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Secretary of Labor Thomas E. Perez
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FY 2002 Annual Performance Plan

4.2 DOL Strategic Goal 2—A Secure Workforce


Promote the Economic Security of Workers and Families


  • Increase compliance with worker protection laws
  • Protect worker benefits
  • Increase employment and earnings for retrained workers

Total Funds for This Goal (in Billions):

Fiscal Years Budget Outlays
FY 2002 $52.2 $50.7
FY 2001 $37.0 $32.3
FY 2000 $26.5 $24.9
FY 1999 $27.7 $26.5

DOL is committed to protecting workers’ hours, wages, and other conditions when on the job, providing unemployment and compensation benefits when workers are unable to work, and expanding, enhancing, and protecting workers’ pension, health care, and other benefits.

Department of Labor programs and agencies with the primary operational responsibility for achieving this strategic goal include the Pension and Welfare Benefits Administration (PWBA); the Pension Benefit Guaranty Corporation (PBGC); the Employment and Training Administration’s Unemployment Compensation programs, Trade Adjustment Assistance and North American Free Trade Agreement-Transitional Adjustment Assistance (TAA/NAFTA-TAA) programs, Workforce Investment Act (WIA) Dislocated Worker Assistance; and the Employment Standards Administration’s Wage and Hour Division, Office of Labor-Management Standards and Office of Workers’ Compensation Programs. In addition, the Office of the Solicitor, the Office of the Assistant Secretary for Administration and Management, the Office of Inspector General, and the Appellate Boards provide indirect support to this strategic goal.

The FY 2002 outcome and performance goals for this strategic goal follow. Detailed information on every performance goal, including indicator, data source, baseline and explanatory comments, can be found in Appendix A.

Outcome Goal 2.1--Increase Compliance with Worker Protection Laws

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Millions)

Fiscal Years Budget Outlays
FY 2002 $336 $345
FY 2001 $321 $311
FY 2000 $265 $262
FY 1999 $216 $233
  1. Covered American workplaces legally, fairly, and safely employ and compensate their workers as demonstrated by:
    1. Reducing employer violation recidivism. In FY 2002, establish baselines for:
      1. percentage of reinvestigations without violations.
      2. percentage of reinvestigations with any violation.
      3. percentage of reinvestigations with identical violations.
    2. Increasing compliance in industries with chronic violations.
      1. as indicated in the garment manufacturing industry by:
        • Increase by 2 percentage points the number of manufacturers that monitor their contractor shops for compliance in Southern California.
        • Increase by 2 percent the average number of monitoring components used by manufacturers in monitoring their contractors for compliance in Southern California.
        • Increase by 2 percentage points the percentage of contractors in Southern California that pay all employees on the payroll.
        • Increase by 4 percentage points the level of compliance of new contractors in New York City through compliance education.
        • Increase by 2 percentage points the percentage of contractors in New York City that pay all employees on the payroll.
      2. as indicated in the long-term health care industry by:
        • Increase by 6,000 the number of employees of multi-establishment nursing home corporations impacted by corporate proactive steps such as training and self-audit.
        • Increase by 5 percent the number of employers (nursing homes) that were provided compliance assistance information through seminars and other outreach efforts.
        • Establish a baseline of the number of employers in compliance with the recordkeeping requirements of the Fair Labor Standards Act.
      3. as indicated in agricultural commodities by:
        In FY 2002 establish baselines of compliance with the Migrant and Seasonal Agricultural Worker Protection Act (MSPA) provisions of disclosure, wages, housing and transportation and with the child labor provisions of the Fair Labor Standards Act relative to selected agricultural commodities in various locations in the U.S.
  2. Union financial integrity and democracy and the transparency of union operations are safeguarded, as indicated by:
    1. Improvement in the timely filing of union annual financial reports that contain information sufficient for public disclosure. In FY 2002, initiate a new electronic forms application and electronic submission process and establish a baseline for timely filing under the new process.
    2. Extending Labor-Management Reporting and Disclosure Act (LMRDA) protections for union financial integrity to a greater number of labor organizations through the more effective use of investigative resources. In FY 2002, establish a baseline of the percentage of investigative resources applied to criminal investigations that result in convictions.
  3. Increase by 5% (to 1,993) per year the number of closed civil investigations of employee pension plans where assets are restored, prohibited transactions are corrected, participant benefits are recovered, or plan assets are protected from mismanagement and risk of future loss is reduced.

