Workforce Innovation and Opportunity Act (WIOA) Common Performance Reporting

OMB Control No. 1205-0526

January 2017

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SUPPORTING STATEMENT

Workforce Innovation and Opportunity Act (WIOA) Common Performance Reporting

OMB Control No. 1205-0526

A. Justification.

WIOA Joint Participant Individual Record Layout (PIRL) | WIOA Annual Statewide

Performance Report Template | WIOA Annual Local Area Performance Report Template |

WIOA Annual Statewide/Local Performance Report Specifications | WIOA Eligible Training 

Provider (ETP) Performance Report Specifications and WIOA Eligible Training Provider (ETP) 

Performance Report Definitions | Annual Statewide Performance Report Narrative

The Department of Labor (DOL) seeks approval of this information collection request (ICR)

under the clearance process for “common forms.” The Department of Education (ED) (the two 

Departments to be jointly referred to as the “Departments”) actively participated in the 

development of this ICR, and is a signatory to the “WIOA Common Performance Reporting” 

information collection, which details the requirements for WIOA Statewide performance 

reporting.

This ICR is an update to an existing ICR, Workforce Innovation and Opportunity Act Common 

Performance Reporting (OMB Control No. 1205-0526), which was approved June 30, 2016. That

initial ICR contained the following: WIOA Statewide Performance Report Template and WIOA 

Local Performance Report Template (ETA-9169); WIOA Joint Participant Individual Record 

Layout (PIRL) and WIOA Annual Statewide/Local Performance Report Specifications (ETA-9170); 

and WIOA Eligible Training Provider (ETP) Performance Report Specifications and WIOA Eligible 

Training Provider (ETP) Performance Report Definitions (ETP-9171).

This ICR revises and updates certain aspects of those existing information collections. In 

particular, as part of this ICR, the Departments are adding new information collection 

requirements for WIOA Statewide performance reporting. In particular, the Departments are 

adding: (1) additional data elements related to training program information to the ETP 

Performance Report (ETA-9171) and (2) a new information collection requirement, i.e., Annual 

Statewide Performance Report Narrative. This additional information would be helpful in the 

implementation and evaluation of the workforce development covered programs, and may 

include descriptions of such items as promising program practices, employer metrics, sector 

strategies, state evaluations, and rapid response activities. Also, a few non-substantive 

adjustments have been made to the WIOA Annual Statewide Performance Report and Local 

Area Performance Report Template specifications (ETA-9169), and to the WIOA Joint PIRL (ETA9170). 
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As stated in the preamble to the Joint WIOA Final Rule,

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the Departments intend to implement 

a uniform, national customer satisfaction survey, applicable to both participants and reportable 

individuals. While this survey will not be tied to accountability provisions, and the survey 

results will not be factored into determinations of sanctions, customer satisfaction will be a 

factor considered in the certification of one-stop centers. The information collected through 

the national customer satisfaction survey will also be useful to State administrators, local 

operators, and training providers. The specifics of the contents and format of this information 

collection instrument will be the subject of a separate ICR at a later time that will undergo 

public comment and a request for approval from the Office of Management and Budget (OMB) 

under the requirements of the Paperwork Reduction Act.

1. Explain the circumstances that make the collection of information necessary. Identify any 

legal or administrative requirements that necessitate the collection. Attach a copy of the 

appropriate section of each statute and regulation mandating or authorizing the collection 

of information.

Section 116 of WIOA (29 U.S.C. § 3141) requires States and Local Areas that operate the 

six core programs of the workforce development system to comply with common 

performance accountability requirements for those programs, which are: the Adult, 

Dislocated Worker, and Youth programs (title I, administered by DOL); the Wagner-Peyser 

Act program (title III, administered by DOL); the Adult Education and Family Literacy Act

(AEFLA) program (title II, administered by ED); and the Vocational Rehabilitation (VR) 

program (title IV, administered by ED). As such, States and Local Areas that operate core 

programs must submit common performance data to demonstrate that specified 

performance levels are achieved. States and Local Areas will report the common 

performance data through this ICR.

In addition, and in accordance with WIOA section 122(b)(2), training providers that are 

eligible to receive funds from Adult and Dislocated Worker programs authorized under 

title I of WIOA (also known as “eligible training providers” or ETPs) must report data on 

outcomes achieved under those programs to the State(s) in which they are listed on the 

State ETP list. States then report the information submitted by ETPs to DOL. The 

information collection requirements applicable to ETPs are contained in this ICR.

Section 116(d)(1) of WIOA mandates that the Secretaries of Labor and Education develop a 

template for performance reports to be used by States, local boards, and ETPs for reporting 

on outcomes achieved by participants in the six core programs. Corresponding joint 

regulations for these data collection requirements, including which primary performance 

indicators apply for each core program, have been issued by the Departments. See 81 FR 

55792 (Aug. 19, 2016). The final regulations became effective on October 18, 2016. These 

 

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 On August 19, 2016 (81 FR 55792), the Departments issued a Joint Final Rule to implement jointly administered 

activities authorized by title I of WIOA. The final rule became effective on October 18, 2016.
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joint performance regulations can be found at: (1) 20 CFR part 677 (which covers the Adult 

and Dislocated Worker programs (20 CFR part 680), the Youth program (20 CFR part 681),

and the Wagner-Peyser Act program (20 CFR part 652)); (2) 34 CFR part 463, Subpart I

(which covers the AEFLA program); and (3) 34 CFR part 361, Subpart E (which covers the VR 

program). 

The data collection instruments covered in this ICR are necessary to meet the requirements 

of section 116 of WIOA. These information collection instruments were developed jointly 

by the Departments, and include: (1) the Joint Participant Individual Record Layout (PIRL), 

which provides a standardized set of data elements, definitions, and reporting instructions 

for use by States and local entities administering WIOA core programs (ETA-9170); (2) the 

Statewide Performance Report Template, to be used for the reporting of data by State 

entities that administer WIOA core programs (ETA-9169); (3) the Local Area Performance 

Report Template, to be used for the reporting of data by local entities that administer WIOA 

core programs (ETA-9169); (4) the ETP Performance Report specifications and definitions, to 

be used for the reporting of data by eligible providers of training services under Title I Adult 

and Dislocated Worker programs (ETA-9171); and (5) the Annual Statewide Performance 

Report Narrative, a new information collection requirement to be used for providing 

information on the status and progress of workforce development program performance. 

The remainder of this section provides additional details on each of the information 

collection instruments covered in this ICR.

WIOA PARTICIPANT INDIVIDUAL RECORD LAYOUT (PIRL) (ETA-9170)

The PIRL provides a standardized set of data elements, definitions, and reporting 

instructions that will be used to describe the characteristics, activities, and outcomes of 

WIOA participants. States and Local Areas will be required to collect participant 

information that corresponds with the data elements and descriptions delineated within 

the PIRL. Once collected, this information will then be aggregated according to the 

conditions outlined in the WIOA Annual Statewide Performance Report Specifications, 

which details the common data elements and technical specifications necessary for 

calculation of the State and Local Area Performance Report elements that will be used in 

reporting across all core programs. Once aggregated, the outcomes will then be displayed 

according to the framework that is the WIOA Annual Statewide Performance Report 

Template/WIOA Annual Local Area Performance Report Template. 

WIOA ANNUAL STATEWIDE PERFORMANCE REPORT TEMPLATE (ETA-9169)

Required annual data for the core programs include information related to the six primary 

performance indicators, participant counts and costs, and barriers to employment as 

described below. The following data must be included in the Statewide Performance 

Report and will be reported on an individual or aggregate basis, depending on the program 

to which they pertain, as described later in this section. 
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Primary Indicators of Performance for Core Programs

For WIOA core programs, States must report the results of primary indicators of 

performance set forth at section 116(b)(2)(A)(i) of WIOA:

1. The percentage of program participants who are in unsubsidized employment during 

the second quarter after exit from the program.

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2. The percentage of program participants who are in unsubsidized employment during 

the fourth quarter after exit from the program.

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3. The median earnings of program participants who are in unsubsidized employment 

during the second quarter after exit from the program.

4. The percentage of program participants who obtained 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. For those program 

participants who obtained a secondary school diploma or its recognized equivalent, the 

participant must also have obtained or retained employment or be in an education or 

training program leading to a recognized postsecondary credential within one year 

after exit from the program.

5. 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 toward such a credential or 

employment.

6. The indicator(s) of effectiveness in serving employers. 

All of the above primary indicators of performance also will be displayed as a disaggregate 

value based on the barriers to employment incorporated into the definition of an 

“individual with a barrier to employment,” as set forth in WIOA section 3(24). The specific 

population disaggregation is described below in Numbers 22 through 35.

 

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 For the Title I Youth program, the percentage of WIOA youth participants includes those who are in education or 

training activities, or in unsubsidized employment, during the second quarter after exit from the program (WIOA 

section 116 (b)(2)(A)(ii)(I)). 

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For the Title I Youth program, the percentage of WIOA youth participants includes those who are in education or 

training activities, or in unsubsidized employment, during the fourth quarter after exit from the program (WIOA 

section 116 (b)(2)(A)(ii)(II)).
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Participant Counts and Cost Information

Under section 116(d)(2) of WIOA, the WIOA Annual Statewide Performance Report also

must include the following data:

7. Information specifying the levels of performance achieved with respect to the primary 

indicators of performance described in WIOA section 116(b)(2)(A) for each of the 

programs described in WIOA section 116(b)(3)(A)(ii) and the State adjusted levels of 

performance with respect to such indicators for each program.

