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FY 2002 Annual Performance Plan

Table of Contents

1. Introduction

The 1913 Act that created the Department of Labor (DOL) stated that its purpose "... shall be to foster, promote and develop the welfare of the wage earners of the United States, to improve their working conditions, and to advance their opportunities for profitable employment." While this statement is as true today as it was 88 years ago, our vision has matured as the Department has addressed changing economies and a diversified workforce. Today, the Department must ensure that the 21st century workforce is prepared to face the 21st century economy with hope--by equipping all workers with the skills to reach their aspirations.

As we respond to the challenges of the changing economy, the Department's first responsibility will continue to be the protection of workers by enforcing the Nation's labor laws:

  • to ensure the safety of every workplace,
  • to guarantee an honest day's pay for an honest day's work,
  • to stop discrimination,
  • to protect workers from coercion and intimidation, and
  • to safeguard the pension of every American worker and retiree.

The Department will emphasize prevention and compliance assistance--to protect workers before they are harmed physically or economically. Consistent with the Department's commitment to enforcement, we will work together with employers on better prevention strategies, avoiding whenever possible the loss of life, health or economic well-being that fines and penalties can never fully redress.

This FY 2002 Annual Performance Plan is built upon the three strategic goals the Department established in 1997, goals which have supported the Department's efforts to unify around core mission responsibilities.

DOL Strategic Goals
 
Goal 1. A Prepared Workforce:
Enhance opportunities for America's workforce
Goal 2. A Secure Workforce:
Promote the economic security of workers and families
Goal 3. Quality Workplaces:
Foster quality workplaces that are safe, healthy, and fair

Text Version

The Department will soon create a new Office of the 21st Century Workforce to bring focus to our initiatives to find solutions for our workers and for the economy as a whole to the challenges that lie ahead. The first responsibility of this new Office will be to hold a Summit on the 21st Century Workforce, where the Department will call on leaders from business, labor unions, government and elsewhere to address the structural changes that are affecting our workforce and our economy. The results of the Summit will shape the Department's vision for the future and the role of DOL in ensuring that the new century will bring opportunity and hope for all of America's workers. The Department will revise the FY 2002 Annual Performance Plan during the fall to include the results of the Summit on the 21st Century Workforce and the objectives of the new executive team in the planning process for FY 2002.

2. Overview of the DOL Strategic Plan

The Department of Labor's Strategic Plan for FY 1999-2004 outlines the mission, vision, departmental structure, three strategic goals, and attendant outcome and performance goals. The Plan facilitates increased coordination, and fosters greater cohesion within the Department. Through these strategic goals, DOL staff and the American public can see a direct link between the Department's purpose, its activities, and its vision for the future.

The Department began its formal strategic and performance planning process in 1997. A Strategic and Performance Plan Workgroup was established to develop the FY 1999 Performance Plan and revise the original FY 1997-2002 Strategic Plan to reflect the consolidation of strategic goals and to make a number of other enhancements. To shepherd and synchronize implementation activities and documents to comply with the Government Performance and Results Act of 1993 (GPRA), DOL then created a departmental GPRA staff, housed in the Office of Budget. Semi-annual Program Reviews with Agency executives were held to evaluate mid- and end-of-year progress towards current annual performance goals. In the summer of 1999, the DOL Strategic Plan was again revised, primarily to reflect the programs and objectives of the Workforce Investment Act (WIA), and this plan was finalized in September 2000, following the negotiation of WIA performance goals with the States. The current DOL Strategic Plan covering FY 1999-2004 provides a framework for the Department's FY 2002 Annual Performance Plan and a blueprint for the Department's major program initiatives through FY 2004.

A summary of the major elements addressed in the Strategic Plan are provided below. These elements provide the foundation for Departmental activities in the years ahead and a context for the FY 2002 Annual Performance Plan.

2.1 Mission

The Department of Labor fosters and promotes the welfare of the job seekers, wage earners, and retirees of the United States by improving their working conditions, advancing their opportunities for profitable employment, protecting their retirement and health care benefits, helping employers find workers, strengthening free collective bargaining, and tracking changes in employment, prices, and other national economic measurements. In carrying out this mission, the Department administers a variety of Federal labor laws including those that guarantee workers' rights to safe and healthful working conditions; a minimum hourly wage and overtime pay; freedom from employment discrimination; unemployment insurance; and other income support.

2.2 Vision

We will promote the economic well-being of workers and their families, help them share in the American dream through rising wages, pensions, health benefits and expanded economic opportunities, and foster safe and healthful workplaces that are free from discrimination.

2.3 DOL Strategic Goals

Through these strategic goals, DOL staff and the American public can see a direct link between the Department's mission and its activities:

A Prepared Workforce--Enhance opportunities for America's workforce
A Secure Workforce--Promote the economic security of workers and families
Quality Workplaces--Foster quality workplaces that are safe, healthy, and fair.

Associated with each of these goals are specific programs designed to implement the Department of Labor's core responsibilities. These programs are highlighted under the appropriate Strategic Goal in Section 4, FY 2002 Performance Goals, Strategies and Cross-Cutting Programs.

2.4 DOL Organization

The Department of Labor is organized into major program areas, each headed by an Assistant Secretary or Commissioner who administers the various statutes and programs for which the Department is responsible. These programs are carried out through a network of regional offices and a series of field, district, and area offices, as well as, in some cases, through local-level grantees and contractors. The agencies included in the Department's FY 2002 Performance Plan are as follows:

Employment and Training Administration (ETA)
Pension and Welfare Benefits Administration (PWBA)
Pension Benefit Guaranty Corporation (PBGC)
Employment Standards Administration (ESA)
Occupational Safety and Health Administration (OSHA)
Mine Safety and Health Administration (MSHA)
Bureau of Labor Statistics (BLS)
Office of the Solicitor (SOL)
Bureau of International Labor Affairs (ILAB)
Office of the Assistant Secretary for Administration and Management (OASAM)
Women's Bureau (WB)
Office of the Chief Financial Officer (OCFO)
Veterans' Employment and Training Service (VETS)
Office of the Inspector General (OIG)
Office of Disability Employment Policy (ODEP)

3. Strategic Goals and The FY 2002 Budget--A 21st Century Department of Labor

3.1 Introduction

The President and the new administration are determined to see that no worker is left behind in today's rapidly changing high-technology environment. In carrying this theme forward, the Department of Labor is committed to offering hope by giving all Americans the training and skills needed to succeed now and into the future. The Department of Labor's Fiscal Year (FY) 2002 budget request was developed with those outcomes in mind.

The FY 2002 budget reflects the amounts necessary for continued efforts to meet the difficult challenges posed by a changing economy and American workforce. This budget maintains the Department's commitment that all workers have the opportunity to find and hold jobs under reasonable working conditions, with good wages, reliable pensions, health benefits, and opportunity to improve their skills in the 21st Century Workplace.

In response to this commitment, the total request for the Department in FY 2002 is $44.4 billion in budget authority and 17,483 full-time equivalent (FTE). The request for discretionary programs is $11.3 billion in budget authority, which is $564 million below the FY 2001 level.

In this Annual Performance Plan, the Department has for the first time linked budget authority and outlays to both the strategic and outcome goals. The budget resources are displayed in tables in the introduction to each strategic and outcome goal discussion in Chapter 4 of the plan. Appendix B displays an overview of the linkage between the budget activities that support the Department's outcome goals, and Appendix C presents a cross-walk of Congressional Committees to strategic goals. The method for assigning full costs in terms of budget authority and outlays to outcome goals mirrors that used by the Office of the Chief Financial Officer in the allocation of costs to outcome goals in the Department's financial statement. While the financial statement ascribes costs at the Agency level, this plan uses the budget activity level as the unit of analysis for analyzing the deployment of their resources. Agencies estimated the proportion of their spending that contributed directly to the accomplishment of outcome goals for each of the four years covered by this plan. These factors were applied to the net budget authority and outlay figures contained in the President's Budget. Indirect costs for program support activities were added to agency budget authority and outlay figures based on usage estimates. As such, spending for the Departmental Management Program Direction and Support activity, the Office of the Assistant Secretary for Administration and Management and the Office of the Chief Financial Officer are scored against the accomplishment of the major outcome goals. Charges for centrally administered administrative services billed through the Working Capital Fund are included in the agency budget activity figures and are likewise scored against the outcome goals.

3.2 Budget Highlights

21st Century Workforce

With an eye toward the 21st Century Workforce, the Department's FY 2002 budget provides over $5 billion to support youth and adult training activities. To succeed in the 21st century, we must be prepared to adapt to changes in our economy--in how we work, where we work, and how we balance our professional and family lives. The Department of Labor cannot and must not simply react to changes. We must anticipate--thus equipping every worker to have as fulfilling and financially-rewarding a career as they aspire to have.

The Department will continue to use the Workforce Investment Act as the primary vehicle to guide our investment in America's Workforce--but new ideas are needed, along with fresh approaches and new partnerships. Many jobs go unfilled because employers can't find workers with the necessary skills and training. Another challenge will be to make sure that an adequate workforce is available to meet the demands of a continually growing economy. To face these challenges, the Department will create a new Office of the 21st Century Workforce to bring focus and solutions to the challenges that face America's workers. Later this Spring, the Department will convene a group of leaders from business, labor unions, and government to address the structural changes that are affecting the workforce and economy. The Office of the 21st Century Workforce will assist those Americans who have been left behind--particularly those who have been laid-off from jobs due to technological changes or foreign competition.

Office of Disability Employment Policy

The Administration is also committed to assisting those individuals who have been denied the opportunity and right to have a productive, meaningful work life because of a disability. The new Office of Disability Employment Policy will carry out the President's New Freedom Initiative, providing technology and other tools to Americans with disabilities, so that they can enter the economic mainstream. An additional $20.3 million and 10 FTE have been added in FY 2002 for this purpose. The 2002 budget also continues to fund work incentive grants--$20 million annually--to help make One-Stop Centers fully accessible to people with disabilities. It is not only important to give people with disabilities training and assistive technology-- but also the hope and the ability to become more active citizens in their communities.

Worker Protection

Labor laws will be enforced--and workers will be protected--to ensure the safety of every workplace, to guarantee an honest day's pay for an honest day's work, to stop discrimination, to protect workers from coercion and intimidation, and to protect every worker's pension. The laws will be enforced using common sense--not just a reflexive, one-size-fits-all approach. The Department's 2002 budget maintains labor law enforcement agencies at FY 2001 levels and the Department will put more emphasis than ever before on prevention and compliance assistance--not just after-the-fact enforcement. The Department will continue to explore new ways to use technology and related interventions to improve and expand the reach of its compliance assistance.

Redirected Resources

The Department's FY 2002 budget reallocates resources from lower-priority activities to areas where there are demonstrated needs. The Department's budget supports a sustained effort in core job training programs. Where training resources are redirected, State and local governments and communities will be able to continue to serve participants based upon the availability of funding already in the system.

In the area of international labor activities, funding was provided at FY 2000 levels and the Department remains committed to the fundamentals of removing children from abusive and dangerous working environments. The FY 2002 budget also continues both multi-lateral assistance through the International Labor Organization (ILO) and bilateral assistance with the Department's agencies to assist developing countries as they implement and administer labor standards and social safety net programs. The budget also continues the new Global HIV/AIDS Workplace initiative to provide multi-cultural assistance through the ILO to support health education and HIV prevention in the workplace.

Labor Statistics

An increase of $8.1 million and 40 FTE is requested for the Bureau of Labor Statistics to fundamentally change the manner in which the Consumer Price Index (CPI) is revised and updated. Historically, major revisions of the CPI have been made every ten years. Beginning in FY 2002, expenditure weights in the CPI will be updated every two years--the first step toward revising and updating the CPI on a continuous basis to improve the accuracy and timeliness of the index.

Information Technology

A total of $80 million--an increase of $43 million over FY 2001--is requested for the centralized Information Technology (IT) account to fund the Department's IT investments within the following four crosscutting areas: $40.5 million for Enterprise Architecture; $10.6 million for a Common Office Automation Suite; $19.7 million for Security and Privacy; and $9.1 million for Common Administrative Systems.

With the establishment of the centralized IT investment fund, the Chief Information Officer (CIO) will ensure, through the IT Capital Investment Management process, accountability for the management of the Department's IT resources. The existence of the centralized IT fund has increased the level of awareness throughout the Department of the important role information technology plays to provide vital services to its customers. The IT Capital Investment Management process and centralized IT investment fund provides the management tools necessary to implement the requirements outlined in the Clinger-Cohen Act, the Paperwork Reduction Act, the Government Paperwork Elimination Act, the Computer Security Act, the Government Performance and Results Act, and the President's policy on the management of information resources and technology within the Department. These investments will continue to enable the Department to implement sound IT investment strategies to eliminate interoperability and incompatibility issues and to improve overall mission-critical program effectiveness.

Federal Employees' Compensation Act--Administrative Surcharge

The FY 2002 Budget proposes the establishment of an administrative surcharge on the amount billed to other Federal agencies for workers' compensation benefits. The Secretary of Labor will use this surcharge to finance the Department's administrative expenses for the Federal Workers' Compensation program including the cost related to management, operations, and legal support. The program surcharge provides $80 million in offsetting collections for budget authority for this program. Most importantly, the surcharge will ensure that each Federal agency contributes an equitable share of the administrative cost of managing the program and boost the incentive of Federal agencies to improve the safety of their workplaces.

Program Accountability of Grants

The Department is requesting a total of $1.8 million in FY 2002 to accelerate efforts to modernize grants management and accountability systems to improve overall administration of funds. The Employment and Training Administration will require $1.5 million to improve grants monitoring and technical assistance by providing a specialized unit of staff to oversee and assist "at risk" grantees. Also, emphasis will be placed on developing analytical tools and specified reports and linkages with the Department's centralized accounting system. The Office of the Chief Financial Officer will use the balance of these funds to oversee developmental efforts and to ensure overall compliance with the Federal Financial Management Improvement Act.

3.3 Summary

The Department of Labor is prepared for the 21st Century. Not only will it meet its first responsibility to protect workers by enforcing the Nation's labor laws, but it will increase its focus on common-sense approaches to prevention and compliance assistance. The Department will seek out new solutions to the challenges that face American workers, assist those who have been left behind, and provide hope to all who yearn for a better life.