  4. Increase by 5% (to 620) per year the number of closed civil investigations of employee health and welfare plans where assets are restored, prohibited transactions are corrected, participant benefits are recovered, or plan assets are protected from mismanagement and risk of future loss is reduced.

Means and Strategies

Operating Agencies: ESA, PWBA

Sustained Efforts in FY 2002:

  • DOL will continue initiatives to promote compliance with labor standards by:

    • building partnerships with other governmental, non-governmental, faith-based and business organizations to promote compliance;
    • continuing to make more effective and sustained interventions, including education and outreach efforts, and better detection of violations; and,
    • pursuing more timely litigation and prosecution of the more egregious violators. (2.1A1, 2.1A2)
  • DOL will continue the operational development of the Technology for Excellent Customer Service (TECS) systems that will provide nationwide toll-free access to:

    • promptly identify and refer calls unrelated to ESA/WHD activities to the appropriate agency;
    • answer commonly asked questions quickly and accurately; and,
    • eventually accept employee complaints alleging violations and refer them electronically to the proper field office. (2.1A1, 2.1A2)
  • DOL will investigate complaints concerning union officer elections, supervise remedial union officer elections, and conduct audits and civil and criminal investigations to enforce the LMRDA standards for union democracy and financial integrity. DOL will secure reports required from unions and others under the LMRDA and make them available for public disclosure, including public disclosure access via the Internet to a searchable database of information from union financial reports. DOL will continue to perform all statutory responsibilities to ensure union democracy and to strive for quality and efficiency in these mission-critical endeavors. (2.1B)

  • DOL will focus case targeting and management to promote effective use of investigative resources. DOL will allocate criminal investigative time to cases with the most prosecutive potential and, where appropriate, redirect criminal investigative resources to union compliance audits. DOL will increase the number of compliance audits that are conducted to discover and correct violations of LMRDA fiduciary safeguards. Beginning in FY 2003, at least 1% of labor organizations subject to the LMRDA will be audited each fiscal year. (2.1B)

  • DOL will continue to offer and conduct compliance assistance seminars throughout the country to explain the requirements of the Labor-Management Reporting and Disclosure Act (LMRDA). These seminars cover topics such as union reporting and recordkeeping, financial safeguards for union funds, elections of union officers, and training for union trustees on conducting audits in small unions. These seminars may be sponsored by labor unions, labor education programs, or other groups to provide training for their representatives or may be DOL-sponsored and attended by any interested union officers and members. DOL will continue to advertise upcoming compliance assistance seminars on its website and to extend to interested organizations the opportunity to sponsor seminars in the future. (2.1B)

  • DOL will foster partnerships with international unions to promote voluntary compliance with LMRDA standards by affiliates and will provide compliance assistance to union officials. A program of compliance assistance contacts will be continued that targets unions scheduled to elect officers in FY 2002 whose previous election was investigated by the agency. A program of contacts at the field office level to obtain timely reports by unions with receipts of more than $200,000 that were delinquent in the prior year will be continued. A program of seminars for trustees of small unions will be continued to provide assistance and training in use of the agency-developed guide for trustees in conducting audits in small unions. DOL will provide outreach to union members to promote the objectives of the LMRDA. DOL will also continue distribution of a publication and program to advise new unions and new officers about their responsibilities under the LMRDA. (2.1B)

  • DOL will modify its agency-developed union trustee guide and workshop materials for distribution to international unions and universities for their use in providing training for union officials in auditing techniques and sound financial practices. (2.1B)

  • DOL will promote the formal voluntary compliance program through which fiduciaries who have found problems with their plans can seek assistance and/or approval in taking corrective action. This will particularly benefit small employers who otherwise might not take the corrective actions necessary to come into compliance. (2.1C)

  • DOL will continue to support cross cutting activities pertaining to coordinated compliance assistance for small businesses and One-Stop Centers for education and outreach. (2.1C–D)

