Questions
and Answers
ET Handbook No. 406 (ETA 9002 and VETS 200 Report and Specifications)
COLLECTION
OF DEMOGRAPHIC DATA
1.Is the
collection of race and ethnicity and disability status by the public labor
exchange required when
registering job seekers?
Yes.The Department
of Labor=s Equal Opportunity regulations
(29 CFR Part 37.37(b)(2)) require the collection and retention of demographic
information about individuals participating in programs or activities funded by
DOL: race and ethnicity, age, gender and disability status.Specifically, the state must ensure that a
data collection and retention system for its state programs is established and
maintained (29 CFR Part 37.53 and 37.37(b)(2)). Part 37 also requires that each
state develop and implement a Methods of Administration (MOA) document.The MOA, which covers a state=s Workforce Investment Act Title I, Wagner-Peyser, and
Unemployment Insurance programs, shows how the state has complied with and will
continue to comply with the non-discrimination and equal opportunity provisions
of the Workforce Investment Act and its implementing regulations. The sixth
requirement of the state=s MOA asks for a description of
how the state=s data collection and retention
system will be maintained and used for equal opportunity purposes.
2. Are
data on client characteristics, such as eligible claimant, disability status,
etc., viewable to partner staff, or are they considered confidential?
Client characteristic data are confidential.States, however, may determine data sharing
arrangements amongst One-Stop program partners in accordance with their own
laws to facilitate effective service delivery to customers.Such data may be shared on a need-to-know
basis.Services cannot be denied to
participants who decline to indicate race and/or ethnicity.
3.On the 9002A and
C, we are asked to report the number of job seekers with disabilities.Can
a job seeker decline to answer this question and still have a valid
registration?In addition, isthere a conflict between asking for
disability information and any aspect of the Americans with Disabilities Act (ADA)?
States must inquire about disability status from job
seekers.However, it is not
required that a participant respond to questions about disability status.Services cannot be denied to participants
who decline to indicate disability status.
Requesting this information, which is to be collected upon registration,
is not in conflict with Section 504 of the Rehabilitation Act of 1973 or the
Americans with Disabilities Act of 1990, as long as there is no evidence of
denial of services as a result of providing the information or of a customer
declining to identify a disability.
REGISTRATION/REPORTING
4.Please clarify information in TEIN 13-00 (Consultation Paper on Labor Exchange Performance Measurement System) regarding registration of job seekers: Is it mandatory that job seekers provide a Social Security Number (SSN) for the purposes of registration?
The Department can require states to ask a job seeker for
his/her social security number as part of the registration process for public
labor exchange services.States have to
disclose the reason for request of the SSN.
Social security number disclosure must be voluntary and states cannot
deny access to job seeker services if the SSN is not provided.In such instances, an alternate participant
identifier is to be used.States are
not expected to report any individual identifiers (e.g., SSN, alternate) to
DOL, and will report aggregate data only.
States should ensure that job seeker confidentiality is maintained in
accordance with state and federal law.
We are aware that the 9002 entered employment and employment retention performance
measures will be determined through wage records.We feel, however, that the lack of a SSN will inhibit the
employer wage record file cross matching process for only a small percentage of
labor exchange registrants.
5.What data
elements must states complete on the 9002 reports?
All non-shaded items listed on ETA 9002 A-E & VETS 200
A-C are mandatory for
reporting.
6. Can a state
workforce agency (SWA) access the State Directory of New Hires (SDNH) to verify
entered employment and retention outcomes?
Under section 653A of the Social Security Act (42 U.S.C.
13206-7(b)), state workforce agencies operating employment security and
workers’ compensation programs have been granted SDNH access for the purpose of
program administration.The SSA does
not define “employment security programs,” but it has been interpreted by DOL
to mean SWA-administered UI and ES programs.
The means of access to the SDNH by SWAs varies from state to
state and is dependent upon: (1) which state agency houses the directory and
(2) whether the directory of new hires is part of a statewide automated data
processing and information retrieval system needed to administer child and
spousal support programs.For example,
if the SDNH is located with the state child support enforcement (CSE) agency,
all disclosures must be in accordance wih SSA provisions and Department of
Health and Human Services (DHHS) regulations.
If the SDNH is not part of the statewide child and spousal data
processing and retrieval system, inter- or intra-agency access to the directory
may be granted and/or expanded by state law.
7.How should multiple distinct services
rendered to a single individual in the report period
be
reported?In other words, do we count
only one service per client for the four quarter report period?
