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Table of Contents

Chapter 1) Administration and Governance

• 1.1 Governor's Council on Workforce Investment (CWI)
• 1.2 Oversight and Monitoring
  • 1.2.1 Overview
  • 1.2.2 Types of Recipients and Oversight Responsibility
  • 1.2.3 DWD-DET Coordinated Monitoring
• 1.3 Workforce Development Area (WDA) Designations and Agreements
• 1.4 Local Workforce Development Boards (Local WDBs)
  • 1.4.1 Summary
  • 1.4.2 Role of the Chief Elected Official (CEO)
  • 1.4.3 Functions of the Local WDB
  • 1.4.4 Limitations of Local WDBs
  • 1.4.5 Local WDB Staff
  • 1.4.6 Standing Committees
  • 1.4.7 Sunshine Provision
  • 1.4.8 Local WDB Membership and Criteria
  • 1.4.9 Chairperson
  • 1.4.10 Biennial WDB Recertification
  • 1.4.11 Changes to Local WDB Membership During the Certification Period
  • 1.4.12 Conflict of Interest
  • 1.4.13 Summary of Responsibilities
• 1.5 WIOA Local Plans

Chapter 2) The One-Stop (Job Center) Delivery System

Chapter 3) Program Funding and Grants Management

• 3.1 WIOA Allocation Process
• 3.2 Modification of Grants
• 3.3 Transfer of Funds
• 3.4 Termination of Grants
• 3.5 Grant Closeout
• 3.6 Program Waitlists

Chapter 4) Fiscal Management

• 4.1 Access, Retention and Custodial Requirement for Records
• 4.2 Standards for Financial Management System
• 4.3 Reporting Requirements
• 4.4 Cash Management and Invoicing Standards
• 4.5 Cost Categories and Allowable Activities
• 4.6 Program Income
• 4.7 Sub grantee Monitoring
• 4.8 Procurement Standards
• 4.9 Property Management Standards
• 4.10 Audit and Audit Resolutions
• 4.11 Debt and Debt Collection
• 4.12 General Principles Affecting Allow ability of Costs
• 4.13 Allocation of Joint Costs
• 4.14 Cost Allocation or Indirect Cost Rates
• 4.15 Leverage Funds
• 4.16 35% Training Expenditure Goal For Program Year Formula Allocations
• 4.17 Expenditure Requirements for the Youth Program
  • 4.17.1 Expenditure Requirement for Out-of-School Youth
  • 4.17.2 Expenditure Requirement for Youth Work Experience
  • 4.17.3 Reporting Requirements

Chapter 5) Non-Discrimination/Equal Opportunity and Affirmative Action

Chapter 6) Complaints, Grievances, and Appeals

Chapter 7) Individual Training Accounts and Eligible Training Programs

• 7.0 ETPL Transition Guidance
• 7.1 Individual Training Accounts
• 7.2 Introduction and Overview of the ETPL
• 7.3 Eligible Institutions and Program Types
  • 7.3.1 Eligible Institution Types
  • 7.3.2 Eligible Program Types
• 7.4 ETPL Eligibility
  • 7.4.1 WIOA Overview
  • 7.4.2 Background for Wisconsin's Eligibility Procedures
  • 7.4.3 State and Local WDB Roles & Responsibilities
  • 7.4.4 Wisconsin's Initial Eligibility Procedure
  • 7.4.5 Wisconsin's Continued Eligibility Procedure
  • 7.4.6 Institution Minimum Requirements
  • 7.4.7 Standard vs. Alternative Eligibility Criteria
  • 7.4.8 Information Requirements
• 7.5 Eligibility Denials and Terminations
  • 7.5.1 Overview
  • 7.5.2 Wisconsin's Procedures for Eligibility Denials and Terminations
• 7.6 Appeals
• 7.7 Performance
• 7.8 Registered Apprenticeships
  • 7.8.1 Overview
  • 7.8.2 Wisconsin's Procedures



