1-3) are eligible for these grants. These entities
currently must use supplemental wage information, as described below, to
Attachment 6: DWG -9-
report on exit-based performance indicators.
While the Department is unable at this time to facilitate wage record matches
on behalf of these grantees, the Department anticipates that these entities will
be included in future agreements concerning UI wage record matching. Once
an agreement concerning UI wage record matching is in place, the
Department will provide aggregate information based on wage match records
on behalf of grantees in order to capture exit-based employment outcomes for
the performance indicators listed in the previous section
The Department will calculate exit-based performance indicators on behalf of
these grantees using the information included in each grantee’s WIPS
quarterly participant-level data file submission.
Note that the grantee is responsible for tracking and reporting supplemental
data, particularly for the Measurable Skill Gains and Credential Attainment
(other than employment component of the Secondary School Diploma or
Recognized Equivalent) performance indicators.
12. Supplemental Wage Information
As described in Section 16 and Appendix VI of this TEGL, DWG grantees may collect and
document supplemental wage information to calculate the exit-based primary indicators of
performance. Supplemental wage information is the only means for grantees to report exit-based
performance indicators for those participants who do not provide SSNs. Additional details
regarding circumstances for collecting supplemental wage information, and methods and
procedures for doing so, is provided in Appendix VI of this TEGL.
III. Unique Features of DWG
1. Performance Goals
For grantees that are states or outlying areas, state performance goals for the title I Dislocated
Worker program serve as a basis for each DWG’s performance goals. ETA negotiates with states
to determine acceptable performance targets for the title I Dislocated Worker program, including
use of statistical regression model adjusted targets
(https://doleta.gov/performance/guidance/negotiating.cfm).
For other non-state grantee, the following applies:
Grantees that are a local WDB utilize goals that the local WDB negotiated with the state
for the title I Dislocated Worker program.
Grantees that are entities described in WIOA section 166(c) Native American Program
should use goals established for that program as a basis for DWG performance targets.
Goals approved in the DWG application serve as final performance targets.
Attachment 6: DWG -10-
For all other eligible entities that are grantees, goals approved in the DWG application
serve as final performance targets.
For all grantees, the goals described in this section will be used for DWGs unless applicants
request additional considerations in setting performance targets for an individual grant.
2. PIRL Reporting
Grantees must submit an individual record file quarterly on all participants and exiters. All
relevant data elements on the individual record layout must be completed. Those data elements
relevant to the DWG program are indicated in the DOL-only PIRL by an “R” in the DWG
column. While many of these elements are also required for other programs, the PIRL contains
data elements that are specifically for individuals participating in a DWG.
Below is an explanation of certain PIRL data elements for DWG program participants.
A. DWG Grant Number (2003): In order to ensure that each DWG participant is
appropriately recorded and tracked to a DWG project, the DWG grant number must be
captured in PIRL data element 2003. Examples of DWG grant numbers are:
EM-25852-1460-A-9
DW-25852-1460-A-34
The full grant number may contain 13 or 14 alpha-numeric characters. The required entry
for PIRL data element 2003 is the first seven alphanumeric digits of the grant number
(without dashes).
Grant numbers are included in grant award materials, and found at this website by
selecting the appropriate DWG project: https://www.doleta.gov/DWGs/Grant-Awards/.
Example 1:
Data
Element Data Element Name Code Value
No.
2003 DWG Grant Number EM25852
B. Special Project ID (105, 106, 107): Grantees must report accurately for an individual
participant that may have participated in more than one DWG project.
In this unique circumstance, the grant number for the first DWG project is recorded in data
element 2003, DWG Grant Number, as described in the previous section. The required
entry for PIRL data element 2003 is the first seven alphanumeric digits of the DWG grant
number.
Attachment 6: DWG -11-
The grant number for the second DWG project is recorded in data element 105, Special
Project ID-1. The required entry for PIRL data element 105 is the first seven
alphanumeric digits of the DWG grant number.
Note that PIRL data element 105 is only used to report a DWG grant number in the unique
circumstance that an individual participates in more than one DWG project. Data element
105 may only be used for DWG when there is already a grant number entered in PIRL data
element 2003.
In cases of supplemental funding awards to continue an existing DWG project, data
element 105 should not be used.
Example 2:
Data
Element Data Element Name Code Value
No.
105 Special Project ID – 1 EM28097
Special Project ID 106 may be used if participation in a third DWG needs to be recorded
for an individual, and Special Project ID 107 to record participation in a fourth DWG for
that individual.
C. Received Services through a Disaster Recovery Dislocated Worker Grant (2004):
Grantees must record what services are provided through a Disaster Recovery DWG in
PIRL data element 2004 “Received Services Through a Disaster Recovery Dislocated
Worker Grant.” Different code values must be entered depending on if an individual
received one of three service options:
1) Disaster Relief Employment Only. Enter Code Value 1 if the if the participant
received disaster relief employment only under a Disaster Recovery DWG, and
received no other services.
2) Disaster Relief Employment and Employment and Training Services. Enter Code
Value 2 if the participant received Disaster Relief Employment and received
Employment and Training Services. More information on allowable services is found
in 20 CFR 687.180.
3) Employment and Training Services Only. Enter Code Value 3 if a participant in a
Disaster Recovery DWG received Employment and Training services only, and did not
receive disaster relief employment under a Disaster Recovery DWG.
If the individual is not a participant in a Disaster Recovery DWG, and is in another type of
DWG such as Employment Recovery DWG, enter Code Value 0.
D. National Dislocated Worker Grant (932): Grantees must complete data element 932 to
track participants (code value 1) and reportable individuals (code value 2) in the DWG
program.
Attachment 6: DWG -12-
E. Date of First DWG Service (933): Grantees must enter the date on which the DWG
participant began receiving the first service funded by the DWG program. This data
element captures the start of DWG-funded services.
F. Date of Completion of DWG Services (2001): Grantees must complete PIRL data
element 2001. This data element captures completion of the DWG-funded services, and is
important to ensure there is a way to measure how effective the DWG funds are.
G. Employed at Completion of DWG Services (2002): Grantees must complete PIRL data
element 2002. This data element captures employment status at completion of the DWG-
funded services, and is important to ensure there is a way to measure how effective the
DWG funds are. In order to verify employment for this data element, DWG grantees may
follow the supplemental data policies found in Appendix VI.
H. Rapid Response (908): DWG grantees complete data element 908 to indicate if the DWG
participant also received rapid response services.
I. Adult (903), Dislocated Worker (904): In cases where a DWG participant is co-enrolled
in the Adult or Dislocated Worker programs, DWG grantees must include such participants
in the applicable program of co-enrollment (in addition to element PIRL data 932).
J. Incumbent Worker Training (907): Incumbent Worker Training (IWT), PIRL element
number 907 is generally not allowable for DWG, but may be made available for certain
specified funding opportunities and is therefore marked as “R”. Grantees must respond
“no” to PIRL data element 907 unless IWT is allowable for a specific funding opportunity.
K. TAA Petition Number (915): In cases where a DWG participant is co-enrolled in the
TAA program, DWG grantees must record the TAA petition number of the certification
which applies to the participants group (in addition to PIRL data element 932).
3. Termination of ETA-9104 Report
The requirements described in this attachment replace the previous performance reporting required
prior to implementation of WIOA. The legacy “e-system” reporting on the ETA 9104 form ends
after Program Year 2018.
Attachment 6: DWG -13-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-7_Acc.pdf)
Attachment 7: National Farmworker Jobs Program
I. Introduction
This attachment describes the program specific details of the performance accountability guidance for
the National Farmworker Jobs Program (NFJP). Please note that under the Workforce Innovation
and Opportunity Act (WIOA), the Department of Labor (Department, or DOL) has made a concerted
effort to align the performance accountability guidance of its various workforce programs. In
particular, WIOA section 167(c)(3) requires NFJP grantees providing career services and training to
use the primary indicators of performance described in WIOA section 116(b)(2)(A) for the purposes
of both reporting and reaching agreement on adjusted levels of performance. This attachment
describes the convergence of the NFJP’s performance accountability measures with the WIOA
measures, and highlights areas where NFJP career services and training measures and NFJP housing
measures differ from the shared DOL performance guidance described in the main body and
appendices of this Training and Employment Guidance Letter (TEGL). Note that references in this
attachment to section numbers of this guidance refers to the body of the TEGL.
As set forth in WIOA regulations, different indicators of performance apply to NFJP grantees
providing career services and training, outlined under 20 CFR 685.400(a)-(b). For grantees providing
career services and training services, the Department will use the six primary indicators of
performance, described in Section II.1 below. For grantees providing housing services, the
Department will use other indicators of performance, which are specific to NFJP housing grantees, as
described in Section III below.