A partial answer to this is Ayes,” further illustrated by the chart below. The draft ETA
9002 A has one data field for capturing the total number of individuals
receiving staff-assisted services (Row 10) where all individuals are counted
once.Other subset categories break out
the various types of staff-assisted services, (Rows 11-15: career guidance, job
search activities, referred to employment, referred to other WIA services,
referred to support services).The
individual may appear in more than one subset or multiple times.
Although an individual may receive a service multiple times,
he/she appears only once in the total count of job seekers receiving that
service.Thus, it is important to keep
in mind that the data captured for service-related items are based on the
number of individuals receiving a particular service and not on the
number of times a particular service is provided to an individual.
As an illustration, a group of three workers received
various Wagner-Peyser staff-assisted services.
Worker A received Career Guidance (Row 11) assistance.Worker B received Job Search Activities (Row 12)
and was Referred to Employment (Row 13).
Worker C was Referred to Employment (Row 13) three times. The
information reported on the ETA 9002 A for these three workers would appear as
follows:
ETA 9002 A Report Field and Activity Description |
Count Value |
Registered Job Seeker(s) Included in Count Value |
Row 10: Received Staff-Assisted Services |
3 |
Workers A, B, and C |
Row 11: Career Guidance Row 11: Career Guidance |
1 |
Worker A |
Row 12:
Job Search Activi Row 12:
Job Search Activities |
1 |
Worker B |
R Row 13: Referred to Employment |
4 |
Workers B and C |
Row 14: Referred to WIA Services |
0 |
None |
Row 15: Referred to Support Services |
0 |
None |
Utilizing this system, it is possible to see the total
number of individuals who received some type of staff-assisted service,
in addition to the number of individuals receiving a specific service, such as
career guidance.
8.Please define a
“registration year” and the process for reporting 9002 and VETS 200 data.
With the implementation of the labor exchange performance
measures, it is important to be able to identify job seekers according to their
quarter of registration.It’s also
important to have consistent definitions of registration for both services and
performance outcomes.Thus, a
job-seeking customer is counted as a registered job seeker during the quarter
in which registration occurs (registration quarter), and the subsequent three
quarters.This four quarter period
constitutes the registration year.
A job seeker who engages in a labor exchange activity after a registration
year expires will begin a new registration year; states will need to review
and update customer data as necessary.
For purposes of reporting, a rolling four-quarter period is
used.The 9002 A and 9002 B quarterly
reports will cover persons who registered or received services within the prior
four quarters.The 9002 C and 9002 D
reports will capture outcomes on registered job seekers, including veterans, for
the most recent four consecutive quarters.
The rolling four-quarter reporting period eliminates the concept of a
carry-over registration from one program year to the next and provides for some
uniformity for registration across states.
Additionally, once the registration year expires, the job seeker would
start a new registration year upon engaging in a labor exchange activity within
the local One-Stop system, thus ensuring that a job seeker is counted only once
during a one-year period.A job seeker
who is Are-registered@ is eligible to be counted again in the measures.States will need to develop automated
processes to track and report on registrants according to their registration
quarter.
9. Do reporting
instructions include the software programs to generate computations for the
performance measures?
The ET Handbook No. 406 does not contain software
instructions.We are making available
to all states software that supports state performance calculation and
reporting.Developed in partnership
with Mathematica Policy Research, Inc., the labor exchange report validation
software and user’s guide are available at http://ows.doleta.gov/employ/validation.asp.
10.When will the
first report under the revised reporting instructions be due?
The overall reporting process was effective July 1,
2002.States must now collect data
using the revised reporting instructions.
For job seekers and veterans registered during the quarter ending
September 30, 2002, the ETA 9002 A and B reports (services to job seekers and
veterans) will be due November 15, 2002.Performance outcome information on this group of job seekers will
be due May 15, 2004.The
following schematic provides an overview of the reporting structure:
JOB SEEKERS and VETERANS:
For job seekers registering during the first quarter
of PY 2002 (July 1 to September 30, 2002), the ETA 9002 A and B reports will be
due November 15, 2002.
For these same job seekers, outcome information on these job
seekers will be reported on the ETA 9002 C and D reports as follows:
Job Seeker Entered Employment Rate:November 14, 2003
Job Seeker Employment Retention Rate at Six Months: May
15, 2004
Job Seeker Customer Satisfaction: February
14, 2003
For
job seekers and veterans registered during the first quarter of PY 2002 (July
1- September 30, 2002),
the following chart indicates the due date of the first report for the ETA 9002 A and B (services to job
seekers and veterans) and ETA 9002 C and D (performance outcomes job seekers/employers and
veterans):
ETA Report |
Reported Data |
Due Date of First Report |
ETA 9002 A and B |
Services Provided |
November 15, 2002 |
ETA 9002 C and D |
Entered Employment Data Fields |
November 14, 2003 |
ETA 9002 C and D |
Employment Retention Data Fields |
May 15, 2004 |
ETA 9002 C and D |
Job Seeker Customer Satisfaction Data Fields |
February 14, 2003 |
As illustrated above, there will be a 12 to 18 month lag
period between the first report of
services for this one group of registered job seekers on the 9002 A and
B, and entered employment and
employment retention outcomes for this group reported on the ETA 9002C and D reports.
