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Workforce Investment Act (WIA) Standardized Record Data (WIASRD), Quarterly Summary Report, and Annual Report; Comment Request [04/03/2000]

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Volume 65, Number 64, Page 17537-17540



Employment and Training Administration

Workforce Investment Act (WIA) Standardized Record Data (WIASRD), 
Quarterly Summary Report, and Annual Report; Comment Request

ACTION: Notice; Request for Comments.


SUMMARY: The Department of Labor (Department), as part of its 
continuing effort to reduce paperwork and respondent burden, conducts a 
pre-clearance consultation program to provide the general public and 
Federal agencies with an opportunity to comment on proposed and/or 
continuing collections of information in accordance with the Paperwork 
Reduction Act of 1995 ((PRA95) (44 U.S.C. 3506 (c) (2) (A)). This 
program helps to ensure that requested data can be provided in the 
desired format, reporting burden (time and financial resources) is 
minimized, collection instruments are clearly understood, and the 
impact of collection requirements on respondents can be properly 
assessed. Currently, the Employment and Training Administration (ETA) 
is soliciting comments concerning the new management information and 
reporting system including the Workforce Investment Act Standardized 
Record Data (WIASRD), the Quarterly Summary Report and the Annual 
Report under the Workforce Investment Act of 1998 (WIA).

DATES: Written comments must be submitted to the office listed in the 
addresses section below on or before June 2, 2000. The Department is 
particularly interested in comments which:

--Evaluate the Department's ability to meet its reporting 
responsibility using the proposed system;
--Evaluate whether the proposed collection of information is necessary 
for the proper performance of the functions of the agency including 
whether the information will have practical utility;
--Enhance the quality, utility, and clarity of the information to be 
--Minimize the burden of the collection of information on those who are 
to respond, including the use of appropriate electronic reporting 
mechanisms; and
--Examine the accuracy of the Department's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used.

ADDRESSES: Please address correspondence concerning the proposed system 
to: U.S. Department of Labor, Employment and Training Administration, 
Office of Workforce Security, 200 Constitution Avenue, NW., Room S4231, 
Washington, DC 20210, Attention: William Rabung, Fax: (202) 219-8506. 
(This is not a toll-free number.), or E-mail:


I. Background

    Performance accountability is a key principle under the Workforce 
Investment Act of 1998 (WIA). The Department intends to support the 
desired focus on customer service and continuous improvement by 
providing opportunities for accountability at all levels of the system, 
especially at the State and local levels.
    The basic accountability system will allow the Department to manage 
its responsibilities under WIA secs. 136(d)

[[Page 17538]]

and 189(d) in terms of reporting the progress of States in achieving 
negotiated levels of performance on the required core and customer 
satisfaction measures, its responsibilities under WIA sec. 185(a)(2), 
(c)(2), and (d) in terms of reports and recordkeeping, and its 
responsibilities under the Government Performance and Results Act 
(GPRA). The Federal reporting and record keeping structure will build 
on, and reflect the customer service focus, the continuous improvement 
goals, and the partnership expectations. In general, Federal reporting 
and recordkeeping requirements will be those minimally required to 
comply with statutory provisions, and will be designed so that they may 
be satisfied through systems put in place by the State and local 
partners to ensure State and local accountability.
    There will be two basic report systems--financial and program. 
Financial reports will be required quarterly, as provided for in WIA 
sec. 185(e). To avoid unnecessary reporting, the quarterly financial 
report looks at expenditures and records related to WIA sec. 185(f) and 
(g). The quarterly financial report was addressed in a separate Federal 
Register Notice (65 FR 5897-5898, Feb. 7, 2000). The three program 
reports include:

A. Individual Records

    The Department has established a standard set of core data elements 
that must be maintained for each individual who receives WIA Title IB 
services beyond self-service and informational activities. The number 
of data elements collected for each individual is commensurate with the 
intensity of the service. Beginning July 1, 2000, States must submit 
copies of the individual participant records once each year by 
September 30 for all participants, including participants who exited 
but for whom information on outcomes is not yet complete. The 
individual standardized records will be strictly confidential. The 
Workforce Investment Act Standardized Record Data (WIASRD) will 

--Relevant demographic characteristics including race, ethnicity, sex 
and age and other related information on the participants (WIA sec. 
--WIA Title IB and partner program activities in which the participants 
are enrolled and the length of time the participants are engaged in 
such activities (WIA sec. 185(d)(1)(B)); and
--Outcomes for the participants, including occupations and placement in 
non-traditional employment (WIA sec. 185(d)(1)(C)).

