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Background. Form ETA 9038 is used by grantees who have been awarded Job Training Partnership Act (JTPA) Title III National Reserve, Defense or Clean Air discretionary funds to serve dislocated workers. Grantees are required to report concerning their expenditures and services as a condition of the receipt of grant funds. The instructions and form for this report have been revised to reflect changes in race/ethnic classification categories, changes in the method for submission of reports and number of copies provided, and deletion of section b., Type of grant (this information can be derived from the project ID number). OMB Approval. Reporting requirements are approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995. The assigned OMB number 1205-0318 has a new expiration date of May 31, 2001. Persons are not required to respond to this collection of information unless it displays a currently valid OMB control number. Burden Estimate. Public reporting burden for this collection of information is estimated to average 11 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U. S. Department of Labor, Office of Worker Retraining and Adjustment Programs, Room N-5426, 200 Constitution Avenue N.W., Washington, D. C. 20210 (Paperwork Reduction Project 1205- 0318). Action. State JTPA or Worker Adjustment Liaisons should make this information available to all appropriate officials and staff who need such information.

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Background. Training and Employment Guidance Letter (TEGL) No. 12-97 announced that for Program Years (PY) 1998 and 1999, States may choose to adopt pilot wage record-based performance measures in lieu of the four required core follow-up measures. Attachment 6 of TEGL 12-97 detailed the provisions that States would be required to implement in order to participate in the pilot. This Training and Employment Information Notice (TEIN) transmits for the pilot States further information on required performance measures; baseline levels; optional models for making adjustments to performance baselines; and adjustments for out-of-state placements and placements in non-covered employment. Requirements for PY 1998 Optional Wage Record Pilot Measures Differ from Previous Waiver Requirements. Due to policy decisions made after the initial waivers were granted, the requirements for PY 1998 pilot measures differ from requirements provided waiver States in several ways, including: - differences in the definitions of measures (however, ETA encourages all waiver States to adopt the definitions in PY 1998 pilot measures); - differences in the baseline (departure point) levels (waiver States can establish baselines using information provided by ETA, while pilot States are given national baseline departure points for the PY 1998 measures); and - differences in the required supplementary data (waiver States are not required to submit a 5% telephone follow-up sample, but as an alternative can provide matched follow-up and UI earnings records of all terminees in a recent year). The passage of the Workforce Investment Act of 1998, implementation of both Temporary Assistance for Needy Families (TANF) and the Welfare-to-Work reporting requirements and proposed performance bonus system, and launch of the new Trade Adjustment Act (TAA)/North American Free Trade Act (NAFTA)-TAA reporting system have all seen performance measures adopted that are based on wage record tracking of participants. These largely occurred after ETA's waiver guidance was developed. The waiver guidance stated at the time that, These measures are considered interim and transitional, and are expected to be modified by either requirements in new legislation or further refinement of the JTPA performance standards system. Encouraging Waiver States to Adopt Pilot Provisions. ETA will use a single approach for further development of technical guidance on wage record-based measures. States are encouraged to use the approach announced in the PY 1998 pilot requirements. Waiver States may adopt the pilot requirements from the beginning of their waiver period (PY 1997), or they may switch in PY 1998 or later. Adjustments for Out-of-State Employment and Noncovered Employment. Attachment B provides a simple worksheet and instructions for estimating and adjusting for placements in out-of-state employment and noncovered employment, neither of which will be captured fully in wage records. The proportion of placements in out-of-state employment and noncovered employment is locally variable; without adjusting for these effects, some local programs' performance results will be adversely affected. In implementing the adjustment, individuals should be treated as placed out of State if they are placed in a State from which wage records are not obtained. Individuals placed in a State from which wage records are obtained should be treated as placed in State. In addition, individuals placed in jobs that have separate wage record systems from which wage records are not obtained should be treated as out of State. Examples of separate wage record systems include: federal employment, military employment, postal employment, railroad employment, and State employment (in some States). Employment with employers who do not report wage records (for example, independent contractors, small nonprofit organizations, small farms and some domestic workers) should be treated as placed in noncovered employment.. Telephone Survey 5% Sample. States participating in the pilot are required to continue to conduct the telephone follow-up survey for a 5% sample of terminees from Title II-A and/or Title III, as appropriate. The 5% sample survey should be conducted using the same procedures as the existing follow-up survey except for using the 5% sample. In particular: - The 5% sample follow-up should be conducted for the first three quarters of the program year and the last quarter of the previous program year. - The 5% follow-up data should be included in the regular Standardized Program Information Report (SPIR) submission due August 15th after the end of the program year. - The 5% sample should be selected randomly. The State can choose either