Since the reports listed above will be the first received
under the new reporting system, these will only contain information for one
quarter of registrants.As the system
ramps up, using the rolling four quarter concept, eventually four quarters of
information will be reported.The first
time that four cohorts of information (annual roll-up for PY 2002) will be
reported will be as follows:
ETA 9002 A and B
Services
Provided: August
15, 2003
ETA 9002 C and D
Job Seeker
Entered Employment August
14, 2004
Job Seeker
Employment Retention Rate at Six Months: February
14, 2005
Job Seeker
Customer Satisfaction: November
14, 2003
ETA 9002 E
Job Openings
Received: August
15, 2003
EMPLOYERS:
Also, for employers
served during the first quarter of PY 2002, the Employer Customer Satisfaction score will be
reported on the February 14, 2003 report.
JOB OPENINGS:
For the ETA 9002 E report containing job openings and the
number of employers listing jobs with the labor exchange, the first report
covering jobs listed during the first quarter of PY 2002 will be due November
15, 2002.
11. Is there an
opportunity to carry in registrants from PY 2001 into PY 2002?
The concept of “carry-in” of registrants does not
apply.State workforce agencies must
ensure that the transition in reporting systems results in no adverse impact on
delivery of labor exchange services to job seekers and employers.Job seekers and employers still registered
PY 2001 will continue to receive services in PY 2002.Similarly, job openings listed with the labor exchange through
June 2002 must be provided with referrals until closed in accordance with state
policy and procedures.To help ensure a
smoother transition in reporting systems and to support the principle of
continuity of labor exchange services, the following guidelines apply:
12.Will the state
be able to submit revised quarterly reports?
As indicated in the ETA Enterprise Information Management
System’s (EIMS) Labor Exchange Reporting sub-system (LERS) user’s guide, a
state may enter updates to the most recent quarter’s report until the next
quarterly report has been certified.At
the point when a quarterly report is certified, the previous quarterly report
cells are locked and no additional changes are allowed.
13.What is the difference between the ETA 9002
D and VETS-200 A, B, and C reports?
The ETA 9002 D Quarterly Report (Performance Outcomes -
Veterans) will report outcomes of services provided to veterans served by the
labor exchange, regardless of whether or not services are provided by LVER or
DVOP or other One-Stop program partner staff.
The VETS 200 report is a subset of the ETA 9002 D and captures data on
veterans served by LVER and DVOP staff only.
14.There is no
mention of the Indicators of Compliance (IOC) report in the proposed reporting
instructions.How will the IOC report
be coordinated with the new 9002 reports?
The Department is undertaking an
evaluation of statutory and regulatory policies and procedures and reporting systems pertaining to activities
for migrant and seasonal farm
workers.The Indicators of
Compliance and other data collection and reporting systems will be considered as part of this
evaluation process.In the meantime,
states will continue to use ETA Form 5148 to report the Indicators of
Compliance.
15. Are states still required to use ETA Form 5148 to report services to migrant and seasonal farm workers?If so, how will data taken traditionally from the 9002 be captured on the equity indicators?
Yes, states will continue to use ETA Form 5418 to report on
services to MSFWs, as well as on states’ monitoring activities, referrals of
violations to enforcement agencies and agricultural clearance orders.Unlike the ETA 9002 and VETS 200 reports,
ETA Form 5148 will retain its quarterly submission schedule: States will
continue to submit the 5148 report no later than 30 days after the end of the
quarter; the revised ETA 9002 and VETS 200 reports, on the other hand, will be
due no later than 45 days after the end of the quarter.The chart below provides instruction on
which data elements from the revised 9002 A report are applicable to the equity
indicators:
EQUITY
INDIATORS |
9002 A DATA
ELEMENTS |
|
|
1) Referred to
Job |
Replace with “Referred to Employment” (See 9002 A, Column H, Row
15) |
2) Provided with
Some Service |
Replace with “Received Staff-Assisted Services” (See 9002 A,
Column H, Row 12) |
3) Referred to
Supportive Services |
Same. See 9002 A, Column H, Row 17 |
4) Job
Development Contacts |
Replace with “Received Staff-Assisted Services” (See 9002 A,
Column H, Row 12) |
5) Counseled |
Replace with “Career Guidance” (See 9002 A, Column H, Row 13) |
16. Will DOL supply a
crosswalk of the DOT to O*NET and SIC to NAICS?