8. Information specifying the levels of performance achieved with respect to the primary 

indicators of performance described in WIOA section 116(b)(2)(A) for each of the 

programs described in WIOA section 116(b)(3)(A)(ii) with respect to individuals with 

barriers to employment, disaggregated by each subpopulation of such individuals, and 

by race, ethnicity, sex, and age.

9. The total number of participants served by each of the core programs.

10. The number of participants who received career services during the most recent 

program year and the three preceding program years.

11. The number of participants who received training services during the most recent 

program year and the three preceding program years.

12. The amount of funds spent on career services.

13. The amount of funds spent on training services.

14. The number of participants who exited from career services, during the most recent 

program year and the three preceding program years.

15. The number of participants who exited from training services during the most recent 

program year and the three preceding program years.

16. The average cost per participant of those participants who received career services

during the most recent program year and the three preceding program years.

17. The average cost per participant of those participants who received training services 

during the most recent program year and the three preceding program years.

18. The percentage of participants in a program authorized under WIOA title I who received 

training services and obtained unsubsidized employment in a field related to the 

training received.

19. The number of participants who are enrolled in more than one of the core programs.

20. The number of participants with barriers to employment served by each of the core 

programs, disaggregated by each subpopulation of such participants.

21. The percentage of the State’s annual allotment under section 132(b) that the State 

spent on administrative costs.
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Barriers to Employment

Data must be collected in a manner so that the results may be disaggregated by the 

“Barriers to Employment,” as described in section 3(24) of WIOA, for both number of 

participants served and performance on primary indicators, and then further disaggregated 

by age, race and ethnicity, and sex. Under section 3(24) of WIOA, an “individual with a 

barrier to employment” includes:

22. Displaced homemakers.

23. Low-income individuals.

24. Indians, Alaska Natives, and Native Hawaiians, as such terms are defined in section 166 

of WIOA.

25. Individuals with disabilities, including youth who are individuals with disabilities.

26. Older individuals (55+).

27. Ex-offenders.

28. Homeless individuals (as defined in section 41403(6) of the Violence against Women Act 

of 1994 (42 U.S.C. 14043e–2(6))), or homeless children and youths (as defined in 

section 725(2) of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a(2))).

29. Youth who are in or have aged out of the foster care system.

30. Individuals who are English language learners, individuals who have low levels of 

literacy, and individuals facing substantial cultural barriers.

31. Eligible migrant and seasonal farmworkers, as defined in section 167(i) of WIOA.

32. Individuals within two years of exhausting lifetime eligibility under TANF (part A of 

title IV of the Social Security Act (42 U.S.C. 601 et seq.)).

33. Single parents (including single pregnant women).

34. Long-term unemployed individuals (27 or more consecutive weeks).

35. Such other groups as the Governor involved determines to have barriers to 

employment. 

To collect these data:

1. The Department of Education’s Rehabilitation Services Administration (RSA) in the 

Office of Special Education and Rehabilitative Services (OSERS) has an OMB-approved 

information collection instrument used to collect participant-level WIOA core 

program data on a quarterly basis from the 80 VR agencies: the Case Service Report 

(RSA-911), OMB Control Number 1820-0508. RSA will analyze and aggregate these 

data for the purpose of computing the performance accountability measures and other 

figures required in the Statewide Performance Report.
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2. The Department of Education’s Office of Career, Technical, and Adult Education 

(OCTAE) has an OMB-approved information collection instrument used to obtain 

aggregate data annually from States, using a set of reporting tables developed by ED 

(Implementation Guidelines: Measures and Methods for the National Reporting 

System for Adult Education, OMB Control Number 1830-0027). For the purposes of 

the AEFLA program, States are required to complete and submit the WIOA Annual 

Statewide Performance Report template, in addition to the aggregate data tables that 

States are required to submit to OCTAE under OMB Control Number 1830-0027.

3. DOL has an additional ICR to collect and report on data elements not specified in this 

information collection. See ETA WIOA Performance Accountability, Information, and 

Reporting System (OMB Control Number 1205-0521.) This other information collection 

will take the place of several other currently existing ICRs, such as: Workforce 

Investment Act (WIA) Management Information and Reporting System (OMB Control 

Number 1205-0420), Wagner-Peyser Labor Exchange Reporting System (LERS)

(OMB Control Number 1205-0240), YouthBuild Reporting System (OMB Control Number 

1205-0464), Reporting and Performance Standards for WIA Indian and Native American 

Programs (OMB Control Number 1205-0422), Reporting and Performance Standards 

System for Migrant and Seasonal Farmworker Programs Under Title I, Section 167 of 

WIA (OMB Control Number 1205-0425), and Trade Act Participant Report (OMB 

Control Number 1205-0392).

WIOA ANNUAL LOCAL AREA PERFORMANCE REPORT TEMPLATE (ETA-9169)

The WIOA Annual Local Area Performance Report Template is a subset of the WIOA Annual 

Statewide Performance Report Template which, under section 116(d)(3) of WIOA, requires 

the collection of the same aforementioned costs, counts, and primary indicators for Title I 

Adult, Dislocated Worker, and Youth programs. Similarly, the counts and primary indicators 

must be disaggregated by the above listed barriers to employment.

WIOA ETP PERFORMANCE REPORT (Definitions-Only) (ETA-9171)

Section 116(d)(4) of WIOA, regarding contents of ETP Reports, mandates the collection of 

specific information for each program of study for each eligible provider of training services 

under title I Adult and Dislocated Worker programs. DOL allows States to use individual 

training accounts (ITAs) for out-of-school youth WIOA participants ages 16 to 24 (20 CFR

681.550). Therefore, for purposes of the annual ETP Performance Report, WIOA out-ofschool youth participating in a program of study using an ITA must be reported like a WIOA 

adult in all student and WIOA participant categories. Likewise, references to the WIOA 

Adult Program for purposes of reporting on the ETP Performance Report include out-ofschool youth participating in a program of study using an ITA. 
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This data collection covers definitions for title I ETP performance and corresponding 

tabulations (see ETA-9171), which should allow States to begin their own data collection 

from the ETPs on the State list. The update adds some additional defined data elements to 

the list, and also adds data element numbers and code values for each defined data 

element. This ICR seeks approval for the definitions of ETP terms and corresponding 

calculations of WIOA performance measures as they relate to the ETP Report (See ETA9171) and the method for calculating the total number of individuals served in a program of 

study.

States will submit their ETP data through the Department of Labor’s Workforce Integrated 

Performance System in either a comma separated value format (.csv) or a comma delimited 

text file (.txt). No other file formats are currently supported by the system and will result in 

a data reject if submitted.

Primary Performance Indicators for the WIOA ETP Performance Report

The ETP Performance Report, applicable only to the title I Adult and Dislocated Worker 

programs, must report the results of the four primary indicators of performance identified 

below (Number 1 through Number 4), along with the total number of individuals who exit 

from the program of study (Number 5), with respect to all individuals who exited a program 

of study and all individuals who completed a program of study, including individuals in the 

program of study who are not WIOA participants. A program of study approved on the ETP

list is synonymous with a “program of training services,” as defined at 20 CFR 680.420. A 

program of training services is one or more courses or classes, or a structured regimen that 

provides the training services at 20 CFR 680.200, which reflects the list of services set forth 

in section 134(c)(3)(D) of WIOA, and leads to the outcomes described at 20 CFR 680.420. 

Listed below are the statutory requirements that mandate the collection of data through 

the ETP Performance Report (see WIOA section 116(d)(4)). Definitions for the elements

that must be collected in order to meet these reporting requirements are included in ETA-

-9171 of the ICR.

1. The percentage of individuals who are in unsubsidized employment during the second 

quarter after exit from the program of study.

2. The percentage of individuals who are in unsubsidized employment during the fourth 

quarter after exit from the program of study.

3. The median earnings of individuals in the program of study who are in unsubsidized 

employment during the second quarter after exit.

4. The percentage of individuals who obtain 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. For those individuals who obtained a secondary 

school diploma or its recognized equivalent, the individual must also have obtained or 
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retained employment or be in an education or training program leading to a recognized 

postsecondary credential within 1 year after exit from the program.

5. The total number of individuals who exit from the program of study.

The ETP Performance Report must report the results of the above indicators with respect to 

all WIOA participants in the program of study.

Participant Counts and Cost Information

6. The number of participants exiting from the program of study (or the equivalent).

7. The total number of participants who received training services through each of the 

Adult program and the Dislocated Worker program authorized under chapter 3 of 

subtitle B, disaggregated by the type of entity that provided the training, during the 

most recent program year and the three preceding program years.

8. The total number of participants who exited from training services, disaggregated by the 

type of entity that provided the training, during the most recent program year and the 

three preceding program years.

9. The average cost per participant for the participants who received training services, 

disaggregated by the type of entity that provided the training, during the most recent 

program year and the three preceding program years.