    The proposed WIASRD and related documents can be viewed at the 
Department's Internet website,

B. Quarterly Summary Reports

    Quarterly summary reports reflecting statewide activity for 
negotiated performance and actual performance levels as well as the 
number of current participants and those participants who exited during 
the program period, will provide DOL with key information necessary for 
program oversight purposes. This information will facilitate the 
Department's efforts in assessing its own performance against 
established GPRA goals. States will be expected to electronically 
submit the quarterly summary reports within 45 days following the end 
of each quarter.
    Quarterly reports are described in WIA sec. 185(a)(2)--``Every such 
recipient shall maintain such records and submit such reports, in such 
form and containing such information, as the Secretary may require 
regarding the performance of programs and activities carried out under 
this title. Such records and reports shall be submitted to the 
Secretary but shall not be required to be submitted more than once each 
quarter unless specifically requested by Congress or a committee of 
Congress, in which case an estimate may be provided.''
    The proposed Quarterly Summary Report Format and instructions for 
completing this report can be viewed at the Department's Internet 

C. Annual Reports

    On a yearly basis, States must publish and submit to the Secretary 
an Annual Report which explains the outcomes of WIA Title IB programs 
to employers, taxpayers, participants and Congress and meets the 
provisions at WIA sec. 136(d) and WIA sec. 185(d) as described in the 
following chart:

                Required Components of The Annual Report
        WIA citation                   Performance-related items
Sec.  136(d)(1).............  State's progress in achieving performance
                               measures including the core indicators of
                               performance, the customer satisfaction
                               indicator, any additional indicators of
                               performance (if any) identified by the
                               State, and the negotiated level of
                               performance for each indicator.
Sec.  136(d)(1).............  Progress of local areas in the States in
                               achieving performance measures including
                               the core indicators of performance and
                               the customer satisfaction indicators.
Sec.  136(d)(2)(A)..........  Entry by participants who have completed
                               training services provided under section
                               134(d)(4) into unsubsidized employment
                               related to the training received.
Sec.  136(d)(2)(B)..........  Wages at entry into employment for
                               participants in workforce investment
                               activities who entered unsubsidized
                               employment, including the rate of wage
                               replacement for such participants who are
                               dislocated workers.
Sec.  136(d)(2)(C)..........  Cost of workforce investment activities
                               relative to the effect of the activities
                               on the performance of participants.
                               (Please note: States will have the
                               flexibility to define this element.)
Sec.  136(d)(2)(D)..........  Retention and earnings received in
                               unsubsidized employment 12 months after
                               entry into the employment.
Sec.  136(d)(2)(E)..........  Performance with respect to the indicators
                               of performance specified in subsection
                               (b)(2)(A) of participants in workforce
                               investment activities who received the
                               training services compared with the
                               performance of participants in workforce
                               investment activities who received only
                               services other than the training services
                               (excluding participants who received only
                               self-service and informational
Sec.  136(d)(2)(F)..........  Performance with respect to the indicators
                               of performance specified in subsection
                               (b)(2)(A) of recipients of public
                               assistance, out-of-school youth,
                               veterans, individuals with disabilities,
                               displaced homemakers, and older

          Citation                  Other performance-related items
Sec.  136(d)(1).............  Status of State evaluations of workforce
                               investment activities described in
                               subsection (e) (evaluation of state
Sec.  189(d)(1).............  A summary of the achievements, failures,
                               and problems of the programs and
                               activities in meeting the objectives of
                               this title.
Sec.  189(d)(2).............  A summary of major findings from research,
                               evaluations, pilot projects, and
                               experiments conducted under this title in
                               the fiscal year prior to the submission
                               of the report.
Sec.  189(d)(3).............  Recommendations for modifications in the
                               programs and activities based on analysis
                               of such findings.