  • DOL will continue to target and investigate pension, health care and other plan violations where participants are most susceptible to actual loss of benefits, or “populations” of plan participants who are potentially exposed to the greatest risk of falling victim to unlawful conduct. The solicitor will continue to support PWBA’s enforcement efforts by pursuing litigation to remove bad actors and to make financial recoveries on behalf of plan participants. (2.1C–D)

Significant New or Enhanced Efforts in FY 2002:

  • DOL will implement a revised comprehensive compliance education program, including technology-based compliance assistance. (2.1A1, 2.1A2)

  • DOL will provide compliance assistance on all applicable statutes administered by ESA/WHD during the conduct of an investigation; secure agreements for future compliance and specific commitments for future compliance following an ESA/WHD intervention; and obtain commitments for corporate-wide compliance by multi-establishment employers through formal and informal agreements following a history of ESA/WHD interventions. (2.1A1, 2.1A2)

  • DOL will assess penalties, pursue litigation and prosecution, and publicize the consequences of non-compliant behavior as may be appropriate for willful and repeat violators. (2.1A1, 2.1A2)

  • DOL will provide ongoing training to ESA/WHD investigative staff and conduct reviews according to established accountability measures to ensure that proper policies and procedures are followed during initial ESA/WHD interventions. (2.1A1, 2.1A2)

  • DOL will communicate to ESA/WHD investigative staff the relative impact of the five intervention tools. (1.1A1)

  • DOL will implement an electronic reporting format for labor organization annual report forms LM-2, LM-3, and LM-4 and will initiate a system for their public disclosure via the Internet. (2.1B)

  • DOL will enhance a computerized desk audit system implemented in FY 1999 to review the completeness and accuracy of filed union annual financial reports. The enhancement will enable agency staff to readily identify the most seriously deficient reports for computerized desk audit and corrective action. (2.1B)

  • DOL will initiate efforts to incorporate in the Internet-based public disclosure system, union trusteeship reports and reports filed by employers, consultants, union officers and employees, and surety companies under the LMRDA. (2.1B)

  • DOL will modify its agency-developed union trustee guide and workshop materials for distribution to international unions and universities for their use in providing training for union officials in auditing techniques and sound financial practices. (2.1B)

  • DOL continues to expand upon its enforcement efforts of the new health care provisions in Employee Retirement and Income Security Act (ERISA) to ensure there is compliance with the new health care laws. The Department continues to refine extensive compliance guides to assist investigators in review of health plans and a nationwide enforcement project to conduct investigations of health plans to ensure that workers and their families are not unjustly denied any protections provided under the new health care provisions. (2.1D)

Cross-Cutting Programs and Issues

In accordance with the Small Business Regulatory Enforcement Fairness Act (SBREFA), the Office of Small Business Programs (OSBP) provides one-stop service as a clearinghouse for ESA WHD/OFCCP compliance assistance information, inquiries and comments on enforcement activity. OSBP serves a cross-cutting function by coordinating with ESA and other DOL enforcement agencies on customer/stakeholder feedback to resolve problems and improve agency operations.

In addition, PWBA and SOL coordinate enforcement, policy, regulatory, and public information programs with numerous Federal, State, and local entities in carrying out the Department’s ERISA and Federal Employee Retirement Security Act responsibilities. Under ERISA, DOL/PWBA shares enforcement responsibilities with the Treasury Department, the IRS, and DOL’s Pension Benefit Guaranty Corporation (PBGC). Cooperation with these agencies promotes increased benefit coverage by minimizing regulatory and administrative burdens, to the extent appropriate, with respect to ERISA’s statutory and regulatory requirements.

Additionally, DOL/PWBA often coordinates enforcement actions with financial institution regulatory agencies, such as the Comptroller of the Currency, the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Securities and Exchange Commission, State insurance and financial regulatory entities, DOL’s Office of Inspector General, as well as with the enforcement agencies such as the FBI, US Postal Service, and State and local law enforcement agencies.

The Worker Exploitation Task Force facilitates criminal investigations and prosecutions involving undocumented foreign nationals who are lured to this country and then exploited. The task force consists of representatives from DOJ’s Civil Rights Division, Violence Against Women Office, and Office of Victims of Crime, as well as the FBI, INS, DOL, and the State Department.