a 5% statewide sample or a 5% sample in each service delivery area (SDA) and substate area (SSA). - The 70% response rate requirement applies. The 5% sample is designed to provide the information needed to estimate national JTPA outcomes. The sample sizes will not be large enough to estimate performance at the State level, except in very large States. ETA does not plan to use these data to measure and evaluate State performance. Reporting Instructions for Wage Record Follow-Up. Pilot States will be asked to submit both an initial and a supplemental SPIR for terminees who receive wage record-based follow-up. The initial SPIR submission will contain data (up to and including termination) for each terminee in the Program Year and the fourth quarter of the prior Program Year. The initial data submission will also include telephone follow-up information, which is to be reported for terminees in the 5% sample (if appropriate) according to the established SPIR report format and telephone follow-up guidelines. The supplemental SPIR submission due one year later is to contain wage record follow-up information for the terminees included in the initial submission. Attachment C provides interim supplementary reporting instructions for wage record-based follow-up. Final reporting instructions will be issued with the revised SPIR reporting instructions when approved by OMB. Incentive and Sanction Policies. The time lag in the availability of performance information based on wage records raises some serious challenges for States' incentive and sanction policies. The implications of the time lag can be considered in the following example. Post- program outcomes for individuals who terminate in the last quarter of PY 1998 (April to June 1999) occur two calendar quarters later (October to December 1999). Employers report these data to the State in the following quarter (January to March 2000) and the State's database may not be complete until sometime in the next quarter (April to June 2000). Thus, the State will not be able to measure PY 1998 performance based on wage records until about one year after the end of the program year. States using wage records to measure performance are required to develop, for ETA approval, incentive and sanction policies that address this delay. For incentive policies, States have several options, including the following: A. Wait up to one year to determine performance and award incentives for both adult and youth performance. For example, the State could make PY 1998 awards in June to September of 2000. The basic problem with this option is the transition--no incentive awards would be made in September of 1999. A year without incentive awards would not be very popular with SDAs. B. Make awards for youth performance at the usual time along with awards for adult performance in the previous program year. This option allows the State to continue awarding incentives every year, although during the first year awards would be based only on youth performance and State standards. States choosing this option might want to implement State standards based on adult termination outcomes to provide more timely awards to SDAs for adult performance. While the implications of the time lag for incentives are limited to a delay in the award of incentive funds, the implications for sanction policies are much more serious. The current JTPA system is predicated on providing technical assistance to SDAs that fail standards overall during a program year to avert failure in the next program year. However, SDAs that fail for two consecutive program years are subject to reorganization. With wage record follow-up, literal interpretation of two consecutive program years would deny SDAs the opportunity to correct performance deficiencies. For example, performance for PY 1998 adult terminees is not available until approximately June of 2000, when PY 1999 is just about to end. Thus, by the time poor performance in PY 1998 is discovered, there is no opportunity to improve performance in PY 1999, which is already nearly over. One way to address this problem is to change the interpretation to explicitly allow SDAs a year after identification of the initial failure to improve performance before becoming subject to sanctions. For example, if an SDA is identified in June 2000 as failing PY 1998 standards, performance in PY 2000 could be used as the second year in determining whether the SDA is subject to reorganization. Title III Wage Record-Based Measures. Adjustment models and departure points will not be available for setting local wage record-based baseline levels for PYs 1997 or 1998 for Title III. In future performance standards cycles, ETA will provide adjustment models and departure points for the full complement of Title III performance standards measures whether they are based on surveys or wage records. Unemployment Insurance Service Confidentiality Policy. Attached for your information is a copy of Unemployment Insurance Program Letter 34-97 that provides some interpretation of Federal law regarding the confidentiality and disclosure requirements for the Federal-State Unemployment Compensation (UC) program. This information may assist States in formulating arrangements to gain access to wage records both within the State and out-of-state. JTPA Wage Record User Group Being Formed. All waiver States and States participating in the PY 1998 or 1999 pilot of JTPA wage record-based performance measures are invited to nominate a representative to a user group being formed to assist ETA in identifying implementation issues, formulating options, and providing direction to the pilot. A meeting in the Fall of 1998 in Washington, D.C. is being planned. Nominees to the User Group should be forwarded to Valerie Lloyd at the address below. Action Required. States are requested to: - share this information with appropriate staff; - advise the appropriate Regional Office if they are planning to participate in the pilot implementation of wage-record based performance measures in PY 1998; and - forward to Valerie Lloyd (see below) and to the Regional Office the names of - nominees to the User Group. These nominations should be forwarded within 3 weeks of the date of this TEIN.