4. FY 2002 Performance Goals, Strategies and Cross-Cutting Programs

This FY 2002 Annual Performance Plan establishes performance goals that will lead to the accomplishment of DOL's strategic goals. It also describes the means and strategies DOL will use to reach its goals. Consistent with guidance from the Office of Management and Budget (OMB) and the General Accounting Office (GAO), DOL has consolidated or aggregated many of its activities into logical clusters focused around the accomplishment of its strategic goals. For example, the third strategic goal, Quality Workplaces, integrates the outcomes of OSHA's and MSHA's performance goals to reduce workplace injuries and illnesses. In other cases, only one agency within the Department may contribute to a specific outcome goal.

Under the Workforce Investment Act, the performance indicators stipulated in the Act have been and continue to be developed through a process of negotiation between the States and the Department of Labor. The new Workforce Investment System has led to a retooling of the Employment and Training Administration's (ETA) performance goals. ETA has consulted with stakeholders concerning performance and accountability issues and worked in partnership to develop revised performance goals for Program Year 2002. The national performance goals for the WIA performance indicators represent an amalgamation of the goals negotiated with the States.

This section presents DOL's FY 2002 performance goals under each strategic and outcome goal. Following the listing of performance goals is a summary of the means and strategies that will be used by DOL to achieve the outcome and performance goals. Related cross-cutting programs and issues follow the strategies. Appendix A displays individual matrices for each performance goal that include the following information:

Indicator--The measures that will be used to assess progress towards performance goal accomplishment.

Source of data--The measurement system(s) that will be used to collect performance Indicator data.

Baseline--The baseline year and baseline level against which progress will be evaluated.

Comment--Issues related to goal accomplishment, measurement systems, and strategies that provide a context or description of the performance goal or indicator.

4.1 DOL Strategic Goal 1--A Prepared Workforce

DOL STRATEGIC GOAL 1

A PREPARED WORKFORCE
Enhance opportunities for America's Workforce

OUTCOME GOALS:

  • Increase employment, earnings, and assistance
  • Increase the number of youth making a successful transition to work
  • Improve the effectiveness of information and analysis on the U.S. economy

Total Funds for This Goal (in Billions):

Fiscal Years Budget Outlays
FY 2002 $7.1

$6.7

FY 2001 $7.1 $7.8
FY 2000 $5.2 $6.4

FY 1999

$7.5

$5.8

Text Version

The Department of Labor's programs and agencies with the primary operational responsibility for achieving this strategic goal include the Employment and Training Administration's Workforce Investment Act (WIA) and Wagner-Peyser Act programs, the Veterans' Employment and Training Service, the Women's Bureau, the new Office of Disability Employment Policy, and the Bureau of Labor Statistics. In addition, the Office of the Solicitor, the Office of the Assistant Secretary for Administration and Management, and the Office of Inspector General 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 1.1--Increase employment, earnings, and assistance

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Billions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$3.4

$3.4

$2.4

$4.3

Outlays

$3.2

$4.2

$3.5

$3.0

A. Increase the employment, retention, and earnings of individuals registered under the WIA adult program. In Program Year 2002:

  • 70% will be employed in the first quarter after program exit;
  • 80% of those employed in the first quarter after program exit will be employed in the third quarter after program exit; and
  • The average earnings change will be $3,423 for those who are employed in the first quarter after program exit and are still employed in the third quarter after program exit.

B. Increase the retention and earnings of Welfare-to-Work participants placed in unsubsidized employment. In Fiscal Year 2002:

  • 67% will remain in the workforce for two consecutive quarters following the placement quarter; and
  • The average earnings increase by the second consecutive quarter following the placement quarter will be 7%.

C. Improve the outcomes for job seekers and employers who receive public labor exchange services. In Program Year 2002:

  • 55% *of job seekers registered with the public labor exchange will enter employment with a new employer by the end of the second quarter following registration;
  • 70%* of job seekers will continue to be employed two quarters after initial entry into employment with a new employer; and
  • The number of job openings listed with the public labor exchange (with both State Employment Security Agencies and America's Job Bank) will increase by 5% over the total for PY 2001.

D. Increase the capacity and quality of One-Stop system services for people with disabilities who are registered in the workforce investment area(s) receiving Work Incentive Grants. In Fiscal Year 2002:

  • The number of people with disabilities registered in these areas will increase by 5%; and
  • The number of people with disabilities who are registered in these areas and are employed in the quarter after exit will increase by 2%.

E. Increase customer satisfaction with services received from workforce investment activities in connection with the One-Stop delivery system. In Program Year 2002:

  • Customer satisfaction of participants with WIA services will result in a score of 70 on the American Customer Satisfaction Index; and
  • Customer satisfaction of employers with One-Stop services will result in a score of 68 on the American Customer Satisfaction Index.

F. Increase by 5% the number of women in the labor force reached directly by the Women's Bureau who have greater knowledge that can assist them in improving their pay and benefits, worklife needs, and career advancement.

G. Increase the employment and retention rate of veteran job seekers registering for public labor exchange services.

  • 55%* of veteran job seekers will be employed in the first or second quarter following registration.
  • 70%* of veteran job seekers will continue to be employed two quarters after initial entry into employment with a new employer.

H. At least 51% of veterans enrolled in Homeless Veteran Reintegration Project grants enter employment.

I. Implement 12 demonstration programs, through grants, designed to develop and test strategies and techniques that need to be implemented in order for One-Stop Centers and WIA youth programs to effectively serve persons with significant disabilities.

* DOL is undergoing a transition to a new labor exchange performance measurement system. These performance goals are estimates and will be revised when baseline data become available.

Text Version

Means and Strategies

Operating Agencies: ETA, VETS, WB

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 the following strategies:
  • Enhance the resource base of services available for adults 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 adults across the country. (1.1A-E)
  • 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. (1.1A)
  • 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 adults, and other issues relevant to service delivery under WIA, and 4) investing in capacity building, pilots and demonstrations, research, and technical assistance. (1.1A-E)
  • Continue to invest in engaging private-sector employers both as customers and partners in the workforce development system. (1.1A-E)
  • DOL will continue to implement the performance-based accountability provisions of the WIA by specifically undertaking, in collaboration with the Department of Education, the incentive and sanction process as it applies to the States for their performance against the agreed upon WIA core indicators of performance. These indicators constitute the basis for DOL's WIA performance goals. (1.1A)
  • DOL will build on the launch of the Workforce Excellence Network, the purpose of which is to find ways for State and local workforce organizations to work together to improve their performance. Under the Network, training, tools and assistance will be provided to Workforce Investment Areas and One-Stop partner programs using the Malcolm Baldrige criteria for performance excellence, quality and continuous improvement techniques, and employer and participant customer satisfaction. DOL will provide recognition to workforce entities that achieve identified levels of performance excellence. (1.1A-E)
  • DOL will expand and improve the integration of Welfare-to-Work (WtW) and welfare reform efforts with the nation's Workforce Investment System, established by the Workforce Investment Act (WIA) of 1998. (1.1B)
  • DOL will produce targeted outreach and technical assistance products and activities to meet the specific needs of faith- and community-based programs and programs serving non-custodial parents, individuals with disabilities, ex-offenders, and individuals with substance abuse barriers. (1.1B)
  • DOL will enlist the support of employers to hire WtW participants into unsubsidized jobs and increase job opportunities for welfare recipients through projects such as the One-Stop Low-Wage Worker Advancement/Backfill Pilot Project, which will utilize Temporary Assistance for Needy Families (TANF) funds to subsidize employers to upgrade and advance current entry-level low-wage working TANF "alumni," and then utilize WIA and WtW funds to train and backfill WtW participants and WtW-eligible individuals in the vacancies created. (1.1B)
  • DOL will work closely with Federal partners, State and local government agencies, faith- and community-based organizations, and public interest groups to coordinate and increase the availability of tools and resources to assist WtW grantees and their participants. (1.1B)
  • DOL will identify and implement comprehensive "Whole Family" WtW approaches which will improve the job placement, retention, advancement, and self-sufficiency potential for low-income custodial and noncustodial parents and their children. (1.1B)
  • DOL will continue to emphasize Worker Profiling and Re-employment Services (WPRS), whereby UI claimants likely to exhaust their benefits are quickly identified and provided the services necessary to assist them in quickly returning to work. (1.1C)
  • DOL will continue to develop partnerships with large multi-state employers to provide recruitment and special technical services to assist them in meeting their labor force needs. (1.1C)
  • DOL will conduct seminars, meetings, workshops, and other forums with employers; human resource professionals; women, disability, community and Faith-Based organizations; and government entities that will educate and influence policies geared to women workers. The goal is to increase pay and benefits, career advancement opportunities, more family friendly workplaces, economic security, healthy and safe workplaces, and equal opportunity for women in nontraditional occupations, particularly in high-technology industry. (1.1F)
  • Program and service integration in the workforce development system has been a significant challenge for DOL funded programs. Such integration will continue to develop as partnerships are forged and strengthened between DOL and other Federal programs and State and local organizations. The effectiveness of the workforce development system is expected to continuously improve through capacity building, pilots and demonstrations, research, and technical assistance. An emphasis on investment for pilots, technical assistance, and veterans' advocacy provided, within the workforce development system, will enhance the integration and effectiveness of services provided to veterans. (1.1G)
  • DOL will continue to coordinate and encourage the efforts of 52 VETS' State Directors (50 States, District of Columbia and Puerto Rico) as they interact with State Workforce Investment Boards. This coordination by VETS' State Directors, delineating the nature and scope of DVOP and LVER activities and the role of the Public Labor Exchange, will enhance the provision of priority and maximum services to veterans in the One-Stop Centers. (1.1G)
  • DOL will continue to pilot test the use of Veterans employment representatives in matching qualified separating military personnel with employer needs for specific skills within a single geographic area (a program known as "ProVet"--promoting reemployment opportunities for veterans). (1.1G-H)

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 Act, including the possible addition of measures related to timeliness, efficiency, and market penetration, and the fine-tuning of measures related to quality; 3) developing and funding innovative demonstration projects for adults 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, and 4) connecting agency quality initiatives and program operations. (1.1A)
  • DOL will enhance universal access of all adults 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 low-income groups in schools and neighborhoods through community- and Faith-Based organizations, 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. (1.1A-E)
  • DOL will utilize a comprehensive Labor Exchange Performance Measurement System to provide performance information and incentives in support of optimizing the delivery of labor exchange services to employers and job seekers. This system will include performance measures, procedures for establishing expected levels of performance, and revised data collection and reporting procedures, relying on UI wage records as a data source. (1.1C)
  • States will be required to include expected levels of performance, reached in agreement with ETA regional offices, for the Wagner-Peyser Act labor exchange in their five-year strategic plans. (1.1C)
  • DOL will use the common language of the Occupational Information Network (O*NET) to improve the quality and quantity of employer job orders and job seeker resumes. The O*NET common language will be integrated into America's Career Kit, the One-Stop Operating System (OSOS), and the broader labor exchange system. (1.1C)
  • DOL-provided training in job order taking and writing and in entering orders into America's Job Bank (AJB) will enhance the skills of front-line staff to assist employers in writing job orders and entering them into AJB. (1.1C)
  • DOL will help customers with disabilities receive the appropriate level of service by financially assisting States and local areas to continue developing infrastructure, increasing system capacity, and improving access to information and services that directly address their local customers' needs. (1.1D)
  • DOL is funding an Information Technology (IT) pilot project through the Computing Technologies Industry Association, an alliance of over 7,500 companies involved in IT. The pilot project will recruit and assess recently separated veterans, provide occupational skills training and certification, and place them in IT jobs with member companies. The curriculum features training in A plus, the industry recognized entry-level certification for IT service and support professionals. (1.1G)
  • DOL has initiated a Military to Work Project with the Communication Workers of America that is Internet based. This program allows transitioning military members and veterans to self-register, take an assessment test and receive an evaluation of their technical abilities. Fully qualified registrants are referred to high profile employers (i.e., Lucent Technologies, AT&T, U.S. West, etc.) within the telecommunications field. Those requiring additional training or course work are directed to apprenticeship and skill certification programs that will enable them to qualify for career building jobs. (1.1G)
  • DOL and VETS will conduct a needs assessment to identify the underlying causes of sustained unemployment for targeted veteran subgroups, such as women veterans. (1.1G-H)
  • The workforce development system has the mandate, but not the experience or knowledge needed, to serve customers with significant disabilities. Service to this segment of the disabled population represents the next step in the process of their full inclusion in the workforce development system. DOL will pursue a multifaceted program that provides guidance to, and develops internal expertise for, all components of the workforce development system that results in full, effective and integrated services to individuals with significant disabilities. (1.1I)

Cross-Cutting Programs and Issues

FY 2002 is the third year of implementation for the Workforce Investment Act of 1998. This landmark job training legislation is built on the principles of partnership and shared accountability. DOL continues to work in close cooperation with its State and local partners in monitoring and overseeing the workforce development system and its Federal partners in promoting unified planning at the State and local levels. The Act enhances the effectiveness of the One-Stop delivery system to address employers' growing difficulty in locating, attracting, and retraining qualified workers for high-skilled jobs, as well as workers' and job seekers' needs for training and re-employment services.

In FY 2002, DOL will continue implementation of WIA, emphasizing universal access to services available to the Nation's job seekers, workers, and employers through the One-Stop Centers. Program and service integration in the workforce development system will continue to develop as partnerships are forged and strengthened among DOL, other Federal programs and State and local organizations. The effectiveness of the workforce development system will continuously improve through capacity building, pilots and demonstrations, research, and technical assistance. The increase in investment for pilots, demonstrations, research, evaluation and technical assistance will support this enhancement in the integration and effectiveness of the One-Stop delivery system.

DOL will improve comprehensive planning for services to adults, incumbent workers and dislocated workers, and implementation of 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, and 2) assisting communities in developing comprehensive economic adjustment strategies to deal with dislocations with community-wide impact by continuing to work with other federal agencies to support such strategies.

In addition to its cross-cutting efforts targeted on the State and local levels of the workforce development system, DOL continues to invest in engaging private-sector employers both as customers and partners in the system. DOL's Workforce Excellence strategy continues to focus on promoting and supporting continuous improvement, high performance and customer satisfaction throughout the One-Stop delivery system, with a primary goal being to enhance the credibility of the system in the eyes of the business community.