Outcome Goal 2.2--Protect Worker Benefits

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Billions)

Fiscal Years Budget Authority Outlays

FY 2002



FY 2001



FY 2000



FY 1999



  1. Make timely and accurate benefit payments to and facilitate the reemployment of Unemployed Workers and set up Unemployment insurance (UI) tax accounts promptly for new employers.
    • Payment Timeliness: 91% of all intrastate first payments will be made within 14 to 21 days;
    • Payment Accuracy: establish a baseline to improve Unemployment Insurance accuracy nationwide;
    • Reemployment of UI Claimants: establish a baseline to increase the entered employment rate of Unemployment Insurance claimants; and
    • Establishment of UI Tax Accounts: 80% of new employers will receive a determination about their UI tax liability within 90 days of the end of the first quarter they become liable for the tax.

  2. Promptly review employer applications for foreign labor certifications. In Fiscal Year 2002: 95% of labor condition applications for the H-1B professional/specialty temporary program will be processed within seven days of receipt.

  3. Increase by 2% (to $67 million) benefit recoveries achieved through the assistance of Pension Benefit Advisors.

  4. Minimize the human, social, and financial impact of work-related injuries for workers and their families. In FY 2002:
    1. Decrease by 2% from the FY 2001 baseline the average number of production days lost due to disability in the FECA program for
      • United States Postal Service (USPS ) cases
      • All other Government cases.
    2. Reduce by 2% over the baseline the average time required to resolve disputed issues in Longshore and Harbor Worker's Compensation Program contested cases.
    3. Increase by 2% over the FY 2001 established baseline the percentage of Black Lung benefit claims for which, following an eligibility decision by the district director, there are no requests for further action from any party pending one year after receipt of the claim.
    4. For Initial Processing of claims for benefits in the Energy Program:
      • 75% of claims of Department of Energy (DOE) employees, or of contractors employed at DOE facilities, are processed within 120 days.
      • 75% of claims of employees of Atomic Weapons Employers (AME) and Beryllium Vendors are processed within 180 days.
    5. For processing of Requests for Hearings in the Energy Program:
      • 75% of Final Decisions in Approved Claims or No-Contest Denials are issued within 75 days from issuance of the Recommended Decision.
      • 75% of Final Decisions in Reviews of the Written Record are issued within 75 days of the Request for Review of Written Record.
      • 75% of Final Decisions in Formal Hearings are issued within 250 days of the Request for Hearing.
    6. Through use of Periodic Roll Management, produce $122 million in cumulative first-year savings (FY 1999 -2002) in the FECA program.
    7. Reduce the overall average medical service costs per case (adjusted for inflation) in the FECA program by .5% versus the FY 2000 baseline.

  5. Reduce the average processing time to 3 years to send benefit determinations tp participants in defined benefit pension plans taken over by PBGC.

Means and Strategies

Operating Agencies: ETA, ESA, PWBA, PBGC

Sustained Efforts in FY 2002:

  • Develop and implement improvements to UI PERFORMS, the Unemployment Insurance performance management system, to enhance performance planning, facilitate performance achievement, and assess the effectiveness of program improvement efforts through capacity building, technical assistance, best practices, and other key initiatives. Initially focus on raising performance of States below performance criteria, while continuing to develop and implement processes and systems, which support continuous improvement at all levels. (2.2A)

  • Engage in ongoing discussions with States, employers, and UI claimants to improve communication, identify issues and needs, and promote input in the design of programs. (2.2A)

  • DOL will continue pension and health education campaigns to: 1) raise public awareness about where to seek assistance about their rights; 2) educate workers and their employers about health and pension plans; 3) provide individual technical assistance to workers who have questions about their health and pension benefits or need assistance in obtaining those benefits; and 4) provide information to employers and plan sponsors about their responsibilities under the various laws. An informed and knowledgeable customer (worker or business) is an asset to ensuring compliance with the laws and will positively impact our efforts at recovering benefits for participants. (2.2C)

  • DOL will develop and refine compliance guides for the public and the Department's customer service staff to assist them in handling inquiries and ensure that American workers and their families receive the important protections afforded under the numerous enacted health care laws. (2.2C)

  • DOL Women’s Bureau will develop a program to provide women financial information that encourages them to make well-informed decisions about their retirement and health benefits. (2.2 C)