10. The number of individuals with barriers to employment served by each of the Adult 

program and the Dislocated Worker program authorized under chapter 3 of subtitle B, 

disaggregated by each subpopulation of such individuals, and by race and ethnicity, 

sex, and age.

Barriers to Employment

Data on the WIOA ETP Performance Report must be collected in a manner so that the 

results for WIOA participants may be disaggregated by the barriers to employment, as 

described in the definition of an “individual with a barrier to employment,” in section 3(24) 

of WIOA, for WIOA participants served as well as disaggregated by age, race and ethnicity, 

and sex. See complete list of individuals with barriers to employment outlined in the 

previous section (WIOA Annual Statewide Performance Report Template).

Additional Training Program Information

In this ICR, the Departments are adding additional data elements related to training 

program information to the ETP Performance Report. This additional information will 

facilitate the provision of more useful information to assist participants in choosing 

employment and training activities, and in choosing ETPs. Under WIOA section 185(a)(2), 

recipients of WIOA title I funds must submit such records and reports “as the Secretary of 

Labor may require regarding the performance of programs and activities carried out under 
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[WIOA title I].” Definitions and instructions with respect to these new data elements can be 

found in the revised ETA-9171. The following list is a brief explanation of the new data 

elements:

1. Name of the training program.

2. A short description of the training program, which may include other course 

prerequisites (e.g., driver’s license or work experience), learning outcomes, program 

accreditation, full-time/part-time, books/technology needed, and related careers.

3. A short description of training provider, which may include accreditation and program 

offerings/specialties.

4. The full address of the training provider's main location, including city, State, and 5-digit 

zip code.

5. The URL of the program-specific webpage for training seekers to find more information 

on program.

6. An estimate of the program's out-of-pocket cost of tuition and required fees for nonWIOA participants.

7. An estimate of the program’s out-of-pocket cost of books and supplies for non-WIOA 

participants.

8. The length of the program in clock/contact hours.

9. The length of the program in weeks.

10. Information on educational prerequisites for program enrollment (e.g., no educational 

requirements, program requires a Bachelor's degree).

11. Information on the format of the program (e.g., in person, online).

12. Specific name of certificate, certification, license, or degree participants can receive 

(e.g., Certified Welding Inspector [CWI]).

13. List of all States with which the State has reciprocal agreements. (To be completed by 

States.)

14. Average earnings of individuals in the program of study who are in unsubsidized 

employment during the second quarter after exit.

15. Average earnings of individuals in the program of study who are in unsubsidized 

employment during the fourth quarter after exit.

16. Up to three occupations (as O*NET-SOC codes) for which the program prepares 

students.

ANNUAL STATEWIDE PERFORMANCE REPORT NARRATIVE

The Departments also are adding a new information collection requirement to this ICR: the 

Annual Statewide Performance Report Narrative. As part of this new requirement, States 
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must submit separately an Annual Statewide Performance Report Narrative, for Titles I and 

III, which must be limited to no more than 25 pages. Other core 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 Performance Report Narrative, and the 

submission method, will be requested through subsequent Departmental guidance, and 

may include topics such as:

 A discussion of “best practices,” “lessons learned,” and “success stories” that focuses on 

serving individuals with barriers to employment, employers, and communities, including 

information based on the state's evaluation and related research projects. This discussion 

may include individuals such as out-of-school youth, low-income adults, dislocated 

workers, individuals who are basic skills deficient, individuals with disabilities, veterans, 

any other individuals with barriers to employment, and other populations the State 

may wish to discuss.

 Discussion of progress made in achieving the State’s strategic vision and goals, as 

described in the State’s Unified or Combined State Plan, for developing its workforce 

and meeting employer needs in order to support economic growth and economic selfsufficiency.

 Discussion of State progress in implementing sector strategies and career pathways. 

Discussion may include: business engagement strategies, work-based learning and 

training, including work experiences for youth and adults, transitional jobs, and 

incumbent worker training strategies and policies in the State.

 A listing of the waivers for which the State has received approval, information on how 

the waivers have changed the activities of the State and Local Areas, and how activities 

carried out under the waivers have directly or indirectly affected State and Local Area 

performance outcomes. 

 A discussion of the activities funded by the State’s discretionary (15 percent) funds. In 

this section of the narrative, States may describe activities undertaken in whole or in 

part with their discretionary funds, and how those activities directly or indirectly affect 

performance.

 Employer Metrics (including the metrics the State is piloting, as well as any other 

metrics the State is using).

 Brief descriptions of: (a) current or planned evaluation and related research projects, 

(b) efforts to coordinate the development of such projects with local boards and other 

state agencies, including those for core programs, (c) completed evaluation and 

related reports and how they were made accessible to the public electronically, and 

(d) efforts to provide data, survey responses and timely site visits for Federal 

evaluations. 

 A description of any National Dislocated Worker Grants awarded to or within the State, 

and how those funds are coordinated with State rapid response activities, dislocated 

worker programs, and disaster/emergency management activities, as applicable.
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 Description of rapid response activities and layoff aversion (include data on number of 

companies served, individuals served, strategies for linking to American Job Centers, 

etc.)

 Description of any technical assistance needs or policy challenges that most effect use of 

the workforce system. 

 Description of the State’s approach to assessing customer satisfaction, results achieved, 

and how the State has used the outcomes of customer satisfaction assessment to 

improve service delivery. 

In their Performance Report Narrative, States must address the items requested through 

subsequent Departmental guidance. States, however, 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 they address the requested items and stay within the 25-page limit established for 

the Narrative requirement.

Under WIOA section 185(a)(2), recipients of WIOA title I funds must submit such records 

and reports “as the Secretary of Labor may require regarding the performance of programs 

and activities carried out under [WIOA title I].” The information in narrative format will be 

helpful for the Departments to evaluate, in both a quantitative and qualitative way, the 

status and progress of workforce development program performance. 

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a 

new collection, indicate the actual use the agency has made of the information received 

from the current collection.

Section 116(d) of WIOA requires States, Local Boards, and ETPs to submit the data required 

in the information collection instruments covered in this ICR. The Departments will use the 

data collected to assess the effectiveness of WIOA’s core programs and to monitor and 

analyze the performance of their grantees. If States do not adequately meet the adjusted 

level of performance as described in 20 CFR 677.180, they are subject to the five percent 

sanction discussed in WIOA section 116(f).

This data collection permits the Departments to evaluate program effectiveness, monitor 

compliance with statutory requirements, and analyze participant activity, while complying 

with OMB efforts to streamline Federal performance reporting.

Data collected in the WIOA Annual Statewide Performance Report, WIOA Annual Local Area 

Performance Report, and WIOA ETP Performance Report (or the data associated) will be 

made accessible to the public through an annual report published at 

www.doleta.gov/performance (the Adult, Dislocated Worker, and Youth programs under 

title I and the Wagner-Peyser Act program under title III); https://rsa.ed.gov/ (the State 

VR Services program under title IV); and
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http://www.ed.gov/about/offices/list/ovae/resource/index.html (the AEFLA program under 

title II). This performance information also will be distributed to workers and job seekers 

throughout the WIOA system, including through online formats as are consistent with 

statute. All reports will comply with the requirements of section 508 of the Rehabilitation 

Act, which requires electronic and information technology to be accessible to people with 

disabilities. 

It should also be noted that the above report displays will be subject to a data suppression 

methodology where aggregated values below a certain threshold within a given geographic 

entity will not be displayed. Specifics on this, including the level at which aggregated values 

cannot be displayed, will be disseminated jointly by the Departments in subsequent 

guidance.

3. Describe whether, and to what extent, the collection of information involves the use of 

automated, electronic, mechanical, or other technological collection techniques or other 

forms of information technology, e.g., permitting electronic submission of responses, and 

the basis for the decision for adopting this means of collection. Also, describe any 

consideration of using information technology to reduce burden.

States are encouraged to collect participant data through electronic means. The majority of 

the information collection instruments covered in this ICR (e.g., WIOA Annual Statewide

Performance Reports, individual record data) may be submitted electronically through 

portals established by the Departments. For the VR program, RSA will develop the WIOA 

Annual Statewide Performance Reports based upon the information VR agencies submit via 

the RSA-911 data collection. 

We note that DOL is in the process of developing a new online system for States and 

grantees to submit their performance report data. This new system, the Workforce 

Integrated Performance System (WIPS), became available for submissions of the first 

reporting quarter of data in Program Year 2016 (by October 1, 2016). Implementation of 

the integrated performance reporting system will take place in several phases. The system 

capabilities will expand over the course of the phased implementation. Program 

performance reporting implementation also will be phased in as the system capabilities are 

fully realized. During Phase 1 of the Performance System Implementation Plan, WIPS will 

accept data uploads of comma separated values (csv) files and comma delimited text files 

from States and grantees on the data elements specific to each program. The Enterprise 

Data Reporting and Validation System (EDRVS) will continue to accept legacy layout files 

until the reporting requirements for participating programs are closed out. DOL will 

continue to provide training and technical assistance as States and grantees adjust to 

submitting performance data using a new system. For additional information on 

implementation of WIPS, refer to DOL’s Training and Employment Notice No. 08-16, 

“Implementation of an Integrated Performance Reporting System for Multiple Employment 
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and Training Administration (ETA) and Veterans’ Employment and Training Services (VETS) 

Administered Programs” (August 24, 2016).4

4. Describe efforts to identify duplication. Show specifically why any similar information 

already available cannot be used or modified for use for the purposes described in Item 2 

above.