II. Differences from Shared Guidance – Career Services and Training Grantees
1. Primary Indicators of Performance
WIOA section 116(b)(2)(A) establishes six primary indicators of performance, which are
further described in Appendix I and in TEGL 10-16, Change 1. The NFJP Career Services
and Training grantees (i.e., NFJP grantees providing career services and training services) will
report on those six performance indicators, with program-specific clarifications set forth
below.
Note that the two employment rate indicators (employment status in the second and fourth
quarters after exit) differ between adults and youth, consistent with WIOA section
116(b)(2)(A).
The WIOA Adult indicators apply only to NFJP participants enrolled as eligible seasonal
farmworker adults, eligible migrant farmworker adults, or dependent adults of an eligible
Migrant and Seasonal Farmworker (MSFW).
Unlike the WIOA Youth program, NFJP does not distinguish between in-school and out-of-
school youth for participation and reporting purposes. The WIOA Youth indicators apply
only to NFJP participants enrolled as eligible MSFW youth or dependent youth of an eligible
MSFW. NFJP youth participants include individuals aged 14-24 who are either an eligible
MSFW youth who is individually eligible or a dependent youth of an eligible MSFW. As
stated in TEGL 18-16, Program Eligibility and Enrollment Guidance for the National
Attachment 7: NFJP -1-
Farmworker Jobs Program (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3435),
grantees may enroll eligible migrant and seasonal farmworker (MSFW) participants aged 18-
24 as either a MSFW adult or a MSFW youth, but not in both categories. Eligible MSFW
youth aged 14-17 may only be enrolled as a MSFW youth. Grantees that do have a youth
component as described in 20 CFR 685.370, must report on these MSFW youth according to
Youth performance indicators.
A. Employment Rate – 2nd Quarter After Exit: The percentage of participants in unsubsidized
employment during the second quarter after exit.
For adult participants, NFJP applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described therein.
A-1. Youth Education and Employment Rate – 2nd Quarter After Exit: The percentage of
participants in education or training activities, or in unsubsidized employment during the
second quarter after exit.
For youth participants, NFJP applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described therein.
B. Employment Rate – 4th Quarter After Exit: The percentage of participants who are in
unsubsidized employment during the fourth quarter after exit from the program.
For adult participants, NFJP applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described therein.
B-1. Youth Education and Employment Rate – 4th Quarter After Exit: The percentage of
participants in education or training activities, or in unsubsidized employment during the
fourth quarter after exit.
For youth participants, NFJP applies this indicator as it is described in Appendix I to this
guidance, with the operating parameters and methodology described therein.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who are in
unsubsidized employment during the second quarter after exit from the program.
NFJP applies this indicator as it is described in Appendix I to this guidance, with the
operating parameters and methodology described therein.
D. Credential Attainment: The percentage of those participants enrolled in an education or
training program (excluding those in on-the-job training (OJT) and customized training) who
attain a recognized postsecondary credential or a secondary school diploma, or its recognized
equivalent, during participation in or within one year after exit from the program. A
participant who has attained a secondary school diploma or its recognized equivalent is
included in the percentage of participants who have attained a secondary school diploma or its
recognized equivalent only if the participant also is employed or is enrolled in an education or
training program leading to a recognized postsecondary credential within one year after exit
from the program.
Attachment 7: NFJP -2-
Training activities must encourage the attainment of recognized postsecondary credentials as
defined in WIOA section 3(52) as well as 20 CFR 685.350 and 685.370 when appropriate for
an eligible MSFW. A recognized postsecondary credential is an industry-recognized
certificate or certification, a certificate of completion of an apprenticeship, a license
recognized by the state involved or federal government, or an associate or baccalaureate
degree. See WIOA sections 167(d) and 134(c)(3)(d) for a full list of training activities.
Eligible MSFWs are not required to receive career services prior to receiving training
services. However, training services must be directly linked to an in-demand industry sector
or occupation in the service area, or in another geographical area to which an eligible MSFW
receiving such services is willing to relocate. NFJP grantees may determine that a sector or
occupation is in-demand by the location of the grantee operating the NFJP program. This
may be at the state, regional, or local service area level.
All adult and youth program participants who received education or training that was not OJT
or Customized Training are included in the credential attainment indicator for NFJP.
NFJP participants who enroll in a secondary school at or above the 9th grade, or enroll in a
post-secondary school, will be counted in this measure. See 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
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255) for additional information on
the methodology.
E. Measurable Skill Gains: The percentage of program participants who, during a program year,
are in an education or training program that leads to a recognized postsecondary credential or
employment and who are achieving measurable skill gains, defined as documented academic,
technical, occupational, or other forms of progress, towards such a credential or employment.
NFJP participants meeting the definition for being in education or training in the credential
attainment section above, as well as participants in OJT and customized training, are included
in this measure.
F. Effectiveness in Serving Employers: The percentage of program participants who exit and are
employed with the same employer in the second and fourth quarters after exit.
NFJP applies this indicator as described in Appendix I to this guidance, with the operating
parameters and methodology described therein.
2. Categories of Enrollment: Participant and Date of Program Exit –
A. Reportable Individual: NFJP applies a program-specific definition of reportable individual,
and does not follow the definition applied to the core programs.
As stated in TEGL 18-16 (see link above), an individual who receives only related assistance
services that (1) does not require significant involvement of grantee staff time; and (2) does
not require a career assessment by grantee staff of an individual’s skills, education, or career
Attachment 7: NFJP -3-
objectives (including all emergency assistance services) will be considered a “reportable
individual” for NFJP. Such individuals are not included in performance calculations as
program participants. For example, the Department does not consider pesticide and worker
safety training (neither of which require significant involvement of grantee staff time, nor
career assessments) to be the type of related assistance that requires the individual to be
included in the performance calculations. In this case, the individual would be counted as a
reportable individual.
Emergency assistance, a form of short-term related assistance, may be provided to eligible
MSFWs and their dependents as defined in 20 CFR 685.110 to address these farmworker’s
immediate needs. Emergency assistance may include, but is not limited to, the provision of
necessary items such as clothing, food, and transportation vouchers. When an individual
receives emergency assistance only (and no other NFJP services), an applicant’s self-
certification is accepted as sufficient documentation of eligibility. Any individual receiving
only emergency services is counted as a reportable individual.
B. Participant: NFJP applies a program-specific definition of participant, and does not follow
the definition applied to the core programs.1
As stated in TEGL 18-16, an NFJP participant, an individual must complete the following
requirements: eligibility determination, career assessment, and receipt of at least one of the
five program elements (e.g. career services, training services, housing services, youth
services, and/or certain related assistance services). These individuals will be considered
program participants and included in performance calculations. Note for the purposes of
determining eligibility, grantees do not need to demonstrate that an individual is either
chronically unemployed or underemployed.
Individuals who are enrolled in certain related assistance activities that require significant
involvement of grantee staff are also considered participants. Specifically, “certain related
assistance” activities that trigger inclusion in participation are those that require an eligibility
determination and a career assessment, and are directly related to education, training, career,
and/or employment outcomes. These activities may include, but are not limited to:
School dropout prevention and recovery activities;
Self-employment and related business or micro-enterprise development or education; and
Occupational career and technical education.
For assistance in determining whether an individual is a reportable individual or a participant,
see the chart in Appendix III, Table C, which lists types of services an NFJP participant may
receive. This table also identifies those services as basic career services, individualized career
services, or training; and states whether each type of service triggers inclusion in participation
for the NFJP program.
1 Note the Participant Individual Record Layout (PIRL) data element 808 Eligible Migrant and Seasonal
Farmworker Status (WIOA section 167) is only to be used for participants, who are enrolled or co-enrolled in
NFJP. For Employment Service performance reporting purposes, Wagner-Peyser partners should use PIRL
data element 413 for Migrant and Seasonal Farmworker Designation as defined in 20 CFR 651.10.
Attachment 7: NFJP -4-
C. Exit: The NFJP program applies the definition and criteria of exit stated in Section 7 of this
guidance. The date of exit from the program is the last date of any service listed above.
Specifically:
The date of exit cannot be determined until 90 days have elapsed since the participant last
received any services. Furthermore, there must be no future, planned services scheduled.
At that point the date of exit is applied retroactively to the last date of service.
In determining whether 90 days have elapsed since the participant last received services,
do not include receipt by the participant of any supportive services as these services do not
delay, postpone, or affect the date of exit. Because the date of exit is retroactive to the last
date of service, follow-up services may begin immediately following the last date of
service if it is expected that the participant will not receive any future services other than
follow-up services. Provision of follow-up services does not extend the date of exit.2
PIRL data element 901 (Date of Program Exit) is used to collect and report the date of
exit. For exit-based performance measures, the quarter for collecting follow-up data is
determined by the quarter in which the date of exit occurs. For example, if the date of exit
is between January 1st and March 31st, the first quarter after exit would be April 1st
through June 30th.