  • DOL's Quality Case Management strategy employs creative methods and services to assist recovery and return to work, including early case management by nurses who coordinate medical treatment and reemployment. Further, the non-adversarial nature of the FECA program allows DOL to work with Federal agencies and employee unions to facilitate the return to work process. (2.2D1, 2.2D7)

  • DOL will continue building new and improved automated data processing tools to support the timeliness and quality of Federal employee compensation case handling, case management, and return to work. (2.2D1, 2.2D6, 2.2D7)

  • DOL will continue to provide public recognition of Federal agency performance to reduce Lost Production Days and improve the timeliness of filing Notices of Injury. (2.2D1)

  • Through ESA’s Office of Workers’ Compensation Programs’ (OWCP) work with OSHA, DOL will assist Federal agencies to reduce injuries, improve timely filing of injury reports, and assist injured workers to obtain benefits and return to work. Specific actions include conducting periodic conferences, technical assistance or informational meetings with the agencies, expanding electronic filing of claims documents, and widening access to OWCP case data and other program information through the Internet and other automated applications (2.2D1)

  • Using the FECA future benefit liability model developed by ESA in FY 1999, DOL will share forecasting information in conjunction with its work with Federal employing agencies to reduce lost production days. (2.2D1)

  • DOL will facilitate returns to work through better oversight of medical treatment:

    • Continue the Quality Case Management Program in which new injury cases receive early intervention from nurses allowing case management to begin at a point when it can be much more effective.
    • Actively manage disability cases in the early Continuation of Pay (COP) period.
    • Improve access to expert medical evaluation.
    • Communicate more effectively with medical providers, through better technology and interaction between treating physicians and nurse case managers.
    • Screen cases for appropriateness of medical and pharmacological treatment, identifying outliers for directed review. (2.2D1, 2.2D7)
  • DOL will continue multiple broad-based strategies to improve customer services, gauge customer needs, and measure customer satisfaction in the FECA program. These include:

    • A multi-faceted Communications Redesign initiative, including upgrade of telecommunications hardware and operation of a central call center, and improvement of national and district automated call intake systems;
    • Focus groups held with Federal agency representatives to assess agency assistance requirements and improve agency assistance programs;
    • A call-back survey of claimant callers to our district offices, and development of other surveys for various customer groups;
    • Development of performance standards to ensure a high level of caller access to telephone services, prompt and accurate responses, professional handling, and high quality.
    • Communications Specialists in each office as local change agents and an advisory group for National policy. (2.2D1, 2.2D6, 2.2D7)
  • DOL will complete the transition to an efficient paperless office by imaging all incoming mail for new and old cases, and implementing ADP redesign. (2.2D1, 2.2D6, 2.2D7)

  • DOLwill conduct a formal evaluation for the effectiveness of FECA's Early Nurse Intervention program to support Quality Case Management objectives and support achievement of return-to-work goals. (2.2D1)

  • DOL will use mediation skills, outreach, and other communication tools to work closely with parties to contested cases under the Longshore program as a means for reaching quicker resolution of disputed issues in those cases. (2.2D2)

  • DOL will continue to use outreach and technical assistance activities with all Black Lung program stakeholder communities to promote an atmosphere of understanding and constructive cooperation in support of fewer challenges to program adjudication decisions. ESA will also work with Black Lung's authorized diagnostic provider community to emphasize the need for complete and accurate medical reports that satisfy program requirements and further support fewer challenges to program adjudication decisions. (2.2D3)

  • The Periodic Roll Management system will continue to review long-term cases on the disability roll and reevaluate case status for changes in medical condition and potential for return to work. (2.2D6, 2.2D7)

  • DOL will continue to improve overall management of the Federal Employees’ Compensation Fund by expanding quality review of medical servicing and medical bill payment processes. This will include centralized prior authorization of requests for medical treatment, focus reviews to ensure that proper treatment regimens are followed, bill review to identify duplication or other improper practices, and reevaluation and development of treatment guidelines. (2.2D7)

  • ESA will continue to improve fiscal integrity by using fee schedules to reduce medical, pharmacy and hospital service costs under FECA. (2.2D7)