As the Congressionally-delegated lead Federal agency for the Welfare-to-Work legislation, DOL provides leadership for implementation of new programs and activities designed to move people from welfare to employment. DOL works closely with State and local government agency programs, the Department of Health and Human Services (HHS), the Department of Housing and Urban Development (HUD), the Department of Transportation (DOT), the Department of Agriculture (USDA), the Department of Interior (DOI), and the Department of Justice (DOJ) to assist individuals as they move from welfare to work and to boost employment rates. DOL also works closely with public interest groups, such as the National Association of Workforce Boards, the U.S. Conference of Mayors, and the National Governors Association.

DOL will continue the promotion of the Work Opportunity and Welfare-to-Work (WOTC/WtW) Tax Credits by engaging employers and streamlining certification procedures to encourage employers to hire disadvantaged job seekers.

DOL will build upon the earlier work of the Performance Measurement Group by working with its partners at HHS, HUD, and the Department of Education (ED), as well as their State and local partners, to establish the new system performance measures as part of the new Workforce Investment System. DOL also will address cross-cutting policy and related issues pertaining to systemic performance accountability.

The Department's employment and training programs for veterans and soon-to-be-separated service members and their families are coordinated closely with VA and DOD. This Transition Assistance Program (TAP) operates across the country and has been shown to be effective in reducing the time of unemployment. When TAP is implemented at the local military bases, specific areas of coordination and cooperation are designated. For instance, DOL may provide the instructors for the typical three-day training, DOD the meeting space and logistical arrangements, and VA the assistance to service members who have service-incurred disabilities.

DOL, through VETS, will continue to lead a Federal Interagency Task Force on Certification and Licensing of Transitioning Military Personnel that will recommend a course of action to allow qualified military personnel to obtain both Federal and non-Federal certifications and/or licenses necessary for civilian employment. In FY 2002, DOL will continue the effort of updating and adding to its public website on licenses, credentials, and other occupational requirements. VETS has contributed to the Department's overall effort by developing and instituting the website Using (your) Military Experience and Training, which is tailored to provide assistance to transitioning military personnel who need assistance and veterans who may need a credential for civilian employment.

Cross-cutting Federal efforts on the homeless make the Homeless Veterans' Reintegration Project (HVRP) an outstanding example of how different Federal programs working together can effectively serve a population in need. In implementing HVRP, the Department works closely with HUD and VA to refer homeless veterans in need of shelter, substance abuse assistance or mental health counseling, to the appropriate programs. Once stabilized, these veterans are referred back to DOL HVRP programs for job-finding assistance.

DOL has developed a partnership with the New Mexico Department of Labor and the National Guard Bureau to assist unemployed and underemployed veterans by providing a one-day seminar on resume writing and interviewing. These one-day classes will be provided using a distance learning modality in two locations (Albuquerque and Santa Fe). The objective of this project is to improve the opportunities for the unemployed and underemployed veterans in their search for suitable employment in the civilian workforce.

Outcome Goal 1.2--Increase the Number of Youth Making A Successful Transition to Work

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Billions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$3.1

$3.1

$2.5

$2.7

Outlays

$3.0

$3.1

$2.5

$2.4

A. Increase entrance and retention of youth registered under the WIA youth program in education, training, or employment. In Program Year 2002:
  • 53% of the 14-18 year-old youth will be either employed, in advanced training, post-secondary education, military service or apprenticeships in the third quarter after program exit;
  • 63% of the 19-21 year-old youth will be employed in the first quarter after program exit; and,
  • 77% of the 19-21 year-old youth employed in the first quarter after exit will be employed in the third quarter after program exit.

B. Increase participation, retention, and earnings of Job Corps graduates in employment and education. In Program Year 2002:

C. Increase retention of Youth Opportunity Grant participants in education, training, or employment. In Program Year 2002:

  • 53% of the 14-18 year-old participants placed in employment, the military, advanced training, post-secondary education, or apprenticeships will be retained at six months; and
  • 72% of the 19-21 year-old participants will be employed in the third quarter after program exit.

D. Increase participation of Responsible Reintegration for Young Offender program graduates in education programs or employment.

  • 65% will get jobs or be enrolled in education or training.

Text Version

Means and Strategies

Operating Agencies: ETA

Significant New or Enhanced Efforts in FY 2002:

  • DOL will continue to improve the capacity of the workforce development system to provide youth with skills, and offer them a comprehensive array of services so that they are able to successfully transition to the workforce as they continue their education and training. In collaboration with local youth providers, our partners, and stakeholders, these areas will be emphasized:
  • Establishing strong local youth councils that bring together local workforce training providers, schools, community organizations, and others in an effort to strategically align and leverage resources to create community youth assistance strategies linked to local youth and labor market needs to improve the efficiency and quality of youth services;
  • Promoting the provision of a systematic offering of comprehensive youth services based upon individual assessment and tailored to the age and maturity level of each individual youth;
  • Encouraging and promoting youth connections to the One-Stop delivery system;
  • Visiting and providing operational and technical assistance to grantees for the Responsible Reintegration for Young Offender program to ensure that they become fully operational in the shortest time period and to avoid potentially harmful issues in program start-up; and
  • Investing in a performance accountability system where data from performance measurement is built into a process for continuously improving the provision of services and activities and which promotes customer satisfaction. (1.2A, C-D)
  • DOL will enhance career development support, including expanded placement services, for Job Corps graduates and former enrollees. The Department will continue to aggressively implement school-to-work strategies and build mutually beneficial relationships with WIA partners--especially employer involvement in the development of occupational training programs. DOL will accomplish this by:
  • Placing continued emphasis on performance in the competitive procurement process;
  • Incorporating findings from reports to-date from the long-term evaluation study of Job Corps and other external bodies, such as the Office of Inspector General and General Accounting Office, to enhance program design;
  • Accelerating student learning through innovative instructional methodology and the incorporation of technology both as a training tool and to facilitate accessing information about jobs or further education;
  • Creating partnerships with employers to customize training, provide work-based learning sites, and to expand Job Corps' job placement network; and
  • Integrating Job Corps into the broader workforce development system. (1.2B)
  • DOL will continue to reflect performance/results-based criteria in its contract procurements. Job Corps' center operations and outreach, admissions/career transition services contracts will be procured specifying the outcomes and quality indicators the government seeks in contract performance. Performance results will be published and used with quality assessment results to form the contractor's Past Effectiveness rating, which is a determining factor in the Department's decision to award option years or subsequent contracts. (1.2B)

Cross-Cutting Programs and Issues

Opportunities for youth to make a successful transition to a career path will include development of Business and Community Visions for creating relationships and networks with employers, One-Stops, and Workforce Investment Boards. DOL will also implement a youth development professional apprenticeship and certification to improve the skill of front-line staff delivery of services to youth.

Linkage with HHS programs will be established to provide shelter for runaway youth, drug prevention for youth in at-risk circumstances, educational or workforce activities for youth living in high poverty areas, and access to child-care services. Support will be given to coordinated activities with HUD's Youth Build and Jobs Plus programs, as well as outreach programs to youth in public housing.

The involvement of Faith-Based organizations as partners to expand educational, cultural, recreational and career opportunities for youth will be facilitated.

Outcome Goal 1.3--Improve the Effectiveness of Information and Analysis on the U.S. Economy

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Millions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$518

$516

$385

$422

Outlays

$490

$486

$373

$395

A. Produce and disseminate timely, accurate, and relevant economic information.

B. Improve the accuracy, efficiency, and relevancy of economic measures.

Text Version

Means and Strategies

Operating Agency: BLS

Sustained Efforts in FY 2002:

  • DOL will continue to carry out its mandate as the principal fact-finding agency for the Federal Government in the field of labor economics. This includes producing impartial and objective essential economic data for the Nation in the areas of employment and unemployment, price change, compensation, safety and health, productivity, and economic growth. Business, labor, governments, the media, and the public rely on these measures to develop economic policy and make well-informed decisions. (1.3A-B)
  • By utilizing technological advances, DOL will improve the operational processes used to develop economic data, specifically through the use of the BLS Statistical Program Model. The model includes the following steps: conceptualization, planning, design, development, implementation, and validation. (1.3A-B)

Significant New or Enhanced Efforts in FY 2002

  • DOL will fundamentally change the way the Consumer Price Index is revised and updated beginning in 2002. As part of this effort, DOL will provide for continuous outlet and item sample improvements and ongoing computer system enhancements. (1.3B)

Cross-Cutting Programs and Issues

DOL, as a producer of economic statistics on the U.S. economy, must work in partnership with other Federal, State, and international statistical agencies. These organizations encounter common and sometimes overlapping issues that must be coordinated for the benefit of the users of these data. Such coordination not only maximizes DOL performance, but also helps to improve the accuracy, efficiency, and relevancy of economic measures produced by the Department.

As a Federal statistical agency, the Department's BLS is a member of the Interagency Council on Statistical Policy, a committee of representatives from 15 agencies, which works to identify areas for collaboration. During FY 2002, the Council will work on enhancements to FedStats, a "one-stop shopping" web site for Federal statistics, including the development of a national statistical information infrastructure.

As a member of the international statistical community, DOL also works with foreign statistical agencies and international organizations in efforts to enhance comparability of concepts and definitions. During FY 2002, a statistical working party led by DOL and sponsored by the Organization for Economic Cooperation and Development, will address issues dealing with improving and standardizing the data on productivity and employment/unemployment used around the world.

4.2 DOL Strategic Goal 2-A Secure Workforce

DOL STRATEGIC GOAL 2

A SECURE WORKFORCE
Promote the Economic Security of Workers and Families

OUTCOME GOALS:
  • 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 $36.3 $34.3
FY 2001 $31.0 $29.4
FY 2000 $24.8 $24.3
FY 1999 $27.0 $26.0

Text Version

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)

Total Funds for This Outcome Goal (in Millions)

Fiscal Years Budget Outlays
FY 2002 $326 $309
FY 2001 $314 $289
FY 2000 $242 $231
FY 1999 $247 $238

A. Covered American workplaces legally, fairly, and safely employ and compensate their workers as demonstrated by:

1. Increased compliance, including among employers which were previous violators and the subject of repeat investigations, with labor standards laws and regulations in nationally targeted industries. In FY 2002, increase compliance:
  • in the garment industry:- to 45% in Los Angeles (recidivism: to 42%) ;
  • in agricultural commodities:- to 54% in cucumber (recidivism: to 44%) and to 43% in garlic (recidivism: establish baseline);
  • in forestry:- to 35% (recidivism: to 20%); and,
  • in the health care industry:- establish baseline for home health care (recidivism: establish baseline).
2. Increased child labor compliance, including among employers which were previous violators and the subject of repeat investigations, in the industries where data indicates that the risk of serious injury to young workers is greatest. In FY 2002, increase compliance in :
  • full service restaurants:- to 85% (recidivism: to 78%)
  • fast food restaurant:- to 75% (recidivism: to 78%); and,
  • grocery stores:- to 85% (recidivism: to 77%).

B. Achieve timely union reporting such that a minimum of 89% of unions with annual receipts greater than $200,000 timely file union annual financial reports for public disclosure access.

C. Increase by 2.5% (to 1,768) per year the number of closed fiduciary 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

D. Increase by 2.5% (to 349) per year the number of closed fiduciary 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.

Text Version

Means and Strategies

Operating Agencies: ESA, PWBA

Sustained Efforts in FY 2002:

  • DOL will continue voluntary compliance activities, such as education, technical assistance, and partnerships. (2.1A-D)
  • DOL will continue initiatives to increase compliance with labor standards by: targeting certain low-wage industries for focused education/outreach and enforcement interventions; targeting child labor compliance; building partnerships with other governmental, non-governmental, and business organizations to promote compliance; and, enhancing the scope and effectiveness of ESA's education and enforcement interventions to obtain lasting future compliance. (2.1A.1-2.1A.2)
  • DOL will continue to measure compliance results achieved by establishing baselines of compliance in targeted industries through ESA's investigation-based compliance surveys, and conducting subsequent compliance surveys in those industries in which baselines have already been established. (2.1A.1-2.1A.2)
  • DOL will continue its initiative to review the Child Labor Hazardous Orders to reflect current workplace technologies and hazards. (2.1A.2)
  • DOL will continue to make more effective and sustained interventions, including better detection of violations, more timely litigation, developing appropriate cases for criminal prosecution, and enhancing education and outreach efforts. While the Department has been vigorously pursuing and elaborating its compliance strategy in these sectors, progress is slow, worker exploitation is still very common, and it has become increasingly clear that sustained efforts are required. (2.1A.1-2.1A.2)
  • DOL will increase compliance with child labor safety standards. DOL will increase its compliance activities, enhance its cooperative efforts with the States, and forge additional partnerships with national, multi-establishment firms that employ large numbers of young workers and with employer and employee organizations to improve youth safety in the workplace. (2.1A.2)
  • DOL will continue the operational development of ESA's Technology for Excellent Customer Service (TECS) system that will provide nationwide toll-free access to: 1) promptly identify and refer calls unrelated to Wage and Hour activities to the appropriate agency; 2) answer commonly asked questions quickly and accurately; and 3) eventually accept complaints alleging violations and refer them electronically to the proper field office. (2.1A.1-2.1A.2)
  • 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 data base of information from union financial reports. (2.1B)
  • DOL's 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. (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 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

To carry out its several enforcement responsibilities, ESA cooperates with the Department of Justice's (DOJ) Immigration and Naturalization Service (INS), Department of Defense (DOD), General Services Administration (GSA), Health and Human Services (HHS), United States Department of Agriculture (USDA), and others, as well as coordinates with other internal DOL agencies such as the Employment and Training Administration (ETA) and the Solicitor of Labor. Cooperative efforts include partnership between the ESA/Wage and Hour Division and ETA relating to migrant and seasonal labor issues, and programs designed to increase compliance in the "Salad Bowl" and poultry processing industries. ESA works with DOD and the GSA with respect to applicable wage determinations for government contracts. ESA/WHD works closely with ETA, USDA, and the States to explore the interaction of workplace laws and welfare reform. ESA/WHD is a key member of DOJ's Worker Exploitation Task Force.

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.

ESA's enforcement programs maintain close ties and share information with other law enforcement agencies. In Labor-Management Reporting and Disclosure Act (LMRDA) criminal enforcement matters, cooperation may extend, as appropriate, to participation in joint investigations with other Federal agencies, including the Federal Bureau of Investigation (FBI) and Internal Revenue Service (IRS) as well as other DOL agencies. Each initiative to coordinate with other agencies is designed to increase compliance with worker protection laws leveraging resources, reducing overlapping activity, and utilizing the strengths of each entity.