Period of Reportable Individual Activity: The NFJP program applies the concept of a
period of reportable individual activity consistent with WIOA title I Adult and Dislocated
Worker programs found in Section 7 of this guidance, using Appendix III, Table C as a
reference for determining reportable individual or participant level services.
A period of reportable individual activity refers to the period of time that begins either (a)
when a person first takes part in a qualifying reportable individual activity or (b) 91 days after
the date of exit of a preceding period of participation. A period of reportable individual
activity ends when either (a) no services have been received for more than 90 days or (b) 90
days prior to the start of a subsequent period of participation.
A new period of reportable individual activity should be recorded when more than 90
consecutive days have elapsed since that reportable individual last engaged with the program
via self-service or an information-only service or activity. This “end of the period of
reportable individual activity” is needed in order to prevent reportable individuals who have
stopped receiving services from staying in the system indefinitely.
In cases where a person has a period of reportable individual activity lasting more than 90
days, prior to becoming a participant, two records must be reported. The first record
represents the period of reportable individual activity and must end 91 days before the date of
program entry for the subsequent period of participation. The second record represents the
period of participation and will include any reportable individual services or activities
occurring within 90 days prior to the date or program entry.
In cases where a person has a period of reportable individual activity lasting fewer than 90
days, prior to becoming a participant, only one record must be reported. The record
2 Note that for NFJP grants, follow up services may begin after a participant is placed in employment rather
than after exit. This does not change the fact that follow up services do not extend the date of exit.
Attachment 7: NFJP -5-
represents a period of participation and will include any reportable individual services or
activities occurring within 90 days prior to the date or program entry.
The same logic applies to periods of reportable individual activity occurring after a period of
participation. Any reportable individual activities occurring within 90 days after the date of
program exit will be reported as part of the period of participation. Reportable individual
activities occurring more than 90 days after the date of program exit will not be included in
the record for the period of participation. A second record representing a period of reportable
individual activity beginning more than 90 days after the date of program exit must be
reported.
D. Common Exit: As stated in Section 7 of this guidance, while the Department encourages
states that implement common exit policies to include DOL-administered non-core programs
as within the scope of the state’s common exit policy, the Department also recognizes that the
decision of whether to retain or develop a common exit policy is ultimately left to the States,
as well as which (if any) DOL-administered non-core programs to include within the scope of
the policy. This is subject to the requirements for common exit stated in Section 7 of this
guidance. Grantees should be aware that co-enrollment without common exit may result in
multiple exit dates, based on the individual programs’ service end dates. If the state has a
common exit policy that includes NFJP, then an NFJP participant will not exit until the last
date of service in any of the programs included in the common exit policy.
3. Self-Service and Information-Only Activities
This section does not apply to NFJP.
4. Period of Participation and Reporting Unique Participants
The NFJP program adopts the definition of period of participation as stated in Section 9 of this
guidance.
Reporting Unique Participants
The NFJP grant program does not require a count of unique participants as described in Section 9
of this guidance. Instead, the NFJP program only required that grantees report on each period of
participation. However, should the need arise to calculate a unique count of participants the PIRL
records submitted in WIPS can be aggregated into counts of unique participants, using unique
individual identifiers assigned by grantees to each participant and reported on the PIRL.
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
See Training and Employment Notice (TEN) 8-16
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5317). All NFJP Career Services and
Training grants awarded with a start date of July 1, 2016 or later will use the new data elements in
the Participant Individual Record Layout (PIRL) that are specified in the approved reporting
requirements. In accordance with the statute, NFJP began implementing the new WIOA
measures as of July 1, 2016 for grantees providing career services and training. In the future,
Housing grantees (see Section III) will also utilize the PIRL submitted in WIPS.
Attachment 7: NFJP -6-
Each grantee is required to upload a comma separated values (.csv) file with its required data
elements as defined in the DOL-only PIRL into WIPS within 45 days of the end of the quarter.
Although not all PIRL data elements are part of outcome calculations, and thus not listed in
Appendix IV, NFJP grantees must ensure they capture all elements listed under the NFJP PIRL
schema (https://doleta.gov/performance/wips/).
6. State Annual Report Narratives
This section does not apply to NFJP.
7. Eligible Training Provider (ETP) Performance Reporting
This section does not apply to NFJP.
8. Pay-for-Performance Reporting
This section does not apply to NFJP.
9. Quarterly Narrative Reports for Discretionary Programs
All NFJP grantees are required to use the “Joint Quarterly Narrative Report Template” (ETA-
9179) for quarterly performance narrative reporting. This form was approved for use by the
Office of Management and Budget (OMB) under OMB control no. 1205-0448. Additional
instructions for completing this form and submitting it to the Department are included in separate
guidance.
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with Section 15 of this guidance, NFJP grantees are directed to request
participants’ Social Security numbers (SSNs). Though NFJP grantees are required to request
participants’ SSNs, participants cannot be denied services if they choose to not disclose their
SSN.
For NFJP Career Services and Training grantees, the Department, as described in Section 15 of
this guidance, will facilitate the acquisition of aggregate quarterly employment and earnings
results for NFJP participants, and provide those aggregate results to the relevant grantee. The
Department will match quarterly UI wage records on behalf of grantees in order to capture exit-
based outcomes (each of which has an employment related component) for participants who have
exited the program for following indicators only:
A. Employment Rate – 2nd Quarter After Exit;
B. Employment Rate – 4th Quarter After Exit;
C. Median Earnings – 2nd Quarter After Exit;
D. Credential Attainment; and
Attachment 7: NFJP -7-
E. Effectiveness in Serving Employers – 2nd and 4th Quarter After Exit Retention with the
Same Employer.
The Department will calculate these specific employment-based outcomes on behalf of grantees.
11. Supplemental Wage Information
As described in Section 16 and Appendix VI of this guidance, NFJP grantees may collect and
document supplemental wage information to calculate the exit-based primary indicators of
performance. Supplemental wage information is the only means for grantees to report exit-based
outcomes for those participants who do not provide SSNs, and frequently the only means to
report such outcomes for participants for whom wage record data is predicted to be unavailable.
Additional details regarding circumstances for collecting supplemental wage information, are
provided in Appendix VI of this guidance.
III. Unique Features of NFJP
Primary Indicators of Performance – Housing Grantees.
For NFJP, Housing grantees that provide permanent housing services will report on four (4)
indicators of performance, while Housing grantees that provide temporary housing services will
report on two (2) indicators of performance, as specified in 20 CFR 685.400. Housing assistance
is defined in 20 CFR 685.110, while types of housing services, including qualifying permanent
and temporary housing services and assistance, are described in 20 CFR 685.360(c). Permanent
housing developed with NFJP funds must be promoted and made widely available to eligible
MSFWs, but occupancy is not restricted to eligible MSFWs. Temporary housing services must
only be provided to eligible MSFWs as defined in 20 CFR 685.360.
For the purpose of reporting housing assistance indicators, “family” is defined in 20 CFR 685.110
as the eligible MSFW(s) and all the individuals identified under the definition of “dependent”
who are living together in one physical residence.
The following are the indicators of performance for NFJP Housing grantees.
Permanent Housing:
1. Total number of eligible Migrant and Seasonal Farmworkers (MSFWs) served:
The total number of eligible MSFWs that benefit from the permanent housing activities
provided within the program year.
2. Total number of eligible MSFW families served:
The total number of eligible MSFW families that benefit from the permanent housing
activities provided within the program year.
Attachment 7: NFJP -8-
3. Total number of individuals served:
The total number of individuals that benefit from the permanent housing activities provided
within the program year.
4. Total number of families served:
The total number of families that benefit from the permanent housing activities provided
within the program year.
Temporary Housing:
5. Total number of eligible MSFWs served:
The total number of eligible MSFWs that benefit from the temporary housing activities
provided within the program year.
6. Total number of eligible MSFW families served:
The total number of eligible MSFW families that benefit from the temporary housing
activities provided within the program year.
Attachment 7: NFJP -9-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-8_Acc.pdf)
Attachment 8: Reentry Employment Opportunities
I. Introduction
This attachment describes the program specific details of the performance accountability
guidance for Reentry Employment Opportunities (REO) grantees. Please note that the
Department of Labor (Department, or DOL) has made a concerted effort to align the
performance accountability guidance of its various workforce programs. The Department is
requiring REO grants with a start date of July 1, 2017 and later to align with Workforce
Innovation and Opportunity Act (WIOA) and to track and report on the six WIOA primary
indicators of performance, as set forth in WIOA section 116(b)(2) and as further specified below.