  • DOL will assume responsibility for under-funded defined benefit pension plans where necessary to ensure that participants’ pension benefits are continuously provided. About 3,000 trusteed plans (with over 500,000 participants) will be under PBGC’s management in FY 2002. To manage this workload and reduce the 3–4 year processing achieved in FY 2001, PBGC will continue to improve in the delivery of customer service by listening to customers and assessing ways to better meet their needs. (2.2H)

Significant New or Enhanced Efforts in FY 2002:

  • Continue to work with State partners and stakeholders to improve the system for budget formulation and resource allocation. (2.2A)

  • Continue to employ proven strategies to reduce the backlog of foreign labor certifications. These strategies include improved, streamlined processes, quality assurance checks to assess the accuracy of determinations and the use of a measurement system to enable tracking and reporting the time required to complete each application. (2.2B)

  • DOL will continue to develop new and improved ADP tools to support the timeliness and quality of Energy Employees Occupational Illness Compensation Act (EOICPA) decisions, benefit delivery, and case management. (2.2D5, 2.2D6)

  • DOL will seek to improve financial performance and ensure proper medical care for injured workers by developing improved processing of Prior Authorizations before surgery and other medical procedure and pursuing the development of Medical Utilization Review (UR). Through UR, FECA will monitor the level and appropriateness of medical services as related to medical condition. (2.2D7)

  • PBGC will improve its ability to provide estimated benefits, and will send more frequent information to participants. This will be accomplished through acquisition of actuarial software, providing interactive estimating applications on the web site, and emphasizing organizational commitment to improved customer service. Ultimately, faster case processing leads to increased accuracy of benefit payments. (2.2E)

Cross-Cutting Programs and Issues

DOL will work closely with the Congress, States, Treasury, OMB, the Council of Economic Advisors and National Economic Council, and stakeholders to ensure the integrity of the Unemployment Insurance Fund, to improve Unemployment Insurance budget formulation and resource allocation. In addition, States will be urged to link with the New Hire database managed by the Social Security Administration (SSA) to obtain new hire data quickly in order to limit benefit overpayments. States will also be urged to provide SSA access to UI wage records. Through the Simplified Tax and Wage Reporting system, DOL/ETA will continue to work with Treasury, SSA, and BLS to develop harmonized wage definitions, simplify tax reporting, and enhance electronic reporting in order to reduce employers’ costs of submitting tax forms and provide ETA and other agencies with more timely information for ensuring program integrity. ETA will continue to work with States and BLS to improve accuracy and accessibility of UI data, particularly the accuracy of claim data used for economic indicators, and the accessibility to State wage records for program outcome data on post-program earnings for a variety of workforce development programs.

DOL will work across agencies to provide more effective job-finding services to support both better income replacement to the involuntary unemployed by lowering benefit exhaustion, while keeping the aggregate UI tax burden low and promoting high employment levels.

To fulfill the Department’s employee benefit plan responsibilities, PWBA works with HHS, Treasury, the National Economic Council, the Bureau of Census, BLS, the Thrift Savings Board, the Solicitor’s Office, and the Small Business Administration (SBA). PWBA has established a Federal-State-local partnership to help employee benefit plan participants who are at risk, (e.g., dislocated workers) understand not only their rights, but also how their employment status may affect their pension and health benefits.

DOL/ESA/OWCP's Federal Employees' Compensation Act (FECA) program involves every Federal agency in the filing and management of injury compensation claims, providing services to injured works, and assisting in the effective administration of the FECA program. For example, the FECA program coordinates with the Office of Personnel Management on matters of benefit elections, and in some specialized claims, with State and local police agencies on matters of entitlement and benefits. Federal agencies that undertake special initiatives related to management of their injured employees' claims work closely with FECA program offices at the national and regional levels to evaluate best practices. Other efforts improve communication and cooperation to reduce lost productivity due to workplace injuries. Through FECA's Agency Query System, the Department provides secure, on-line information to enable agencies to provide better service to their injured employees and assist in FECA claims processing and case management. In new injury cases, the Department assigns nurses to coordinate among injured workers, agencies, and medical providers to resolve issues and facilitate recovery and return to work. DOL/ESA's OWCP is working with all Federal agencies to improve timeliness of injury claims submissions—in part through expansion of electronic claims submission—and to increase re-employment opportunities, and has established ongoing measures of agency performance, which are posted on the Internet.