The information covered in this ICR would be collected in addition to other program-specific 

collections under approved OMB Control Numbers/Report titles described in more detail 

later in this section. The information collection covered in this ICR incorporates only those 

data elements that are common to all core programs and required by section 116 of WIOA. 

The Departments collaborated to develop common definitions across programs, to the 

extent applicable, in order to further reduce the chances of duplicative reporting. The 

WIOA ETP Report is not duplicative of any existing information collection. 

The DOL notes that this ICR will take the place of several other currently existing 

information collections, as described below. 

Information collection burdens associated with this ICR represent only the burden 

associated with reporting the common performance data elements by the core programs 

and information collections that will be continued and are currently approved under various 

control numbers as outlined later in this section. This ICR does not reflect any burden 

associated with existing data collections that will continue separate and distinct and that 

are currently approved under other control numbers. 

The currently-approved program-specific data reporting that will continue, as applicable, 

in addition to the common data ICR discussed herein, for the core programs include:

● OMB Control Number 1205-0420, Workforce Investment Act (WIA) Management 

Information and Reporting System. (This information collection will be in use 

simultaneously for some time until all WIA reporting requirements have ended.)

● OMB Control Number 1205-0240, Labor Exchange Reporting System. (This package will 

be in use simultaneously for some time until all Labor Exchange/Employment Service 

reporting requirements have ended.)

● OMB Control Number 1830-0027, Measures and Methods for the National Reporting 

System for Adult Education.

● OMB Control Number 1820-0508, Case Service Report (RSA-911). 

 

4

 Available at DOL’s website at https://wdr.doleta.gov/directives/attach/TEN/TEN_08-16.pdf, last accessed on 

December 9, 2016.
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The Departments anticipate that some, but not all, of the above information collections 

may be phased out or modified, as appropriate, as the WIOA performance measures are 

fully implemented. 

WIOA requirements that are addressed in this ICR also may overlap with currently approved 

information collections under program-specific ICRs previously mentioned. However, it is 

the intent of the Departments to revise existing ICRs or create new ICRs to supplement this 

information collection, as appropriate, to reduce duplication for the States. For example, as 

described in response to Item 1 above, RSA has modified its existing Case Service Report 

(RSA-911) for the purpose of collecting individual-level WIOA core program data from the 

80 VR program grantees on a quarterly basis. RSA uses no other method for collecting the 

data required under section 116 of WIOA and there exists no overlap with any other data 

collection instrument used by RSA. 

Performance requirements of WIA will continue to apply to the title I Adult, Dislocated 

Worker, and Youth programs and the title III Wagner-Peyser program although the 

performance requirements of WIOA are in effect. States must submit a closeout report for 

WIA title I and Wagner-Peyser programs in program year 2018. For this reason, the 

separate packages that address the requirements of WIA and WIOA must be simultaneously 

active for at least several months to collect the required data. The WIOA burden has been 

calculated to reflect the estimate of monetary costs and staff hours necessary to operate 

the WIOA Performance Management, Information and Reporting System once full 

implementation has taken place. We acknowledge that this results in a temporary but 

technical overstatement of the combined WIA and WIOA burdens while the new system is 

phased in and the previous system comes to a close. Throughout the next several years the 

burden will decrease as overlapping requirements in the WIA Management Information and 

Reporting System (OMB Control Number 1205-0420) and Labor Exchange Reporting System 

(OMB Control Number 1205-0240) are discontinued.

5. If the collection of information impacts small businesses or other small entities, describe any

methods used to minimize burden.

This information collection does not have a significant impact on small entities. However, 

grantees must secure the necessary data from all sub-recipients, as applicable, to 

incorporate into grantee-required reporting formats.
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6. Describe the consequence to Federal program or policy activities if the collection is not 

conducted or is conducted less frequently, as well as any technical or legal obstacles to 

reducing burden.

Failure to collect or report the required performance data less frequently than annually, 

would violate WIOA. Such failure could impact a State’s receipt of Federal funds under 

WIOA, and/or be a determining factor for a financial sanction on the State pursuant to 

section 116(f) of WIOA. Moreover, such failure could impede the Departments’ efforts to 

ensure compliance with Federal performance requirements, thereby affecting the 

Departments’ ability to safeguard the Federal interest. 

7. Explain any special circumstances that would cause an information collection to be 

conducted in a manner:

This ICR implicates no special circumstances. 

8. If applicable, provide a copy and identify the date and page number of publication in the 

Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on 

the information collection prior to submission to OMB. Summarize public comments 

received in response to that notice and describe actions taken by the agency in response to 

these comments. Specifically address comments received on cost and hour burden. 

Describe efforts to consult with persons outside the agency to obtain their views on the 

availability of data, frequency of collection, the clarity of instructions and recordkeeping, 

disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, 

or reported.

Consultation with representatives of those from whom information is to be obtained or 

those who must compile records should occur at least once every 3 years—even if the

collection of information activity is the same as in prior periods. There may be 

circumstances that may preclude consultation in a specific situation. These circumstances 

should be explained.

The Departments engaged the public through an NPRM Federal Register notice, published 

on April 16, 2015 at 80 FR 20573; the regulatory comment period closed on June 15, 2015.

The Departments solicited public comments on this information collection prior to 

submission to OMB by publishing a 60-day Federal Register notice at 80 FR 43474 

(July 22, 2015).

Following the 60-day comment period, the Departments received 112 comments in 

response to the Federal Register notice: 26 were submitted by State VR agencies; 

47 responses were submitted by State and local workforce agencies, Workforce Investment 

Boards, One-Stop Career Centers, and State Associations of Workforce Investment Boards; 

13 were submitted by organizations, State and local agencies, learning institutions, and 
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contractors who provide adult education services; 8 were submitted by national 

associations, public interest groups, and research organizations; 7 were submitted by local 

education departments/institutions; and 11 were submitted by private citizens. A summary 

of the comments received and the Department’s responses can be found in the Summary of 

30-Day Federal Register Notice (FRN) Comments and Responses document, located in the 

comment section of ROCIS. Full comments are available at 

https://www.regulations.gov/#!searchResults;rpp=25;po=0;s=ETA-2015-

0007;fp=true;ns=true. All responses reflect the agreement of DOL and ED.

The Departments considered public comments received in developing the final rule and 

associated information collection instruments. On August 19, 2016 (81 FR 55792), the 

Departments issued a Joint Final Rule to implement jointly administered activities 

authorized by title I of WIOA. The final rule became effective on October 18, 2016.

9. Explain any decision to provide any payment or gift to respondents, other than 

remuneration of contractors or grantees.

There are no payments or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for 

assurance in statute, regulation, or agency policy.

This ICR does not contain assurances of confidentiality, as States are the respondents. This 

collection of information collects personally identifiable information (PII) such as birthdates 

and Social Security numbers. For example, Social Security numbers (SSNs) are requested in 

Case Service Report (RSA-911); this PII is used for record control purposes (i.e., to cull out 

duplicates) and for the RSA-SSA Data Exchange required by section 131 of the Rehabilitation 

Act of 1973, as amended by title IV of WIOA. The Departments will not accept Social 

Security information reported by programs under Titles I, II, and III, unless collection and 

reporting of SSNs is specifically noted and required under the individual program. 

11. Provide additional justification for any questions of a sensitive nature, such as sexual 

behavior and attitudes, religious beliefs, and other matters that are commonly considered 

private. This justification should include the reasons why the agency considers the questions 

necessary, the specific uses to be made of the information, the explanation to be given to 

persons from whom the information is requested, and any steps to be taken to obtain their 

consent.

There are no sensitive questions included in the information collections covered in this ICR. 
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12. Provide estimates of the hour burden of the collection of information. 

Summary:

The apportionment of burden between the Departments is discussed later in this section; 

however, it may be useful to consider the combined burden States and participants will 

undertake. For purposes of data entry into the reginfo.gov database, this ICR requests only 

burden for DOL. Due to system limitation, the burden will be apportioned for data entry 

purposes by each agency claiming a portion of the total burden and responses; these total 

burden and responses will reflect the total time burden once the two agencies have 

completed their actions.

For purposes of this ICR, the Governor of a State will report information on an annual basis.

The Departments recognize that similar information may be reported to each program on a 

more frequent basis. Those separate ICRs will claim the burden for program specific 

reporting. Time burden for each response includes underlying recordkeeping and the filing 

of each report.

The total hourly burden for this collection is 9,863,065 hours annually with 19,113,825 

unduplicated respondents and 38,216,056 responses. As explained elsewhere in this ICR, 

the DOL share of this burden is 8,325,136 hours, based on the fact that approximately 

84 percent of the burden under the collections is borne by DOL programs. Each 

Department will claim its burden by claiming a share of the responses, in order to have 

totals align; thus, DOL is claiming 33,018,447 responses for purposes of this submission. 

The ED requests will be 5,197,609 responses and 1,537,929 burden hours.