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

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$33.9

$28.6

$22.9

$25.2

Outlays

$32.1

$27.2

$22.5

$24.3

  • Unemployed workers receive fair UI benefit eligibility determinations and timely benefit payments. In Fiscal Year 2002:
  • Eligibility Determination Fairness: increase to 30 the number of States meeting or exceeding the minimum performance criterion for benefit adjudication quality; and
  • Payment Timeliness: increase to 49 the number of States meeting or exceeding the Secretary's Standard (minimum performance criterion) for intrastate payment timeliness.
  • Promptly review applications for foreign labor certifications to ensure that aliens admitted to work under foreign labor certification will not adversely affect domestic workers' wages or working conditions. In Fiscal Year 2002: Establish a baseline for the average time required in the ETA's Regional Offices to process applications for permanent alien residency.
  • Increase by 2% (to $67 million) benefit recoveries achieved through the assistance of Pension Benefit Advisors.
  • Increase by 1% the number of workers who are covered by a pension plan sponsored by their employer, particularly women, minorities and workers in small businesses.
  • Return Federal employees to work following an injury as early as appropriate indicated by a 4% reduction from the FY 2000 baseline in the average number of production days lost due to disability.
  • Produce $122 million in cumulative first-year savings (FY 1999-FY 2002) in the FECA program through Periodic Roll Management.
  • In the FECA program, reduce the overall average medical service cost per case (adjusted for inflation) by .5% versus the FY 2000 baseline. Reduce the average annual cost for physical therapy cases by .5% through focus reviews of services charged.
  • Reduce the average processing time to 3 years to send benefit determinations to participants in defined benefit pension plans taken over by PBGC.

Text Version

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 will promote greater overall levels of retirement savings by encouraging individuals to begin saving at a younger age; improving individuals' understanding of their savings options and the consequences of their choices and encouraging businesses, especially smaller companies, to provide greater educational services to their employees. As part of this effort, PWBA will increase the number of targeted educational materials disseminated by the Internet and other means which promote pensions for women, minorities, and small businesses. (2.2D)
  • DOL will promote increased benefit coverage by PWBA's continued work with other Employee Retirement Income Security Act (ERISA) agencies (Treasury and IRS) to minimize regulatory and administrative burdens with respect to the requirements of the ERISA. For example, this is accomplished by exploring alternative means of compliance such as the electronic filing of plan documents. DOL and the other ERISA agencies have simplified the Form 5500 annual report filed by pension and other benefit plans. (2.2D)
  • •DOL will continue to emphasize early return to work as a winning outcome for both workers and employers. The non-adversarial nature of DOL's Federal Employees' Compensation Program allows DOL to work with Federal agencies and with employee unions to facilitate the return to work process. (2.2E)
  • 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. (2.2E)
  • 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. (2.2E)
  • 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. DOL will also conduct periodic "focus group" meetings and surveys to identify agency assistance requirements and improve its assistance program. (2.2E)
  • 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. (2.2E)
  • 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. (2.2E)
  • DOL will improve the medical authorization process, so that injured employees get appropriate and needed medical treatment as soon as practicable. (2.2E)
  • DOL will complete installation of district office imaging hardware, convert older paper files to electronic form, continue automated data processing training, and reconfigure district offices for "paperless" operations. Greater automation will lower administrative costs, speed claims filing and adjudication, support earlier delivery of services, and support earlier resolution of disability and return to work, while at the same time contributing to stable or declining FECA benefit costs by improving error rates and the accuracy of information. Electronic access to claims information will enable employing agencies to better assist their injured employees and manage their workers' compensation programs. Additionally, the electronic file system will be more secure than a paper-based system. (2.2E, F, G)
  • The Periodic Roll Management system, expanded in FY 1999 and incorporated into FECA's overall case management process, 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. (2.2F)
  • DOL will improve overall management of its Federal Employees' Compensation Fund through its ADP System Redesign project, further automation of document exchanges and medical billing, and through new information technology upgrades which will improve linkages to the DOLAR$ system, develop a cost accounting capability, and improve debt management tracking and reporting. (2.2F, G)
  • 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 central automated-assisted processing of requests for medical treatment authorization, focus reviews to ensure that proper treatment regimens are followed, bill review to identify duplication or other improper practices, and development of treatment guidelines for use by the provider community. (2.2G)
  • DOL will continue to apply fee schedules to medical, pharmacy and hospital services under FECA. (2.2G)
  • DOL will examine utilization of services through Focus Reviews of medical conditions requiring physical therapy to ensure that billed services are reasonable and related to the condition. (2.2G)
  • DOL will continue to use a Medical Quality Index baseline to measure FECA medical bill processing and payment quality. (2.2G)
  • 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)
  • 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. (2.2H)

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.

The Federal Employees' Compensation Act (FECA) program involves every Federal agency in the filing and management of injury compensation claims. 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 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 the 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. 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.

ESA/OWCP and OSHA are working 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. ESA/OWCP will 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. ESA/OWCP will measure agencies' performance on its website, http://www.dol.gov/owcp/regs/compliance/fecaca.htm. ESA/OWCP will continue to track and post detailed agency (sub-agency) performance in terms of timely injury notice submission. ESA/OWCP will work in tandem with OSHA and the Office on Disability Employment Policy to help agencies reduce accidents/illnesses and speed return to work.

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

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$2.1

$2.1

$1.6

$1.6

Outlays

$2.0

$1.9

$1.5

$1.4

A. Increase the employment, retention, and earnings replacement of individuals registered under the WIA dislocated worker program. In Program Year 2002:

  • 75% will be employed in the first quarter after program exit;
  • 85% 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 92% of their pre-dislocation earnings.

B. 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:

  • 75% will be employed in the first quarter after program exit;
  • 85% 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, 85% of their pre-separation earnings.

Text Version

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.

4.3 DOL Strategic Goal 3--Quality Workplaces

DOL STRATEGIC GOAL 3

QUALITY WORKPLACES
Foster Quality Workplaces that are Safe,
Healthy, and Fair

OUTCOME GOALS:

  • Reduce workplace injuries, illnesses, and fatalities
  • Foster equal opportunity workplaces
  • Support a greater balance between work and family
  • Reduce Exploitation of Child Labor and Address Core International Labor Standards Issues

Total Funds for This Goal (in Billions):

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$1.1

$1.1

$0.7

$0.8

Outlays

$1.0

$1.0

$0.7

$0.7

Text Version

This strategic goal is aimed at guaranteeing every working American a safe and healthful workplace with equal opportunity for all. Also, the Department is committed to raising core international labor standards and improving the working conditions of children throughout the world.

Department of Labor programs and agencies with the primary operational responsibility for achieving this strategic goal include the Employment Standards Administration's Office of Federal Contract Compliance Programs, the Employment and Training Administration, the Occupational Safety and Health Administration, the Mine Safety and Health Administration, the Bureau of International Labor Affairs, and the Office of the Assistant Secretary for Administration and Management. In addition, the Office of the Solicitor, the Women's Bureau, the new Office on Disability Employment Policy, and the Office of the Inspector General 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 3.1--Reduce Workplace Injuries, Illnesses, and Fatalities

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Millions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$788

$781

$587

$614

Outlays

$745

$739

$574

$600

  • Reduce the number of mine fatalities and non-fatal injury rate to below the average for the previous five years.
  • Reduce by 5% the percentage of coal dust and silica dust samples that are out of compliance for coal mines and metal and nonmetal high risk mining occupations, respectively.
  • Reduce three of the most significant types of workplace injuries and causes of illnesses by 15%.
  • Reduce injuries and illnesses by 15% in five industries characterized by high-hazard workplaces.
  • Reduce injuries and illnesses (LWDII) by 20% in at least 100,000 workplaces where OSHA initiates an intervention.
  • Decrease fatalities in the construction industry by 15%, by focusing on the four leading causes of fatalities (falls, struck-by, crushed-by, and electrocutions and electrical injuries).
  • Reduce injuries and illnesses by 15% at work sites engaged in voluntary, cooperative relationships with DOL.

Text Version

Means and Strategies

Operating Agencies: OSHA, MSHA

Sustained Efforts in FY 2002:

  • DOL will expand existing outreach efforts in the mining community to identify and communicate with historically non-participating audiences where intervention could have a significant impact--specifically new operators, new miners, non-participatory operators, and contractors. Special emphasis and educational outreach initiatives will focus attention on root causes of persistent safety and health problems and help mine workers and operators to address them. DOL's technical assistance efforts include analysis of accidents and proposed preventive strategies where specific equipment is involved, and seeking both high- and low-technology solutions. (3.1A-B)
  • DOL will provide training on, and begin enforcing, the amendment to the training regulations that mandates training requirements for miners at approximately 10,000 aggregate mining operations. (3.1A-B)
  • Using the State Grants Program, DOL will continue working cooperatively with the mining industry, labor, and the States to improve training programs aimed at preventing accidents and occupationally-caused illnesses. (3.1A-B)
  • DOL will continue to target significant types of workplace injuries and illnesses (silica and lead exposure severity and amputations) and industries characterized by high-hazard workplaces (the shipyard, food-processing, nursing home, logging and construction industries) in line with its Strategic Plan. OSHA will target these industries through its worksite targeting program, notifying over 13,000 employers with high injury and illness rates and providing an opportunity for compliance assistance through the agency's Consultation Program. Local partnership agreements will be established. (3.1C-F)
  • DOL will continue to utilize a variety of compliance assistance, outreach and cooperative approaches to achieve reductions in injury and illness rates and to reach small businesses and targeted audiences. Approaches include the Consultation and Voluntary Protection Programs, electronic software systems, web-based training, Susan Harwood Training Grants, local partnership agreements, and field compliance assistance. These efforts will be linked to the hazards and industries targeted by OSHA's performance goals in a coordinated, complementary manner. OSHA's State Consultation providers will be encouraged to target high-priority areas while serving the unique needs of employers--particularly small employers in their states. The Voluntary Protection Programs--which involved 536 worksites in FY 2000--will identify worksites in the industries and hazards covered by the Plan; partnership agreements will be processed in these areas as well. Susan Harwood training grants will reach out to hard-to-reach workers and small business establishments, providing training and assistance in targeted industries and hazards. (3.1C-E, G)
  • DOL will continue to work with its State plan partners to support the implementation of individual State strategic and annual performance plans which align with OSHA's approach under GPRA. The State strategic and annual performance plans all target reductions in exposures and injuries, illnesses and fatalities, tailored to each State's individual priorities. For example, Nevada targets manufacturing, construction, and hotels/casinos; Michigan targets metal forging and stamping, fabricated structural metal products, and meat products; and Alaska is targeting logging and seafood processing. (3.1C-D, F-G)

Significant New or Enhanced Efforts in FY 2002:

OSHA will continue to expand and refine its compliance assistance and outreach efforts:

  • In recent years, OSHA has developed a number of compliance assistance tools to assist employers, workers and their representatives in complying with the requirements of the OSH Act. These include expert systems--interactive, decision-logic products that help users determine what requirements apply to them or what actions they need to take to address hazardous conditions in their workplaces. In addition, OSHA's electronic compliance assistance tools) are graphic programs that provide extensive information on a variety of safety and health issues. OSHA is combining these complementary technologies to produce new products that will provide the public with more comprehensive and effective compliance assistance tools. Several topics have already been chosen to test this integrated approach in FY 2001. (3.1C-F)
  • During FY 2000, OSHA began to develop a comprehensive Compliance Assistance Plan. This Plan will serve as the framework for providing consistent, Agency-wide compliance assistance and outreach through FY 2002. It will also provide for expert advice, guidance, and training on OSHA regulations and programs. Compliance assistance specialists in OSHA Federal jurisdiction area offices will prepare local compliance assistance plans and provide outreach, training and education, and information to employers (in particular small business employers), local labor affiliates and other stakeholders. (3.1C-F)
  • OSHA's Office of Training and Education (OTE) is in the process of relocating to a larger, more modern facility that will allow it to expand compliance assistance efforts through increased training capabilities and technology enhancements. In addition to providing the information technology and infrastructure needed to support new program initiatives such as Technology Enabled Training, the new facility will include a construction laboratory, improved safety and health laboratories, and distance learning and multi-media capabilities. In particular, addition of the construction laboratory will provide a hands-on, specialized training facility to cover such topics as fall arrest, welding, cranes, rigging and scaffolding, excavation and training. (3.1C-F)
  • OSHA plans to use distance learning technology to provide training and education assistance to employees and employers rather than relying solely on traditional methodologies. For example, OSHA's OTE plans to provide nationwide satellite broadcasts for small businesses on all new OSHA rules and regulations. Web-based courses will be developed and offered, and all course materials will be placed on the Intranet for use by the Agency's compliance assistance specialists in the delivery of safety and health information to the public. (3.1C-G)

Cross-Cutting Programs and Issues

Within the Department, OSHA, MSHA, BLS, and ESA work together to accomplish performance goals for reducing workplace injuries, illnesses, and fatalities. OSHA and BLS collaborate to ensure that workplace injuries, illnesses and fatalities are accurately reported. Collaborative efforts to ensure consistency in regulatory actions that affect workers in both OSHA and MSHA jurisdictions are ongoing.

OSHA and ESA coordinate to help ensure that teens have safe and positive work experiences through a strategy of combining increased education, strong partnerships, heightened public awareness, and enhanced enforcement.

MSHA and OSHA work closely with the National Institute for Occupational Safety and Health (NIOSH), which is responsible for conducting research on occupational safety and health issues. One of the disadvantages that both agencies face as they seek to reduce the risk of occupational illness is a lack of good, solid data that ties specific illnesses to specific workplace conditions. This year, NIOSH will launch an occupational exposure survey to find out more about workplace hazards, exposures and controls in industries covered by both MSHA and OSHA. The new survey will cover both more industries and more issues than the surveys NIOSH conducted in the 1970's and 1980's.

NIOSH is also assisting in MSHA's pilot "Miners' Choice Health Screening" chest x-ray program to determine the extent of black lung disease in the Nation. NIOSH is coordinating the readings and notifies the miner--a voluntary participant; MSHA is only given the statistical information. DOL will use the information acquired from this pilot to determine the extent of the problem, where the problems exist, and how to best focus resources to address black lung disease in the Nation.

