WOTC SWA Survey

WOTC SWA Survey
(untitled)

Thank you for participating in the Workforce Opportunity Tax Credit (WOTC) State Workforce Agency (SWA) survey
sponsored by the U.S. Department of Labor (DOL) Chief Evaluation Office (CEO). The purpose of collecting the
requested information is to better understand how WOTC is implemented by states throughout the nation and how
states process and certify employer submissions. Please answer each question to the best of your knowledge. The
survey is being administered by Economic Systems Inc. (EconSys), a third-party contractor conducting an
implementation evaluation of WOTC for DOL CEO.
Burden Disclosure. Public reporting burden for this survey is estimated to average 45 minutes per response. The
burden estimate includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and submitting the survey. This collection of information is voluntary. You
are not required to respond to this collection of information unless it displays a valid OMB control number. Please send
comments regarding the burden estimate or any other aspect of this collection of information to EconSys at
[email protected] and reference OMB control number [1290-0NEW].
Participation. Your participation in this survey is required as part of your WOTC grant funding. The survey will take
around 45 minutes to complete.
Saving Responses. You can save your responses by selecting “Next” at the bottom of each page. You do not need to
complete the survey in one session. To return to your survey, simply click on the link in the email you received to
participate.
Blank Survey. You may download a blank copy of the questionnaire which could serve as a worksheet to compile the
information needed from other sources before entering the responses into the online survey. To download a blank copy
of the survey, click here: LINK TO SURVEY

1. What state do you
represent?
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virgin Islands
Virginia
Washington
Washington, D.C.
West Virginia
Wisconsin
Wyoming

2. Approximately how many staff members work on WOTC in your state?
Full-time
Employees
Part-time
Employees

Show/hide trigger exists.

3. Do you use funds outside of the WOTC grant to fund any of the employees working on WOTC
activities in your office?
Yes
No

Hidden unless: #3 Question "Do you use funds outside of the WOTC grant to fund any of the employees working
on WOTC activities in your office?" is one of the following answers ("Yes")

4. Approximately how many staff members are funded by non-WOTC grant funds?
Full-time Employees not funded by WOTC
grant
Part-time Employees not funded by WOTC
grat

Hidden unless: #3 Question "Do you use funds outside of the WOTC grant to fund any of the employees working
on WOTC activities in your office?" is one of the following answers ("Yes")

5. Please describe how you obtained funding source(s) outside the WOTC grant that covers any
part of your staffing.

Show/hide trigger exists.

6. Is this state’s workload certification request workload fairly stable, or does it vary during the year?
Yes, stable
No, varies

Hidden unless: #6 Question "Is this state’s workload certification request workload fairly stable, or does it vary
during the year?" is one of the following answers ("No, varies")

7. What time periods are high workload?
Spring
Summer
Fall
Winter
Other - Specify (Required)
*

Hidden unless: #6 Question "Is this state’s workload certification request workload fairly stable, or does it vary
during the year?" is one of the following answers ("No, varies")

8. How do you handle peak workload periods?
Request overtime
Request additional staff from other offices in the Department
Bring in temporary, on-call staff
Hire temporary staff from temporary staffing agencies
Other - Specify (Required)
*
None of the above

9. Which statement best describes where WOTC activities are conducted within your state?
All activities are conducted at one central office location
Activities are conducted throughout the state at multiple locations

(untitled)

Show/hide trigger exists.

10. How do employers submit WOTC certification requests to your state?
Paper form submission only
Electronic form submission only
Both paper and electronic forms; mostly paper
Both paper and electronic; mostly electronic
Other - Specify (Required)

Hidden unless: #10 Question "How do employers submit WOTC certification requests to your state?
" is one of the following answers ("Electronic form submission only","Both paper and electronic forms; mostly
paper","Both paper and electronic; mostly electronic")

11. What year did your state begin accepting electronic
forms?
Year

Show/hide trigger exists.

