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Secretary of Labor Thomas E. Perez
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FY 2004 Annual Performance Plan

Appendix A Cont.

Outcome Goal 4.1: Equip workers to adapt to the competitive challenges of the 21st Century

Performance Goal 4.1A

Analyze information collection and research programs for relevance.

Results

N/A

Indicator

In PY 2004:

  • Inventory research and major data programs within DOL.
  • Analyze research for relevance in identifying emerging workforce issues and identify any significant information gaps.
  • Identify emerging workforce issues.

Data Source

N/A

Baseline

Because this is the first year of activity under Performance Goal 4.1A, no baselines have been established.

Comment

Though there are no agency dollars budgeted for activities related to Outcome Goal 4.1 in PY04, DOL will proceed in PY04 by developing the approach for accomplishing Outcome Goal 4.1. An internal workgroup has been created with participation from ETA, BLS, and ASP. This workgroup will oversee and coordinate the FY04 activities for Outcome Goal 4.1 and develop the long-term plans for accomplishing Outcome Goal 4.1.

Performance Goal 4.1B

Address worker shortage.

Results

N/A

Indicator

In PY 2004: Identify key occupations in which there is substantial evidence of difficulties in finding sufficient supplies of qualified workers.

Data Source

N/A

Baseline

Because this is the first year of activity for Performance Goal 4.1B, no baselines have been established.

Comment

*Though there are no agency dollars budgeted for activities related to Outcome Goal 4.1 in PY04, DOL will proceed developing the approach for accomplishing Outcome Goal 4.1. An internal workgroup has been created with participation from ETA, BLS, and ASP. This workgroup will coordinate and monitor the FY04 activities for Outcome Goal 4.1 and develop the long-term plans for accomplishing Outcome Goal 4.1.

Performance Goal 4.1C

Build a demand-driven workforce system.

Results

N/A

Indicator

In PY 2004:
Determine baselines for the following indicators* (also see comments):

  • Increase the numbers of firms served in high-growth industries by x percent
  • Increase the number of individuals trained and employed in high-growth industries by x percent.
  • Percentage of participants attaining a degree or certificate in post-secondary education and skills training in those occupations experiencing skills shortages in high-growth industries.
  • Increase the numbers of individuals employed in high-growth industries by x percent.
  • Retention Rate of those individuals employed in high-growth industries (i.e. for three quarters after exiting the program as described in the common measures for job training programs).
  • Efficiency measure for the Community College High Growth Training Initiative.

Data Source

ETA Management Information and Longitudinal Reporting System.

Individual administrative records.

Baseline

Because this is the first year of activity for Performance Goal 4.1C, no baselines have been established.

Comment

*Though there are no agency dollars budgeted for activities related to Outcome Goal 4.1 in PY04, DOL will proceed in PY04 by determining baselines for the above indicators.  To become demand-driven, the workforce system must connect with employers in high-growth industries to address their needs for skilled workers and contribute to their continued growth. These indicators will measure the system's progress in moving closer to a demand-driven system.

Outcome Goal 4.2:  Promote job flexibility and minimize regulatory burden

Performance Goal 4.2A

Maximize regulatory flexibility and benefits and promote flexible workplace programs.

Results

N/A: This goal begins in FY 2004

Indicator

  1. Wage and hour, worker safety, pension and health care regulations, to the greatest extent practicable, are performance-based and provide maximum flexibility to employers in developing a compliance approach.
    • FY 2004:  Seek input from the public as part of its decision-making process in determining which regulations or regulatory programs should be prioritized for review for their effects on small businesses and entities
  2. New and current regulations maximize net benefits.  Regulations that impose greater societal costs than benefits are revised or eliminated, consistent with applicable governing statutes
    • FY 2004:  Ensure that all new regulatory proposals identify monetary costs, benefits, and net benefits, and include a summary of this information in all Regulatory Impact Analyses performed by DOL agencies.
  3. DOL ensures compliance with its regulations in the most cost-effective manner.  Non-cost-effective practices are modified or eliminated, consistent with governing statutes. 
    • FY 2004:  Develop plan to review all significant regulations for maximum flexibility in their reporting and record keeping requirements in order to assess whether DOL agencies are allowing the use of electronic technology by employers where practicable.
  4. Best practices for, and models of, flexible workplace practices are identified and publicized. FY 2004:  Develop best-practices studies

Women's Bureau:  The Flex-Options for Women Project—Women-owned businesses will enhance their work forces/businesses by offering workplace flexible policies and programs that encourage a balance between home and work-life. The Women's Bureau will enlist 40 companies as corporate mentors and 80 women-owned businesses as companies seeking to establish workplace flexibility policies or programs.