To help the Department meet its performance goal of reducing illnesses due to silica exposure and other workplace-related diseases, MSHA and NIOSH have developed working relationships in several areas, including respirator performance, explosives research, and medical research. As an example, a successful joint program was launched by MSHA, OSHA, and NIOSH, in partnership with the American Lung Association, to heighten the focus on compliance assistance and enforcement initiatives across all occupations where overexposure to silica must be reduced.

OSHA is coordinating with the Federal Highway Administration and others to help identify and remove potential risks to road construction workers, who are exposed to safety and health hazards which often lead to serious physical harm and death. Roadway workers face hazards from crane use, trench activities, falls from heights, lead exposure and silica exposure; the majority of fatalities involve workers struck by motorists and construction vehicles. Road construction zones nationwide are estimated to increase by 66% over the next six years. OSHA has also coordinated with the Centers for Disease Control (CDC) to issue a Hazard Information Bulletin regarding Lyme disease that includes the present state of knowledge regarding the disease and preventive measures for decreasing the risk of Lyme disease transmission.

Realizing the need to reach out to the small business community, OSHA is working with the SBA, and in particular with the SBA's Office of Advocacy. OSHA has developed a strong working relationship with the Advocate in Washington, D.C., and is partnering with the Regional Advocates network to conduct Small Business Forums in each region. OSHA is developing a small business guide on amputations that will identify the major types of equipment that cause amputations in various industries and provide abatement strategies. OSHA offers many resources designed specifically for smaller employers. The Agency wants to encourage small businesses to establish safety and health programs and find and fix hazards to prevent workplace injuries and illnesses. OSHA's Web Page for small businesses provides one-stop shopping for the most popular materials for small businesses - from free on-site consultation, to interactive computer software, to technical information and easy-to-follow guides for specific OSHA standards. It also includes links to local OSHA offices and to the Small Business Administration. >OSHA also conducted a pilot project with the Association of Small Business Development Centers to award Susan Harwood Training Program grants to several Small Business Development Centers. The grant funds are used to develop educational materials on safety and health issues that target specific small business industries and to conduct training and outreach to those industries.

Several other Federal Government agencies have safety and health responsibilities which overlap those of OSHA, MSHA and ESA, including the U.S. Coast Guard (for protection of workers in industries dealing with water safety), the Federal Aviation Administration and the Federal Railroad Administration, the Department of Energy and the Nuclear Regulatory Commission, and the Bureau of Alcohol, Tobacco and Firearms.

In recent years, OSHA has also participated in efforts to expand the Voluntary Protection Program in Federal agencies. In addition to the Department of the Interior's National Park Service, three other Federal sites are participating in the VPP. With regard to broader safety and health efforts in Federal agencies, OSHA and ESA are working together to reduce workplace injuries and illnesses in Federal agencies, reduce the average duration of time away from work due to work injuries and speed return to work.

Outcome Goal 3.2--Foster Equal Opportunity Workplaces

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Millions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$105

$105

$ 87

$ 83

Outlays

$99

$97

$80

$79

  • Federal contractors achieve equal opportunity workplaces as demonstrated by:
  • Improving the equal employment opportunity performance of federal contractors and subcontractors within industries where data indicate the likelihood of equal employment opportunity problems is greatest. In FY 2002, achieve __% improvement over the FY 2001 established baselines;
  • Improving the equal employment opportunity performance of federal contractors and subcontractors that have had prior contact with ESA/OFCCP through evaluations, outreach, or technical assistance. In FY 2002, achieve __% improvement over the FY 2001 established baselines; and,
  • Reducing compensation discrimination by federal contractors and subcontractors. In FY 2002, achieve __% improvement over the FY 2001 established baselines.
  • States that receive DOL financial assistance under the Workforce Investment Act provide benefits and services in a nondiscriminatory manner as evidenced by:
  • Their timely submission of Methods of Administration (MOA) which demonstrate how their programs and activities are operated in a nondiscriminatory manner; and
  • The issuance, within 180 days of the submission of the MOA, of a determination or a conciliation agreement which indicates that the MOA gives reasonable guarantee that benefits and services are provided in a nondiscriminatory manner.

Text Version

Means and Strategies

Operating Agencies: ESA, OASAM

Sustained Efforts in FY 2002:

  • DOL will continue its fair and balanced enforcement program with the tiered compliance evaluation strategy and will implement the government contractors regulations (41 CFR 60-2) into our compliance evaluation procedures; thereby, reducing the paperwork burden on federal contractors and subcontractors. (3.2A)
  • DOL will continue to conduct compliance evaluations and complaint investigations under all DOL authorities, including Executive Order 11246, Section 503 of the Rehabilitation Act and 38 U.S.C. 4212 of the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA). In this manner, DOL will enhance its compliance evaluations for supply and service contractors and subcontractors, individuals with disabilities, and special and disabled veterans. (3.2A)
  • DOL will utilize performance measurements and indicators to enable it to focus compliance and technical assistance efforts to meet the goals established in FY 2001. Program efforts will be monitored by ESA/OFCCP's Strategic Formulation Team and Executive staff. (3.2A)
  • DOL will continue to utilize data submitted by Federal contractors on personnel activity and other required records. Electronic submission of data is offered as a way to reduce contractor burden, and efforts will continue to facilitate this process. Preparation and submission of this data advances self-audits by Federal contractors. Additionally, electronic analysis of contractor-submitted data expedites the entire ESA/OFCCP evaluation process, thereby increasing the efficiency and effectiveness of the technical assistance, outreach, and compliance assistance programs. (3.2A)
  • DOL will continue promotion of industry best practices in EEO and anti-discrimination programs by acknowledging employer efforts with the Exemplary Voluntary Efforts Award, the Secretary's Opportunity Award, the Exemplary Public Interest Contribution Award, and the Industry Liaison Group Award. (3.2A)
  • DOL will enhance customer service through interactive and personal public education and technical assistance training for stakeholder organizations. (3.2A)
  • DOL will continue to disseminate model employer recruitment practices and will assist contractors in identifying resources for recruiting qualified individuals with disabilities, protected veterans, women, and minorities. Such resources may include, but not be limited to, the nationwide network of One-Stop Centers established by the Workforce Investment Act. (3.2A)
  • DOL will continue regional outreach education and technical assistance to Federal contractors and subcontractors on nondiscrimination in the compensation area. (3.2A)
  • DOL will continue promoting voluntary compliance through the review of MOA's submitted by States in accordance with 29 CFR Part 37 implementing the nondiscrimination provisions of section 188 of the WIA and national programs' procedures. (3.2B)
  • DOL will continue conducting follow-up reviews for any entities found in non-compliance during the program year to ensure that voluntary compliance is achieved and avoid the need to institute enforcement action by DOL. (3.2B)
  • DOL will continue its education and outreach efforts to increase access for all persons with disabilities who are seeking services funded under the Workforce Investment Act (WIA), including guidance to ensure access to federally funded programs for persons of Limited English Proficiency. (3.2B)

Significant New or Enhanced Efforts in FY 2002:

  • DOL will examine new methods for increased utilization of technology to enhance program quality, availability and interaction with stakeholders, i.e., Web sites with sample contractor data for timely self-audits. (3.2A)

Cross-Cutting Programs and Issues

Outside the Department, ESA/OFCCP's Memorandum of Understanding (MOU) with the Department of Justice's (DOJ) Office of Special Counsel provides for referral of complaints involving national origin discrimination, information sharing, and coordinated public outreach efforts. An MOU with DOJ's Immigration and Naturalization Service (INS) allows for prompt referral to INS of all suspected violations concerning employment of unauthorized workers. ESA/OFCCP's MOU with the Equal Employment Opportunity Commission (EEOC) provides procedures for the coordinated collection, sharing, and analysis of data regarding individual or class complaints of discrimination on the basis of race, gender, national origin, or disability status, and for coordinated complaint processing procedures. Other MOUs were initiated with the Department of Transportation and the General Services Administration.

Similar to OFCCP, OASAM's Civil Rights Center works closely with DOL agencies and other Federal agencies such as Justice, EEOC, HHS, and the U.S. Commission on Civil Rights to ensure equal opportunity compliance. In addition, the Civil Rights Center has membership on the Council of Federal Sector EEO and Civil Rights Directors, as well as ongoing relationships with the National Association of State Workforce Agencies, the National Association of Cities and Counties, and the Interstate Association of Personnel in Employment Security, to enhance its enforcement and civil rights compliance efforts.

Outcome Goal 3.3--Support a Greater Balance between Work and Family

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Millions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$11

$11

$ 4

$11

Outlays

$11

$12

$ 5

$ 8

  • Increase employment and access to quality child care by increasing the number of registered child care apprenticeship programs and the number of newly registered child care apprentices. In Fiscal Year 2002:
  • 49 States will have registered child care apprenticeship programs; and
The number of newly registered child care apprentices will increase by 25% over the FY 1999 baseline.

Text Version

Means and Strategies

Operating Agencies: ETA

Sustained Efforts in FY 2002:

  • DOL will increase the availability and use of child care by: 1) providing consultative and technical assistance in the expansion of child care programs in all States, including the exchange of the most current information and best practices; and 2) maintaining, improving, and sustaining collaborative relationships, including cross-cutting linkages. (3.3A)
  • DOL will improve the planning and management of the Registered Apprenticeship System by improving the capacity to gather and analyze accurate, consistent, timely and high-quality information in support of registered child care apprenticeship programs. (3.3A)

Cross-Cutting Programs and Issues

DOL will improve the planning and management of the Registered Apprenticeship System by improving the capacity to gather and analyze accurate, consistent, timely and high-quality information in support of registered child care apprenticeship programs.

Outcome Goal 3.4--Reduce Exploitation of Child Labor and Address Core International Labor Standards Issues

FY 2002 Performance Goals

Total Funds for This Outcome Goal (in Millions)

Fiscal Years

FY 2002

FY 2001

FY 2000

FY 1999

Budget

$179

$181

$ 66

$ 49

Outlays

$169

$179

$ 59

$ 40

A. Reduce exploitative child labor by promoting international efforts and targeting focused initiatives in selected countries to include these objectives:
  • 8 countries will ratify International Labor Organization (ILO) Convention 182 on Worst Forms of Child Labor.
  • 7 countries will establish National Action Plans.
  • 100,000 children in developing countries will be targeted for prevention and/or removal from exploitative work and placed in educational settings.
  • 50,000 children in developing countries will be prevented and/or removed from exploitative work.
  • 70% of children removed from child labor will be placed in educational settings.
  • Establish baseline for a rate of retention for children placed in educational settings.
  • Advance workers' protections and economic status in developing countries to include these objectives:
  • 7 countries commit to undertake improvements in assuring compliance and implementation of core labor standards.
  • 6 project countries will commit with US/DOL assistance to make substantive improvements in raising income levels of working families.

Text Version

Means and Strategies

Operating Agencies: ILAB

Sustained Efforts in FY 2002:

  • Through the ILO's International Program on the Elimination of Child Labor (IPEC), DOL will continue to provide support for innovative projects, including large programs within a clearly defined time frame (e.g. 5 to 10 years); statistical development and monitoring of child labor trends. DOL will support IPEC efforts in countries that are committed to addressing the problem of child labor, helping reduce the incidence of child labor around the world, educating the public and policy makers about this issue, advocating and enhancing the worldwide movement against abusive child labor. Activities will reinforce the ILO's campaign to prioritize action against the worst forms of child exploitation. (3.4A)
  • DOL will continue to conduct research and publish reports dealing with child labor exploitation and techniques for reducing its incidence around the world in order to educate the public and policy makers. (3.4A)
  • DOL will support increased supervision and implementation of core labor standards by the International Labor Organization, including implementation by the ILO of a convention on the Worst Forms of Child Labor and declaration and follow up mechanism to enhance the ability of the ILO to encourage member States to implement the core labor standards which are inherent in ILO membership. (3.4A-B)
  • DOL will continue to strengthen the development and implementation of performance monitoring criteria in ILAB's awards of grants and contracts. Recipients of grants and contracts will be held to rigoruous performance standards in terms of their contribution to ILAB's outcome goals and indicators. (3.4A-B)

Significant New or Enhanced Efforts in FY 2002:

  • DOL will continue to support ongoing successful IPEC programs to address child labor. DOL will continue to support regional efforts to address child labor, especially its worst forms, as well as comprehensive national programs to eliminate the worst forms of child labor in a specific time frame.> In order to measure progress in reducing child labor exploitation better, DOL will step-up its support of IPEC's Statistical Information and Monitoring Program on Child Labor (SIMPOC). SIMPOC is involved in collecting comprehensive and reliable quantitative and qualitative statistical data on child labor in approximately 40 countries. SIMPOC aims to establish the first-ever international data bank on child labor information. This will allow the ILO and IPEC countries to measure progress made in program implementation--with the ultimate goal of eliminating exploitative child labor. (3.4A)
  • DOL will continue to work with the ILO to develop programs that help countries meet the commitment embodied in the June 1988 Declaration of Fundamental Principles and Rights at Work, and utilizing DOL expertise housed in its agencies, strengthen the capacity of Labor Ministries to improve economic opportunity and income security for workers. (3.4B)

Cross-Cutting Programs and Issues

DOL works closely with the Department of State, as well as the Agency for International Development (USAID), the U.S. Trade Representative, and the Departments of Commerce, Treasury, and Education, to encourage countries to improve the implementation of core labor standards.

The Department intends to take an integrated approach to advancing the international commitment to core labor standards, including child labor standards, with activities and resources coordinated by ILAB and supported by Wage-Hour, OSHA, BLS, Women's Bureau, and SOL. By providing labor standards assistance to our trading partners and thereby "leveling up" global working conditions, DOL will not only support achievement of its international goals, but will promote its goals of providing a secure workforce and quality workplace in this country.

On child labor issues, DOL works closely with the ILO's International Program for the Elimination of Child Labor (IPEC) to develop regional, country, and sector specific projects to reduce the incidence of abusive child labor and develop educational opportunities for children. In the development of certain projects, DOL works with U.S. and foreign industry and labor representatives and non-governmental organizations to ensure that programs are effective and credible.