This attachment therefore describes the convergence of the REO program’s performance
accountability measures with the WIOA measures, and also highlights areas where REO differs
from the shared DOL performance guidance described in the main body and appendices of this
Training and Employment Guidance Letter (TEGL). Note that references in this attachment to
section numbers of this guidance refer readers to the main body of the TEGL.
This attachment provides performance reporting guidance unique to REO grants with periods of
performance start dates of July 1, 2017 and later.
II. Differences from Shared Guidance
1. Primary Indicators of Performance.
REO grant performance outcome measures will be established using the data collected
through the WIOA DOL-only Participant Individual Record Layout (DOL-only PIRL)
for the six WIOA primary indicators of performance. All REO grantees are required, as
outlined in their grant’s Funding Opportunity Announcement and grant award, to report
participant level data for all individuals served using grant funds, in alignment with the
WIOA indicators. Appendix I to this guidance defines these indicators, as well as their
methodology and operational parameters.
A. Employment Rate – 2nd Quarter After Exit:
REO-Adult programs (programs falling into the REO-Adult category are identified as
such in each governing FOA) will follow the WIOA title I Adult indicator: The
percentage of participants who are in unsubsidized employment during the second quarter
after exit from the program.
A-1. Youth Education and Employment Rate – 2nd Quarter After Exit:
REO-Youth programs (programs falling into the REO-Youth category are identified as
such in each governing FOA) will follow the WIOA title I Youth indicator: The
percentage of participants in education or training activities or in unsubsidized
employment during the second quarter after exit.
Attachment 8: REO Grants -1-
REO-Adult and REO-Youth programs apply these indicators as they are described in
Appendix I to this TEGL, with the operating parameters and methodology described
therein.
B. Employment Rate – 4th Quarter After Exit:
REO-Adult programs will follow the WIOA title I Adult indicator: The percentage of
participants who are in unsubsidized employment during the fourth quarter after exit from
the program.
B-1. Youth Education and Employment Rate – 4th Quarter After Exit:
REO-Youth programs will follow the WIOA Title I Youth indicator: The percentage of
participants in education or training activities or in unsubsidized employment during the
fourth quarter after exit.
REO-Adult and REO-Youth programs apply these indicators as they are described in
Appendix I to this TEGL, with the operating parameters and methodology described
therein.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who are in
unsubsidized employment during the second quarter after exit from the program.
Both REO-Adult and REO-Youth programs apply this indicator as it is described in
Appendix I to this TEGL, with the operating parameters and methodology described
therein.
D. Credential Attainment: The percentage of those participants enrolled in an education or
training program (excluding those in on-the-job training (OJT) and customized training)
who attain a recognized postsecondary credential or a secondary school diploma, or its
recognized equivalent, during participation in or within one year after exit from the
program. A participant who has attained a secondary school diploma or its recognized
equivalent is included in the percentage of participants who have attained a secondary
school diploma or its recognized equivalent only if the participant also is employed or is
enrolled in an education or training program leading to a recognized postsecondary
credential within one year after exit from the program.
Both REO-Adult and REO-Youth programs apply this indicator as it is described in
Appendix I to this TEGL, aligning with the WIOA Adult and Youth programs
respectively, with the operating parameters and methodology described therein.1
1
ETA may consider additional related indicators in evaluating grantee performance, which will be
defined in the FOA, but these are this definition of credential attainment will be the one used in the QPR
that grantees will certify in their WIPS submissions.
Attachment 8: REO Grants -2-
E. Measurable Skill Gains: The percentage of program participants who, during a program
year, are in an education or training program that leads to a recognized postsecondary
credential or employment and who are achieving measurable skill gains, defined as
documented academic, technical, occupational, or other forms of progress, towards such
a credential or employment.
Both REO-Adult and REO-Youth programs apply this indicator as it is described in
Appendix I to this TEGL, aligning to the WIOA Adult and Youth programs respectively,
with the operating parameters and methodology described therein.
F. Effectiveness in Serving Employers: The percentage of program participants who exit
and are employed with the same employer in the second and fourth quarters after exit.
Both REO-Adult and REO-Youth programs apply this indicator as it is described in
Appendix I to this guidance, with the operating parameters and methodology described
therein.
2. Categories of Enrollment: Participant and Date of Program Exit
A. Reportable Individual: This does not apply to REO programs.
B. Participant: Satisfaction of all applicable program requirements for the provision of
services, including eligibility determination and entering into a core service, is what makes
an individual a participant in REO programs. REO defines what qualifies as a core services
through technical assistance to grantees.
C. Exit: The date of exit from the program is the last date of a core service. A core service is
any service other than a supportive service. Supportive services do not prevent exit.
Specifically:
The date of exit cannot be determined until 90 days have elapsed since the participant last
received any core services; furthermore, there must be no future planned service
scheduled to provide the participant with future core services. At that point, the date of
exit is applied retroactively to the last date of a core service.
For determining whether 90 days have elapsed since the participant last received core
services, receipt by the participant of any supportive services or follow-up services, do
not delay, postpone, or affect the date of exit. Because the date of exit is retroactive to
the last date of a core service, follow-up services may begin immediately following the
last date of a core service if it is expected that the participant will not receive any future
core services. Provision of follow-up services does not extend the date of exit.
PIRL data element 901 (Date of Program Exit) is used to collect and report the date of
exit. For exit-based performance measures, the quarter for collecting follow-up data is
determined by the quarter in which the date of exit occurs. For example, if the date of
Attachment 8: REO Grants -3-
exit is between January 1st and March 31st, the first quarter after exit would be April 1st
through June 30th.
In addition to the above requirements, the following applies to both REO-Adult and REO-
Youth Programs – Exited participants may return to active status to receive additional core
services. When exited participants are reactivated, the follow-up period will be reset to the
new date of exit. Any follow-up data, including post-exit outcomes, is deleted and must be
re-collected appropriate to the new date of exit, when it occurs. Additionally, when exited
participants are reactivated, they do not start a new period of participation; instead, their
periods of participation are extended.
D. Common Exit: As stated in Section 7 of this TEGL, while the Department encourages states
that implement common exit policies to also include DOL-administered non-core programs
within the scope of the state’s common exit policy, the Department also recognizes that the
decision of whether to retain or develop a common exit policy is ultimately left to the States,
as well as which (if any) DOL-administered non-core programs to include within the scope
of the policy. This is subject to the requirements for common exit stated in Section 7 of this
TEGL. Grantees should be aware that co-enrollment without common exit may result in
multiple exit dates, based on the unique exit dates within each program for co-enrolled
participants. If a state has a common exit policy that includes REO, then a REO participant
will not exit until the last date of service of any program included in the common exit policy.
3. Self-Service and Information-Only Activities
This does not apply to REO programs.
4. Period of Participation
REO-Adult programs and REO-Youth programs adopt the definition “period of
participation” as stated in Section 9 of this TEGL except for in the circumstance described
above in which an exited participant returns to the same program and has his/her exit
removed (see section 2.C. of this attachment).
Reporting Unique Participants
REO reports participant counts by enrollment. Therefore, while the count by grantee will be
mostly unique, there may be cases where a participant enrolls twice during the period of
performance. Please note, REO-Youth participants in exit status who return to active status
by extending their periods of participation (as described above in section 2.C. of this
attachment) do not qualify as new enrollments.
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
REO grants with a start date of July 1, 2017, and later will report through WIPS. To do so,
grantees will record participant data in a DOL-provided web-based case management system
currently under development. In the interim, until this case management system is available,
Attachment 8: REO Grants -4-
grantees are still required to collect all of the applicable PIRL data elements on the REO
PIRL schema. Grantees will collect the applicable data in a PIRL-based Access database
tool that would allow for the capturing of applicable primary indicators of performance and
allow grantees to become familiar with the collection of the WIOA required elements and
indicators. Grantees that have already begun reporting through either the Prisoner Reentry
Initiative or Youth Offender case management systems will continue reporting through the
appropriate system until the completion of that grant. REO grants with a start date of July 1,
2017, will report through the PIRL-Based Access database tool until the case management
system, currently under development, is available.
6. State Annual Narrative Reports
This does not apply to REO programs.
7. Eligible Training Provider (ETP) Performance Reporting
This does not apply to REO programs.
8. Pay-for-Performance Reporting
This does not apply to REO programs.
9. Quarterly Narrative Reports for Discretionary Programs
REO grantees are required to use the Joint Quarterly Narrative Report Template (ETA-9179)
for quarterly performance narrative reporting. This form was approved for use by the Office
of Management and Budget (OMB) under OMB control no. 1205-0448. Additional
instructions for completing this form and submitting it to the Department will be included in
separate guidance.