Chapter 8) Adult and Dislocated Worker Programs

• 8.1 Introduction and Overview
• 8.2 Eligibility
  • 8.2.1 Adult Program
  • 8.2.2 Dislocated Worker Program
• 8.3 Program Design
  • 8.3.1 Order of Services
  • 8.3.2 Priority of Service
  • 8.3.3 Assessments
  • 8.3.4 Economic Self-Sufficiency
  • 8.3.5 Non-traditional Occupations
• 8.4 Career Services
• 8.5 Training Services
  • 8.5.1 Eligibility
  • 8.5.2 Credentials
  • 8.5.3 Informed Choice
  • 8.5.4 Coordination of Funds
  • 8.5.5 Recovery of Costs
  • 8.5.6 Expenditure Requirement
  • 8.5.7 Career Pathways
  • 8.5.8 Accelerated Licensure for Vets
  • 8.5.9 Training vs. Individualized Career Service
  • 8.5.10 Methods of Funding Training
  • 8.5.11 Types of Training
• 8.6 Supportive Services
  • 8.6.1 Overview
  • 8.6.2 Categories
  • 8.6.3 Providing Supportive Services
  • 8.6.4 Documentation Requirements
  • 8.6.5 Needs-Related Payments
  • 8.6.6 Local WDB Policy Requirements
• 8.7 Program Exit
• 8.8 Follow-up Services
• 8.9 National Dislocated Worker Grants

Chapter 9) Rapid Response

Chapter 10) Youth Program

• 10.1 Introduction and Overview
• 10.2 Program Design
  • 10.2.1 Case Management
  • 10.2.2 Information and Referral
  • 10.2.3 Objective Assessment
  • 10.2.4 Individual Service Strategy
  • 10.2.5 WIOA Youth Program Expenditure Requirements
• 10.3 Eligibility
  • 10.3.1 Overview
  • 10.3.2 In-School Youth (ISY) Criteria
  • 10.3.3 Out-of-School Youth (OSY) Criteria
  • 10.3.4 Definition of School
  • 10.3.5 Attending versus Not Attending
  • 10.3.6 Guidance on Eligibility Barriers
  • 10.3.7 Multiple Eligibility Barriers
• 10.4 Enrollment Process
  • 10.4.1 Overview
  • 10.4.2 Enrolling 18 to 24 Year Olds
• 10.5 Program Elements
  • 10.5.1 Overview
  • 10.5.2 Options for Administering Program Elements
  • 10.5.3 Descriptions of the 14 Youth Program Elements<
• 10.6 Incentive Payments
  • 10.6.1 Overview
  • 10.6.2 Local Policy/Procedure Requirements
  • 10.6.3 Activities that Local WDBs Cannot Incentivize
  • 10.6.4 Documentation Requirements

Chapter 11) Performance Accountability and Reporting

• 11.1 Overview
• 11.2 References
• 11.3 Performance Advisory Committee
• 11.4 Common Exit
• 11.5 Primary Indicators of Performance
  • 11.5.1 Primary Indicators of Performance - Overview
  • 11.5.2 Unsubsidized Employment during the 2nd Quarter after Exit (Adult and Dislocated Worker Programs)
  • 11.5.3 Unsubsidized Employment or Education during the 2nd Quarter after Exit (Youth)
  • 11.5.4 Unsubsidized Employment during the 4th Quarter after Exit (Adult and Dislocated Worker Programs)
  • 11.5.5 Unsubsidized Employment or Education during the 4th Quarter after Exit (Youth)
  • 11.5.6 Median Earnings
  • 11.5.7 Credential Attainment Rate
  • 11.5.8 Measurable Skill Gain
  • 11.5.9 Effectiveness in Serving Employers
  • 11.5.10 Additional Indicators of Performance
• 11.6 Exclusions from Performance Indicators
• 11.7 Cohort Timeframes
• 11.8 Incentives, Sanctions and Administrative Actions
• 11.9 Determining Successful State Performance
• 11.10 Determining Successful Local Area Performance
• 11.11 Determining and Addressing At-Risk Performance
• 11.12 Setting Adjusted Levels of Performance
• 11.13 Barriers to Employment
• 11.14 Management Information Systems (Title I)
• 11.15 Title I Services
• 11.16 Credential Policy
• 11.17 Measurable Skill Gain Policy
• 11.18 Pay for Performance
• 11.19 Evaluations
• 11.20 Regional Performance
• 11.21 Supplemental Data Collection Policy
• 11.22 Incumbent Worker Training Performance Reporting Policy
• 11.23 Data Validation
• Summary of Responses and Comments