5.Performance Measurement

The Department of Labor has implemented GPRA using a systematic, staged approach based on sound business practices. Our first priority has been the establishment of enduring outcome goals which target continual improvement in the achievement of the core results the Department is committed to delivering on behalf of working men and women. After several years of piloting and refining goals, a majority of the Department's programs have stabilized their goals, and DOL's focus has progressively shifted toward ensuring the reliability of our performance measures and effectively using performance data to enhance our program results.

The Department recognizes that transitioning to a fully performance-based organization depends upon the availability of reliable and timely information concerning the results of DOL's programs. The challenges to performance measurement vary significantly among DOL's programs, with the data sources and the agencies' level of control over the reporting systems being the primary factors influencing the reliability and usefulness of the Department's performance information. Many DOL agencies collect critical program data from third parties, including State and local government agencies, community based organizations, private sector employers, and international organizations. The Department's authorities to increase the frequency of reporting, establish data standards or verify the accuracy of the information reported by third parties are limited in some cases. In other programs, data important to fully assess the effectiveness of strategies adopted to achieve our GPRA goals are not readily available, or DOL's information technology systems require enhancements to support routine access by program managers to key performance data.

A number of initiatives to improve performance measurement and performance based management will be undertaken in FY 2001 and additional efforts are planned for FY 2002. During FY 2001, the Department will initiate a series of workshops and seminars on GPRA implementation to facilitate an exchange of best practices among DOL agencies, and performance measurement related issues will be a featured topic. In addition, the Office of Inspector General will expand reviews of the reliability and quality of the performance data reported by DOL programs in FYs 2001 and 2002, and the Department will work closely with our agencies in addressing problems identified by the audits. The Department plans in FY 2002 to increase the use of program evaluations to meet a variety of performance management objectives, including supplementing information available through routinely collected performance information, reviewing the effectiveness of strategies in meeting key performance goals and analyzing the quality of data sources, indicators and reported program results.

Working together, DOL executives and program managers will continuously improve the quality of the Department's performance information. However, success in overcoming some of the challenges the Department faces in ensuring the reliability of performance measures and effectively using performance data to enhance the results of DOL's programs will also require support for data collection and verification authorities and a commitment of critical resources by OMB and the Congress.

5.1 Addressing Specific Performance Measurement Challenges

Within the larger Departmental framework, individual DOL agencies will address data challenges that are unique to the agency's program environment and develop solutions that are consistent with the Department's reporting requirements. While some DOL programs currently have adequate systems in place, others must overcome barriers to the production of timely, accurate, and relevant performance data. In FY 2002, DOL and its agencies will continue efforts to address four issues: the availability of data, validation of data, timeliness of reporting and the use of data in managing for results. The following examples describe several initiatives completed or in progress to further improve the measurement of our program results.

  • The Employment Standards Administration will continue its efforts to improve data measuring the results of three major programs in FY 2001. First, the Wage and Hour program has introduced a new computer system, the Wage and Hour Investigative and Reporting Database (WHISARD), permitting more timely access to extensive information. Because there is no unbiased database on labor standards violations or compliance, Wage and Hour faces a major challenge in determining industry-wide levels of compliance and measuring changes in that compliance. To determine the impact of Wage and Hour efforts, a statistically sound method has been developed for establishing baselines and measuring compliance using investigation-based compliance surveys of targeted industries and areas. Data on the outcomes of repeat investigations will also be used to evaluate the relative effectiveness, or return on investment, of the various types of interventions.

The new WHISARD system provides many advantages when compared to its predecessor. For example, data is entered into the system directly at the source (by Wage and Hour investigators) rather than manually batched and mailed to a central source for data entry later. As a result, data is much more current, which facilitates tracking the progress of investigative activity. Information on a complainant's case is readily available which enhances customer service and satisfaction. All users of the WHISARD system have direct access which was not previously possible and enhances efficiency and enforcement effectiveness. In addition, WHISARD can produce data on a much broader range of activities, such as local enforcement initiatives, which was not possible with the prior system, and assists in the agency's strategic planning activities.

The Office of Federal Contract Compliance Programs' (OFCCP) Case Management System (CMS) is used to measure program performance. Through software and hardware enhancements, field office managers are now able to access CMS data to track the accomplishments of individual organizational units. OFCCP has developed a database comprised of Federal contractor-submitted personnel activity data and other required records, with the contractor having the option to input directly to the database via the Internet. Following the final refinement of the analytical model (scheduled for completion in FY 2001) the response data will be analyzed and used in determining the scheduling of technical assistance, outreach and compliance evaluation actions, further increasing OFCCP's efficiency and effectiveness.

Increasingly sophisticated databases detailing the case histories of injured Federal workers have been developed for the Federal Employees' Compensation Act (FECA) program. These systems allow tracking of the goal of reducing lost production days, but also permit precise evaluation of various program initiatives such as the impact of alternative return to work techniques on various groupings of employees or injury categories.

FECA's automated system is undergoing a complete redesign covering every major program operation. The redesign will replace a patchwork of loosely-linked programs each with its own database and rules, and provide a single automated system that will make data accessible to all users. This redesign will allow workers' compensation claims staff to work more efficiently while providing improved customer service to injured workers, medical providers, and employing Federal agencies.

  • The Department continues to address the need to ensure the accuracy and reliability of performance data submitted by our employment and training system partners which serves as the foundation for key program decisions. The development of a comprehensive data validity system for the core indicators of the WIA program, Wagner-Peyser, and other key employment and training programs is expected to be substantially completed in FY 2002.
  • Accurate outcome oriented performance data has been an issue for VETS since performance planning under the GPRA commenced in 1999 and placed emphasis on outcomes. Reporting data prior to GPRA was developed to respond to the reporting requirements of Title 38, Section 4107, which is essentially activity based. In addition, reporting of placements on the ETA 9002 has been subject to error and under-counting because it requires that a veteran specialist (DVOP or LVER) make contact with a registrant to confirm that the person got a job before their employment may be reported on the ETA 9002.

VETS initiated a special study in Maryland that utilized Unemployment Insurance wage records to gain a better understanding of the outcome of services provided by veterans specialists to veterans. This study has shown that a much larger number of veterans get jobs than are likely to have been captured by the information collection and reporting systems now in place. This result has been corroborated by other State studies conducted by ETA. VETS has initiated performance measure pilots in seven States that will look at using UI wage records for a number of outcomes, including entered employments, earnings gain, and retention in employment. VETS is an active partner with ETA in designing new reporting systems that will use the results of these studies to better capture outcomes.

VETS will continue to implement the recommendations made in the July, 2000 data capacity report on VETS programs prepared by a contractor. This will help VETS ensure that its measurement of performance is accurate and verifiable to the best degree possible, considering the fact that for its biggest programs (DVOP and LVER) VETS must rely on data from the States. In FY 2001, VETS intends to have an updated evaluation system in place for use by VETS field staff in their reviews of grantee performance. This evaluation system will replace the current LESO (Local Employment Service Office) Evaluation Manual that VETS has been utilizing to verify service to veterans since 1989.

A key consideration that the new system will address is how to effectively verify services to veterans when the old paradigm has changed. In past years, all veterans entering a local office were registered and a formal file established. This made statistical sampling of files an effective way to verify services to veterans that were reported on the VETS 200 and the ETA 9002. However, in the One-Stop environment there has been an emphasis on self-service, where there is no registration. In fact, in some States, there is no registration even if a mediated service is provided. This may require replacing the traditional method of statistical sampling with other verification techniques, such as surveys.

  • Past reports by GAO and OIG raised concerns about the reliability and accuracy of placement and job retention data used to measure the outcome performance of Job Corps participants. Revisions to Job Corps' procedures have satisfactorily addressed all of the issues cited by both reports. As an example of enhanced procedures, neutral third party data verification is used to validate reported measures. A random sample of placements (75% of those reported) is verified using an independent placement verifier to ensure data integrity. Additionally, a centralized data system with numerous management information reports and system edit checks is used to minimize error in data reporting. Each Job Corps contractor reporting participant achievements is required to maintain systems to validate their data.

In FY 2002, progress will continue to be made for indicators where data are currently unavailable or incomplete. For example, the employment, retention and earnings gains outcomes for TAA/NAFTA program participants are being revised to reflect the implementation of the WIA. In addition, for indicators adopted with the implementation of WIA, baselines will be reviewed and indicators refined. This will be done at the agency and program level in conjunction with the Department-wide effort to improve the quality of indicators.

  • MSHA has a significant database and collection system that captures most of the information necessary to track performance under the strategic plan. Data has been collected for many years and the database is well established for performance measures under the strategic goal of reducing the number of mine fatalities and the nonfatal-days-lost incidence rate to below the previous five year average. However, MSHA relies on mine operators and contractors to comply with legal requirements to report accurately and timely employment, injuries and accidents. MSHA conducts periodic audits to ensure compliance. The degree of compliance may be influenced by the number of audits conducted. Audits were increased in FY2000. Due to the results of these audits, in FY 2001 a quarterly report will be generated for managers showing active mines which do not report quarterly employment and production information. Routine follow-up visits will be conducted at these mines and audits will be increased as appropriate depending upon findings. If analysis of these visits/audits determine any pattern or problem with the quality or reliability of the data, an action plan to address these findings will be generated in FY 2002.

MSHA's system for determining compliance with the coal respirable dust standard has been in place since the 1970s and procedures are well established to ascertain the accuracy and reliability of the data. Automated devices are used to weigh the inspector dust samples and automatically enter the results into a custom designed program that updates the dust data files daily. A quality control program developed jointly by MSHA and the National Bureau of Standards assures that the weighing process continues to produce reliable results over time, and computer edit checks assure the accuracy of the database.

Metal and Nonmetal inspectors have conducted industry-wide sampling since the 1970s. Health policies and the management information system are well-established and reliable. Automated devices are used to weigh inspector dust samples at MSHA's analytical lab which was certified by the American Board of Industrial Hygienists in FY 1998. Computer edits assure the accuracy of MIS data input. Baselines were established in FY 1998 and revised in FY 1999. The Agency workforce that inspects metal and nonmetal mines has steadily declined since 1994, and the number of metal and nonmetal mines has continually increased. As a result, metal and nonmetal samples are generally collected at the discretion of the inspector based upon the conditions observed at the mine. Designation of high risk occupations and new sampling procedures have been established for collecting samples at Metal and Nonmetal Mines. Using the new procedures, samples collected in FY 2001 will be used to establish a new baseline. The goal will remain the same; however, consideration will be given to using these samples to establish a new baseline and measurement for the goal in FY 2002. This would replace the current indexing method being used to evaluate this goal.

  • In FY 2002, OSHA plans to continue to use program data more effectively to manage OSHA's programs in improving the safety and health in the nation's workplaces by ensuring the quality of safety and health data, and continuing to use program evaluations.

The Occupational Safety and Health Administration will continue to improve data validation procedures. Validation of data generated by the agency for current performance measures will continue to be addressed through a variety of means such as annual on-site audits of the injury and illnesses records of employers to determine the accuracy and reliability of the OSHA 200 Logs, the source of data for the OSHA Data Initiative and the BLS Annual Survey; information and outreach programs and enforcement of the injury and illness recordkeeping regulations; revision of injury and illness recordkeeping system (regulations, forms, and guidelines) to improve the quality of records by simplifying forms and regulations, providing clearer guidance for employers, and incorporating incentives for employers to maintain high quality records; and continuing the various methods OSHA developed for validating and verifying data in the OSHA Integrated Management Data System (IMIS).

Program evaluations will assess how well OSHA's programs, policies and procedures are working, including the effectiveness of specific standards, customer satisfaction, and specific approaches towards reducing occupational injuries and illnesses.

5.2 Linking Costs to Performance>

The Department has a solid financial systems infrastructure from which a cost accounting capability is being developed using the resources of a reliable, established accounting system--the Department of Labor Accounting and Related Systems (DOLAR$). DOLAR$, serving as the system of record for financial results throughout the Department, has been modified to capture, aggregate, allocate and report costs. A cost accounting module has been developed to allow aggregation of costs across agency lines and to allocate direct and indirect costs to the strategic and outcome goal levels established in the Department's Strategic Plan.

The Department has maintained cost accounting information, beginning in FY 1999, for the outcome goals in the Department's Strategic Plan. In FY 2002, the Department has for the first time linked budget authority and outlays to both strategic and outcome goals--Appendix B provides an overview of the linkage between budget activities that support the Department's outcome goals. DOL will continue to develop the capability to consolidate data from a variety of program and financial system sources and link that data as needed to meet the performance reporting requirements of GPRA.

6. Maintaining a Departmental Strategic Management Focus

The Department has adopted the strategic management and results-oriented focus of the Government Performance and Results Act as a dynamic, core approach to ensuring that our constituents will receive program services of the highest quality at the most efficient cost. Full implementation of GPRA continues to present challenges to the Department with its diverse missions, agencies, partners and constituents. The formulation of the Department's three strategic goals--a prepared workforce, a secure workforce, and quality workplaces--which cut across traditional program lines has provided a focal point for our strategic, results oriented management efforts. Current Departmental priorities to strengthen our strategic management approach include improving the outcome focus of our performance goals to ensure program accomplishments will achieve our strategic goals, assessing the relationship between our strategies and goals, enhancing the quality of data used to measure performance, and routinely evaluating our results.

To meet the additional challenges to full GPRA implementation, management processes have been put into place to foster inter-agency coordination, on-going monitoring of progress and active executive oversight. Coordination of the Department's strategic management efforts has been strengthened by the establishment of a dedicated GPRA staff and an inter-agency working group which meet together throughout the year to facilitate GPRA implementation. The Department has initiated systems to ensure routine assessment of progress against our performance goals. The OIG also works closely with the Department to provide the Secretary with information and advice on how to attain the highest possible program accomplishments and accountability.

6.1 Management Initiatives in the FY 2002 Annual Performance Plan

As part of its overarching management focus, the Department has also established long term management initiatives and performance goals to address cross-cutting Departmental functions such as financial, information technology, and human resources management which contribute to the achievement of the Department's strategic and performance goals. These management goals, the strategies to achieve them, and the external factors that may affect accomplishment of the goals are detailed in the sections that follow.

6.1.1 Financial Management

Maintaining the integrity and stewardship of the Department's financial resources is the principal strategic goal for the Department's financial management program. In obtaining an unqualified audit opinion on the Department's financial statements, DOL can measure its overall effectiveness. The Department has obtained an unqualified opinion on its Consolidated Financial Statements for the past four years; however, recently enacted legislation and new accounting standards have placed significant new responsibilities on the Departments's financial management community. The FY 2002 financial management performance goals for the Department address the efforts needed to meet new financial systems and accounting standards.