Visit www.onetcenter.org for a crosswalk of the DOT to O*NET
and www.census.gov/epcd/www/naics.html for information on the relationship
between SIC and NAICS.In addition, ETA
has convened a federal-state DOT to O*NET Conversion Workgroup that is developing
technical assistance and tools to aid in the conversion.
17. Can the state take credit if a job seeker enters employment with a new or different employer in the quarter of registration?Would that individual be in the numerator of the entered employment rate formula?
Yes.The entered
employment rate is based on a snapshot in the first and second quarters
following registration of reportable wages with a new or different employer
than the employer prior to registration.
If a job seeker were to enter employment in the quarter of registration
and have reportable wages in the first or second quarter thereafter, the
individual would be included in the numerator.
18. Can publicly funded labor exchange services other than Wagner-Peyser funded services be reflected in reports for all job seekers?If services provided by staff funded by other programs are included, how will DOL know how well the Wagner-Peyser program is operating?
In a One-Stop environment, it has become common practice to
encourage all One-Stop partners to support registration for job matching and
referral, as well as take and enter job orders as part of the labor exchange
function.The labor exchange
performance measures, therefore, measure the labor exchange function and are
not attributable solely to Wagner-Peyser related services.
Because
Wagner-Peyser funded employment services are the primary program support
for labor exchange activities in the One-Stop environment, the measures reflect
the success of Wagner-Peyser employment services as well as the One-Stop
system.
19. In state A, UI employer wage record cross match files indicate several employer wage record files containing the names and SSN’s of individuals for whom no wages are reported.Can state A take count entry to employment or retention for individuals for whom no wages are present?
No.To record a
valid outcome for these measures, wages must be present.The presence alone of a job seeker’s name on
the employer’s tax file record is not sufficient to prove the active
participation in the labor market.The
requirement that the wage record must contain wages for individuals that are
counted for the purposes of entry to employment and retention is also a
requirement used in the WIA performance management system.
20.
Won’t the act of referring a registered job seeker to WIA or Vocational
Rehabilitation for training be a disincentive to register an individual until it’s determined the person is
“job ready?”
DOL explored removing individuals referred to training out
of the formula entirely.One of the
dilemmas, however, is that an individual may have been referred to a job
simultaneously.We do not believe the
numbers of registered job seekers referred to training are significant enough
to be a major impact on the entered employment rate.This is an area that DOL will be watching closely and evaluating
in a formal way as the measurement system rolls out.
CUSTOMER
SATISFACTION
21.
Which employers will be part of the potential pool of
employers for the Customer
Satisfaction
Survey?
The required pool of employers is the same as that defined
for the WIA employer customer satisfaction survey: those employers who received
services involving significant staff contact through the One-Stop Center.See TEGL 14-00.NOTE: TEGL 6-00, Change 1 brought TEGL 6-00 into alignment with
the parameters contained in TEGL 14-00.
States may include other employer customer groups in the pool of
customers as part of the states=
assessment of customer satisfaction with services.As is the case with the WIA customer satisfaction surveys, states
will use the ACSI to measure satisfaction of registered job seekers.Additional details on the conduct of the
customer satisfaction surveys are contained in the reporting instructions (ET
No. 406 Handbook).
22. Can we exclude from the response rate of the job seeker customer satisfaction survey those individuals that do not have contact information?
No.These
individuals must be included in the response rate if they are selected as part
of the sample. This is the same way WIA customer satisfaction surveys are
treated. TEGL 6-00, Change 1 (page 3) states, “the sampling frame…includes all
(WIA) exiters and employers eligible for the survey, with the exception of
those who are deceased, institutionalized, incarcerated, or unable to complete
the survey due to illness or injury.” The guidance in TEGL 6-00, Change 1
applies to administration of the job seeker customer satisfaction survey.Original guidance from DOL had stated the
sampling frame only included participants and employers for whom valid contact
information was available.
23. When will states first report the customer
satisfaction survey and employer satisfaction survey scores on the 9002?
In the first quarter of PY 2002, it is possible to have
customer satisfaction data but it is unlikely that many states will have much
to report.We have suggested that
states could choose to conduct the surveys all at once, quarterly or monthly.Whatever procedures states establish,
results should be reported as they become available.