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with Section 15 of this TEGL, REO grantees are directed to request
participants’ Social Security numbers (SSNs). While REO grantees are required to request
participant SSNs, participants cannot be denied services if they choose to not disclose an
SSN.
As described in Section 15 of this TEGL, the Department will facilitate the acquisition of
aggregate quarterly employment and earnings results for REO program participants, and
provide those aggregate results to the relevant grantee. In particular, the Department will
match UI quarterly wage records on behalf of grantees in order to capture exit-based
outcomes (each of which has an employment-related component) for participants who have
exited the program for following indicators only:
A. Employment Rate – 2nd Quarter After Exit;
B. Employment Rate – 4th Quarter After Exit;
Attachment 8: REO Grants -5-
C. Median Earnings – 2nd Quarter After Exit;
D. Credential Attainment (Secondary School Diploma or Recognized Equivalent); and
E. Effectiveness in Serving Employers – 2nd and 4th Quarter After Exit Retention with
the Same Employer.
The Department will calculate these specific exit-based outcomes on behalf of grantees,
using SSNs provided for each REO participant as part of the information included in each
grantee’s WIPS quarterly participant-level data file submission.
However, wage records do not reflect the employment outcomes for all participants who
have exited a REO program and successfully obtained employment. Wage record data is
limited to information reported quarterly by those employers that are required to report
employees’ earnings to the state employment security agency that manages the state’s
unemployment compensation program. Employment outcomes for an individual who is self-
employed or who works as an independent contractor are not found in the wage records. For
such individuals, or for those that do not provide an SSN, supplemental wage information, as
described below, is the only means for reporting on exit-based participant outcomes.
Furthermore, as a result of a two-quarter lag in the availability of wage record data, grantees
receive aggregate results on their participants’ outcomes, grantees are not able to analyze the
aggregate report to determine which participants are individuals for whom wage record data
was available and which are not. Instead, it is prudent for grantees to collect supplemental
wage information for exited participants, especially those for whom wage records are
unlikely to be available, as the Department will be able to integrate supplemental wage
information regarding a participant on the PIRL-based Access data elements with the wage
record information to obtain aggregate employment and earnings outcomes in WIPS on
quarterly performance reports.
11. Supplemental Wage Information
As described in Section 16 and Appendix VI of this TEGL, REO grantees may collect and
use supplemental wage information to calculate the exit-based primary indicators of
performance. Supplemental wage information is the only means for grantees to report exit-
based outcomes for those participants who do not provide SSNs, and frequently the only
means to report such outcomes for participants for whom wage record data is not predicted to
be available. Additional details regarding circumstances for collecting supplemental wage
information, and methods and procedures for doing so, is provided in Appendix VI of this
TEGL.
The collection and use of supplemental wage information is subject to the following
limitation: a REO grantee’s ability to report on these indicators via supplemental wage
information is limited by the follow-up period in the FOA for its grants. The FOAs for many
REO grants limit the follow-up period to nine (9) months (or fewer) after exit for each
participant. Grantees with such limitations on the follow-up period will not be able to report
employment outcomes for the fourth quarter after exit via supplemental wage information, as
the time period for reporting would fall outside of the follow-up period defined in the grant
Attachment 8: REO Grants -6-
period of performance. Grant resources may not be expended for collecting supplemental
wage information or other performance information after the follow-up period has concluded.
ETA will be able to determine whether it would have been possible for an REO grantee to
have collected supplemental wage information on a given participant based on the date of
program exit. Grantees should also refer to their FOAs to determine if they have nine-month
limitations for the follow-up period, which will determine whether they are able to report this
measure through supplemental wage information.
Likewise, the credential attainment indicator reflects credentials earned during participation
or up to one year following exit from the program. A grantee with a follow-up period limited
to nine (9) months (or fewer) would not be able to report on any credentials earned following
the conclusion of the grantee’s follow-up period (e.g., if a participant exits a program in
January, and the follow-up period defined in the period of performance for the particular
grant concludes in September of that year, the grantee would be unable to record any
credentials earned by that participant in October, November, or December).
III. Unique Features of REO
Below is a table that provides additional useful information for REO grantees about how
different REO services are to be reported though the DOL-only PIRL. It includes information
about the PIRL data element numbers, associated codes, and clarification on whether the receipt
of such services delays the date of exit or not.
Does
this
Applicable PIRL Data Element
Service Type PIRL Data Element Code Value(s) service
Number (s)
prevent
exit?
1 = Yes, Participated in
1332: Participated in Postsecondary
Postsecondary Education
Education During Program Yes
0 = No, Did Not Participate in
Participation
Postsecondary Education
1402: Most Recent Date Received
Educational Achievement Services
1403: Most Recent Date Received
Education Alternative Secondary School Services
Services 1405: Most Recent Date Received
Work Experience Opportunities
YYYYMMDD Yes
1407: Most Recent Date Received
Education Offered Concurrently with
Workforce Preparation
1415: Most Recent Date Youth
Received Postsecondary transition and
preparatory activities
Training 1 = Yes
1300: Received Training Yes
Services 0 = No
Attachment 8: REO Grants -7-
Does
this
Applicable PIRL Data Element
Service Type PIRL Data Element Code Value(s) service
Number (s)
prevent
exit?
1306: Occupational Skills Training
Code #1
1311: Occupational Skills Training
00000000 Yes
Code #2
1316: Occupational Skills Training
Code #3
1307: Training Completed #1
1 = Yes
1312: Training Completed #2 Yes
0 = No
1317: Training Completed #3
1302: Date Entered Training #1
1309: Date Entered Training #2 YYYYMMDD Yes
1314: Date Entered Training #3
1308: Date Completed, or Withdrew
from, Training #1
1313: Date Completed, or Withdrew
YYYYMMDD Yes
from, Training #2
1318: Date Completed, or Withdrew
from, Training #3
01 = On the Job Training
02 = Skill Upgrading
03 = Entrepreneurial Training (non-
1303: Type of Training Service #1
WIOA Youth)
04 = ABE or ESL (contextualized or
other) in conjunction with Training
(non-TAA funded)
05 = Customized Training
06 = Other Occupational Skills
1310: Type of Training Service #2 Training Yes
07 = Remedial Training (ABE/ESL –
TAA only)
08 = Prerequisite Training
09 = Registered Apprenticeship
10 = Youth Occupational Skills
Training
1315: Type of Training Service #3 11 = Other Non-Occupational-Skills
Training
00 = No Training Service
1004: Date of Most Recent Career
Workforce Service (WIOA)
Preparation 1102: Most Recent Date Received YYYYMMDD Yes
Activities Staff-Assisted Career Guidance
Services
Attachment 8: REO Grants -8-
Does
this
Applicable PIRL Data Element
Service Type PIRL Data Element Code Value(s) service
Number (s)
prevent
exit?
1103: Most Recent Date Received
Workforce Information Services
1104: Most Recent Date Received
Staff Assisted Job Search Activities
1105: Most Recent Date Referred to
Employment
1116: Most Recent Date Received
Staff-Assisted Basic Career Services
(Other)
1200: Date of First Individualized
Career Service
1201: Most Recent Date Received
Individualized Career Service
1210: Received Pre-Vocational
Activities
1408: Most Recent Date Received
Leadership Development
Opportunities
Community 1408: Most Recent Date Received
Involvement Leadership Development YYYYMMDD Yes
Activities Opportunities
Mentoring 1410: Most Recent Date received
Adult Mentoring Services YYYYMMDD Yes
Activities
Health 1411: Most Recent Date Received
Comprehensive Guidance/Counseling YYYYMMDD Yes
Services
Services
1409: Most Recent Date Received
Supportive YYYYMMDD
Supportive Services
No
Services 1500: Received Needs-Related 1 = Yes
Payments 0 = No
Attachment 8: REO Grants -9-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-9_Acc.pdf)
Attachment 9: Senior Community Service Employment Program
Beginning in Program Year (PY) 2018, Senior Community Service Employment Program
(SCSEP) grantees must follow the performance requirements from the Interim Final Rule (IFR)
published on December 1, 2017 revises the measures at 20 CFR 641.700
(https://www.gpo.gov/fdsys/pkg/FR-2017-12-01/pdf/2017-25834.pdf), implementing the new
performance requirements specified by the Older Americans Act Reauthorization Act of 2016
(“OAA”). On July 30, 2018, the Department issued a Final Rule adopting the IFR as final
without change. The Department added SCSEP performance data elements to the DOL-only
Participant Individual Record Layout (PIRL) and grantees began reporting on the new
performance measures in the first quarter of PY 2018, which began July 1, 2018.