Chapter 12) File Documentation



Appendices

• Guide to WIOA Title I-B Eligibility Determination and Documentation
• Guide to WIOA Title I-B Participant Case File Documentation for Adults and Dislocated Workers
• Guide to WIOA Title I-B Participant Case File Documentation for Youth
• Allowable Program Milestones WIOA Youth Program Incentive Payments
• Basic Skills Deficient (Adult Program) Guidance
• Dependent Family Member Guidance
• Income Guidance
• Incumbent Worker Recommended Talking Points Guidance
• Low-Income Guidance
• Selective Service Guidance
• Summary of Workforce Development Board (WDB) Membership Requirements
• Supplemental Data Collection Recommended and Proven Practices
• Supportive Services - Examples and Resource Guide
• "Unlikely to Return to a Previous Industry or Occupation" Guidance
• WIOA Title I Application Process Guidance

Data Collection Resources

• Recommended and Proven Practices

WIOA Title I-A & I-B Policy & Procedure Manual
Ch. 11) Performance Accountability and Reporting



11.21 Supplemental Data Collection Policy

Effective date: June 1, 2018

Situations when Supplemental Data collection is necessary

Supplemental data satisfies reporting outcomes when employment and earning data is not available from state and interstate wage records. Supplemental employment and earning data may be collected during a participant's first four full quarters after exit. Wisconsin's WIOA Title I Programs must attempt a minimum of one time per quarter to collect supplemental data:

• when a program participant does not provide a social security number (SSN) for matching with quarterly wage record information;

• when a program participant is employed by business or in an occupation that is excluded by state unemployment insurance law. Businesses with "excluded employment" are not required to provide employee SSN and quarterly earnings to the state's unemployment insurance agency;

• must occur when UI wages are not reported.

Supplemental Wages May Include

Any form of unsubsidized employment including the following examples.  This is not an all-inclusive list of the types of unsubsidized employment: apprenticeship, military, commission for sales…etc.  Supplemental Wages may not include any form of subsidized employment.

 Participant does not provide SSN

Periodically, participants either do not have a SSN or do not wish to provide a SSN to the public workforce system.  WIOA does not allow exclusions from performance indicators due to a lack of a SSN. WIOA programs are not permitted to require disclosure of SSN as a condition of program participation.¹

 Participant is in excluded employment 

Excluded employment is a type of employment in which the employer is not required to submit wage record information to the state's unemployment insurance agency. Wisconsin Unemployment Insurance (UI) law, Chapter 108, defines employers and employees that must submit wage record information to the Division of Unemployment Insurance. The Unemployment Insurance online handbook assists in determining which employers for which employees must report.  Although rare in volume, there are many forms of excluded employment outlined in the UI handbook.²  The most common forms of excluded employment in Wisconsin are self-employment and some forms of agricultural employment.

Rules Around the Collection of Supplemental Data 

Participants who report a SSN will first be matched with the UI wage record. If the employment and earnings are detected in a specific quarter during the reporting period the employment and earnings reporting is complete. Supplemental data may still be collected and entered into the ASSET. Participants in multiple employment may report each employment and earnings.  However, the supplemental data will not be reported to USDOL when the UI wage record has employment or earnings data for the participant.

Authorized supplemental data sources³ are:

Tax documents, payroll records, and employer records such as:

• Copies of quarterly tax payment forms to the Internal Revenue Service, such as a Form 941 (Employer’s Quarterly Tax Return);

• Copies of pay stubs (minimum of two pay stubs within a quarter);

• Signed letter or other information from employer on company letterhead attesting to an individual's employment status and earnings; and

• Income tax records (Schedule C or other).

Other supplemental wage records such as:

• Follow-up survey (self-reported) from program participants;

• Documentation of income earned from commission in sales or other similar positions;

• Detailed documentation supplied by the employer and signed by the career planner or appropriate program staff entered into case notes;

• Automated database systems or data matching with other partners with whom data sharing agreements exist;

• One-Stop operating systems' administrative records, such as a current record of eligibility for programs with income-based eligibility (e.g., Temporary Assistance for Needy Families (TANF) or Supplemental Nutrition Assistance Program (SNAP));

• Self-Employment worksheets (net profit) signed and attested to by program participants.

