Policy Guidance

For a complete listing of RSA policy guidance, please visit Sub-Regulatory Guidance. The following guidance documents implement the WIOA performance accountability system for the State VR Services Program, as required by section 116 of WIOA and the joint regulations in Subpart E of 34 CFR 361: Performance Accountability Under Title I of WIOA.

RSA developed several of these guidance documents jointly with its Federal partners at the U.S. Department of Labor's Employment and Training Administration (ETA) and the U.S. Department of Education's Office of Career, Technical, and Adult Education (OCTAE). As a result, these joint guidance documents also apply to the other five WIOA core programs: 

  • Adult, Dislocated Worker, and Youth programs authorized under WIOA title I and administered by ETA; 
  • Adult Education and Family Literacy Act program authorized under WIOA title II and administered by OCTAE; and
  • Employment Service program authorized under the Wagner-Peyser Act, as amended by WIOA title III and administered by ETA. 

COVID-19 FAQs related to Performance Accountability 

On May 14, 2020, RSA issued this FAQ document to respond to two questions VR agencies posed related to implementation of the Case Service Report (RSA-911) outlined in RSA-PD-19-03 and the VR program's Statistical Adjustment Model for Measurable Skill Gains (MSG) Rate: 

  1. Will RSA delay implementation of the revised RSA-911 scheduled for PY 2020?
  2. Does the VR program’s statistical adjustment model for MSG address unusual situations such as what VR agencies are experiencing with COVID-19?

On March 26, 2020, RSA issued this FAQ document to respond to two questions VR agencies posed related to the performance accountability provisions under WIOA: 

  1. What steps will RSA take to account for a decrease in State performance in PY 2019 because of extended program closures during the pandemic? Will States be penalized for performance issues?
  2. Will RSA consider delaying performance negotiations, as State offices may be closed for an unspecified period of time?

Joint Guidance on Negotiations and Sanctions 

On February 6, 2020, RSA issued TAC 20-02: Negotiations and Sanctions Guidance for WIOA Core Programs. The joint policy guidance delineates the process for negotiating levels of performance, as required by section 116(b)(3)(A)(iv) of WIOA. The guidance also provides explanation of the two instances in which a state may be sanctioned - for performance failure or for failure to report. Section 116 of WIOA, its implementing regulations, and this guidance govern how the Departments will determine when it is necessary to sanction a state, which is statutorily required by WIOA.

Joint Guidance for Data Validation

On December 19, 2018, RSA issued TAC 19-01: Guidance for Validating Jointly Required Performance Data Submitted under WIOA. This joint policy guidance provides States with a general framework for data validation. Specifically, RSA and its Federal partners developed this joint policy guidance pursuant to section 116(d)(5) of WIOA, which requires the establishment of data validation guidelines to ensure the information contained in program reports is valid and reliable. States, including the VR programs, must develop data validation procedures consistent with these guidelines.

Joint Guidance related to WIOA Annual Performance Report Submission

On September 11, 2017, RSA issued TAC 17-05: WIOA Annual Performance Report Submission in which the U.S. Departments of Labor and Education (collectively, Departments) exercised their transition authority under section 503(a) of WIOA to inform States that the Departments will consider Program Year (PY) 2016 WIOA Statewide and Local Performance Reports (form ETA-9169) submitted by October 16, 2017, as being timely. For all subsequent PYs, States must submit the WIOA Statewide and Local Performance Report by October 1 to be considered timely, pursuant to the “Workforce Innovation and Opportunity Act (WIOA) Performance Accountability, Information and Reporting System” information collection request. 

Joint Guidance for the WIOA Performance Accountability System

On August 17, 2017, RSA re-issued TAC 17-01: Performance Accountability Guidance for WIOA Title I, Title II, Title III and Title IV Core Programs. This joint policy guidance elaborates on the performance accountability requirements in section 116 of WIOA, the Joint WIOA Final Rule, and performance reporting requirements. Specifically, TAC 17-01 addresses the:

  • Methodology for calculating the six primary indicators of performance for the core programs;
  • Definitions of: reportable individual, participant, exit, and period of participation; and
  • Guidance related to: career services vs. training services, core services, incumbent worker training, and indicator of performance score calculation.

Joint Guidance on the Use of Supplemental Wage Information 

On June 1, 2017, RSA issued TAC 17-04: Guidance on the Use of Supplemental Wage Information to Implement the Performance Accountability Requirements under WIOA. This joint guidance clarifies the use of supplemental wage information related to verifying and reporting on the three employment-related performance indicators (employment rate during the second quarter after exit from the program; employment rate during the fourth quarter after exit from the program; and median earnings during the second quarter after exit from the program). The guidance also applies to the employment-related portion of the credential attainment indicator.

Joint Guidance on Data Matching to Facilitate WIOA Performance Reporting and Evaluation 

This joint guidance is a resource to provide information to assist State agencies (including VR agencies and workforce development agencies), educational agencies and institutions, and service providers in performance reporting and evaluation requirements under WIOA. Under WIOA, States are required to use education information and quarterly wage records to measure performance of the six core programs and other title I programs authorized by WIOA, which raises complex issues related to data sharing and privacy. This guidance provides States with information about applicable requirements for, and procedures and options for, matching confidential Unemployment Compensation information from wage records with personal information from VR records, and personally identifiable information from education records, and for protecting the confidentiality of information contained in such records.

RSA-911 Supporting Documentation Requirements 

On March 31, 2017, RSA issued guidelines for Supporting Documentation for Case Service Report (RSA-911) to assist VR agencies with maintaining appropriate supporting documentation in service records. The examples of supporting documentation in these guidelines illustrate the types of documents RSA would consider to demonstrate the validity and accuracy of certain key data reported through the RSA-911.

RSA FAQs related to RSA-911 Changes

On August 8, 2016, RSA issued a set of frequently asked questions related to the RSA-911 that outline the changes in case service reporting necessary to capture the performance requirements under WIOA.