12. Does your state proactively reach out directly to individuals who may qualify for employment
under WOTC?
Yes
No

Hidden unless: #12 Question "Does your state proactively reach out directly to individuals who may qualify for
employment under WOTC?" is one of the following answers ("Yes")

13. How does your state reach out to organizations that serve individuals who may qualify for
WOTC? (Select all that apply.)
We meet with/send emails to encourage Supplemental Nutrition Assistance Program (SNAP)
Employment and Training staff alert their participants to apply for WOTC
We meet with or send emails to encourage other state agencies that issue benefits like
Temporary Assistance for Needy Families (TANF), Vocational Rehabilitation, Unemployment
Insurance to alert their participants to apply for WOTC
We meet with or send emails to encourage Federal agencies like the U.S. Department of
Veterans Affairs (VA) and the Social Security Administration (SSA) to alert their constituencies
to apply for WOTC
We send flyers/mailings about WOTC to American Job Centers (AJCs)/One Stops and other
agencies that help people find jobs
We make presentations about WOTC at professional meetings and conferences
We make presentations at organizations that serve target groups, like AJCs/One Stops, and/or
other community service organizations that help people get jobs
We use social media to contact organizations that aid individuals in getting jobs
Other - Specify (Required)
*

Show/hide trigger exists.

14. Does your state proactively reach out to employers about WOTC?
Yes
No

Show/hide trigger exists. Hidden unless: #14 Question "Does your state proactively reach out to employers about
WOTC?" is one of the following answers ("Yes")

15. How does your state reach out to employers who may qualify for employment? (Select all that
apply.)
Presentations at American Job Centers/One Stops
State WOTC Staff are assigned to AJC(s) for employer recruitment
Flyers/Mailings to potential employers
Emails to potential employers
Social Media
Presentations at employer organizations, conferences
In-person meetings
Networking events
Referrals from other businesses
Other - Specify (Required)
*

Hidden unless: #15 Question "How does your state reach out to employers who may qualify for employment?
(Select all that apply.)" is one of the following answers ("State WOTC Staff are assigned to AJC(s) for employer
recruitment")

16. How many staff Full Time Equivalents (FTEs) are assigned to employer
outreach?
Staff

Show/hide trigger exists.

17. Does your state recruit employers through a wide net, or do you specifically target recruitment to
specific types of companies?
Generally recruit employers through a wide net
Target employers for specific reasons

Hidden unless: #17 Question "Does your state recruit employers through a wide net, or do you specifically target
recruitment to specific types of companies?" is one of the following answers ("Target employers for specific reasons")

18. What employer attributes does your state focus on for recruitment? Employers that: (Select all
that apply.)
Hire people with less than a high school education.
Hire people with a high school education.
Hire people with college or professional degrees.
Hire people with military service.
Offer full-time, permanent positions.
Offer an employee benefit package.
Hire/accommodate people with disabilities.
Hire people with criminal records.
Have a good employee retention rate.
Pay competitive salaries.
Have access to public transportation.
Other - Specify (Required)
*

19. Does your state target particular business sizes? (Select all that apply or select all of the
above.)
Large Businesses
Medium businesses
Small businesses
All of the above

20. Does your state target particular types of Industries? (Select all that apply.)
Retail sales
Restaurants and Fast Food
Healthcare
Cleaning services, janitorial, groundskeeping
Transportation, delivery drivers
Dependent care providers
Construction
Warehousing, distribution
Clerical/office
Customer service
Other - Specify (Required)
*
No

(untitled)

Show/hide trigger exists.

21. Do you provide training on WOTC to any of the following groups? (Select all that apply.)
Employers
American Job Centers (AJCs)/One Stops
Partner Organizations
Other - Specify (Required)
*
None of the above

Hidden unless: #21 Question "Do you provide training on WOTC to any of the following groups?(Select all that
apply.)"

22. For each of the options selected above, please detail how you provide information about WOTC
services:
Virtual In-person

Web Recordings, Social Media

Fact Sheets

Employers
AJCs
Partner Organizations
Other, Previous Answer

Show/hide trigger exists.