Data Source

Indicators (1) – (3):  N/A

Indicator (4):  Best practices/Women's Bureau:  Application forms from mentors and businesses; program progress reports

Baseline

Indicators (1) – (3):  N/A

Indicator (4):  Best practices/Women's Bureau:  FY 2004 result will be used to assess the number of businesses targeted for FY 2005.

Comment

N/A

Outcome Goal FM:  Enhance Financial Performance through Improved Accountability

Performance Goal FM1

FY 2004: Improve the accuracy and timeliness of financial information.

FY 2003: Improve the accuracy and timeliness of financial information.

FY 2002: DOL financial management conforms to all Federal accounting standards, laws, and regulations. All DOL financial systems meet the standards set in the Federal Financial Management Improvement Act (FFMIA) and the Government Management Reform Act (GMRA).

FY 2001: Same as FY 2002

FY 2000: All DOL financial systems meet the standards or have prepared corrective action plans to meet the standard by FY 2000.

FY 1999: DOL financial systems and procedures either meet the “substantial compliance” standard as prescribed in the Federal Financial Management Improvement Act (FFMIA) or corrective actions are scheduled to promptly correct material weaknesses identified.

Results

FY 2003: Achieved. DOL received an unqualified audit opinion on its FY 2003 Annual Financial Statements. All 17 DOL financial systems are found to be in substantial compliance with FFMIA.

FY 2002: Substantially Achieved.

FY 2001: Achieved.

FY 2000: Substantially achieved.

FY 1999: Achieved.

Indicator

  • Maintain an unqualified (clean) audit opinion with no material internal control weaknesses.
  • Meet new requirements and standards in accordance with the Federal Financial Management Improvement Act (FFMIA) and Federal Managers' Financial Integrity Act (FMFIA).
  • Issue FY 2003 consolidated financial statements by February 1, 2004.
  • Issue quarterly financial statements within 45 days after the close of each quarter.
  • Identify and correct processes and systems that contribute to erroneous benefit overpayments.

Data
Source

OIG audit opinion in Annual Report to be issued in Dec 2003;
Secretary's Assurance Statements on FFMIA and FMFIA;
President's Management Agenda Scorecard

Baseline

FY 2001: 100% of systems in compliance with FFMIA
FY 1997-2001: Received unqualified (clean) audit opinion
FY 2001: Accelerated timeframe met – CFS issued by Feb 27, 2002

Comment

This goal has been expanded to include the two goals formerly listed as FM1 and FM2 in FY 2002 as well as an indicator to address erroneous payments.

Performance Goal FM2

FY 2004: Integrate financial and performance management to support day-to-day operations across DOL.

Results

FY 2003: Defined major outputs for the five largest DOL agencies. Conducted managerial cost accounting training to approximately 130 individuals throughout the Department.

FY 2002: N/A

Indicator

  • Interfaced Department Accounting and Agency program systems provide cost-based performance data.
  • Develop and disseminate cost accounting policy and training materials to address issues raised in prior year survey.

Data Source

Annual Performance Report and OMB Financial Management Scorecard

Baseline

TBD

Comment

This Performance Goal builds on the work begun to tie together cost and performance information, and is a key element in the government-wide Presidential Management Agenda focus of “Getting to Green” for financial management systems.

Outcome Goal HR:  Establish DOL as a Model Workplace

Performance Goal HR1

FY 2004: The right people are in the right place at the right time to carry out the mission of the Department.

  1. The DOL workforce is a prepared and competent workforce.
  2. The DOL workforce is a diverse workforce.

Results

 

Indicator

FY 2004:
A1) DOL will graduate, place or certify 75% of employees from its management and leadership development programs.
A2) Competency assessment tool will be piloted and competency gap analysis completed for 10% of employees in mission-critical or supervisory occupations.
B1) Improvement will be realized in 25% of diversity indictors for professional and administrative occupations exhibiting under-representation in FY 2003.
B2) Continued improvement is realized in the extent to which diversity in the DOL workforce reflects the civilian labor force.
B3) Diversity will be improved among management officials and supervisors.

Data Source

 

FY 2004:
A1) DOL HR Information System.
A2) Agency strategic, workforce and recruitment plans; employee performance and development plans.
B1) DOL HR Information System and AEP Reports
B2) DOL HR Information System and/or CPDF Data aligned with Census Data to reflect overall DOL representation rates for the six protected groups.
B3) DOL HR Information System.