Apportionment Detail:

The annual burden for the information collection of the common performance 

accountability data is calculated across core programs based on the number of program 

participants, the time it takes each respondent to complete and submit its report, and the 

costs incurred by each program to complete the data collection and report submission 

process. In administering the WIOA core programs, States will collect standardized data 

elements using this common control number for all core programs, i.e., WIOA Adult, 

Dislocated Workers, and Youth; Wagner-Peyser; AEFLA; and VR programs. The WIOA 

Annual Local Area Performance Reports for title I programs are populated based on the 

information provided within a given State’s WIOA Annual Statewide Performance Report 

Template, using the exact same data elements and reporting format, and filtered by the 

Local Area in question. As such, the Local Area Performance Report incurs no additional 

collection burden. The burdens for the ETP Report and the Annual Statewide Performance 

Report Narrative are included as a separate set of tables within this burden estimate. 

a. WIOA Participant Individual Record Layout (PIRL) (ETA-9170)
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Participants who avail themselves of WIOA funded educational programs and services must 

provide information about themselves to training providers or State agencies. State 

agencies must collect this information over the course of a year and annually provide it to 

either DOL or ED. The burden for reporting the information to ED is accounted for in 

OMB Control Number 1820-0508. The burden for reporting the information to DOL is 

accounted for in Section 12.b of this document (“WIOA Annual Statewide Performance 

Report”) as all of the information from the DOL sponsored PIRL electronic system is 

compiled and sent to DOL by the States as part of the annual Statewide and Local 

Performance Report. 

Table 1: WIOA Participant Third-Party Disclosure – Annualized Burden Hour Estimate

PROGRAM Number of

Respondents

Number of

Responses per

Respondent

Total Number

of Responses

Burden per

Response

(in hours)

Total

Respondent

Burden Hours

A B C = A x B D E = C x D

Adult, Dislocated

Worker and Youth

(DOL/ETA)

ETA-9170

1,835,799 1 1,835,799 0.25 458,950

Wagner-Peyser

(DOL/ETA)

ETA-9170

14,667,639 1 14,667,639 0.25 3,666,910

Adult Education

(Education)

ETA-9170

1,598,736 1 1,598,736 0.25 399,684

Vocational

Rehabilitation

(Education)

ETA-9170

1,000,000 1 1,000,000 0.25 250,000

Unduplicated 

TOTALS 19,102,174 1 19,102,174 0.25 4,775,544

The annual burden hours were determined based on the estimated number of annual 

participant responses per program (the total estimated number of annual responses) and 

the average number of minutes necessary to collect the required data for each person’s 

individual record (minutes per record). For example, by multiplying the Wagner-Peyser Act 

program’s total estimated number of annual responses (14,667,639) by their minutes per 

record (15 minutes or 0.25 hours) and dividing the product by the 60 minutes that make up 

an hour, an annual burden of 3,666,910 hours is calculated. 
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Table 2: WIOA Participant Statewide Recordkeeping – Annualized Burden Hour Estimate

PROGRAM Number of

Respondents

Number of

Responses per

Respondent

Total Number

of Responses

Burden per

Response

(in hours)

Total

Respondent

Burden Hours

A B C = A x B D E = C x D

Adult, Dislocated

Worker and Youth

(DOL/ETA)

ETA-9170

57 32,207 1,835,799 0.25 458,950

Wagner-Peyser

(DOL/ETA)

ETA-9170

57 257,327 14,667,639 0.25 3,666,910

Adult Education

(Education)

ETA-9170

57 28,048 1,598,736 0.33 527,583

Vocational

Rehabilitation

(Education)

ETA-9170

80 12,500 1,000,000 0.36a 360,000

Unduplicated 

TOTALS 251 Varies 19,102,174 Varies 5,013,443

a Vocational Rehabilitation Counselors are estimated to spend an average of 1 minute per data element collecting 

all the new data elements resulting from the WIOA. For the first year of data collection, the increase in burden will 

be greater than in subsequent years. Table 2 includes the annualized burden for the first and subsequent years of 

data collection. However, it has been determined that 36 percent of these elements are those that impact section 

116(d) of WIOA, resulting in an estimated annualized burden of 360,000 hours.
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Table 3: WIOA Participant Third-Party Disclosure and Statewide Recordkeeping –

Annualized Cost Burden Estimate

PROGRAM

Total

Respondent

Burden Hours

Hourly

Wage Ratec, d

Total

Respondent

Burden Cost

A B C = A x B

Participant Third-Party 

Disclosures 4,775,544a $7.25 $34,622,694

Statewide

Recordkeeping of

Participants Information

5,013,443b $36.48 $182,890,401

TOTAL 9,788,987 Varies $217,513,095

a Estimates obtained from Table 1, Column E (Unduplicated Totals).

b Estimates obtained from Table 2, Column E (Unduplicated Totals).

c

 Participants’ time, for the purposes of the PRA, is costed out at the Federal minimum wage. 

d

 For Statewide recordkeeping, average hourly wage rate for social workers obtained from the 

following data source: U.S. Department of Labor, Bureau of Labor Statistics (BLS); May 2015 National 

Industry-Specific Occupational Employment and Wage Estimates; NAICS 999200 - State Government, 

excluding schools and hospitals (OES Designation); Social Workers (Occupation Code 21-1020); Mean 

Hourly Wage. The average hourly wage rate was adjusted for inflation (using a factor of 1.036 based 

on Employment Cost Indices (ECI) developed by BLS) and to include benefits (using a multiplier of 1.57 

included in the currently-approved ICR Supporting Statement).

b. WIOA Annual Statewide Performance Report (ETA-9169)

States are required to report on participation in WIOA funded programs annually. There are 

six programs affected by this requirement. Four of the programs are administered by DOL,

and two are administered by ED. However, WIOA requires that both Departments report 

common information. The ETA-9169, WIOA Statewide and Local Performance Report 

Template, is used by both departments.

As described in response to Item 1 above, RSA will prepare the Annual Statewide 

Performance Report for the VR program using the quarterly data VR agencies submit 

through the program’s Case Service Report (RSA-911) (OMB Control Number 1820-0508). 

To ensure its accuracy, RSA will send a preliminary report to the VR agencies for their 

review and feedback. The burden for this process is accounted for in Table 4. 
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Table 4: WIOA Annual Statewide Performance Report – Annualized Burden Hour Estimate

PROGRAM

Number of

Entities

Reporting

to the

Governor

Number of

Responses per

Respondent

(average number

of program

participants per State)

Total

Number of

Responses

Burden

per

Response

(in hours)

Total

Respondent

Burden

Hours

A B C = A x B D E = C x D

Adult, Dislocated

Worker and Youth

(DOL/ETA)

ETA-9169

57 1 57 4 228

Wagner-Peyser

(DOL/ETA)

ETA-9169

57 1 57 4 228

Adult Education

(Education)

ETA-9169

57 1 57 6 342

Vocational

Rehabilitation

(Education)

ETA-9169

80 1 80 4 320

Unduplicated

TOTALS 251a 1 251 Varies 1,118

a

 The total annual number of unique respondents (251) is based on the sum of the following numbers:

 52 States (as defined in WIOA Sec. 3(56)); each for ETA, ETP and Adult Education service providers - 156 unique 

respondents).

 5 outlying areas (as defined in WIOA Sec. 3(45)); each for ETA, ETP and Adult Education service providers - 15 unique 

respondents).

 80 State agencies (specific to Vocational Rehabilitation).

The annual burden hours were determined based on the estimated number of annual 

participant responses per program (the total estimated number of annual responses) and 

the average number of hours necessary to collect the required data. For example, by 

multiplying the Adult, Dislocated Worker and Youth programs’ total estimated number of 

annual responses (57) by the burden hours per response (4 hours), an annual burden of 

228 hours is calculated. 
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Table 5: WIOA Annual Statewide Performance Report – Annualized Burden Cost Estimate

PROGRAM

Total

Respondent

Burden Hoursa

Hourly

Wage Rate

Total Respondent

Burden Cost

A B C = A x B

Adult, Dislocated

Worker and Youth

(DOL/ETA)

ETA-9169

228 $36.48b $8,318

Wagner-Peyser

(DOL/ETA)

ETA-9169

228 $36.48b $8,318

Adult Education

(Education)

ETA-9169

342 $36.48b $12,477

Vocational

Rehabilitation

(Education)

ETA-9169

320 $47.53c $15,210

TOTAL 1,118 Varies $44,323

a Estimates obtained from Table 4, Column E.

b

 Based on average hourly wage rate for social workers obtained from the following data source: BLS; May 

2015 National Industry-Specific Occupational Employment and Wage Estimates; NAICS 999200 - State 

Government, excluding schools and hospitals (OES Designation); Social Workers (Occupation Code 21-1020); 

Mean Hourly Wage. The average hourly wage rate was adjusted for inflation (using a factor of 1.036 based 

on ECI developed by BLS) and to include benefits (using a multiplier of 1.57 included in the currentlyapproved ICR Supporting Statement).

c

 Based on average hourly wage rate for management analyst obtained from the following data source: BLS; 

May 2015 National Industry-Specific Occupational Employment and Wage Estimates; NAICS 999200 - State 

Government, excluding schools and hospitals (OES Designation); Management Analysts (Occupation Code 

13-1111); Mean Hourly Wage. The average hourly wage rate was adjusted for inflation (using a factor of 

1.036 based on ECI developed by BLS) and to include benefits (using a multiplier of 1.57 included in the 

currently-approved ICR Supporting Statement).
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c. WIOA ETP Performance Report (ETA-9171)

Training providers are required to collect data from participants based on the definitions in 

ETA-9171, Eligible Training Provider Definitions. 