Outcome Goal Financial Management: Maintain the Integrity and Stewardship of the Department's Financial Resources

FY 2002 Performance Goals

FM1. All DOL financial systems meet the standards set in the Federal Financial Management Improvement Act (FFMIA) and the Government Management Reform Act (GMRA).

FM2. DOL meets all new accounting standards issued by the Federal Accounting Systems Advisory Board (FASAB) including the Managerial Cost Accounting Standard.

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Means and Strategies

Sustained Efforts in FY 2002:

  • The Department will have corrected all systems that were out of compliance with the Federal Financial Management Improvement Act (FFMIA) and will closely monitor the acquisition of new systems and all modifications to existing systems to maintain compliance with FFMIA. (FM1)
  • •The Department has had a Cost Accounting system in place that meets the Federal Accounting Standards Advisory Board's Managerial Cost Accounting standard. The Department is phasing in program agency use of the system. For FY 2002, the Office of the Chief Financial Officer (OCFO) will expand the cost accounting pilot projects to six additional DOL agencies. (FM2)
  • The government-wide Human Resources Committee of the CFO Council has established core competency guidelines. GAO audits have identified financial management training programs as inadequate to bringing financial managers up to the task of operating modern financial management systems. The Department will participate in the achievement of several professional development goals established by the CFO Council, which include conducting needs assessments, establishing individual development plans, promoting attainment of professional certifications and attaining a significant increase in the hours of continuing professional education per financial management employee in the Department. The Department will continue to upgrade the number and variety of courses made available to financial management personnel, including introduction of distributed learning techniques. (FM1-2)
  • Implement a financial data store to leverage the existing investment in DOLAR$ (the Department's core accounting system) and provide more useful data and analysis to financial and program managers throughout the Department. (FM1-2)
  • In conjunction with OASAM, complete the payroll system modernization project, implementing the PeopleSoft payroll system for the entire department. (FM1)
  • Upgrade OCFO financial systems in two significant areas: Improving system security and enabling web interfaces to key systems. (FM1)
  • To leverage collective recruitment efforts, meet the demands of the new government-wide financial legislation, and address the rapid changes in the DOL financial workforce, the Department's Chief Financial Officer Advisory Council developed the Financial Management Careers Program (FMCP) to develop highly qualified individuals who will undertake future leadership roles in financial management. We will continue to hire and train individuals under this program. (FM1-2)
  • Cost accounting applications will extend beyond the outcome goal level to developing cost information for additional DOL program agencies. (FM2)

Significant New or Enhanced Efforts in FY 2002:

  • OCFO will continue a DOL-wide program to target financial management training in critical skill areas, including the application of cost accounting standards and financial management systems development training. The Financial Management Careers Program will include a number of new learning options, including a variety of college courses via the Internet. (FM1-2)
  • OCFO will expand on the effort begun in FY 2001 to review Departmental performance plans, data sources that support those plans, and other documents that assess performance plan quality (e.g., GAO, OMB, OIG reports) in order to assist program agencies to meet their financial performance goals. (FM1-2).
  • OCFO will be in the pre-acquisition stage of replacing DOL's Central Accounting System (DOLAR$). The replacement system will be designed to ensure ongoing compliance with regulations, conformance with technical standards, and the ability to provide accurate and timely financial management information to meet both internal and external demands. (FM1-2)
  • Provide expertise and support for cost accounting throughout the Department. (FM2)

6.1.2 Information Technology Management

The Department of Labor will improve mission performance, productivity, and administrative processes through better utilization of Information Technology (IT). The focus of this endeavor is to reduce risks, improve efficiencies, and contain costs through greater integration of Departmental IT systems, thereby providing DOL employees with quality, reliable automated tools and improved access to useful information so they can better perform their jobs.

In line with the Information Technology Management Reform Act, the Department implemented an IT Capital Investment Management process for selecting, controlling, and evaluating IT investments. This process includes an automated IT portfolio evaluation and tracking system, with review and decision making through a Technical Review Board composed of DOL agencies' IT professionals.

In addition to the program-specific automated system initiatives of individual DOL agencies, DOL will expand capability for information delivery to the public via its Internet World Wide Web sites. Public access will become both easier and more beneficial as DOL carries out plans to expand information sources available, provide expert systems, and add search capabilities.

The Department's key performance goals and measures for information technology management in FY 2002 are detailed below.

Outcome Goal IT: Improve Organizational Performance and Communication through Effective Deployment of IT Resources

FY 2002 Performance Goals

IT1 Improve automated access to administrative and program systems, services and information.

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Means and Strategies

Sustained Efforts in 2002:

  • Continue the evolution of the enterprise architecture by modernizing the infrastructure that supports information access and exchange.
  • Continue to strengthen physical and logical access controls that protect systems and the information they process.
  • Support the operational integrity of installed information technology.
  • Provide customer support to facilitate implementation and use of new technology.
  • Continue to expand use and accessibility of information technology for access to and dissemination of information to enhance transmittal of DOL-wide distributed information and enhance employees' ability to perform administrative tasks.
  • Continue to improve electronic correspondence with DOL's customers.
  • Continue to improve the usability of the DOL homepage design and improve browse and search capabilities across DOL Public Websites.

Significant New or Enhanced Efforts in 2002:

  • Redesign and implement new electronic government solutions that harnesses technology through personal and organizational leadership to change the way the Department works.
  • Serve the public through electronic government solutions that apply appropriate standards for privacy, security, and authentication.
  • Complete strategic information technology investments that produce cost-effective long-term efficiencies and savings.
  • Improve connectivity of people with the Department via the Internet according to their needs.

6.1.3 Information Security Program

The Department has initiated an enhanced information security program that meets the intent of the Fiscal Year 2001 Defense Authorization Act amendment to the Paperwork Reduction Act of 1995, which adds a sub-chapter on "Information Security." This program is being integrated into the business practices and ongoing programs of the Department. All agencies have developed security program plans that establish milestones and detail the tasks necessary to strengthen cyber security within the program areas. Departmental guidance has been issued via the Systems Development Life-Cycle Manual that requires security activities be performed during each phase of the life-cycle. The IT capital management program has been expanded to require performance of risk mitigation activities before investments are completed. A security awareness program that requires security awareness training for all employees has been implemented. An aggressive vulnerability assessments program has been established and security monitoring functions continue to be strengthened.

6.1.4 Human Resources Management

The Department recognizes that to maximize successful operations, ongoing investments in human capital are necessary. This will be achieved through making DOL a model workplace that facilitates the recruitment and retention of a diverse, highly-skilled workforce capable of meeting strategic and performance goals, while creating a "family-friendly" environment that is accessible to all employees and enables them to better balance their work and family obligations. The acquisition of needed new skills and ongoing skills improvement among the DOL workforce will be facilitated through lifelong learning initiatives.

Outcome Goal HR: Establish DOL as a Model Workplace

FY 2002 Performance Goals

HR1. The right people are in the right place at the right time to carry out the mission of the Department.

HR2. 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).

HR3. Reduce the overall occurrence of injuries and illnesses for DOL employees by 5 percent, and improve the timeliness of filing injury/illness claims by 5 percent.

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Means and Strategies

Sustained Efforts in FY 2002:

  • The Human Resources Center is leading an effort to re-establish a common foundation for Workforce Planning in the Department of Labor. It is critical that DOL Agencies undertake a systematic process, as part of the budget and GPRA planning process, for identifying the human capital required to meet organizational goals and needs so DOL can assure that there are the right people in the right place and at the right time. By integrating meaningful data on human capital into the Department's Annual Performance Plans and Budgets, the Department will create a basis for identifying future workforce needs, including the size of the workforce, its deployment across the organization, and the competencies needed to efficiently and effectively carry out the mission of the Department. Workforce planning must be undertaken to address current and projected staff shortages, assure the development and skills sets of its employees, and help anticipate changes to staff and competency requirements. Employees in occupations that are no longer necessary as a result of technology or changing business practices will be afforded the opportunity to be retrained, and succession planning and other planned management approaches to an aging workforce will be pursued. (HR1)
  • DOL will monitor on-the-job incidents, injuries, and illnesses and will analyze incident and injury statistics to identify problems and corrective actions necessary to reduce incident and injury rates and mitigate the long-term effects of injuries. (HR2-3)
  • DOL will continue to support the effective use of technology by encouraging its agencies to utilize the enhanced Safety and Health Information Management System to directly analyze injuries and illnesses, target resources toward duties and areas with elevated injury rates, and increase expeditious processing of injury/illness claims. (HR2-3)
  • The Department will provide technical assistance to DOL agencies in managing Workers' Compensation programs, including helping agencies in their efforts to identify candidates eligible to return to duty through workplace accommodation, flexiplace, or assistive technologies. The Department will identify best practices used to reduce the rate of incidents and injuries and to manage lost-time cases. (HR2-3)

Significant, New or Enhanced Efforts in FY 2002:

  • DOL will pursue process enhancements and technological innovations in areas such as recruitment, employee self service, strategic planning information linkages, and use of job competencies in order to provide better service to customers. (HR1)
  • In support of the workforce planning effort, DOL will conduct an aggressive outreach and recruitment effort to attract a highly skilled and diverse workforce including persons with disabilities. To address the growing challenge of attracting and retaining employees, DOL will pursue the use of various Departmental/OPM hiring authorities, lifelong learning opportunities, and workplace flexibilities. (HR1)
  • DOL will explore new methods of minimizing workplace injuries by identifying practices employed by agencies and worksites with lower than average injury rates and determining whether these practices can be used effectively elsewhere. (HR2-3)
  • The Department will launch a study of the feasibility and potential benefits of a DOL return-to-work initiative designed to offer injured employees the opportunity to return to work and to reduce the associated Workers' Compensation costs. (HR2-3)

6.1.5 Procurement Management

In line with government-wide reforms in the area of procurement, the Department of Labor will improve procurement management to make government more results-oriented, and, where practicable, market-driven. For FY 2002, immediate improvements will include expanding A-76 competitions and improving the accuracy of Federal Activities Inventory Reform (FAIR) Act listings. Details on additional procurement initiatives are presented in section 6.2.3 of this plan, and goals will be added in the Revised Final FY 2002 Annual Performance Plan.

The Department's performance goal for procurement management in FY 2002 is detailed below.

Outcome Goal PR: Improve Procurement Management

FY 2002 Performance Goals

PR1: 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 listings.

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Means and Strategies

Significant, New or Enhanced Efforts in FY 2002:

  • uring the remainder of FY 2001 DOL will: (a) assess and verify the accuracy of the Department's current system for conducting FAIR Act inventories; (b) provide recommendations for changes in how DOL inventories are conducted; (c) where changes are needed, develop and implement a DOL-wide implementation plan; (d) validate and refine the system as needed. (PR1)

6.2 Program Improvement Opportunities and Management Reforms

The Department of Labor is committed to working with the Office of Inspector General (OIG), the General Accounting Office (GAO) and the Office of Management and Budget (OMB) to improve its management systems and procedures. Periodic reviews of the status of corrective actions in response to audit recommendations are conducted throughout the year. The budget process will consider the resources needed in each year to take necessary corrective actions on audit recommendations and to institute other critical management reforms. OIG and GAO have identified several management improvement opportunities, and DOL's plans to address these issues during the remainder of FY 2001 and in FY 2002 are highlighted below. This chapter also summarizes the Department's plans with respect to the President's Government-wide and DOL specific management reforms included in the President's budget and recent OMB guidance.

GAO issued a letter report on June 30, 2000, addressing the Department's FY 1999 Performance Report and Fiscal Year 2001 Performance Plan. While the report did not make specific recommendations, GAO provided a number of observations about the need for additional information in the performance plan and report, in the areas of data validation and verification, crosscutting programs, and the linkage of goals and strategies. The Department increased attention to the items cited by GAO in the development of this plan, and incorporated the auditor's guidance in the preparation of DOL's FY 2000 annual performance report.

6.2.1 GAO High Risk and Other Audits

None of the Department's programs are the subject of management weaknesses reported in the most recent GAO high risk audit series.

GAO published Major Management Challenges and Program Risks, Department of Labor, in January 2001 as part of their Program and Accountability Series. The report covered three general areas: retraining workers to better meet rapidly changing workplace needs; protection of workers' benefits; and ensuring safe and healthful working conditions. GAO's challenges in all three areas focused on the need to improve performance measurement and, in particular, the availability and quality of data relative to some of the specific program issues reviewed by GAO. As described in detail in Chapter 5, improving performance data is a priority of the Department. For example, the Employment and Training Administration and the Veterans' Employment and Training Service are developing a new data collection and reporting system, in cooperation with their program partners, to provide accurate and complete information on assisting clients to secure long-term employment with opportunities for advancement.

6.2.2 Program Improvement Opportunities Identified by the OIG and DOL Management

Improving program performance is a priority of the Department, and the Inspector General's Statement on the Most Serious Management and Performance Challenges Facing the Department presents issues of major potential impact on the effectiveness and efficiency of DOL's programs and operations. Several of the Statement's challenges reference specific concerns reported in detail in recent OIG audits. The majority of these findings, if not already resolved, should be corrected before the end of FY 2001 and are not, therefore, included among the Department's goals for FY 2002. Other challenges require legislative action at the Federal or State level, as explained in Management's Response to the Challenges, which is included in the Department's FY 2000 Annual Report. Finally, some challenges are broad issues of sound management, such as the need to exercise stewardship over significant information technology and benefit program resources. The FY 2000 Annual Report provides detailed information about the actions taken over a number of years to effectively manage these challenges. The Department will work with the Inspector General to develop an approach for reaching agreement that the Department's actions sufficiently meet each of the challenges, or what specific actions the Inspector General considers essential to resolving the challenges in future years.

The following examples summarize the performance related challenges identified by OIG and the actions completed by the Department or in progress to address these issues. The complete text of the Inspector General's Statement and management's response is included in the Department's FY 2000 Annual Report.