References. Training and Employment Information Notice (TEIN) No. 11-95, Simply Better! Continuous Improvement Project, and TEIN No. 16- 95, Availability of Simply Better! Tools for Measuring Customer Satisfaction with Employment and Training Programs. Background. The Workforce Investment Act (WIA) of 1998 establishes customer satisfaction as a major component of a comprehensive performance accountability system designed A...to assess the effectiveness of States and local areas in achieving [the] continuous improvement of workforce investment activities.... Section 136 of the Act describes both State and local performance measures as consisting of core indicators entry into and retention in unsubsidized employment, earnings, and attainment of a recognized skill credential and a customer satisfaction indicator. The Act describes this customer satisfaction indicator as follows: The customer satisfaction indicator of performance shall consist of customer satisfaction of employers and participants with services received from the workforce investment activities authorized under this subtitle. Customer satisfaction may be measured through surveys conducted after the conclusion of participation in the workforce investment activities. States and local workforce. investment boards must develop plans which establish quantifiable, measurable levels of performance for each indicator including customer satisfaction and must periodically report on their progress toward achieving these levels. The Employment and Training Administration (ETA) anticipates that these provisions of the WIA will lead to heightened interest in the techniques of measuring customer satisfaction and the principles of using customer feedback to create a continuously improving organization. The publications described in this TEIN are designed to help carry out these important tasks. Simply Better! Simply Better! is a national technical assistance project designed to help employment and training professionals and organizations incorporate principles of continuous quality improvement into their daily operations. Its overall goals are 1) to design products and provide services that assist workforce development organizations to implement continuous improvement efforts, and 2) to develop a learning network of individuals and organizations committed to continuous service improvement, to customer satisfaction and to exceptional quality. Simply Better! has created its own Internet home page to connect the members of this peer-to-peer assistance network. Since 1995, Simply Better! has developed and published four technical assistance guides (TAGs) for workforce development program practitioners: A guide to organizational self- assessment using the Baldrige Award questions; a TAG on customer identification and satisfaction measurement; a guide to conducting focus groups to uncover the needs and expectations of customers; and a manual on implementing continuous improvement techniques in the day-to-day operations of employment and training agencies. Over 10,000 copies of these publications have been distributed nationwide. Publication of each TAG was followed by an intensive training regime. Train-the-trainer sessions have been held in each ETA Region for local, State and Regional Office training delivery staff. These trainers have, in turn, held "turn-around" training sessions for local agencies in most States. To date, well over 1200 people have attended SB! training. Publication Updates and Revisions. Simply Better! has recently revised, expanded and reprinted two of its publications that deal with collecting and analyzing customer feedback. 1. The Voice of the Customer (VOC) is a practical overview of techniques for gathering customer input, measuring satisfaction and incorporating customer feedback into service design, delivery and improvement. This TAG examines informal research techniques, focus groups, customer surveys and data analysis and interpretation all in the everyday context of employment and training program administration. The guidebook includes examples of various types of customer survey instruments used by employment and training agencies throughout the country. 2. The Voice of the Customer Workbook is a separate three-ring binder which contains step-by-step instructions, flow charts, diagrams and blank forms to help local agency staff design and implement their own customer satisfaction procedures. 3. The Voice of the Customer CD-ROM is a multimedia, computer- based training module prepared for Simply Better! by the Missouri Training Institute. This training tool follows the format of the two VOC texts mentioned above and will allow individual staff to explore the principles and techniques of customer satisfaction measurement at their own pace. 4. Customers in Focus. Focus groups are one of the most widely used techniques of gathering qualitative data about customer expectation and satisfaction. Simply Better!'s Customers in Focus contains information and advice for those interested in conducting focus group sessions. The book discusses the relative advantages and disadvantages of focus groups and when and when not to use them. It gives advice on how to design a focus group session, recruit participants and how to find and evaluate the competencies of an independent focus group moderator. It contains a section on how to analyze and present the data gained from focus groups and an appendix containing samples of discussion guides, debriefing forms, comment sheets and a bibliography of additional information. Distribution. Print copies of The Voice of the Customer TAG, The Voice of the Customer Workbook, Customers in Focus and all other Simply Better! products are available from the Regional Office contacts. In addition, the text of these TAGs may be downloaded