The Department plans to update this SCSEP attachment to provide additional guidance on the
new SCSEP regulations in subsequent updates.
For reference, the new performance measures, as specified in the SCSEP Final Rule and section
513 of the OAA (42 U.S.C. 3056k, as amended by P.L. 114-144) are as follows:
(a) hours (in the aggregate) of community service employment;
(b) the percentage of project participants who are in unsubsidized employment during the
second quarter after exit from the project;
(c) the percentage of project participants who are in unsubsidized employment during the
fourth quarter after exit from the project;
(d) the median earnings of project participants who are in unsubsidized employment during
the second quarter after exit from the project;
(e) indicators of effectiveness in serving employers, host agencies, and project participants;
and
(f) the number of eligible individuals served, including the number of participating
individuals described in subsection (a)(3)(B)(ii) or (b)(2) of section 518.
Attachment 9: SCSEP -1-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-10_Acc.pdf)
Attachment 10: Trade Adjustment Assistance
I. Introduction
This attachment describes the program specific details of performance accountability guidance
for Trade Adjustment Assistance (TAA). Please note that the Department of Labor (Department,
or DOL) has made a concerted effort to align the performance accountability provisions of its
various workforce programs. In particular, the TAA program is statutorily required to report on
the indicators of performance identified in 19 U.S.C. § 2311(j)(2)(A)(i). These are unsubsidized
employment during the second and fourth quarters after exit, the median earnings in the second
quarter after exit, the attainment of certain credentials, and the achievement of measurable skill
gains.
These statutory indicators for TAA are defined in nearly identical terms to the primary indicators
of performance under Workforce Innovation and Opportunity Act (WIOA) section 116(b)(2)(A).
This attachment therefore describes the convergence of the TAA program’s performance
accountability measures with the WIOA measures, and highlights areas where TAA differs from
the shared DOL performance guidance described in the main body and appendices of this
Training and Employment Guidance Letter (TEGL).
II. Differences from Shared Guidance
Under section 239(j) of the Trade Adjustment Assistance Reauthorization Act of 2015 (TAARA
2015), there are five primary indicators of performance for TAA participants. Together, these
indicators align with five of the WIOA primary indicators of performance (TAA does not have
an indicator that is analogous to the WIOA effectiveness in serving employers indicator). TAA
grantees will report on the five performance indicators as outlined below, with the following
program-specific criteria:
1. Primary Indicators of Performance.
A. Employment Rate – 2nd Quarter After Exit: The percentage and number of
participants who are in unsubsidized employment during the second quarter after exit
from the program.
The TAA program applies this indicator as it is described in Appendix I to this
TEGL, with the operating parameters and methodology described therein.
B. Employment Rate – 4th Quarter After Exit: The percentage and number of
participants who are in unsubsidized employment during the fourth quarter after exit
from the program.
The TAA program applies this indicator as it is described in Appendix I to this
TEGL, with the operating parameters and methodology described therein.
Attachment 10: TAA -1-
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who
are in unsubsidized employment during the second quarter after exit from the
program.
The TAA program applies this indicator as it is described in Appendix I to this
TEGL, with the operating parameters and methodology described therein.
D. Credential Attainment: The percentage of those participants enrolled in an education
or training program (excluding those in on-the-job training (OJT) and customized
training) who attain a recognized postsecondary credential or a secondary school
diploma, or its recognized equivalent, during participation in or within one year after
exit from the program. A participant who has attained a secondary school diploma
or its recognized equivalent is included in the percentage of participants who have
attained a secondary school diploma or its recognized equivalent only if the
participant also is employed or is enrolled in an education or training program
leading to a recognized postsecondary credential within one year after exit from the
program.
The TAA program applies this indicator as it is described in Appendix I to this
TEGL, with the operating parameters and methodology described therein.
E. Measurable Skill Gains: The percentage of program participants who, during the
period, are in an education or training program that leads to a recognized
postsecondary credential or employment and who are achieving measurable skill
gains, defined as documented academic, technical, occupational, or other forms of
progress, towards such a credential or employment.
The TAA program applies this indicator as it is described in Appendix I to this
TEGL, with the operating parameters and methodology described therein.
F. Effectiveness in Serving Employers: The TAA program does not report on this
indicator.
2. Categories of Enrollment: Reportable Individual, Participant & Date of Program Exit
A. Reportable Individual: This category does not apply to the TAA program.
B. Participant: Consistent with Section 7 of this TEGL, the TAA program defines a
participant as an individual who has received benefits or services funded by the TAA
program, after satisfying all applicable programmatic requirements for the provision
of services, such as an eligibility determination. Grantees are required to document
the TAA benefit or service that a participant received with a value in Date of First
TAA Benefit or Service (Data Element (DE) 925). Grantees should note that Trade
Readjustment Allowances (TRA), Alternative Trade Adjustment Assistance (ATAA),
and Reemployment Trade Adjustment Assistance (RTAA) are TAA-funded services
that trigger participation.
Attachment 10: TAA -2-
For assistance in determining whether an individual is a participant, see the chart in
Appendix III, Table D, which lists types of services a TAA participant may receive;
identifies those services as basic career services, individualized career services, or
training; and states whether each type of service triggers inclusion in participation for
the TAA program.
C. Exit: Consistent with Section 7 of this guidance, the date of exit from the program is
the last date of service. Specifically:
The date of exit cannot be determined until 90 days have elapsed since the
participant last received services; furthermore, there must be no future service
scheduled. The date of exit is applied retroactively to the last date of service.
If a participant receives self-service, information-only services or activities, or
follow-up services from a non-TAA funded program, this does not delay the date
of exit from the TAA program. While the TAA program does not provide follow-
up services, a TAA participant may receive follow-up services if the participant is
co-enrolled in another program that provides follow-up services. Therefore, for
determining whether 90 days have elapsed since the participant last received
services, receipt by the participant of any self-service, information-only services
or activities, or follow-up services, will not delay, postpone, or affect the date of
exit from the TAA program. Because the date of exit is retroactive to the last date
of service, follow-up services may begin immediately following the last date of
service if it is expected that the participant will not receive any future services
other than follow-up services. Provision of follow-up services does not extend
the date of exit.
PIRL data element 901 (Date of Program Exit) is used to collect and report the
date of exit. For exit-based performance measures, the quarter for collecting
follow-up data is determined by the quarter in which the date of exit occurs. For
example, if the date of exit is between January 1st and March 31st, the first
quarter after exit would be April 1st through June 30th.
For TAA, the provision of TAA-funded benefits and services (in addition to TAA-
approved training which may not be TAA funded) extends participant exit, whether
or not the participant is employed. This includes TRA, as well A/RTAA (the latter of
which is only available to those re-employed).
D. Common Exit: As stated in Section 7 of this TEGL, while the Department
encourages states that implement common exit policies to include DOL-administered
non-core programs as additionally within the scope of the state’s common exit policy,
the Department also recognizes that the decision of whether to retain or develop a
common exit policy is ultimately left to the States, as well as which (if any) DOL-
administered non-core programs to include within the scope of the policy. This is
subject to the requirements for common exit stated in Section 7 of this TEGL. The
Attachment 10: TAA -3-
Department encourages states to implement policies that require common exit of
TAA participant enrolled in WIOA core programs and the National Dislocated
Worker Grant programs, in which case, a TAA participant would not exit until the
last date of service from any of the programs that are included in the common exit
policy.
3. Self-Service and Information-Only Activities
This does not apply to the TAA program.
4. Period of Participation
The TAA program adopts the definition of period of participation as stated in Section 9 of
this TEGL.
5. Workforce Integrated Performance System (WIPS) and How to Functionally Report
TAA participants will be reported through WIPS starting with Q1 of FY 2018, which covers
the period from October 1, 2017 - December 31, 2017. See TEN 8-16
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5317).
6. State Annual Report Narratives
This does not apply to TAA programs.
7. Eligible Training Provider (ETP) Performance Reporting
This does not apply to TAA programs.
8. Pay-for-Performance Reporting
This does not apply to TAA programs.
9. Quarterly Narrative Reports
TAA requires a narrative report on a quarterly basis to be submitted to provide information
on “Efforts to Improve Outcomes” as stipulated in Section 239(j) of TAARA 2015. This
submission requirement, which is approved for collection under OMB No. 1205-0392, is
designed to address program improvements performed on behalf of all TAA participants, and
not on an individual basis. Efforts described may include those related to improving or
increasing outreach, program information provided to workers, case management services,
selection of training programs, co-enrollment, follow-up services, or any other efforts the
state has made during the reporting quarter to improve outcomes. The narrative should
describe the effort and why it is expected to result in improved outcomes.