Note: Although self-reporting options are available, states and local areas must ensure they don't report more than the actual amount earned during any quarter. Entries are subject to audit.

When to ask for Supplemental Data

Each WIOA Performance Indicator has a specific report timeframe for each quarterly or annual report. The report period takes into consideration how much time it takes for the result to happen and two additional quarters for data collection depending on the indicator. The chart below assists in determining when to contact participants for supplemental data.  ASSET System Reports and other Business Intelligence options have been created to assist in determining when a participant requires collection of supplemental data.

 

Table 1. When to Ask for Supplemental Data

Performance Indicator	Wage Data Becomes Available	Recommended begin to supplemental data collection	Recommended end to Supplemental data collection
Q2 Unsubsidized Employment Rate	Q3 after exit	Middle Q3 after exit	End of Q4 after exit
Q2 Median Earning	Q3 after exit	Middle Q3 after exit	End of Q4 after exit
Q4 Unsubsidized Employment Rate	Q5 after exit	Middle Q5 after exit	End of Q6 after exit
*Credential Attainment Rate	Q5 after exit	Middle Q5 after exit	End of Q6 after exit

Exceptions:
• Due to data sharing agreement restrictions, the existence of out-of-state wage records are not known until the WIOA performance report periods. Report periods occur after the timeframes in Table 1.

• For participants who are known to enter excluded employment, the recommended collection of supplemental data is the beginning of the quarter after the result happens (the quarter that counts for performance, see Table 2 and Table 3), because the UI wage record will not have the result at any point of the quarter.

*Credential Attainment Rate timeframes address the employment aspect of the additional requirement that secondary school diploma recipients must be employed at a point during the first four full quarters after exit or enrolled in post-secondary education for a day within 365 days after exit.

 

Table 2:  Supplemental Data Collection timelines for Q2 measured indicators

Exit Quarter	Q1 After Exit	Q2 After Exit	Q3 After Exit	Q4 After Exit	Q5 After Exit
July-Sept.	Oct.-Dec.	Jan.-Mar. Result Happens	Apr.-June Collection Begins	July-Sept. Collection Ends	Oct.-Dec. In Performance
Oct.-Dec.	Jan.-Mar.	Apr.-June Result Happens	July-Sept Collection Begins.	Oct.-Dec. Collection Ends	Jan.-Mar. In Performance
Jan.-Mar.	Apr.-June	July-Sept. Result Happens	Oct.-Dec. Collection Begins	Jan.-Mar. Collection Ends	Apr.-June In Performance
Apr.-June	July-Sept.	Oct.-Dec. Result Happens	Jan.-Mar. Collection Begins	Apr.-June Collection Ends	July-Sept. In Performance

 

Table 3:  Supplemental Data Collection timelines for Q4 measured indicators

Exit Quarter	Q1 After Exit	Q2 After Exit	Q3 After Exit	Q4 After Exit	Q5 After Exit	Q6 After Exit	Q7 After Exit
July-Sept.	Oct.-Dec.	Jan.-Mar.	Apr.-June	July-Sept. Result Happens	Oct.-Dec. Collection Begins	Jan.-Mar. Collection Ends	Apr.-June In Performance
Oct.-Dec.	Jan.-Mar.	Apr.-June	July-Sept.	Oct.-Dec. Result Happens	Jan.-Mar. Collection Begins	Apr.-June Collection Ends	July-Sept. In Performance
Jan.-Mar.	Apr.-June	July-Sept.	Oct.-Dec.	Jan.-Mar. Result Happens	Apr.-June Collection Begins	July-Sept. Collection Ends	Oct.-Dec. In Performance
Apr.-June	July-Sept.	Oct.-Dec.	Jan.-Mar.	Apr.-June Result Happens	July-Sept. Collection Begins	Oct.-Dec. Collection Ends	Jan.-Mar. In Performance

 

See the WIOA Title I Performance TAG for directions to report Supplemental Data into ASSET.  WIOA Performance SharePoint Access is required.

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• ¹20 CFR 677.175
• ² http://dwd.wisconsin.gov/ui201/
• ³ TEGL 26-16