23. Is your office involved in pre-screening (using Form 9062, Conditional Certification) potential
WOTC candidates?
Yes
No

Show/hide trigger exists. Hidden unless: #23 Question "Is your office involved in pre-screening (using Form 9062,
Conditional Certification) potential WOTC candidates?" is one of the following answers ("Yes")

24. What WOTC candidate pre-screening activities do you conduct? (Select all that apply.)
Review documentation from candidate
Match candidate to target group
Assist in completing paperwork
Engage with WOTC partners
Complete Conditional Certification Form 9062
Other - Write In (Required)
*

Hidden unless: #24 Question "What WOTC candidate pre-screening activities do you conduct?(Select all that
apply.)" is one of the following answers ("Engage with WOTC partners")

25. Please describe the organization and prescreening activities you conduct with partners such as
AJCs:

Show/hide trigger exists.

26. Who conducts pre-certifications in your state? (Select all that apply.)
Your office
AJCs/One Stops
SNAP Employment and Training Organizations
Other community service partner Organizations
Other - Specify (Required)
*
No agency conducts pre-certifications

Hidden unless: #26 Question "Who conducts pre-certifications in your state? (Select all that apply.)" is one of
the following answers ("Your office")

27. Which target groups does the SWA pre-certify? (Select all that apply.)
Temporary Assistance for Needy Families (TANF) (IV-A Recipient)
Veterans
Ex-Felons
Designated Community Residents
Vocational Rehabilitation Referrals
Summer Youth Employees
Supplemental Nutrition Assistance Program (SNAP) Recipients
Supplemental Security Income Recipients
Long-Term Family Assistance Recipients
Long-Term Unemployment Recipients
All apply
None apply

Show/hide trigger exists.

28. How would you best describe how your SWA WOTC staff are assigned to process WOTC
certification requests? (Mark the option that best describes your workforce.)
Initial review and screening
We manually perform initial screenings of incoming certification requests and categorize them
into groups.
We manually enter incoming certification requests into our systems to make them available for
processing.
Processing
Our system runs all the requests through cooperating source agencies (such as checks for
rehires, SNAP, TANF, etc.) before staff continue processing.
All staff work on requests as they are received regardless of target group, employer or
verification requests from another SWA.
Some staff work on requests as they are received while some are assigned to a specific type of
request or group.
Staff are specialized in our office and work solely with a specific type of request or group.
Staff are assigned both online and paper requests to process as they come in.
Other - Please Describe (Required)

Hidden unless: #28 Question "How would you best describe how your SWA WOTC staff are assigned to process
WOTC certification requests? (Mark the option that best describes your workforce.)" is one of the following
answers ("Some staff work on requests as they are received while some are assigned to a specific type of request or
group.","Staff are specialized in our office and work solely with a specific type of request or group.")

29. For staff that are specialized, please identify what their focus is on:
Specific target groups
Specific employers
Specific SWA requests
Specific processing functions such as assessing the adequacy of the certification request,
requesting/obtaining/reviewing documentation, issuing needs letters, etc.

(untitled)

30. On average, how long does it take SWA staff to conduct an initial review of a certification request
from an employer?
Number of
minutes

31. Do any of the following target groups take more time to certify than others? (Select up to three
of the most time consuming target groups.)
Temporary Assistance for Needy Families (TANF) (IV-A Recipient)
Veterans
Ex-Felons
Designated Community Residents
Vocational Rehabilitation Referrals
Summer Youth Employees
Supplemental Nutrition Assistance Program (SNAP) Recipients
Supplemental Security Income Recipients
Long-Term Family Assistance Recipients
Long-Term Unemployment Recipients

Show/hide trigger exists.