Table 6: WIOA ETP Performance Report – Annualized Hour Burden Estimate

DATA

ELEMENTS

Number of

Respondents

Number of

Responses per

Respondent

Total Number

of Responses

Burden per

Respondent

(in hours)

Total

Respondent

Burden Hours

A B C = A x B D E = C x D

Primary Performance

Indicators

(DOL/ETA)

ETA-9171

11,400 1 11,400 6 68,400

Additional Training

Program

Information

(DOL/ETA)

ETA-9171

11,400 1 11,400 0.25 2,850

Unduplicated

TOTALS 11,400 1 11,400 Varies 71,250

The annual burden hours for ETP recordkeeping were determined based on the estimated 

number of training providers (the total estimated number of annual responses) and the 

average number of hours necessary to compile the required data. The total estimated 

number of annual responses was determined based on an estimated 200 training providers 

per State across 57 States and outlying areas. The annual hour burden is determined by 

multiplying the ETP annual participant responses (11,400) by the corresponding burden per 

response (6 hours or 0.25 hours). The resulting annual burden is estimated to be 

71,250 hours (68,400 hours + 2,850 hours). 
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Table 7: WIOA ETP Performance Report – Annualized Cost Burden Estimate

DATA

ELEMENTS

Total

Respondent

Burden Hours

Hourly

Wage Ratea

Total

Respondent

Burden Cost

A B C = A x B

Primary Performance

Indicators

(DOL/ETA)

ETA-9171

68,400 $59.08 $4,041,072

Additional Training

Program

Information

(DOL/ETA)

ETA-9171

2,850 $59.08 $168,378

TOTAL 71,250 $59.08 $4,209,450

a

 Based on average hourly wage rate for database administrators obtained from the following data source: BLS; 

May 2015 National Industry-Specific Occupational Employment and Wage Estimates; NAICS 999300 - Local 

Government, excluding schools and hospitals (OES Designation); Database Administrators (Occupation Code 15-1141); 

Mean Hourly Wage. The average hourly wage rate was adjusted for inflation (using a factor of 1.036 based on ECI 

developed by BLS) and to include benefits (using a multiplier of 1.57 included in the currently-approved ICR Supporting 

Statement).

d. Annual Statewide Performance Report Narrative

States must submit an Annual Statewide Performance Report Narrative, which must be 

limited to 25 pages. Information in the Report Narrative will be helpful for the Departments 

to evaluate, in both a quantitative and qualitative way, the status and progress of workforce 

development program performance. 

Table 8: Annual Statewide Performance Report Narrative – Annualized Burden Hour Estimate

INFORMATION 

COLLECTION

Number of

Entities

Reporting

to the

Governor

Number of

Responses per

Respondent

Total

Number of

Responses

Burden

per

Response

(in hours)

Total

Respondent

Burden

Hours

A B C = A x B D E = C x D

Report Narrative

(DOL/ETA) 57 1 57 30 1,710
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The annual burden hours were determined based on the estimated number of annual 

participant responses and the average number of hours necessary to develop and submit 

the Report Narrative. For example, by multiplying the total estimated number of annual 

responses (57) by the burden hours per response (30 hours), an annual burden of 

1,710 hours is calculated. 

Table 9: Annual Statewide Performance Report Narrative – Annualized Burden Cost Estimate

INFORMATION 

COLLECTION

Total

Respondent

Burden Hoursa

Hourly

Wage Rate

Total Respondent

Burden Cost

A B C = A x B

Report Narrative

(DOL/ETA) 1,710 $36.48b $62,381

a

 Estimates obtained from Table 8, Column E.

b

 Based on average hourly wage rate for social workers obtained from the following data source: BLS; May 2015 National 

Industry-Specific Occupational Employment and Wage Estimates; NAICS 999200 - State Government, excluding schools 

and hospitals (OES Designation); Social Workers (Occupation Code 21-1020); Mean Hourly Wage. The average hourly 

wage rate was adjusted for inflation (using a factor of 1.036 based on ECI developed by BLS) and to include benefits 

(using a multiplier of 1.57 included in the currently-approved ICR Supporting Statement).

The total number of burden hours is divided between reporting and recordkeeping as shown in 

Table 10.

Table 10: Allocation of Burden among the Departments

for Information Collections Covered in this ICR

Total DOL Portion ED Portion

Total Hourly Burden 9,863,065 8,325,136 1,537,929

Reporting 2,828 2,166 662

Recordkeeping 5,084,693 4,197,110 887,583

Third-party Disclosure 4,775,544 4,125,860 649,684

Total Unduplicated Respondents 19,113,825 16,514,952 2,598,873

Total Responses 38,216,056 33,018,447 5,197,609

The following table can be used as a guide to calculate the total burden of an information 

collection. 
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Table 11: Comprehensive Burden Analysis for All Information Collections Covered in this ICRa

Information 

Collection Program(s) Number ofRespondents

Responses

per Year

Total

Responses

Average

Hours per

Response 

Annual

Burden

Hours

Average

Hourly

Wage

Time

Value

A B C = A x B D E = C x D F G = E x F

PIRL - Participant 

Reporting

(ETA-9170)b

Adult, Dislocated Worker and Youth

Wagner-Peyser

Adult Education

Vocational Rehabilitation

19,102,174 1 19,102,174 0.25 4,775,544 $7.25 $34,622,694

PIRL - Participant 

Recordkeeping

(ETA-9170)c

Adult, Dislocated Worker and Youth 57 32,207 1,835,799 0.25 458,950 $36.48 $16,742,496

Wagner-Peyser 57 257,327 14,667,639 0.25 3,666,910 $36.48 $133,768,877

Adult Education 57 28,048 1,598,736 0.33 527,583 $36.48 $19,246,228

Vocational Rehabilitation 80 12,500 1,000,000 0.36 360,000 $36.48 $13,132,800

Statewide 

Performance 

Report 

(ETA-9169)d

Adult, Dislocated Worker and Youth 57 1 57 4 228 $36.48 $8,318

Wagner-Peyser 57 1 57 4 228 $36.48 $8,318

Adult Education 57 1 57 6 342 $36.48 $12,477

Vocational Rehabilitation 80 1 80 4 320 $47.53 $15,210

ETP Performance 

Report

(ETA-9171)e

Eligible Training Provider (ETP) 11,400 1 11,400 6.25 71,250 $59.08 $4,209,450

Report Narrativef

Adult, Dislocated Worker and Youth

Wagner-Peyser

Adult Education

Vocational Rehabilitation

57 1 57 30 1,710 $36.48 $62,381

Unduplicated Totals 19,113,825g Varies 38,216,056 Varies 9,863,065 Varies $221,829,249

a

 Estimates in table may contain rounding error.

b

 Estimates obtained from Tables 1 and 3.

c

 Estimates obtained from Tables 2 and 3.

d

 Estimates obtained from Tables 4 and 5.

e

 Estimates obtained from Tables 6 and 7.

f

 Estimates obtained from Tables 8 and 9.

g

 Unduplicated total for number of respondents was obtained using the following calculation: [PIRL – Participant Reporting] + [Number States and Outlying Areas] + [Number State 

Agencies] + [Number ETPs] = 19,102,174 + 57 + 80 + 11,400 = 19,113,825.
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13. Provide an estimate for the total annual cost burden to respondents or record keepers 

resulting from the collection of information. (Do not include the cost of any hour burden 

already reflected on the burden worksheet).

Summary:

There also will be an associated start-up cost for each respondent to implement WIOA. 

These costs include: enhancements to data collection systems to adhere to WIOA 

requirements, training staff on data collection rules, and for ETA, associated IT cost for 

transitioning data intake systems to collect exit information in a new method (e.g., data 

systems must be able to re-open closed cases if a participant re-enters the program within a 

given program year). A breakdown of these costs is listed below. It should be noted that 

the costs included here are one-time only, except for OCTAE’s AEFLA respondents.

Employment and Training Administration

For DOL core programs, the total cost of $5.7 million to respondents is derived from an 

estimated cost of $100,000 per each of the 57 respondents using regulatory impact analysis 

(RIA) source data. This cost to State grantees is primarily to upgrade/revise their 

management information systems to be able to collect the new data elements required 

under WIOA, to revise some data elements that may have changed as a result of sharing 

definitions and input values with ED, and to create a unique identifier that can be tracked 

over time. Any additional cost associated with data collection and reporting will be incurred 

at the Federal level to accept the revised format of the data files from each respondent.