[[Page 17539]]

Sec.  189(d)(4).............  Such other recommendations for legislative
                               or administrative action as the Secretary
                               determines to be appropriate.
Sec.  185(d)(1)(D)..........  Specified costs of the (programs and)
Sec.  136(d)(3).............  Information dissemination.--The Secretary--
                               (A) shall make the information contained
                               in such reports available to the general
                               public through publication and other
                               appropriate methods; (B) shall
                               disseminate State-by-State comparisons of
                               information; and (C) shall provide the
                               appropriate congressional committees with
                               copies of such reports.

    The Annual Report will be prepared by each State in accordance with 
guidelines established by the Department, including definitions for 
calculating performance, and specifications for satisfactory completion 
and submission of the report. The State's Annual Report will include 
state performance as well as local performance.
    The Annual Report will be sent to Congress. The performance 
outcomes detailed in the report will serve as the basis for awarding 
incentives or administering sanctions to States for performance which 
exceeds or falls below the negotiated levels of performance (The 
negotiation process and details of the incentive and sanction process 
are described in separate Federal guidance--TEGL 8-99). The final 
approach to distributing incentive awards is still under development, 
but may include, among other things, performance reports from each 
State submitted by the date specified by the Secretary. A State that 
does not meet the deadline (September 30 of each year) for submission 
may be subject to sanction as described in WIA sec. 136(g)(1) and 
Interim Final Rule at 20 CFR 667.300 (e).
    The Secretary plans to post these annual reports on a web site. In 
accordance with the Act, the Secretary will send copies of the State's 
Annual Report to each Local Workforce Investment Board (local board) 
and to the State Workforce Investment Board (State Board) if the State 
does not submit assurance that this has been accomplished by the time 
of submission to the Secretary.
    The instructions for completing an annual report can be accessed 
and viewed at the Department's Internet website, http://
    In order to report on the two required customer satisfaction 
measures (one for employers and one for participants) in the annual and 
quarterly summary reports, States must conduct surveys of both groups 
following the directions contained in Attachment V posted on the 
Department's Internet website,

II. Current Actions

    The proposed data collection and reporting system will assist the 
Department in meeting its mandated responsibilities by providing 
standardized information regarding demographics, activities and 
outcomes for all registrants receiving more than informational or self-
service in all States and workforce investment areas. Information will 
also be used for general oversight, continuous improvement and research 
    Type of Review: New.
    Agency: Employment and Training Administration.
    Titles: Workforce Investment Act Standardized Record Data, 
(WIASRD), Annual Report, Quarterly Summary Reports.
    OMB Number: 1205-0NEW.
    Affected Public: State governments, local workforce investment 
areas, and local workforce investment boards.
    Cite/Reference: Authority to collect this information is provided 
by the Workforce Investment Act of 1998 in secs. 136, 185, and 189.
    Form/etc: See the documents posted on the Department's Internet 
    Total Respondents: 56 (50 States, American Samoa, Commonwealth of 
the Northern Mariana Islands, District of Columbia, Guam, Puerto Rico, 
and Virgin Islands).
    Frequency: Annual Report--Yearly by September 30 with quarterly 
summary reports due within 45 days following each quarter Individual 
Record--Annually by September 30.
    Total Responses: One Annual Report for each respondent. States must 
submit three hard copies and one electronic copy of the annual report 
to the Secretary of Labor. One electronic submission of the Quarterly 
Summary Report from each respondent. One electronic data set from each 
of the respondents containing individual records for each registrant 
    Average Time: 13,862 hours.
    Per Response: The actual response time will vary by number of local 
workforce investment boards and individual records of individuals 
served in the State.