 

Validity and
Verification of
Performance Data

Data is reviewed and evaluated by Office of Workforce Planning and Diversity in OASAM.  The OIG conducts annual audits of the validity of the data.

Baseline

FY 2004:
A1) To be established in FY 2003
A2) 27 mission critical occupations identified in FY 2002
B1) To be established in FY 2003
B2) In FY 2000, 49.7% of workforce were women, 24.2% Black, 6.9% Hispanic, 3.3% Asian/PI, and 0.7% Native American, 6.4% persons with disabilities, and 1.2% persons with targeted disabilities.
B1) To be established in FY
B2) In FY 2000, 49.7% of workforce were women, 24.2% Black, 6.9% Hispanic, 3.3% Asian/PI, and 0.7% Native American, 6.4% persons with disabilities, and 1.2% persons with targeted disabilities.
B3) In FY 2002, 32.8% of managers were women, 1.7% were Asian/Pacific Islander, 13.1% were Black, 5.1% were Hispanic, and 0.9% were Native American.  Baseline measures will be developed comparing diversity in management to non-management employees by agency using FY 2003 data. 

Comment

The following factors may affect the ability to attain the above goal: DOL's budget; changes in recruitment and hiring procedures; introduction of new recruitment flexibilities; computer access to programs and services to all DOL employees.

Performance Goal HR2

FY 2004:  Reduce the rate of lost production days due to work related injuries and illnesses by two percent

FY 2002-2003: Same as FY 2000-2001
FY 2000-2001: Reduce the rate of lost production days by two percent (i.e., number of days employees spend away from work due to injuries and illnesses).
FY 1999: N/A

Results

FY 2003:  The goal was achieved.  The rate of lost production days due to work related injuries and illnesses decreased by 6 percent over FY 2002 lost production days rate.

FY 2002: The goal was achieved. The rate of lost production days due to work related injuries and illnesses decreased by 22.7 percent.

FY 2001: The goal was not achieved. The Department's rate of lost production days increased by 8.65 percent.

FY 2000: This goal was not achieved. The rate of lost production days was reduced by .05%.

FY 1999: N/A

Indicator

Percent decrease in rate of lost production days (target is 2%)

Data Source

OWCP Table 2 Reports and personnel data from Office of Personnel Management.

OWCP Charge Back System data.

Baseline

Initial baseline year for lost production days was officially set by OWCP as FY 2003.  DOL's FY 2003 lost production days rate was 43.5 days per 100 employees.  OWCP instituted a new process for tabulating lost production days in FY 2003,

Comment

Factors that will influence achieving the above goal: DOL resources for workers' compensation coordinators (number of and training); DOL agencies' commitment to using flexibilities available to return injured employees to work; OWCP caseload.

Performance Goal HR3

FY 2004:  Reduce the total case rate for injuries and illnesses for DOL employees by three percent.  (This is the total number of cases reported to the Office of Workers' Compensation Programs.)

FY 2003: Reduce the overall occurrence of injuries and illnesses for DOL employees by three percent, and achieve a seventy-eight percent on time filing of injury/illness claims with the Office of Workers' Compensation.

FY 2000-2002: Reduce the overall occurrence of injuries and illnesses for DOL employees by three percent, and improve the timeliness of filing injury/illness claims by five percent.

FY 1999: N/A

Results

FY 2003:  This goal was achieved.  The Department met the injury/illness target with a rate of 2.5 cases per 100 employees, exceeding FY 2002 by 16 percent.  DOL filed 83.63 percent of claims on time, exceeding the target by over 8 percentage points.

FY 2002: This goal was achieved. The Department met the injury/illness target with a rate of 2.98 cases per 100 employees, and filed 77.2 percent of claims on time, exceeding the target by 14.8 percentage points.

FY 2001: This goal was not achieved. The injury/illness rate for DOL employees increased to 4.01 cases per 100 employees (preliminary data) while the timeliness of filing injury claim forms decreased by 2.1%.

FY 2000: Results for this goal have changed. The Annual Report indicated that this goal (3.6 cases per 100 employees) had not been achieved. More current and accurate data indicates that this goal was achieved and the FY 2000 injury and illness rate was 3.5 cases per 100 employees, a reduction of 5.7%. The Department also significantly improved the timeliness of filing injury claims, improving to 57.3% from the previous baseline of 47.4%.

FY 1999: N/A

Indicator

Percent decrease in total case rate of illnesses, and injuries (target is 3%).

Data Source

OWCP Table 2 Reports And Personnel Data From DOL's Departmental Budget Center.

Baseline

a) Initial baseline injury and illness rate is 2.5 cases per 100 employees based on FY 2003 data.