DOL's OWCP and OSHA work with Federal agencies to reduce new workplace accident/illness rates, speed the timeliness of reporting new injuries to the Department of Labor, and reduce lost production days rates. OWCP work with Federal agencies by intervening in lost time cases, providing case management, and tracking disability time lost during the Continuation of Pay period immediately following an injury. DOL measures agencies’ performance on its website, DOL tracks and posts detailed agency (sub-agency) performance in terms of timely injury notice submission. ESA/OWCP works in tandem with OSHA and the Office on Disability Employment Policy to help agencies reduce accidents/illnesses and speed return to work.

DOL/ESA/OWCP has primary responsibility under the Energy Employees Occupational Illness Compensation Program Act (EEOICPA), issuing compensation and medical benefits to eligible applicants, but must also coordinate with three other Federal departments to ensure the successful administration of this program. The Department of Energy's Office of Worker Advocacy assists workers in filing state workers' compensation claims and providing exposure histories at Federal facilities where covered workers were employed; the Department of Health and Human Services is responsible for establishing guidelines and conducting reconstruction of radiation exposures which may be related to a worker's cancer; and the Justice Department is obligated to notify uranium workers eligible for benefits under the Radiation Exposure Compensation Act that they may also receive compensation under the energy workers' program.

Under a memorandum of understanding with the Social Security Administration (SSA), DOL/ESA/OWCP's Division of Coal Mine Workers Compensation administers and monitors benefit payments and provides claims maintenance services for claims previously approved by SSA.

Outcome Goal 2.3--Increase Employment and Earnings for Retrained Workers

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Billions)

Fiscal Years Budget Authority Outlays

FY 2002



FY 2001



FY 2000



FY 1999



  1. Increase the employment, retention, and earnings replacement of individuals registered under the WIA dislocated worker program. In Program Year 2002:
    • 78% will be employed in the first quarter after program exit;
    • 88% of those employed in the first quarter after program exit will be employed in the third quarter after program exit; and
    • Those who are employed in the first quarter after program exit and are still employed in the third quarter after program exit will have 98% of their pre-dislocation earnings.
  2. Increase the employment, retention, and earnings replacement of workers dislocated in important part because of trade and who receive trade adjustment assistance benefits. In Fiscal Year 2002:
    • 78% will be employed in the first quarter after program exit;
    • 88% of those employed in the first quarter after program exit will be employed in the third quarter after program exit; and
    • Those who are employed in the first quarter after program exit and are still employed in the third quarter after program exit will earn, on average, 90% of their pre-separation earnings.

Means and Strategies

Operating Agency: ETA

Sustained Efforts in FY 2002:

  • With State and other partners, DOL will review WIA implementation experiences to identify key issues, options, and solutions, as they pertain to all means and strategies identified below.

  • DOL will enhance the resource base of services available for dislocated workers in the evolving workforce development system by: 1) assuring better program integration with major partners by educating Workforce Boards, program partners and staff on opportunities, barriers and solutions; 2) refining Internet resources such as America’s Labor Market Information System (ALMIS) within the One-Stop delivery system; and 3) identifying additional methods of accessing other programs and delivering their services to dislocated workers across the country. (2.3 A, B)

  • DOL will continue to work in close cooperation with state and local partners in monitoring and overseeing the workforce development system and with federal partners in promoting unified planning at the state and local levels. (2.3 A, B)

  • DOL will continue to support WIA implementation by: 1) analyzing use of existing program resources, identifying shortcomings and their causes, and initiating and promoting corrective actions; 2) providing ongoing technical assistance to States and local areas as they continue to implement the WIA provisions dealing with Individual Training Accounts and Eligible Training Providers; 3) providing technical assistance to system partners in the areas of service strategies, case management, sequencing of services, priorities of service, services to employed dislocated workers, and other issues relevant to service delivery under WIA; 4) supporting strategies to develop and improve programs of incumbent worker training; 5) sharing lessons learned with the workforce investment system and others through conferences, ETA’s web site, and other means of dissemination, and 6) investing in capacity building, pilots and demonstrations, research, and technical assistance. (2.3 A, B)

  • DOL will continue to invest in engaging private-sector employers both as customers and partners in the workforce development system. (2.3 A, B)