32. Does certification time vary by employer/employer representative?
Varies by employer
Varies by employer representative
No variation

Hidden unless: #32 Question "Does certification time vary by employer/employer representative?" is one of the
following answers ("Varies by employer","Varies by employer representative")

33. What factors are prominent among employers/employer representatives whose submissions are
the most time consuming? (Select all that apply.)
Unfamiliarity with WOTC
Business is large
Business is small
Type of target group
Type of employment
Incorrect or missing forms
Incorrect or missing documentation
Other - Specify (Required)
*

34. Based your experience, rate the following sources and combinations of Forms in terms of
completeness of submission.
Typically not
completed
corrected

Usually
completed
correctly

Always
completed
correctly

We receive too few
submissions to
qualify

SWA Conditional Certification Form 9062
plus IRS form 8850
AJC Conditional Certification Form 9062
plus IRS form 8850
SNAP Employment and Training Agency
Conditional Certification Form 9062 plus
IRS form 8850
Other community service agency
Conditional Certification Form 9062 plus
IRS form 8850
Employer submission with Individual
Characteristic Form 9061 and IRS form
8850
Employer Representative submission with
Individual Characteristic Form 9061 and
8850
Employer submission with Self Attestation
Form 9175 and IRS form 8850
Employer Representative submission with
Self Attestation Form 9175 and IRS Form
8850

35. After initial review, approximately what percent of certification requests result in these actions:
(Please provide your best guess for each item.)
% initially approved
% initially denied
% pending SWA action to verify employer's
documentation
% pending SWA action to verify Target Groups for which we can access electronic
documentation
% require a needs letter
% require verification by another
SWA

36. After initial review resulted in a denial, approximately what percent of initial certification requests
were denied due to:
% form information indicated
ineligibility.
% certification requested after hire
date/rehire.
% verification request to source agency was not received in a timely
manner.
% documentation provided with the form indicated
ineligibility.
% other (please describe other in the next
question)

37. Please specify "Other", if selected in the question above. If you did not select other, please leave
this blank.

38. Please estimate the percent of needs letters issued due to:
% forms being incomplete/not properly filled
out.
% inadequate documentation provided by the employer/Employer
Representative.
% inconsistencies between the form and the
documentation.
% issues with the
dates.
% employer indicates that documentation will be
forthcoming
% other issues,
specify

39. For each target group, please select the level of issues associated with certification submissions:
No issues as SWA has
automated process of obtaining
data from a source agency
(SNAP, TANF, etc.)

High quality
submissions
(no issues)

Likely
to have
issues
Few causing
issues delays

Temporary Assistance for Needy Families
(TANF) (IV-A Recipient)
Veterans
Ex-Felons
Designated Community Residents
Vocational Rehabilitation Referrals
Summer Youth Employees
Supplemental Nutrition Assistance
Program (SNAP) Recipients
Supplemental Security Income Recipients
Long-Term Family Assistance Recipients
Long-Term Unemployment Recipients

40. For each target group, indicate the statements that describe SWA actions when documentation is or
is not present with the certification request for Target Groups that your agency DOES require employers
to provide documentation. Indicate NA for documentation your agency DOES NOT require
employers/representatives to submit.

(Some
documentation
absent or
(Complete
inadequate) IF
Documentation) IF any documentation
documentation
is missing or
provided by
inadequate, SWA
employer/Employer
sends a needs
Representative is
letter that requires
complete and
employer/Employer
adequate, it is
Representative
accepted by SWA
documentation to
without further
re-submit proper
verification
documentation
Temporary
Assistance
for Needy
Families
(TANF) (IV-A
Recipient)

(Some
documentation
absent or
inadequate) IF
any documentation
is missing or
inadequate, SWA
obtains and
verifies
employer/Employer
Representative
documentation
instead of requiring
the
employer/Employer
Representative to
re-submit it

(All cases) SWA
verifies all
employer/Employer
Representative
documentation,
regardless of
whether it is
complete or
incomplete;
adequate or
inadequate

NA (Not
Applicable)

Recipient)
Veterans
Ex-Felons
Designated
Community
Residents
Vocational
Rehabilitation
Referrals

(Some
documentation
absent or
(Complete
inadequate) IF
Documentation) IF any documentation
documentation
is missing or
provided by
inadequate, SWA
employer/Employer
sends a needs
Representative is
letter that requires
complete and
employer/Employer
adequate, it is
Representative
accepted by SWA
documentation to
without further
re-submit proper
verification
documentation