Comment

Factors that will influence achieving the total case rate  goal: maintaining continued focus of DOL agency managers on actions to reduce injury rates; DOL resources for training managers, supervisors, and employees how to identify, avoid, and correct/minimize hazards in the workplace.

Performance Goal HR4

FY 2004:  Reduce the lost time case rate for injuries and illnesses for DOL employees by three percent. (This is the number of injury/illness cases reported to the Office of Workers' Compensation Programs that resulted in days away from work.)

FY 1999-2003: N/A

Results

 

Indicator

Percent decrease in lost time case rate of illnesses, and injuries (target is 3 percent).

Data Source

OWCP Table 2 Reports, Chargeback Reports, and personnel data from DOL's Departmental Budget Center.

Baseline

  1. Initial baseline injury and illness rate is 1.23 cases per 100 employees based on FY 2003 data.

Comment

Factors that will influence achieving the total case rate goal: maintaining continued focus of DOL agency managers on actions to reduce frequency and severity of injuries; DOL resources for training managers, supervisors, and employees how to identify, avoid, and correct/minimize hazards in the workplace.

Performance Goal HR5

FY 2004:  Improve the timeliness of filing notices of injuries and illnesses with the Office of Workers' Compensation Programs by five percent.

FY 2003: Achieve a seventy-eight percent on time filing of injury/illness claims with the Office of Workers' Compensation Programs.

FY 2000-2002:  Improve the timeliness of filing injury/illness claims by five percent.

FY 1999: N/A

Results

 

Indicator

Increase in timeliness of reporting new injuries by five percent.

Data Source

OWCP Table 2 Reports, Chargeback Reports, and personnel data from DOL's Departmental Budget Center.

Baseline

Initial baseline for filing notices of injury/illness to the Office of Workers' Compensation Programs is 83.6% based on FY 2003 data.

Comment

Factors that will influence achieving the timeliness goal: using the electronic workers' compensation claims filing system.

Outcome Goal IT:  Provide Improved, Secure IT Service to Citizens, Businesses,
Government and DOL Employees to Improve Mission Performance

Performance Goal IT1

IT1 - FY2004:  E-Government  - Utilizing Technology to Improve Service and Efficiency
FY 1999 – 2003

Results

FY 2001 – 2003

  1. GPEA - Automated 67% of Manual Processes designated under GPEA.
  2. E-Procurement - Piloted a web-based electronic procurement solution.
  3. N/A - Directory Services - New Goal in FY 2004

Indicator

  1. Automate 100% of the Manual Processes Designated Under GPEA
  2. Implement the Web-based E-Procurement System (EPS) to 7 DOL component agencies.
    • Integrate the use of Central Contractor Registration (CCR) for vendors.
    • Implement Schedule feed of EPS data to FPDS-NG (Federal Procurement Data System—Next Generation)
    • Implement pilot of two-way interface with GSA Advantage on-line shopping and ordering system.
  3. Establish an Enterprise-wide Directory Service
    •  Establish the baseline of directory service
    • Complete conceptual and detailed planning and design to integrate directories with similar database formats
    • Make information in existing directories accessible and re-usable
    • Launch pilot implementation of the meta-directory system
    • Pilot Implementation of Windows 2003 Active Directory

Data Source

  1. GPEA and E-Gov Progress Reports provided to OMB and other internal reports.
  2. Internal tracking activities for progress on E-Government initiatives, E-Procurement Implementation, and E-Government Workforce efforts.
  3. Phase II Enterprise Architecture documentation
    Industry-standard best practices
    Quarterly IT reviews

Baseline

  1. 93% of GPEA transactions implemented
  2. Current paper-based procurement operations in each agency.
  3. There is no department-wide directory service.

Comment

 

Performance Goal IT2

IT2-FY2004:  Improve the performance of Department's Cyber Security Program in accordance with the Federal Information Security Management Act (FISMA.)

FY1999 – 2003:  N/A

Results

FY 1999 – 2003:  N/A

Indicator

  1. Ensure that 95% of DOL's sensitive systems have been periodically assessed for risk and magnitude of harm that might result from unauthorized access.
  2. Ensure that, at a minimum, 60% of all weaknesses documented in the FY 04 Plan of Actions and Milestones (POA&Ms) are closed or on schedule.
  3. Ensure that, at a minimum, 90% of all DOL sensitive systems are fully certified and accredited during FY04. 
  4. Ensure that, at a minimum, 98% of all DOL employees and contractors receive annual security awareness training.
  5. Ensure that, at a minimum, System Test and Evaluation has been conducted on 85% of DOL's sensitive systems.
  6. Ensure that, at a minimum, 50% of DOL agencies respond to Computer Security Incident Response Capability (DOLCSIRC) advisories in accordance with the procedures in the DOL Computer Security Handbook.
  7. Ensure that, at a minimum, 95% of all DOL sensitive systems have contingency plans.
  8. Ensure that, at a minimum, 50% of the contingency plans have been tested.