  • DOL will improve services to dislocated workers who are likely to exhaust Unemployment Insurance benefits under ETA’s Worker Profiling and Re-employment Services component of the workforce system by providing Wagner-Peyser Act and WIA Title I re-employment services (e.g., job search workshops, counseling, referrals to suitable openings) and other needed assistance. (2.3A)

  • DOL will prevent dislocations and help upgrade workers’ skills by investing in technical assistance and demonstrations that include: 1) Skill Shortage projects—identifying industries struggling to fill jobs, identifying workers needing training, and providing training and job placement services; 2) “High-road partnerships”—promoting public-private ventures to effectively develop human resources and provide high-skill workers to responsive employers; and 3) Innovative incumbent worker training strategies, using limited amounts of public funds to promote training of low-skill, at-risk, and other employed individuals to enhance their economic security. (2.3A)

  • DOL will improve early intervention techniques to speed the delivery of readjustment services and shorten the period of unemployment due to mass layoffs by funding technical assistance projects on Rapid Response assistance—providing information through training forums, where best practices can be shared among practitioners, policy makers, partners and others. (2.3A)

  • DOL will continue to conduct region-based training sessions for all TAA/NAFTA-TAA State staff. These sessions provide State staff with all of the information they need to operate the Trade Act programs effectively, efficiently, and in accord with the law and the regulations. In addition, training programs at the State level will be conducted as needed to compensate for staff turnover and other changes in a particular State. (2.3B)

  • DOL will continue to promote the co-enrollment policy in the context of One-Stop service delivery methods under the Workforce Investment Act. The Trade Act programs and the Dislocated Worker program under the Joint Training Partnership Act (JTPA) developed a policy of co-enrolling eligible dislocated workers in both programs. This policy aimed at providing benefits and services to workers in a way that neither program could do alone. (2.3B)

Significant New or Enhanced Efforts in FY 2002:

  • DOL will improve program performance and performance management activities by: 1) increased use of technology to support effective management of program operations and performance, including the expanded use of real-time data for program management purposes; 2) refining and enhancing the Federal/State accountability system specified in the Workforce Investment Act, including the possible addition of measures related to timeliness, efficiency, and the fine-tuning of measures related to quality; 3) development and funding of innovative demonstration projects for dislocated workers that support improved outcomes for individuals with diverse barriers to success in the workforce, including projects operated in partnership with community- and Faith-Based organizations; 4) supporting Workforce Excellence Network activities to address issues related to dislocated worker performance; and 5) connecting agency quality initiatives and program operations. (2.3 A, B)

  • DOL will enhance universal access of all dislocated workers to services available through America’s Workforce Network by: 1) promoting the information and services available through America’s Workforce Network, including the Toll-Free Help Line and America’s Service Locator; 2) supporting outreach to groups of dislocated workers through community-based organizations, Faith-Based organizations, organized labor, and other entities, enlisting their assistance in assessment and referral of individuals to local One-Stop Centers; and 3) expanding access to services through enhanced use of Internet, telephone and other technologies to provide a broad spectrum of access points not dependent on a single method or medium. (2.3 A, B)

Cross-Cutting Programs and Issues

The Department will improve local areas’ abilities to understand business and labor market trends, undertake comprehensive planning for services to dislocated workers, incumbent workers and other adults, and implement such programs, by: 1) supporting community audit projects that develop, collect and analyze information on economic and labor market trends in specific geographic areas, industries, or sectors, with a view toward improving real-time workforce investment information and services, preventing dislocations, more effectively targeting training resources, and supporting business growth and worker welfare; and 2) continuing to work with the Departments of Commerce, Treasury, and others to support strategies to assist communities in developing comprehensive economic adjustment strategies to deal with dislocations with community-wide impact.

The Department will continue to collaborate with other Federal agencies, including Commerce, Agriculture, HUD, Treasury and SBA, as well as State and local governments, in programs for economic development and community adjustment assistance in areas affected by worker dislocations, including trade-impacted areas. These government entities work with the Community Adjustment and Investment Program and the North American Development Bank, created by the implementing legislation for the North American Free Trade Agreement, to increase business investment opportunities and employment opportunities for dislocated workers.

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