                                     Total                                           Average time per    (total
        Cite/reference            respondents        Frequency      Total responses      response         nat.
Individual Record............  56..............  Annually........  1 set of records  13,152 hours....    736,512
                                                                    per respondent
                                                                    (set will vary
                                                                    in size
                                                                    depending on
                                                                    the number of
                                                                    served in the
Annual Report................  56..............  Annually........  56..............  40 hours........      2,240
Customer Satisfaction Survey.  500 participants  Quarterly/        56,000..........  5 min. \1/12\        4,667.
                               500 employers...   Annually.                           hr.)*.
(Results to be included in     Agency Admin. 56  ................  56..............  500 hours.......     28,000
 the Annual and Quarterly
                               Overhead 56.....  ................  56..............  154 hours.......      8,624
Quarterly Summary Report       56..............  Quarterly.......  224 (56X4)......  16 hours........      3,584
 (Statewide aggregate data

[[Page 17540]]

    Totals...................  1,056...........  Quarterly/        56,281..........  13,862 hours....   783,627
* Assumes only 3 ASCI questions are administered.

Explanation of Burden Hours

Individual Record--736,512 hrs

    Baseline: 8,768 hrs./reporting unit (State) (56 reporting units) in 
last FRN regarding Job Training Partnership Act (JTPA) reporting system 
(SPIR). Factor: 50% higher due to (1) increase in size of record, and 
(2) increase in number of program participants. Increases were not 
cumulative; some allowance made for economies of scale and learning 

Annual Report--2,240 hrs

    Estimate based on 40 hrs./reporting unit to produce one report per 
year (includes program run, checking, report formatting for 

Quarterly Report--3,584 hrs

    Estimate based on 64 hrs./reporting unit to produce four reports 
per year (includes program run, checking, report formatting for 
transmission)--16 hrs./report.
Customer Satisfaction Survey
    Respondents--4,667 hrs.
    Estimate based on 1,000 responses per reporting unit (500 WIA 
participants and 500 employers) and 5 min. (\1/12\ hr.) per survey. 
This assumes only the three ACSI questions are asked.
    Survey Administration--28,000 hrs.
    Estimate based on 30 min. (0.5 hrs.) to obtain a completed survey 
(telephone contacts, call-backs, data entry).
    Survey Preparation and Overhead--8,624 hrs.
    Estimate based on:
    Survey development (preparation of questionnaire and telephone 
script for interviewer)--40 hrs./reporting unit.
    Sample selection--24 hrs./reporting unit.
    Survey set-up (setting up survey for telephone administration and 
creation of a database)--40 hrs./reporting unit.
    Compilation of results (includes generation of descriptive 
statistics and calculation of index for participants and employers)--50 
hrs./reporting unit.

Total Burden Cost (capital/start-up)--$825,906

    Estimate based on \1/3\ staff year to develop WIASRD data record; 
this estimate was based on experience of Utah in converting from SPIR 
to WIASRD and programming time for the Data Validation and Denied 
Claims Accuracy pilots. A staff year cost factor of $44,245 was 
applied; this is the salary/benefits rate used in the FY 2000 budget.

Total Burden Cost (operating/maintaining)--$16,653,333.50

    The estimate is based on the $44,245 staff year cost factor applied 
to the burden hours listed above. The burden hours for participant and 
employer responses to the customer satisfaction surveys equates to 
$24,035, while the burden cost for developing the survey and start-up 
totals $183,432.
    Comments submitted in response to this comment request will be 
summarized and/or included in the request for Office of Management and 
Budget approval of the information collection request; they will become 
a matter of public record.

III. Documents for Review and Comment

    The following documents cited in this notice can be viewed at the 
Department's Internet website,
--The Workforce Investment Act Title IB Standardized Record Data 
(WIASRD) layout;

--The Workforce Investment Act Quarterly Summary Report Format;
--The Instructions for Submission of WIA Quarterly Summary Report;
--The instructions for submission of the WIA Annual Report; and
--The instructions for capturing, computing and recording outcomes on 
the Customer Satisfaction Measures

    Dated: March 28, 2000.
Raymond L. Bramucci,
Assistant Secretary of Labor.
[FR Doc. 00-8122 Filed 3-31-00; 8:45 am]


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