ETA has incorporated this narrative requirement as part of the certification process for TAA
reporting in WIPS, where TAA grantees are expected to include their narrative language in
the “Additional Comments” field of their Quarterly Performance Report (QPR).
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with Section 15 of this guidance, States, as TAA Program grantees, are
directed to request participants’ Social Security numbers (SSNs), and to report corresponding
wages for the quarter required to the Department through the DOL-only PIRL. While states,
Attachment 10: TAA -4-
as TAA Program grantees, are required to request participant SSNs, participants cannot be
denied training and employment and case management services, training, or job search and
relocation allowances via the TAA Program due solely to choosing to not disclose an SSN.
Note: Nothing in this guidance modifies or rescinds any requirements for individuals
receiving benefits under the Trade Act of 1974, as amended, to provide their SSNs as a
condition of receiving unemployment compensation; income support such as the Trade
Readjustment Allowance, the Reemployment Trade Adjustment Assistance, or Alternative
Trade Adjustment Assistance wage supplements; or tax credits such as the Health Coverage
Tax Credit.
11. Supplemental Wage Information
As described in Section 16 and Appendix VI of this TEGL, TAA grantees may collect and
use supplemental wage information to calculate the exit-based primary indicators of
performance (each of which has an employment-related component). Supplemental wage
information is the only means for grantees to report exit-based outcomes for those
participants who do not provide SSNs, and frequently the only means to report such
outcomes for participants for whom wage record data is not predicted to be available.
Additional details regarding circumstances for collecting supplemental wage information,
and methods and procedures for doing so, are provided in Appendix VI of this TEGL.
III. Unique Features of TAA
Clarification of Definitions:
The term “incumbent worker” as used in TEGL 10-16, Change 1
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255), is distinct from “adversely
affected incumbent workers” under the TAA program as defined in section 247(18) of the
TAARA 2015.
The definition of “adversely affected incumbent workers,” for purposes of the TAA program
is provided in 19 U.S.C. 2319(18) as follows:
The term “adversely affected incumbent worker” means a worker who-
(A) is a member of a group of workers who have been certified as eligible to apply for
adjustment assistance under subchapter A of title II of the Trade Act of 1974, as
amended by TAARA 2015;
(B) has not been totally or partially separated from adversely affected employment; and
(C) the Secretary determines, on an individual basis, is threatened with total or partial
separation.
Attachment 10: TAA -5-
Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2019/TEGL_14-18_Attachment-11_Acc.pdf)
Attachment 11: YouthBuild
I. Introduction
This appendix describes the program specific details of the performance accountability guidance
for YouthBuild, as described in 20 CFR 688.400. Please note that the Department of Labor
(Department or DOL) has made a concerted effort to align the performance accountability
guidance of its various workforce programs. In particular, Workforce Innovation and
Opportunity Act (WIOA) section 171(f) of the requires the Secretary to annually establish
expected levels of performance for YouthBuild programs relating to each of the primary
indicators of performance for eligible youth activities described in WIOA section
116(b)(2)(A)(ii). This attachment describes the convergence of YouthBuild’s performance
accountability measures with the WIOA measures, and highlights areas where YouthBuild
differs from the shared DOL performance guidance described in the main body and appendices
of this Training and Employment Guidance Letter (TEGL). Note that references in this
attachment to section numbers of this guidance refer readers to the main body of the TEGL.
II. Differences from Shared Guidance
1. Primary Indicators of Performance.
Under WIOA section 116(b)(2)(A), there are six primary indicators of performance, as
described in Appendix I and in TEGL 10-16, Change 1
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255). Where the adult indicators
and youth indicators differ, YouthBuild will follow the WIOA title I Youth indicator.
YouthBuild grantees will report all six performance measures as outlined with the following
program-specific clarifications:
A. Youth Education and Employment Rate – 2nd Quarter After Exit: The percentage of
participants in education or training activities or in unsubsidized employment during the
second quarter after exit.
YouthBuild applies this indicator as it is described in Appendix I to this TEGL, with the
operating parameters and methodology described therein.
B. Youth Education and Employment Rate – 4th Quarter After Exit: The percentage of
participants in education or training activities, or in unsubsidized employment during the
fourth quarter after exit.
YouthBuild applies this indicator as it is described in Appendix I to this TEGL, with the
operating parameters and methodology described therein.
C. Median Earnings – 2nd Quarter After Exit: The median earnings of participants who are
in unsubsidized employment during the second quarter after exit from the program.
Attachment 11: YouthBuild -1-
YouthBuild applies this indicator as it is described in Appendix I to this TEGL, with the
operating parameters and methodology described therein.
D. Credential Attainment: The percentage of those participants enrolled in an education or
training program (excluding those in on-the-job training (OJT) and customized training)
who attain a recognized postsecondary credential or a secondary school diploma, or its
recognized equivalent, during participation in or within one year after exit from the
program. A participant who has attained a secondary school diploma or its recognized
equivalent is included in the percentage of participants who have attained a secondary
school diploma or its recognized equivalent only if the participant also is employed or is
enrolled in an education or training program leading to a recognized postsecondary
credential within one year after exit from the program.
As YouthBuild is a program in which all participants must receive both education and
training, this means that all enrolled participants will automatically be counted in the
denominator for this indicator. Otherwise, YouthBuild applies this indicator as it is
described in Appendix I to this TEGL, with the operating parameters and methodology
described therein.
E. Measurable Skill Gains: The percentage of program participants who, during a program
year, are in an education or training program that leads to a recognized postsecondary
credential or employment and who are achieving measurable skill gains, defined as
documented academic, technical, occupational, or other forms of progress, towards such
a credential or employment.
As YouthBuild is a program in which all participants must receive both education and
training, this means that all enrolled participants will automatically be counted in the
denominator for this indicator. Otherwise, YouthBuild applies this indicator as it is
described in Appendix I to this TEGL, with the operating parameters and methodology
described therein.
F. Effectiveness in Serving Employers: The percentage of program participants who exit
and are employed with the same employer in the second and fourth quarters after exit.
YouthBuild applies this indicator as it is described in Appendix I to this TEGL, with the
operating parameters and methodology described therein.
2. Categories of Enrollment: Reportable Individual, Participant and Date of Program
Exit.
A. Reportable Individual: This does not apply to YouthBuild programs.
B. Participant: An individual who has received at least one core YouthBuild service after
satisfying all applicable programmatic requirements for the provision of services, such as
eligibility determination.
Attachment 11: YouthBuild -2-
C. Exit: The date of exit from the program is the last date of a core service. A core service
is any qualifying, participant-level service besides a supportive service, which will not
prevent exit, or a follow-up service, which occurs after exit. Specifically:
The date of exit cannot be determined until 90 days have elapsed since the
participant last received any core service; furthermore, there must be no planned
future service entered in the case management system to provide the participant with
future core services. At that point, the date of exit is applied retroactively to the last
date of service.
For determining whether 90 days have elapsed since the participant last received
core services, grantees shall not include receipt by the participant of any supportive
services or follow-up services, as these services do not delay, postpone, or affect the
date of exit. Because the date of exit is retroactive to the last date of service, follow-
up services may begin immediately following the last date of service if it is expected
that the participant will not receive any future services other than follow-up services.
Provision of follow-up services does not extend the date of exit.
PIRL data element 901 (Date of Program Exit) is used to collect and report the date
of exit. For exit-based performance measures, the quarter for collecting follow-up
data is determined by the quarter in which the date of exit occurs. For example, if
the date of exit is between January 1st and March 31st, the first quarter after the exit
quarter would be April 1st through June 30th. WIOA allows for up to twelve
months of follow-up services for YouthBuild participants which means that if a
youth is exited in the middle of a quarter, they may only be reportable through the
middle of the fourth reporting quarter (which begins at the start of the next quarter
after the quarter in which exit occurs). Grantees are required to track the time
participants are provided follow-up to ensure adherence to the law.
Exited participants may return to active status to receive additional core services. The
case management system will have the ability to track multiple periods of participation or
active services in order to ensure no participant is served for more than the legislatively
mandated two years.
In alignment with WIOA, YouthBuild will no longer categorize exit as ‘soft exit’ or ‘hard
exit. All YouthBuild participants exit in accordance with the definition of exit stated
above. However, YouthBuild participants who exit for any of the reasons described in
TEGL 10-16, Change 1, Attachment 2, Table B
(https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3255) are excluded from the
performance calculations for the primary indicators of performance. At this point, this
change is anticipated to take effect once a new case management reporting system is
created and YouthBuild programs transition to full reporting on the six WIOA
performance indicators for youth.