from the Simply Better! web site (see the Simply Better! website, at www.simplybetter.org, for Regional Office Simply Better! contacts and materials). The Missouri Training Institute has distributed multiple copies of the Voice of the Customer CD-ROM to each State JTPA liaison. Additional copies are available from ETA Regional Offices. SIMPLY BETTER! REGIONAL CONTACTS Web Page. http://www.simplybetter.org Boston Valentine Castaneda John Ladd Ray Poet 617-565-2270 617-565-2229 fax New York Joe Lewis Dominick Rivera 212-337-2180 212-337-2144 fax Philadelphia Vangie Cooper 215-596-0776 215-596-0329 fax Atlanta Nancy Hawkins Sonja Johnson 404-562-2109 404-562-2151 fax Chicago Lisa Rosendale Tom DiLisio Nola Penn 312-353-1937 312-353-4474 fax Dallas Sylvia Craig Monique McMahon John Smith Mary Jane Williamson 214-767-2154 214-767-4952 fax Kansas City Fred Homan Frank Wilson 816-426-3796 816-426-2729 fax Denver Niall Rogers Skip Sweeney 303-844-1668 303-844-1685 fax San Francisco John Humphrey Maria Remboulis 415-975-4633 415-975-4612 fax Seattle Bill Janes Rosemary Kafara-Cowan Barak Rosenbloom 206-553-7930 206-553-0098 fax National Office Jim Aaron Joe Fischer Ric Larisch 202-219-5585 202-219-6510 fax

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References: 1. Job Training Partnership Act (JTPA) 29 USC 1501 et seq, as amended 2. JTPA Regulations, 20 CFR 626-629 and 631, published in the Federal Register on September 2, 1994 3. Training and Employment Information Notice (TEIN) 5-93 (July 30, 1993) 4. TEIN 5-93, Change 1 (June 24, 1994) 5. TEIN 5-93, Change 2 (January 24, 1997) 6. TEIN 9-98 (September 14, 1998) 7. TEIN 11-98 (September 28, 1998) Background. The Department of Labor is issuing updated non- financial reporting instructions for programs funded under Titles II and III and Section 204(d) of the JTPA. These instructions update those transmitted via TEIN 5-93, Change 1, on June 23, 1994, and TEIN 5-93, Change 2, on January 24, 1997. Also, as appropriate, SPIR coding instructions have been updated and edits have been modified. The updated coding instructions and edits will be provided under separate cover. A new Guide to JTPA Performance Standards for Program Years 1998 and 1999 that incorporates tables cross-referencing the revised SPIR will be issued soon. SPIR data submitted by the States are edited, analyzed, and compiled each year into a number of public-use products that are disseminated to the States. National and State SPIR Data Books are printed and distributed, and a CD-ROM is produced containing the entire national public-use data set plus all State Data Books and the National Data Book. For more information on the availability of SPIR products, see Training and Employment Information Notice No. 9-98 (September 14, 1998), or the Web site given in Section 8 below. OMB Approval and Reporting Burden: The SPIR reporting requirements have been approved by the Office of Management and Budget (OMB) according to the Paperwork Reduction Act of 1980, as amended, under OMB Approval No. 1205-0321 (expiration date: June 30, 2000). Highlights of Changes: The Department conducted extensive consultations with Federal, State, local, and other partners while developing the revised SPIR. A ¿Job Training Partnership Act (JTPA) Standardized Program Information Reporting (SPIR) System Comment Request¿ was published in the Federal Register on April 23, 1998. More than 30 commenters responded, and their issues were reconciled and incorporated as much as possible into the final guidance. Another Federal Register notice was published October 7, 1998, to provide notification of submission to OMB. In April 1998, the Department also convened a technical work group of representatives of Federal, State and local JTPA programs, partner programs, and public interest groups. These reporting revisions are mainly in response to the recommendations of that group and the commenters in the field. The revisions are believed to be the minimum necessary to accomplish several objectives in the two program years before JTPA expires a. Minimize changes requiring system reprogramming. b. Begin laying the groundwork for anticipated transition to the new legislation¿s expected reporting requirements. c. Establish new optional reporting items and definitions for States that have chosen to adopt wage record-based measures for JTPA performance standards (and for States that received waivers). d. Clarify definitions of terms, such as entered unsubsidized employment. e. Align JTPA terms more closely with partner programs, such as Temporary Assistance for Needy Families (TANF), Welfare-to-Work, Trade Adjustment Assistance (TAA), and North American Free Trade Act - Transition Adjustment Assistance (NAFTA-TAA). f. Expand date fields to accommodate Year 2000 (Y2K) requirements. g. Add several data items needed for assessment of the effectiveness of Title III programs. Attached is a more detailed matrix of the changes and the SPIR line items affected. Reporting Instructions: The Governor will submit a separate report for each participant who terminates from a JTPA program, as specified in the attached instructions for preparation of the SPIR. States have the option of reporting according to these revised instructions for both PY 1998 and 1999; States may also choose to continue reporting fully or partially by the previous instructions. The Department and its statistical support/database maintenance entities will continue to accept reports by either version so long as the State identifies in its reporting submission which version of SPIR is being followed, where appropriate. Action Required: State Liaisons are requested to distribute the attached instructions to all officials within the State who need such information to administer the SPIR reporting requirements.