Office of Career, Technical, and Adult Education

Because individual participant records for OCTAE’s AEFLA program are collected and 

maintained at the State level by State agencies responsible for administering and 

supervising adult education policy, significant enhancements and maintenance of State data 

systems and staff training will be required under WIOA. OCTAE estimates the annual cost 

of State data system requirements and staff training for compliance with the new 

collection and reporting of WIOA performance data at $350,000. This annual cost is 

comprised of $250,000 for data system enhancements, maintenance, and staff training and 

$100,000 for the additional data matching and staff training required to collect data and 

report outcomes for each participant exit. The review of public comments resulted in a 

decision by the Departments that a participant who has more than one exit during a 

program year will count as a separate participant for each exit for data collection and 

outcome reporting under the performance indicators. For such participants, the ICR uses 

the term “period of participation” to refer to the time between each “date of program 

entry” and the corresponding “date of program exit” during a program year. Such 

participants have multiple periods of participation in a given program year. Prior to WIOA, 

the AEFLA program reported only unduplicated counts of participant outcomes. Making the 

change to an accountability structure that is based on reporting outcomes for each exit by a 
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participant during a program year represents a significant operational change for OCTAE’s 

AEFLA program and will require a commensurate increase in the associated annual IT, data 

matching, and training costs for each respondent. 

Rehabilitation Services Administration

All 80 State VR agencies will incur burden for start-up activities associated with modifying 

their case management systems (CMS) to collect and report data required by WIOA, 

including data to support the primary indicators of performance and other related 

performance requirements under section 116 of title I of WIOA. However, the burden for 

making such changes will vary among the 80 VR agencies dependent upon the size, 

sophistication of their information technology systems, and whether the agency contracts

for outside assistance for developing and maintaining their CMS. We estimate that each of 

the 80 State VR agencies will require computer systems analysts for the task of modifying 

and reprogramming their CMS. However, because the level of effort for making such 

changes will vary, the burden estimates for this work by Computer Systems Analysts has 

been broken down to reflect this complexity. Roughly 30 of the 80 VR agencies use case 

management and reporting systems purchased from software providers who are 

responsible for maintaining and updating software. We estimate that each of these 

30 VR agencies will require two Computer Systems Analysts to spend 150 hours integrating 

the software changes into their own State systems, resulting in 300 hours per agency, or a 

total of 9,000 hours in additional burden for all 30 agencies. Of the remaining 

50 VR agencies that do not have agreements with a software provider to maintain and 

update software, five of these agencies are categorized as large agencies (with more than 

5,000 employment outcomes) and 45 of these agencies are categorized as small to mediumsized agencies (with fewer than 1,000 employment outcomes, and between 1,000 and 

5,000 employment outcomes, respectively). We estimate the five large agencies will 

require five computer systems analysts to spend 1,000 hours each to maintain and update 

agency software (5,000 hours per agency), for a total of 25,000 hours. We estimate the 45 

small to medium-sized agencies will require two computer systems analysts to spend 1,000 

hours each to maintain and update the software (2,000 hours per agency), for a total of 

90,000 hours in order to make the necessary software changes. This results in a total of 

115,000 hours for the 50 agencies without outside vendor support to maintain and update 

their information systems. 

Combining this burden with the 9,000 hours for the 30 agencies that we estimate will only 

have to integrate the software modifications provided through their vendor contract results 

in a total burden estimate of 124,000 hours for all 80 VR agencies. Prorating these total 

burden hours at 36 percent results in an estimated total of 44,640 hours. Using an hourly 

compensation rate of $57.95 (based on data from the Bureau of Labor Statistics for State-
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employed Computer Systems Analysts)5, the prorated estimated cost for all 80 VR agencies 

is $2,586,888 (44,640 hours x $57.95 = $2,586,888). 

In addition to maintaining and updating software, 48 of the 50 VR agencies that do not 

utilize vendor supplied case management software will incur additional software licensing 

or user fees. Using an average cost of $700 per user annually, we estimate a total cost for 

the approximate 6,600 users in States served by vendor systems of $4,620,000. However, 

we estimate that only 20 percent of the increase in such costs, or $924,000, is related to 

WIOA requirements. Applying the 36 percent proration factor to this estimated amount, 

the 48 agencies will incur an additional $332,640 in licensing or user fees.

WIOA core programs will need access to quarterly State UI wage data in order to efficiently 

identify exited participants who are employed in the second and fourth full quarters after 

exit to report on the employment indicators. These agencies also will need access to the 

State quarterly UI wage data to identify the individual quarterly wages in the second full 

quarter in order to calculate the median wage indicator. Prior to WIOA, DOL and Adult 

Education programs obtained quarterly UI wage data on their participants. However, this 

will be the first time that State VR agencies will be required to obtain and report UI wage 

data. VR programs will need to contribute a reasonable and proportional share of the costs 

for the maintenance and use of the State UI wage system and interstate wage information 

systems, on a per individual, per query, monthly, quarterly or annual basis. For State VR 

agencies, the Departments estimated this cost by first multiplying the data query cost for 

large VR agencies ($20,000) by the number of large VR agencies (10). We then multiplied 

the data query cost for medium VR agencies ($8,000) by the number of medium VR 

agencies (42). Finally, we multiplied the data query cost for small VR agencies ($4,000) by 

the number of small VR agencies (28). We summed the annual data query cost for all VR 

agencies to obtain a total estimated cost of $648,000.

 

5

 BLS; May 2015 National Occupational Employment and Wage Estimates by Ownership; State government, 

including schools and hospitals; Computer Systems Analysts (Occupation Code 15-1121); Mean Hourly Wage. 

Available at https://www.bls.gov/oes/current/999201.htm#15-0000, last accessed on December 16, 2016. The 

average hourly wage rate was adjusted for inflation (using a factor of 1.036 based on ECI developed by BLS) and to 

include benefits (using a multiplier of 1.57 included in the currently-approved ICR Supporting Statement).
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Table 12: Collection of Unemployment Insurance Wage Data

Size of 

VR 

Agency

Number 

of 

Affected 

Entities

Applicable Cost Total Cost

Large 10 $20,000 $200,000

Medium 42 $8,000 $336,000

Small 28 $4,000 $112,000

TOTAL 80 Varies $648,000

State VR agencies will need to purchase data analytic software and other IT tools, including 

related training to increase their capability to more effectively analyze their program data 

for the primary indicators of performance and the disaggregation of the performance data 

by employment barriers. In addition, they will need to the capability to integrate data from 

UI reporting systems into their case management systems. We estimate that these onetime costs will average $25,000 for each of the 10 large agencies, $15,000 for each of the 

42 medium-sized agencies, and $10,000 for each of the 28 small sized agencies. These 

estimated costs of $250,000 for large agencies, $630,000 for medium-size agencies, and 

$280,000 for small-sized agencies, sum to a total cost of $1,160,000 for all 80 VR agencies. 

Finally, the 80 VR agencies will be required to train VR Counselors on the new and modified 

data elements that need to be collected and entered into their case management system. 

We estimate that each VR agency has an average of 62 VR Counselors and that each 

VR Counselor will require 8 hours of training. Using an hourly compensation rate of $39.70

per VR Counselor (based on data from BLS)

6

, the estimated cost for VR Counselors to 

receive such training is $1,575,296 for all 80 agencies, or $19,691 per agency. In addition, 

we estimate that development of the training materials and methodologies will require one

Staff Trainer 8 hours per VR agency. Using the Social and Community Service Manager 

hourly compensation rate ($56.80)

7 as a proxy for the Staff Trainer, the estimated cost for 

development of the training is $36,352 for all 80 agencies (1 Staff x 8 hours x $56.80 x 80

 

6

 BLS; May 2015 National Occupational Employment and Wage Estimates by Ownership; State government, 

including schools and hospitals; Counselors (Occupation Code 21-1010); Mean Hourly Wage. Available at 

https://www.bls.gov/oes/current/999201.htm#15-0000, last accessed on December 16, 2016. The average hourly 

wage rate was adjusted for inflation (using a factor of 1.036 based on ECI developed by BLS) and to include 

benefits (using a multiplier of 1.57 included in the currently-approved ICR Supporting Statement).

7

 BLS; May 2015 National Occupational Employment and Wage Estimates by Ownership; State government, 

including schools and hospitals; Social and Community Service Managers (Occupation Code 11-9151); Mean Hourly 

Wage. Available at https://www.bls.gov/oes/current/999201.htm#15-0000, last accessed on December 16, 2016. 

The average hourly wage rate was adjusted for inflation (using a factor of 1.036 based on ECI developed by BLS) 

and to include benefits (using a multiplier of 1.57 included in the currently-approved ICR Supporting Statement).
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agencies = $36,352). The total estimated cost for development of the training and VR 

Counselor participation in the training is $1,611,648 for all 80 VR agencies ($1,575,296 + 

$36,352 = $1,611,648). Since we are estimating that approximately 36 percent of the 

burden is related to joint performance accountability, the estimated total cost associated is

$580,193 ($1,611,648 x 36% = $580,193), or $7,252 per VR agency ($580,193 / 80 agencies 

= $7,252).

Summing all of the estimated start-up costs associated with this joint data collection, the 

cost per VR agency is $66,347 ([$2,586,888 for software modifications + $332,640 for 

additional licensing or user fees + $648,000 for collection of UI wage data + $1,160,000 for 

purchase of data analytic software and other IT tools + $580,193 for training development] 

/ 80 VR agencies). The total start-up costs for all 80 State VR agency respondents is 

estimated to be $5,307,760 ($66,347 x 80 VR agencies = $5,307,760).

Table 13: Start-up Cost Summary for Joint Performance ICR

b

For reginfo.gov database entry purposes, each agency has taken a proportional share of the cost burden based 

on the number of responses. The amortized cost per response over the responses provided by States is $159,576. 