D. Common Exit: As stated in Section 7 of this TEGL, while the Department encourages
states that implement common exit policies to include DOL-administered non-core
Attachment 11: YouthBuild -3-
programs as additionally within the scope of the state’s common exit policy, the
Department also recognizes that the decision of whether to retain or develop a common
exit policy, as well as which, if any, DOL-administered non-core programs to include
within the scope of the policy, is ultimately left to the states, subject to the requirements
for common exit stated in Section 7 of this TEGL. Grantees should be aware that co-
enrollment without common exit may result in multiple exit dates, based on the
individual programs’ service end dates.
States are permitted to include YouthBuild programs within a common exit policy. Due
to the longer-term nature of the YouthBuild program, combined with the separate and
discretionary reporting process and statutory requirement that YouthBuild participants
cannot be served for more than two years, common exit may be difficult to implement for
including YouthBuild programs.
3. Self-Service and Information-Only Activities.
This does not apply to YouthBuild programs.
4. Period of Participation and Reporting Unique Participants
The YouthBuild program adopts the definition of period of participation as stated in Section
9 of this guidance.
Reporting Unique Participants
The YouthBuild program does not require a count of unique participants as described in
Section 9 of this TEGL. Instead, the YouthBuild program only requires that grantees report
on each participant’s period of participation. When YouthBuild begins reporting on the
Participant Individual Record Layout (PIRL) in WIPS, it will require a unique participant
count, so the Department will be able to calculate that count on behalf of grantees using
participant SSNs. The YouthBuild program anticipates that the majority of participants will
each have only one period of participation; however, in certain instances, a participant who
has exited the program may return to receive additional services (e.g., additional educational
and job training activities). In such instances, an individual might have multiple periods of
participation, and multiple exit dates, during the grant period of performance.
5. WIPS and How to Functionally Report
YouthBuild will report using the Workforce Integrated Performance System (WIPS) on the
PIRL schema for YouthBuild once the functionality has been built into the case management
system provided to YouthBuild grantees by the Department. A case management reporting
system is being developed to support the WIOA performance reporting requirements for
YouthBuild. Currently, YouthBuild programs are using the existing YouthBuild case
management reporting system to provide WIOA performance outcomes for three of the six
WIOA performance indicators (second quarter placement, fourth quarter placement, and
credential attainment) through a WIOA supplemental report that will be attached with the
standard Quarterly Performance Report (ETA-9136, OMB No: 1205-0464). Once the new
Attachment 11: YouthBuild -4-
case management system is developed, YouthBuild grantees will use that system to generate
and submit the required WIOA ETA 9173 Quarterly Performance Report information. This
system will be accessed separately from WIPS, but reports generated will be submitted into
and available for viewing through the WIPS platform.
6. State Annual Report Narratives
This does not apply to YouthBuild programs.
7. Eligible Training Provider (ETP) Performance Reporting
This does not apply to YouthBuild programs.
8. Pay-for-Performance Reporting
This does not apply to YouthBuild programs.
9. Quarterly Narrative Reports for Discretionary Programs
Youthbuild grantees are required to use the Joint Quarterly Narrative Report Template
(ETA-9179) for quarterly performance narrative reporting. This form was approved for use
by the Office of Management and Budget under OMB control no. 1205-0448. Additional
instructions for completing this form and submitting it to the Department will be included in
separate guidance.
10. Use of Social Security Numbers and Direct Wage Match for Performance Reporting
In accordance with Section 15 of this TEGL, YouthBuild grantees are directed to request
participants’ Social Security numbers (SSNs) for UI wage record matching by the
Department. However, while YouthBuild grantees are required to request participants’
SSNs, participants cannot be denied services if they choose to not disclose an SSN.
The Department will facilitate the acquisition of aggregate quarterly employment and
earnings results for YouthBuild program participants as described in Section 15 of this
TEGL, and provide those aggregate results to the relevant grantee. In particular, the
Department will match wage records on behalf of grantees in order to capture exit-based
outcomes (each of which has an employment-related component) for participants who have
exited the program for the following indicators:
A. Employment Rate – 2nd Quarter After Exit;
B. Employment Rate – 4th Quarter After Exit;
C. Median Earnings – 2nd Quarter After Exit;
D. Credential Attainment (Secondary School Diploma or Recognized Equivalent); and
F. Effectiveness in Serving Employers – Retention with the Same Employer in the 2nd
and 4th Quarter.
Attachment 11: YouthBuild -5-
The Department will calculate these specific exit-based outcomes on behalf of grantees,
using SSNs provided for each YouthBuild participant as part of the information included in
each grantee’s WIOA case management system and reported through the WIPS quarterly
participant-level data file submission.
11. Supplemental Wage Information
As described in Section 16 and Appendix VI of this TEGL, YouthBuild grantees may collect
and use supplemental wage information to calculate the exit-based primary indicators of
performance. Supplemental wage information is the only means for grantees to report exit-
based outcomes for those participants who do not provide SSNs, and frequently the only
means to report such outcomes for participants for whom wage record data is not predicted to
be available. Additional details regarding circumstances for collecting supplemental wage
information, and methods and procedures for doing so, is provided in Appendix VI of this
TEGL.
III. Unique Features of YouthBuild
Below is a table that provides additional useful information for YouthBuild grantees about how
different YouthBuild services are to be reported though the DOL-only PIRL. It includes
information about the PIRL data element numbers, associated codes, and clarification on whether
the receipt of such services delays the date of exit or not.
Does
this
Applicable PIRL Data Element
Service Type PIRL Data Element Code Value(s) service
Number (s)
prevent
exit?
1 = Yes
1300: Received Training Yes
0 = No
1302: Date Entered Training #1
1309: Date Entered Training #2 YYYYMMDD Yes
1314: Date Entered Training #3
01 = On the Job Training
02 = Skill Upgrading
Training 1303: Type of Training Service #1 03 = Entrepreneurial Training (non-
Services WIOA Youth)
04 = ABE or ESL (contextualized or
other) in conjunction with Training Yes
(non-TAA funded)
05 = Customized Training
1310: Type of Training Service #2 06 = Other Occupational Skills
Training
07 = Remedial Training (ABE/ESL –
Attachment 11: YouthBuild -6-
Does
this
Applicable PIRL Data Element
Service Type PIRL Data Element Code Value(s) service
Number (s)
prevent
exit?
TAA only)
08 = Prerequisite Training
09 = Registered Apprenticeship
10 = Youth Occupational Skills
1315: Type of Training Service #3
Training
11 = Other Non-Occupational-Skills
Training
00 = No Training Service
1413: Most Recent Date Youth
Received Entrepreneurial Skills YYYYYMMDD Yes
Training
1306: Occupational Skills Training
Code #1
1311: Occupational Skills Training
00000000 Yes
Code #2
1316: Occupational Skills Training
Code #3
1307: Training Completed #1
1 = Yes
1312: Training Completed #2
0 = No
1317: Training Completed #3 Yes
1319: Established Individual Training
Account (ITA)
1308: Date Completed, or Withdrew
from, Training #1
1313: Date Completed, or Withdrew
YYYYMMDD Yes
from, Training #2
1318: Date Completed, or Withdrew
from, Training #3
1 = Yes, Participated in
1332: Participated in Postsecondary
Postsecondary Education
Education During Program Yes
0 = No, Did Not Participate in
Participation
Postsecondary Education
1402: Most Recent Date Received
Educational Achievement Services
Education 1403: Most Recent Date Received
Services Alternative Secondary School Services
1406: Date Enrolled in Post Exit
YYYYMMDD Yes
Education or Training Program
Leading to a Recognized
Postsecondary Credential
(WIOA)
1407: Most Recent Date Received
Attachment 11: YouthBuild -7-
Does
this
Applicable PIRL Data Element
Service Type PIRL Data Element Code Value(s) service
Number (s)
prevent
exit?
Education Offered Concurrently with
Workforce Preparation
1415: Most Recent Date Youth
Received Postsecondary Transition
and Preparatory Activities
1 = Yes
1320: Pell Grant Recipient
0 = No No
1405: Most Recent Date Received
Work Experience Opportunities
Youth
1414: Most Recent Date Youth
Workforce YYYYMMDD Yes
Received Services that Provide Labor
Services
Market Information and Employment
Information
1408: Most Recent Date Received
Leadership Development
Youth Opportunities
1410: Most Recent Date Received
Development YYYYMMDD No
Adult Mentoring Services
Services
1411: Most Recent Date Received
Comprehensive Guidance/ Counseling
Services
1409: Most Recent Date Received
Supportive Supportive Services YYYYMMDD No
Services
1500: Received 1 = Yes
No
Needs-Related Payments 0 = No
Follow-Up 1412: Most Recent Date Received
Youth Follow-up Services YYYYMMDD No
Services
Attachment 11: YouthBuild -8-
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