(Some
documentation
absent or
inadequate) IF
any documentation
is missing or
inadequate, SWA
obtains and
verifies
employer/Employer
Representative
documentation
instead of requiring
the
employer/Employer
Representative to
re-submit it

(All cases) SWA
verifies all
employer/Employer
Representative
documentation,
regardless of
whether it is
complete or
incomplete;
adequate or
inadequate

NA (Not
Applicable)

Summer
Youth
Employees
Supplemental
Nutrition
Assistance
Program
(SNAP)
Recipients
Supplemental
Security
Income
Recipients
Long-Term
Family
Assistance
Recipients

41. For each target group, please indicate your agency’s policies and practices concerning which
types of documentation your agency obtains on behalf of employers, and which types of
documentation your agency requires employers to submit with their certification requests.

SWA obtains
this
documentation

SWA obtains this
data from
source/issuing
agency through
mail, fax, other

SWA verifies
Employerprovided

documentation
electronically
(employer not
required to
supply).

mail, fax, other
correspondence Employer is
(employer not
required to
required to
provide this
supply).
documentation

provided
documentation
with
source/issuing
agency

SWA obtains
this
documentation
electronically
(employer not
required to
supply).

SWA obtains this
data from
source/issuing
agency through
mail, fax, other
correspondence Employer is
(employer not
required to
required to
provide this
supply).
documentation

SWA verifies
Employerprovided
documentation
with
source/issuing
agency

TANF: Issuing agency documentation
of receipt of TANF benefits for 9 months
during the 18-month period ending on
hire date.
TANF: Proof of participant age, such as
Drivers’ License, Birth Certificate, State
Vital Records Office
TANF: Recipient statement of receipt of
TANF benefits 9 months during the 18month period ending on the hire date
Veterans: Copy of U.S. Department of
Veterans’ Affairs-issued letter/document
establishing service-connected
disabilities
Veterans: For unemployed veterans,
State UI Wage records to prove
unemployment
Veterans: For unemployed veterans,
proof of State-issued unemployment
claims/benefits
Ex-Felons: Correction Institution
Records

Ex-Felons: Court Records
DCRs: Documentation of Address by
USPS delivered letter or other
government-issued identification
document, e.g., driver’s license, voter
registration, tax form.
DCRs: Proof of verification of Address
in Empowerment Zone via HUD
Website/App or Rural Renewal Area via
USPS.
DCRs: Proof of Age between 18 and 40
via government-issued identification,
e.g., driver’s license, birth certificate,
government-issued identification card.
DCRs: Confirmation of age/birth
certificate from State Vital Records
agency
Voc Rehab: Confirmation by official

Voc Rehab: Confirmation by official
communication from State
Rehabilitation Agency of a state plan
approved under the Rehabilitation Act
of 1973
Voc Rehab: Confirmation by official
communication from SSA, SSI or the
State Agency administering Ticket to
Work of the employee’s Employment
Network Plan

SWA obtains
this
documentation
electronically
(employer not
required to
supply).

SWA obtains this
data from
source/issuing
agency through
mail, fax, other
correspondence Employer is
(employer not
required to
required to
provide this
supply).
documentation

SWA verifies
Employerprovided
documentation
with
source/issuing
agency

SWA obtains
this
documentation
electronically
(employer not
required to
supply).