Data Source

a, c, d, e, g, h  

FY 2004 FISMA Agency reviews and final report.

b

FY 2004 4th Quarter PO&AM report to OMB.

DOLCSIRC Agency Reply Tracking Sheet

Baseline

  1. 93% of all DOL sensitive systems have been assessed for risk and assigned a level of risk.
  2. 56% of all security weaknesses documented in the 4th Quarter FY 03 POA&M are closed or on schedule.
  3. 75% of all DOL sensitive systems are certified and accredited.
  4. 96% of all DOL employees and contractors have received annual security awareness training.
  5. 66% of all DOL sensitive systems have completed System Test and Evaluation.
  6. 14% of DOL agencies respond to DOLCSIRC advisories in accordance with the procedures in the DOL Computer Security Handbook.
  7. 90% of all DOL sensitive systems have contingency plans.
  8. Testing has been completed for 44% of DOL's sensitive systems that have contingency plans.

Comment

 

Performance Goal IT3

IT3 - FY2004: Improve organizational performance and effective information management through the use of the Departmental IT Capital Planning Investment Control process.

FY1999 - 2002:  N/A

Results

FY 1999 - 2002:  N/A

FY 2003:  85% of in-process IT initiatives reviewed operated within 10% cost/schedule/performance objectives; 91% of major IT initiatives completed delivered their intended benefits

Indicator

  1. 95% of major IT initiatives completed during FY 2004 deliver intended benefits.
  2. 87%% of in-process IT initiatives evaluated operate within 10% cost, schedule, and technical performance parameters.
  3. Rollout and migration to new investment management application for use during the FY 2006 budget cycle.

Data Source

  1. Quarterly control reviews and post implementation reviews.
  2. Quarterly control reviews and post implementation reviews.
  3. Submission of Exhibit 53 and 300's to OMB in September.

Baseline

  1. FY 2002, 77% of major IT initiatives completed delivered intended benefits.
  2. FY 2002, 70% of initiatives reviewed through the Department's IT Capital Planning Process operated within 10% cost/schedule/performance objectives.
  3. Currently using I-TIPS for investment management.

Comment

 
Outcome Goal PR:  Improve Procurement Management

Performance Goal PR1

FY 2004: Complete competitions on not less than 15% of the FTE listed on DOL's 2000 Fair Activities Inventory Reform   (FAIR) Act inventory.

FY 2003: Complete public-private competitions or direct conversions of not less than ten percent of the FTE listed on DOL's 2000 Federal Activities Inventory Reform Act (FAIR) inventory.
FY 2002: Complete public-private or direct conversion competitions on not less than five percent of the FTE listed on DOL's Federal Activities Inventory Reform Act (FAIR) listings.
FY 1999 - 2001: N/A

Results

FY 2002: DOL identified 152 FTE from its 2000 commercial inventory for direct conversion, exceeding the 140 FTE goal.

Indicator

Percentage of commercial FTE on the Department's 2000 FAIR Act inventory included in completed competitions or direct conversions.
Percentage of Direct Conversions
Percentage of Completed A-76 Competitions

Data Source

DOL's 2000 Federal Activities Inventory Reform Act inventory
Completed A-76 competitions
Completed direct conversion competitions

Baseline

2000 FAIR Act Inventory commercial FTE listings.

Comment

None.

Performance Goal PR2

FY 2004:  Award contracts over $25,000 using Performance-Based Service Contracting (PBSC) techniques for not less than 40 percent of total eligible service contracting dollars.

FY 2003: Award contracts over $25,000 using Performance-Based Service Contracting (PBSC) techniques for not less than 30% of total eligible service contracting dollars
FY 2002: Award contracts over $25,000 using Performance-Based Service Contracting (PBSC) techniques for not less than 20% of total eligible service contracting dollars.

FY 1999 - 2001: N/A

Results

FY 2002: This goal was substantially achieved. DOL used performance-based service contracting techniques for 18% of total eligible service contracting dollars.

Indicator

Dollar Value of Performance-Based Contracts over $25,000 awarded.

Data Source

Federal Procurement Data System

Baseline

FY 2004 data

Comment

None.

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