24. Can a state survey a sample of both WIA and Wagner-Peyser employers and have the results count for both?
In the One-Stop
delivery system envisioned under the Workforce Investment Act of 1998 and the
programs amended by WIA, business/employer needs should be met in a seamless
fashion.As such, there should be no
WIA or Wagner-Peyser employers.States
providing seamless service delivery need only one sample to measure employer
customer satisfaction.ACSI scores and
response rates would be reported for both the labor exchange and WIA report.
CLARIFICATION
OF DEFINITIONS
25.Please define AInterstate.@Does this apply to
individuals referred to other states on
clearance/H2A
orders, or to individuals who are referred from other states?
The definition of AInterstate@ is a
count of registered job seekers who are part of placement activities involving
the joint action of local offices or One-Stop Centers in different states.This information
should be reported by the job seeker-holding state.This includes agricultural placement activity.
26.What is the
definition of the “Program Year?@
The federal program year is July 1st
through June 30th.
VETERANS’ EMPLOYMENT AND TRAINING SERVICE (VETS) MEASURES
AND 200 REPORTS
27.The draft
Veterans= Employment and Training Service Performance Measures
consultationpaper indicated that states will be required to report on the increase in the number of Federal Contractor Job Listings, or FCJL openings listed.Will this become an
additional performance measure for states?
VETS has chosen not to use the proposed FCJL measure as a
measure of performance.States will,
however, still be required to submit data on the number of Federal Contractor
Job Listings, the number of Federal Contractors listing jobs, the number of
veterans referred to FCJL jobs, and on the number of veterans placed in FCJL
jobs.
28. We noticed that there is a line on the VETS 200 for job
seeker customer satisfaction.Is it
intended that
a separate sample of veteran job seekers be selected for customer satisfaction
surveys?
At this time, that line is merely a placeholder on the
report.Currently, VETS is researching
the best approach to take in attempting to develop a measurable survey.We do not expect the requirement and
implementation of this measure in the immediate future.Should this measure be developed, VETS will
issue necessary guidance.
29. For the VETS 200 reports, the instructions indicate that the
A-C reports are to be completed for individuals who have registered in the most
recent four quarters.The report mixes
the reporting of services and outcomes.
Since outcomes will not be available for job seekers registered in the
most recent four quarters, should veteran outcomes be reported separately
(i.e., the 9002 A and B cover a different period of time than the 9002 C and
D)?
Services are reported for the most recent four
quarters.Until outcome data are
available, the outcome fields will be zero-filled.Our opinion is that having all data reported on one report will
be less of a burden on states.We will provide additional guidance on
the completion of the report forms.
30. Please define ARecently Separated Veteran@ and ANewly Separated Veteran.@
P.L. 106-419 amended U.S.C. Title 38, Section 4212,
Subsections (a) and (d) to include recently separated veterans.This law also changed the definition of ARecently Separated Veteran@ to those registering for services within one year (12
months) of their separation from military service. Since the WIA definition of ARecently Separated Veteran@ remains as those registering for service within four
years (48 months) of separation, for the purpose of reporting public labor
exchange services we have changed the definition of those registering within
one year after separation to ANewly
Separated Veterans.@ In sum, “Newly Separated Veteran”
is a term of art we created to distinguish 38 U.S.C. Chapter 42 veterans within
one year of separation from the WIA term.
31. Should veterans registering for services be classified
in more than one veteran=s category?
Yes.It is possible
for a veteran registered for services to be a Vietnam-Era Veteran (not serving
in-country) and also a Campaign Veteran as a result of service in a campaign
other than Vietnam.By the same token,
a Campaign Veteran for service in Vietnam should be classified as both a
Campaign Veteran and a Vietnam-Era Veteran.
It is to the benefit of the veteran to be classified in as many veterans= categories as possible.
Although the number of Vietnam-Era and Campaign Veterans is
a subset of total registered veterans, the sum of the total of these two
subsets may exceed the total number of registered veterans.
32. In the VETS 200 reports, why is there a “Referred to Federal Training” data element only?Shouldn’t there be a data element that reflects referrals to training other than Federal training?
The only required data element for reporting referral to
training is “Referred to Federal Training.”
DOL was careful to ask states to report only on elements that we are
required to report to Congress.One of
the components of the “Received Staff-Assisted Services” category is referral
to skills training.States may use that
category to report referrals to other types of training.
33. What type of documentation is required to validate
whether a veteran customer is awarded aCampaign Badge? Do we need a veterans’ representative
to authenticate the CampaignBadge or do we allow the customer to declare
this himself?
There is no validation requirement of the veteran job
seeker.An applicant can
self-identifyasa Campaign Badge veteran at the time of
registration, whether the registration process isconducted face-to-face or via self-service.