SWA obtains this
data from
source/issuing
agency through
mail, fax, other
correspondence Employer is
(employer not
required to
required to
provide this
supply).
documentation

SWA verifies
Employerprovided
documentation
with
source/issuing
agency

Voc Rehab: Confirmation by official
communication from U.S. Department
of Veteran’s Affairs of participation in a
rehabilitation program
Summer Youth: Government-issued
documentation that employee Is at least
16 years old, but under 18 on the hiring
date or on May 1, whichever is later.
Documentation may include driver’s
license, school-issued identification card
with date of birth, birth certificate,
hospital record or work permit.
Summer Youth: State Vital Records
supplies/confirms birthdate/birth
certificate.
Summer Youth: Did not work for
employer prior to May or after
September 30, per State UI wage
records.
Summer Youth: Resides in an
Empowerment Zone, as documented by
HUD website/app or Rural Renewal
Area documented by USPS website.
SNAP: SNAP case number or other
proof of SNAP participation, such as
SNAP EBT card
SNAP: Proof of participant age, such as
Drivers’ License, Birth Certificate.

supply).

supply).

documentation

agency

SNAP: State Vital Records Office
provides proof of age/Birth Certificate.
SNAP: Recipient statement of receipt of
SNAP benefits for the last six months
prior to hire date
SNAP: Issuing agency documentation
of receipt of SNAP benefits in three of
the last 5 months prior to hire date.
SSI: Statement from SSA confirming
receipt of SSI benefits in the last 60
days prior to hire.
Long-Term Family: Statement from
SSA confirming receipt of SSI benefits
in the last 60 days prior to hire.
Long-Term Family: Applicant
statement of unemployment during the
past 27 weeks and receipt of
Unemployment benefits for all or some
of the past 27 weeks per ETA Form
9175 Self Attestation.
Long-Term Family: State UI Agency
records of Unemployment benefits
issued during part or all of the past 27
weeks prior to hire.

SWA obtains
this
documentation
electronically
(employer not
required to
supply).
Long-Term Family: State UI Agency UI
wage records to prove unemployment.

SWA obtains this
data from
source/issuing
agency through
mail, fax, other
correspondence Employer is
(employer not
required to
required to
provide this
supply).
documentation

SWA verifies
Employerprovided
documentation
with
source/issuing
agency

42. Once you request verification documentation from another agency (i.e. SNAP, TANF), what is
your policy regarding how much time your agency allots to receive the documentation?
We allot 90 days to receive documentation and if documentation is not received we deny the
certification.
We allot an extension of a certain number of days after the initial 90 days and then deny the
certification if verification documentation is not received. (Please specify the number of days)
(Required)

We keep missing documentation cases open until the end of the fiscal year, and if
documentation is not received by then, we deny the certification if it is older than 90 days.
Otherwise it is moved into the backlog of the next fiscal year.
We keep missing documentation cases open for 365 days.
Other - Specify (Required)

43. Please indicate how your office checks employee social security numbers (SSNs) to assure that
the employer is requesting a certification for an employee who was NOT previously or currently
certified for WOTC. (Select all that apply.)
Checks against up to three years of SSNs of certified individuals in the requested target group
Checks against up to three years of SSNs of certified individuals in any target group
Checks against up to three years of SSNS of certified individuals associated with the company
submitting the request
Checks against up to three years of SSNs certified individuals associated with a different
employer than the employer submitting the request
Checks against bordering states to see if the request is for an employee previously or currently
certified in another state
Other - Specify (Required)
*
None of the above

(untitled)

44. Please indicate all agencies the SWA currently has MOUs or similar information-sharing
agreements with, and whether verifications are conducted mostly manually, mostly electronically or
mixed:
No
Information
Sharing
State SNAP Office
State TANF Office
State Veterans Office
State Vocational Rehabilitation Office
State Corrections System Office
State Children and Youth Office
State Housing Assistance Office
State Vital Records Office
State Unemployment Insurance Office
Other State Office,
Nonprofit Agency
Grantee(s) administering summer youth
programs
U.S. Department of Veterans Affairs
U.S. Social Security Administration
U.S. Department of Housing and Urban
Development
Enter another option

Mostly
Electronic

Mostly
Manual

Equally Manual
and Electronic

Not
Applicable

45. For each agency type that you use to verify certification information, please indicate how long it
takes to receive verification from each agency?
Immediately
(Electronic)