$30,957,760 / 194 responses = $159,576. 

14. Provide estimates of annualized costs to the Federal government. Also, provide a 

description of the method used to estimate cost, which should include quantification of 

hours, operational expenses (such as equipment, overhead, printing, and support staff), and 

any other expense that would not have been incurred without this collection of information. 

Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.

Based on previously estimated software development costs for the programs listed below, 

and considering the changes required by WIOA and the associated regulations, a 

preliminary estimate of the cost for the development of the software needed to accept 

these reports for the Departments is $2,175,711, including:

● $750,000 for the Adult and Dislocated Worker programs under Title I and WagnerPeyser programs under Title III (Employment and Training Administration of the DOL).

● $500,000 for the ETP reporting portal.

Department - Agency

Respondents

(each providing one 

response per year)

Start-up Costs

(per respondent)a

Total Annual

Start-up Cost

(for all respondents)

DOL - ETA 57 $100,000 $5,700,000

ED - OCTAE 57 $350,000 $19,950,000

ED - RSA 80 $66,347b $5,307,760

TOTAL 194 $516,347 $30,957,760b

a

 Annually over a three-year period. The Departments assume these initial costs also will cover any ongoing 

operation costs.
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● $750,000 for the AEFLA program under Title II (Office of Career, Technical, and Adult 

Education of the ED).

● $175,711 for VR under Title IV (RSA of the ED; cost derivation is presented below). 

The contract costs over 3 years average is $725,237. $2,175,711 / 3 years = $725,237.

(Costs include loaded wage factor of 1.63.)

VR will develop its software using new staff positions. We estimate that it will take two 

full-time Data Management Specialist positions, one at GS-13 Step 5 and one at GS-14 Step 5, 

to complete the necessary database programming requirements. With an hourly wage of 

$65.36 for the GS-13 position and $77.25 for the GS-14 position8, the total VR cost for 

software development is estimated to be $296,629. Because we are estimating that 

approximately 36 percent of the burden is related to joint performance accountability, the 

total attributable to the joint burden is $106,786. In addition, RSA will need to purchase 

software that will enable RSA to compile the quarterly data reported by VR agencies into 

the Annual Reports required under WIOA. The estimated cost of the needed software is 

$68,925.

(1 staff x 2,080 hours x $65.36 hourly wage = $135,949.

(1 staff x 2,080 hours x $77.25 hourly wage = $160,680.

$135,949 + $160,680 = $296,629 ($296,629 x 36% towards Joint Performance = $106,786)

$106,786 Joint Performance Cost + $68,925 Software Costs = $175,711 for RSA.

Based on previous estimates for Federal oversight, it is estimated that, on average, five

GS-13s and four GS-14s from each agency will spend 160 hours annually on oversight of 

each of the three core programs specified above. Assuming hourly pay at the GS-13 Step 5 

and GS-14 Step 5 level for the Washington D.C. Metro Area for 2016 is $81.57 and$96.38, 

respectively.

9

The Federal oversight costs are estimated to result in a total annualized cost of $380,818.

(5 staff x 3 programs x 160 hours x $81.57 hourly wage) = $195,768.

(4 staff x 3 programs x 160 hours x $96.38 hourly wage) = $185,050.

Federal annual oversight costs: $380,818. $195,768 + $185,050 = $380,818.

 

8

 U.S. Office of Personnel Management. 2016 General Schedule (GS) Locality Pay Tables. Available at 

https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/2016/general-schedule/, last accessed on 

December 16, 2016.

9

 Ibid.
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Total Annualized Cost to the Federal Government is: $1,106,055.

Total annualized costs of the initial development (contract) costs = $725,237. 

Federal oversight costs = $380,818.

15. Explain the reasons for any program changes or adjustments reported on the burden 

worksheet.

Changes to WIOA ETP Performance Report (Definitions-Only) (ETA-9171)

In this ICR, the Departments are adding data elements related to training program 

information to the ETP Performance Report. This additional information is necessary to 

facilitate the provision of more useful information to assist participants in choosing 

employment and training activities, and in choosing ETPs. Under WIOA section 185(a)(2), 

WIOA title I fund recipients must submit such records and reports “as the Secretary of Labor 

may require regarding the performance of programs and activities carried out under [WIOA 

title I].” Definitions and instructions with respect to these new data elements can be found 

in the revised ETA-9171. Additional information regarding these additional data elements is 

provided in Item 1 above.

Annual Statewide Performance Report Narrative

The Departments are adding a new information collection requirement related to the 

Annual Statewide Performance Report to this ICR. As part of this new requirement, States 

must submit separately an Annual Statewide Performance Report Narrative, which must be 

limited to 25 pages. Additional information regarding the contents of the Narrative is 

provided in Item 1 above. This Narrative is needed to enable the Departments to evaluate, 

in both a quantitative and qualitative way, the status and progress of workforce 

development program performance. Under WIOA section 185(a)(2), WIOA title I fund 

recipients must submit such records and reports “as the Secretary of Labor may require 

regarding the performance of programs and activities carried out under [WIOA title I].” 

16. For collections of information whose results will be published, outline plans for tabulation 

and publication. Address any complex analytical techniques that will be used. Provide the 

time schedule for the entire project, including beginning and ending dates of the collection 

of information, completion of report, publication dates, and other actions.

WIOA ANNUAL STATEWIDE PERFORMANCE REPORT (ETA-9169)

The Annual Report to be provided to Congress and the public via the Departments’ websites 

will be tabulated in a manner that corresponds to section 116(d)(2)(A)-(J) of WIOA:

A. Information specifying the levels of performance achieved with respect to primary 

indicators of performance for WIOA Youth, WIOA Adult, WIOA Dislocated Worker, 
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Wagner-Peyser, Adult Education and Family Literacy Act, and the Vocational 

Rehabilitation programs, and the State adjusted levels of performance with respect to 

such indicators for each program.

B. Information specifying the levels of performance achieved with respect to the primary 

indicators of performance for WIOA Youth, WIOA Adult, WIOA Dislocated Worker, 

Wagner-Peyser, Adult Education and Family Literacy Act, and the Vocational 

Rehabilitation programs with respect to individuals with barriers to employment, 

disaggregated by the following subpopulations: displaced homemakers, low-income 

individuals, Indians, Alaska Natives, and Native Hawaiians as such terms are defined in 

section 166 of WIOA, older individuals, low levels of literacy or English proficiency, 

disability status, homelessness, youth who are in or have aged out of the foster care 

system, migrant and seasonal farmworkers, single parents (including single pregnant 

women), ex-offender status, and welfare dependency of such individuals, and 

disaggregated by race, ethnicity, sex, and age.

C. The total number of participants served by each core program. 

D. Number of participants who received career services and training services, respectively, 

during the most recent program year and the three preceding program years and the 

amount of funds spent on each type of service.

E. The number of participants who exited from career services and training services, 

respectively, during the most recent program year and the three preceding program 

years.

F. The average cost per participant of those participants who received career services and 

training services, respectively, during the most recent program year and the three 

preceding program years. 

G. The percentage of participants in a program who received training services and obtained 

unsubsidized employment in a field related to the training received.

H. The number of individuals with barriers to employment served by each core program 

disaggregated by each subpopulation.

I. The number of participants enrolled in more than one core program. 

J. The percentage of the State’s annual allotment under section 132(b) that the State 

spent on administrative costs.
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WIOA ETP PERFORMANCE REPORT (ETA-9171)

Data shall be reported by each eligible provider of training services under section 122 of 

WIOA, with respect to each program of study, in a manner that is tabulated as described in 

section 116(d)(4)(A)-(F) of WIOA, summarized below:

A. Information specifying the levels of performance achieved with respect to the primary 

indicators at WIOA sec. 116(b)(2)(A)(i)(I)-(IV) and 116(b)(2)(A)(ii)(I)-(III);

B. The total number of individuals exiting from the program of study (or the equivalent);

C. The total number of participants who received training services through each of the 

adult program and the dislocated worker program authorized under chapter 3 of 

subtitle B of title I of WIOA, disaggregated by the type of entity that provided the 

training, during the most recent program year and the three preceding program years;

D. The total number of participants who exited from training services, disaggregated by the 

type of entity that provided the training, during the most recent program year and the 

three preceding program years;

E. The average cost per participant for the participants who received training services, 

disaggregated by the type of entity that provided the training, during the most recent 

program year and the three preceding program years; and

F. The number of individuals with barriers to employment served by each of the adult 

program and the dislocated worker program authorized under chapter 3 of subtitle B, 

disaggregated by race and ethnicity, sex, age, and each subpopulation of individuals 

with barriers to employment.

As specified by WIOA sec. 116(d)(6), States must make the above ETP-related data publicly 

available (including by electronic means), in an easily understandable format (see 20 CFR 

680.400(b)).

17. If seeking approval not to display the expiration date for OMB approval of the information 

collection, explain the reasons that display would be inappropriate.

The expiration date for OMB approval is displayed.

18. Explain each exception to the topics of the certification statement identified in “Certification 

for Paperwork Reduction Act Submissions.”

There are no exceptions to the certification statement.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This information collection does not employ statistical methods.