Background: In February of 1998, the Employment and Training Administration's Office of Worker Retraining and Adjustment Programs (OWRAP) launched an initiative to improve the delivery of rapid response assistance and early intervention services provided under Title III. As a result, a national rapid response technical workgroup was formed. The workgroup is comprised of representatives from 20 State and substate Title III programs who were identified by the Regions as experienced practitioners of effective rapid response, as well as ETA staff from the Unemployment Insurance Service, Office of Trade Adjustment Assistance, One-Stop Office, Office of Regional Management and a representative from the AFL-CIO Working For America, formerly HRDI. At the first workgroup meeting in February 1998, subgroups were formed to address specific issues relating to rapid response including labor management adjustment committees, public outreach and marketing, and staff development and training. In August, the workgroup conducted a survey of State rapid response practices through the Westat Corporation. The survey found that there is a significant need for technical assistance and training for rapid response staff in a variety of areas including: layoff aversion and early intervention strategies, working with the media, dealing with difficult employees and employers, effective use of labor management committees, and others. Of those surveyed, 87 percent responded that the most appropriate method for improving skills of rapid response staff is through seminars or conferences. Seventy percent indicated that peer-to-peer training or technical assistance is a preferred method. As a result of the survey, the U.S. Department of Labor is exploring various means of disseminating effective approaches to dislocation events requiring rapid response activity. One such activity is the development of a Rapid Response Peer Expert Directory. Among other approaches, the Department is considering a meeting in late June or early July 1999, to provide an opportunity for rapid response practitioners to exchange ideas on program operations and address issues of concern. Rapid Response Peer Expert Directory: A Rapid Response Peer Expert Directory will be a tool that can be used by State and local level agencies to identify peers who have successfully addressed the challenges faced in major worker dislocation events and who are willing to share their expertise. The peer experts who are included in the directory, will be professionals within the Title III/Rapid Response, or broader employment and training, network who have hands-on experience, and can assist others in becoming more proficient in performing specific job duties. The peer experts may provide training or technical assistance using a variety of methods including small group instruction, roundtable discussions, workshop/classroom instruction, or one- to-one assistance provided either on-site, by telephone, written correspondence or electronic media. Peer expert assistance, if needed on-site, may be funded with Title III or One Stop technical assistance funds. ETA is soliciting nominations of individuals at the State and local level who can provide technical assistance, training or other assistance in areas specifically related to rapid response and early intervention services to be included in the Rapid Response Peer Expert Directory. ETA, in consultation with the Regional Offices and the State Dislocated Worker Units, will review the nominations. Those nominees selected for inclusion in the Directory will be notified. Self nominations will be accepted. A nomination form is attached. Tentatively, plans call for publication and dissemination, including posting on the ETA web page, of the Directory in mid-March 1999. Action Required: Liaisons are requested to share this TEIN with all State Dislocated Worker Units, and all appropriate substate areas, Title III and rapid response staff, as well as one-stop centers, trade adjustment assistance programs and other potential agencies involved in coordination efforts related to provision of rapid response and early intervention services. Anyone who has had a professional association or experience with an individual in the employment and training system whom they believe has been effective in delivering rapid response services in a particularly challenging situation may submit a nomination. If they are unable to provide all the information, an incomplete nomination can be submitted and OWRAP will try to follow up with the nominee for additional information. In addition, individuals who feel they have had experience that would be valuable to other professional staff facing a challenging layoff situation may nominate themselves. States may establish a nomination procedure if they chose to do so. Nominations for the Directory must be submitted (by mail, fax or e-mail) to ETA no later than February 19, 1999, to the following address: U.S. Department of Labor Employment and Training Administration Office of Worker Retraining and Adjustment Programs Attn.: Kimberly Wilcox Room N5426 200 Constitution Avenue, NW Washington, D.C. 20210 Fax: (202)219-5938 E-mail: kwilcox@doleta.gov