Within
10
days

Within
90
days

Responses
received longer
than 90 days

Not
Applicable

State SNAP Office
State TANF Office
State Veterans Office
State Vocational Rehabilitation Office
State Penal System Office
State Children and Youth Office
State Housing Assistance Office
State Vital Records Office
State Unemployment Insurance Office
Other State Office,
State Nonprofit Agency
Grantee(s) administering summer youth
programs
U.S. Department of Veterans Affairs
U.S. Social Security Administration
U.S. Department of Housing and Urban
Development
Enter another option

46. Does your agency have MOUs or information sharing arrangements with any out-of-state (nonnational) agencies to verify certification information?
Yes
No

47. What percentage of certifications require out-of-state verification from other
states?
Percent:

%

48. How many out-of-state agencies do you request verification information
from?
number of out-of-state agencies

49. Of these out-of-state agency that you use to request verification, indicate the percentage that are
handled manually; electronically or mixed:
Manual
Electronic
Mixed

50. How much of your verification workload in FY2023 was in response to verifications requested
by other SWAs?
FY2023 verifications requested by other
SWAs
% of verifications you performed in
2023
% performed so far in 2024 (an estimation is
fine.)

51. How do you prioritize in-state versus out-of-state verification requests?
Priorities are equal for electronic requests, they are processed as they come in
Out-of-state requests that are not electronic are lower priority for processing
We prioritize in-state first, regardless of whether the request was electronic or paper
We prioritize differently than the options listed above - Explain (Required)

Show/hide trigger exists.

52. In general, how difficult is it for your office to verify out-of-state information?
Difficult
Mixed
Easy

Hidden unless: #52 Question "In general, how difficult is it for your office to verify out-of-state information?" is one
of the following answers ("Difficult","Mixed")

53. What makes it difficult or mixed?
Paper requests instead of electronic requests.
Incompatible electronic requests.
Insufficient staff to deal with the requests.
Some requests are not clearly defined.
Takes too long to receive a response.
Other - Write In (Required)
*

Show/hide trigger exists.

54. In general, how difficult is it for your office to get verifications from other states?
Difficult
Mixed
Easy

Hidden unless: #54 Question "In general, how difficult is it for your office to get verifications from other states?" is
one of the following answers ("Difficult","Mixed")

55. What makes it mixed or difficult?
Paper requests.
Incompatible electronic requests.
Insufficient staff to deal with out-of-state requests.
Takes too long to receive a response.
External staff did not understand the request.
Other - Write In (Required)
*

56. At the end of the fiscal year, when you have to determine the status of all cases processed and
submit your performance report to ETA, please indicate the percent in each disposition category for
FY 2023:
% Certified
% Denied due to verified
ineligibility
% Denied due to timing out in backlog (documentation inadequate to determine eligibility
within the required timeframe)
% Moved to 2024 backlog for
processing

57. Please indicate the top 4 factors in causing your state’s WOTC backlog in the past year in the
past year: (1 being the biggest factor.)
1
Employers/employer representatives
provide incomplete or inconsistent
information in the initial certification forms.
Employers/employer representatives omit
documentation supporting the initial
certification requests.
Employers/employer representatives do
not respond correctly to needs letters or on
a timely basis.
Agencies from whom the SWA seeks
verification do not respond correctly on a
timely basis.
Changes in form requirements or other
TEGL changes that require reprogramming
electronic systems.
Natural disasters such as weather events,
earthquakes, fires, hurricanes, floods, etc.
Our WOTC staff resources are inadequate
to handle the workloads.
Other issues, which you can explain in the
next question.

2

3

4

58. If you selected "Other Issues" above, please explain what issues cause your backlog. If you did
not select other issues, please leave this question blank.

59. How many companies currently have submitted WOTC certification requests to your
office?
Number of companies

(untitled)

60. Enter the percent of manual and electronic processing activities currently used to process
certification requests in your state.
Real Time
Online
Submission

Online
Batch
Submission

Currently Paper,
Plans in place for
online submission

Currently Paper, No
Plans in place for
online submission

Paper only, no
plans for
automation

ETA Form
9061
ETA Form
9062
ETA Form
9075
IRS Form
8850
Supporting
Documentation
Response to
Needs Letter

61. Please describe which of these actions are primarily done electronically, done manually, or both.
Primarily
Electronic
Review actions
Records signature dates
Records date of receipt of forms
Identifies missing information on forms

Primarily
Manual

Equally Manual and
Electronic

Not
Done

Identifies missing information on forms
Identifies inconsistent information on forms
Identifies missing documentation
Identifies inconsistencies between form entries and
documentation
Generates needs letter
Records date of needs letter issuance
Primarily
Electronic

Primarily
Manual

Equally Manual and
Electronic

Not
Done

Primarily
Electronic

Primarily
Manual

Equally Manual and
Electronic

Not
Done

Primarily
Electronic

Primarily
Manual

Equally Manual and
Electronic

Not
Done

Records due date for needs letter requests
Records date of receipt of information in response to
needs letter
Records data from needs letter response
Reassesses WOTC eligibility based on needs letter
response data
Generates online verification requests to partner
agency external systems
Generates verification request electronic files for
partner verification agencies
Generates verification request list or letters for
partner verification agencies
Records date verification request was made
Records date verification response expected

Issues reminder emails or letters to partner agencies
providing verification
Records date verification documentation was
received
Records verified information
Determines WOTC eligibility based on verified
results
Issues denial letter based on non-receipt of needs
letter requested data
Issues denial letter based on needs letter response
data
Issues denial letter based on verified information
Records date of denial letter
Issues certification letter

Records date of certification letter
Produces Status Reports covering these topics:

Produces Status Reports covering these topics:
Number of Certifications received, in process,
approved, denied
Needs letters issued, outstanding, timed out
Verification requests issued, outstanding, timed out

62. When was your current electronic processing system
implemented?
Year

63. Was your system developed in-house or did you hire a contractor?
In house
Contractor - Specify (Required)

64. How was your system funded?
Grants from ETA
State-provided funds
Combination of ETA and State funds

65. What best describes the status of your system?
Established, with routine ongoing updates
Major components developed, still working on the rest
Still working on the major components
Just beginning development

Show/hide trigger exists.

66. How well does your system support WOTC certification processing?
Provides the support we need
Lacking in minor areas
Lacking in major areas

Hidden unless: #66 Question "How well does your system support WOTC certification processing?" is one of the
following answers ("Lacking in minor areas","Lacking in major areas")

67. Describe what you would like your system to do or do
better.

Show/hide trigger exists.

68. What years did you apply for a backlog grant?
2020
2021
2022
2023
2024
Our state has never applied for a backlog grant.

Show/hide trigger exists. Hidden unless: #68 Question "What years did you apply for a backlog grant?" is one of
the following answers ("2020","2021","2022","2023","2024")

69. Did you receive at least one of the backlog grants you applied for?
Yes
No

Show/hide trigger exists. Hidden unless: #69 Question "Did you receive at least one of the backlog grants you
applied for?" is one of the following answers ("Yes")

70. What did you use the backlog reduction grant funding for? If you received more than one
backlog grant, please select the options used for all grants. (Select all that apply.)
Hire additional staff
Reorganized/streamlined staff processing actions
Reduce wait times
Develop electronic data system
Improve current electronic system
Other - Please Specify (Required)
*

Hidden unless: #70 Question "What did you use the backlog reduction grant funding for? If you received more
than one backlog grant, please select the options used for all grants. (Select all that apply.)" is one of the following
answers ("Improve current electronic system")

71. What improvements did you make to your online system? Please be as specific as
possible.

72. Has your state developed procedures or systems that have made a difference in how to process
WOTC certifications that you would like to share with other SWAs? Please describe the problem it
addresses and how it was done.

73. Are there areas where you feel your state could benefit from more
support/interaction/communication with ETA? Describe.

74. Are there areas where you feel your state could benefit from more communication/interaction
with other SWAs? Describe.

75. Please provide any comments or suggestions you like to share to improve the implementation of
WOTC.

Thank You!

Thank you for taking our survey. Your response is very important to us.