  • Protection of Worker Benefit Funds. OIG's management challenges included concerns about vulnerability to fraud in the Unemployment Insurance (UI) and the Federal Employees' Compensation Act (FECA) programs. The Department recognizes that all major benefit programs are vulnerable to some degree of fraud, and has initiated a number of actions to protect both programs. For example, the Department has conducted training for the States to highlight UI fraud detection techniques and encourage the sharing of enforcement approaches. Consistent with this effort, Texas has developed an exportable fictitious employer detection system which has been shared with other States at the 2000 UI Directors' Conference. DOL's Employment and Training Administration and OIG are in the process of negotiating an agreement with the IRS to provide State Employment Security Agencies nationwide access to IRS 1099, Miscellaneous Income data, so employers who inaccurately classify workers can be identified. With regard to the workers' compensation programs, the limited number of individuals prosecuted annually for fraud is indicative of the effectiveness of the program's internal controls. While some inappropriate FECA payments may go undetected, the Employment Standards Administration's major cost containment initiatives, including the highly successful Periodic Roll Management program and multiple medical cost savings efforts, are making significant progress in addressing those instances.
  • Implementation of the Workforce Investment Act (WIA). In reviewing the implementation of the WIA's One-Stop structure for delivering program services, OIG has identified several concerns, including: the use of individual training accounts, establishment of eligibility criteria for training providers, and the implementation of adequate systems to allocate costs among the One-Stop partner programs and agencies. In response to OIG's concerns, the Employment and Training Administration has developed a Technical Assistance Workbook with guidance on individual training accounts and eligible training providers, and a standard 12-hour training course on these subjects is being offered in each region. Cost allocation has been addressed though the issuance of draft guidance in June 2000, which was cleared by OIG, and the publication of a new definition of administrative costs as part of WIA final regulations. OIG was actively involved in testing the definition and provided its approval as part of the clearance process for the final WIA regulations.
  • Effectiveness of the Welfare-to-Work Initiative. OIG identified the consistency and quality of performance data reported by the States and other grantees as a concern, and emphasized the need to finalize reporting requirements for the Welfare-to-Work program. The Welfare-to-Work program is part of the Department's data validity project, explained in greater detail in Chapter 5, which is designed to provide accurate and reliable program outcome data for performance goals. The final reporting requirements for the program are effective April 1, 2001.
  • Targeting of the Dislocated Workers Program. An audit of the Dislocated Workers program identified concerns with participants' eligibility in 35 percent of the cases reviewed by OIG, and found that eligibility criteria were relaxed in some localities with relatively few dislocated workers to permit the use of the available funds. The auditors also found that program data reported by the States were often incomplete or in error. Although the audit report does not adequately consider the authority vested in State and local governments and the need for flexibility in addressing local labor-market conditions, a number of actions are being taken to address the issues raised in the report. The Employment and Training Administration is increasing technical assistance and monitoring to ensure that State and local programs adequately document dislocated workers' eligibility for services. The Department is reviewing the current formula for determining the allocation of dislocated worker funds. During Program Year 2001, the Department will begin to rely upon the Unemployment Insurance wage record data to provide more accurate program outcome information, and a data validity system is being designed to better ensure the validity of the data.
  • Financial Management. OIG noted in the top management issues paper that the audit of DOL's FY 2000 Consolidated Financial Statement identified two systems which have not yet been brought into full compliance with the Federal Financial Management Improvement Act. Chapter 6 of this plan retains as a performance goal (FM1) for FY 2002 that all DOL financial systems meet the standards set in the FFMIA and the Government Management Reform Act (GMRA). Similar goals were included in the Department's FY 1999, FY 2000, and FY 2001 plans and are ensuring the Department's continuing focus on this issue.

6.2.3 Presidential Management Reforms

>The President's budget, "A Blueprint for New Beginnings" (Blueprint) includes a comprehensive agenda of program accomplishment and management reforms, and the Department has initiated the necessary actions to ensure the full implementation of these reforms through the performance planning process.

Five Government-wide reforms were identified in the Blueprint, and the status of the Department's progress in implementing these initiatives to improve operational efficiency and to streamline communications and business services for DOL's stakeholders and customers is summarized below.

  • Delayering management levels to streamline organizations. Within the last six months, the Department has undertaken a major Workforce Planning initiative, leading to a new, overarching human resources management goal which provides that DOL will have the right people in the right place at the right time to carry out the mission of the Department. This goal, presented in section 6.1 and Appendix A of this plan, will be modified in the Revised Final FY 2002 Annual Performance Plan to include indicators to target DOL's objectives for delayering management, as additional guidance is received on this reform.
  • Reducing erroneous payments to beneficiaries and other recipients of government funds. One of the most significant benefit payment programs administered directly by DOL is the Federal Employees' Compensation Act (FECA) program. All three of the performance goals included in this plan for the FECA program focus on improving efficiency by returning injured employees to the workplace in a more timely manner and reducing the costs of medical services; achieving these goals will reduce the potential for erroneous payments. With respect to the Unemployment Insurance (UI) program, DOL's State partners have the responsibility for issuing payments directly to eligible claimants. After consulting with the program's State partners and stakeholders, the Department will add an appropriate indicator to measure the accuracy of benefit payments to the existing UI goal which measures timeliness and quality. (See section 4.2 and Appendix A of this plan for the FECA and UI program goals.)
  • Making greater use of performance-based contracts. The Department currently emphasizes the expected level of performance outcomes in grants and contracts for partners who deliver core program services, including States, Job Corps contractors and the International Labor Organization. However, many of DOL's contracts do not meet all established criteria for performance based contracts. During the remainder of FY 2001, the Department will establish a baseline of eligible service contracts and will prepare a goal for the Revised Final FY 2002 Annual Performance Plan to increase the use of performance-based contracts.
  • Expanding the application of on-line procurement and other E-Government services and information. The Department provides a number of services and extensive information on-line, and routinely seeks opportunities to streamline communications and business transactions for DOL's constituents. For example, the Occupational Safety and Health Administration's (OSHA) strategies in section 4.3 of this plan include enhancing two information technology initiatives which provide technical assistance to employers. These OSHA initiatives include Expert Advisors--interactive, decision-logic products that help users determine what requirements apply to them or what actions they need to take to address hazardous conditions in their workplaces--and e-CATS (electronic Compliance Assistance Tools) which are graphic programs that provide extensive information on a variety of safety and health issues. Another example of initiatives to facilitate customers' transactions with the Department is the Pension and Welfare Benefits Administration's strategy to enable pension plan administrators to electronically file required plan documents with DOL.

Notwithstanding the Department's overall progress in extending E-Government services, DOL will be challenged in FY 2002 to meet the goal established by OMB to post: (a) all synopses for acquisitions valued at over $25,000 for which widespread notice is required and (b) all associated solicitations unless covered by an exemption in the Federal Acquisition Regulation on the government-wide point-of-entry website (www.FedBizOpps.gov).

The Department is undertaking its e-Procurement initiative with the goal of replacing paper-based procurement and grants processes with a streamlined end-to-end Commercial-Off-the-Shelf or Government e-Procurement package that meets or exceeds the needs and functional requirements for the Department as a whole, including each of its component agencies. This initiative is necessary for the Department to meet current legislative requirements and government-wide initiatives in the area of e-commerce, and to provide timely, efficient and effective services to our customers for the management of administrative operations.

DOL's e-procurement requirements are currently under review as part of a business process reengineering effort. Existing e-Procurement solutions are being compared and contrasted to determine which solution best fits the needs of the Department. Once a solution has been identified, the Department will manage this initiative through its IT Capital Planning and Investment Management program. The oversight controls contained within the capital planning process will ensure the appropriate resources are acquired and the project proceeds as planned through to its successful implementation.

During FY 2002, the Department plans to test and implement in all agencies and the Job Corps Centers the new e-procurement product to provide a paperless process for creating, routing, and approving requisitions, automating the posting of contract solicitations using web technology, and accepting vendor quotes and proposals electronically. The use of the Commerce Business Daily will be replaced by interfacing with FedBizOps for synopsis requirements, and interfaces will also be established with GSA's newly designed Federal Procurement Data System, the Federal Assistance Awards Data System, and the Federal Grants Management System.

The Department will include a goal and establish measurable performance indicators for on-line procurement in the Revised Final FY 2002 Annual Performance Plan.

  • Expanding A-76 competitions and more accurate FAIR Act inventories. A goal implementing OMB's guidance to complete public-private or direct conversion competitions on not less than five percent of the positions listed on the Department's Federal Activities Inventory Reform Act listings in FY 2002 has been established and included in section 6.1 and Appendix A of this plan.

The Blueprint also identified an additional six potential DOL-specific management reforms based upon areas of concern to the Department's Inspector General and new program initiatives. These potential management reforms have been or will be incorporated in the planning process as outlined below.

  • Protection of Worker Benefit Funds. The Department and our partners in the State Employment Security Agencies have implemented a wide array of internal controls over the worker benefit funds, as detailed in the FY 2000 Annual Report, and monitor the programs vigilantly for any indication of emerging fraud schemes. The relatively limited number of individuals prosecuted annually for fraud >against these programs is a measure of the effectiveness of the existing internal controls.
  • Foreign Labor Certification and Alien Labor Certification Program Reform. The Blueprint included two reforms directed toward the certification of foreign labor. A new goal related to DOL's initiative to streamline the adjudication process for foreign labor certification has been included in section 4.2 and Appendix A of this plan. The Department anticipates that the quality assurance checks to be instituted as part of the streamlined certification process will assist the Department in reducing the incidence of fraudulent petitions, the subject of the second foreign labor certification reform identified in the President's Budget.
  • Performance Accountability of Grants. The Department recognizes the need to improve management and accountability over DOL's $9 billion in grant funds, and has begun to address this problem. However, current resources have proven inadequate to fully ensure accurate reporting on the use of grant funds. The Department has requested an increase of $1.8 million to improve DOL's grant management program, in particular, to make certain that all grantee cost reports are entered timely into the Department's financial system. The requested funding would also strengthen oversight of grant systems and grant financial activities, to ensure that the Department's grants programs meet all applicable requirements, particularly those of the Federal Financial Management Improvement Act.
  • Compliance Assistance Efforts. This Annual Performance Plan reflects a wide array of compliance assistance efforts, including innovative uses of technology, as key strategies in support of the core outcome goals of our regulatory agencies to improve working conditions for America's workers and protect the pensions of the Nation's retirees. For example, OSHA plans to use distance learning technology, such as nationwide satellite broadcasts for small businesses, to provide training and education assistance to employees and employers on all new OSHA rules and regulations. Additional compliance assistance strategies can be found throughout sections 4.2 and 4.3 of this plan. In addition to the strategies, a goal has been established to reduce injuries and illnesses by 15 percent at work sites engaged in voluntary, cooperative relationships with OSHA, which will assist the Department in evaluating the effectiveness of compliance assistance strategies.
  • Energy Employees' Occupational Illness Compensation Program. The Department will review the status of this new program during the preparation of the Revised Final FY 2002 Annual Performance Plan and determine at that time whether a performance goal(s) should be developed for FY 2002.

6.3 Enhancing DOL's Customer Focus

Many of DOL's component agencies' strategic plans include the integration of customer service concerns into their day-to-day operations. DOL customers' feedback is instructive in measuring how well services are provided, identifying how services might be better delivered, and determining whether DOL's program goals effectively address customers' needs. DOL component agencies, as part of their service delivery initiatives, will conduct customer surveys, using appropriate sampling techniques, to obtain this feedback at a reasonable cost.

As DOL agencies gain experience in measuring customers' satisfaction, performance goals will be included in the Department's Annual Performance Plans to inform stakeholders about the Department's objectives and progress in meeting the needs of our customers. For example, the Employment and Training Administration has added a goal in section 4.1 and Appendix A of this plan to increase customer satisfaction with services received from workforce investment activities in connection with the One-Stop delivery system, as measured by the American Customer Satisfaction Index.

Not only will DOL improve processes for "listening" to its customers, but it will work towards improving the communication process with its customers, focusing efforts on improving the understandability of workplace standards by developing "plain language" regulations. Technology will be applied across the Department to improve the dissemination of these regulations, issue technical assistance material, respond to individual customers' problems, and collect public comments. DOL agencies will work collaboratively to share these and other techniques that provide the feedback needed to fully measure program results.

Appendix A. Details of FY 2002 Performance Goals, Indicators and Baselines

Outcome Goal 1.1: Increase Employment, Earnings and Assistance--Performance Goals

1.1A Performance Goal Increase the employment, retention, and earnings of individuals registered under the WIA adult program.
Performance Results PY 2000: N/A

PY 1999: N/A

Indicator PY 2002:
  • 70% will be employed in the first quarter after program exit;
  • 80% of those employed in the first quarter after program exit will be employed in the third quarter after program exit; and
  • The average earnings change will be $3,423 for those who are employed in the first quarter after program exit and are still employed in the third quarter after program exit.

PY 2001:

  • 68% will be employed in the first quarter after program exit;
  • 78% of those employed in the first quarter after program exit will be employed in the third quarter after program exit; and
  • The average earnings change will be $3,361 for those who are employed in the first quarter after program exit and are still employed in the third quarter after program exit

PY 2000:

  • 67% will be employed in the first quarter after program exit;
  • 77% of those employed in the first quarter after program exit will be employed in the third quarter after program exit; and
  • The average earnings change will be $3,264 for those who are employed in the first quarter after program exit and are still employed in the third quarter after program exit.

PY 1999: N/A

Data Source Workforce Investment Act Standardized Record Data (WIASRD) included in the Enterprise Information Management System (EIMS); UI Wage Records
Baseline There is no prior experience with this WIA indicator, which is based on the use of UI wage records. PY 2000, the first full year of WIA implementation, will constitute the baseline year for this measure. The performance measure will be derived from the agreed upon levels of performance for all States. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment The current FY 1999-2004 Strategic Plan includes the new WIA goal based upon a weighted average of negotiated levels of performance for all States. The goals for PY 2000, PY 2001 and PY 2002 stated in this plan also reflect these negotiated levels for all States.

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1.1B Performance Goal Increase the retention and earnings of Welfare-to-Work participants placed in unsubsidized employment.
Performance Results FY 2000: The goal was achieved. Of those Welfare-to-Work (WtW) participants placed in unsubsidized employment, 84% remained in the workforce for six months with 59% average earnings increase by the second consecutive quarter following the placement quarter.

FY 1999: N/A

Indicator FY 2002:
  • 67% will remain in the workforce for two consecutive quarters following the placement quarter; and
  • The average earnings increase by the second consecutive quarter following the placement quarter will be 7%.

FY 2001:

  • 66% will remain in the workforce for six months; and
  • The average earnings increase by the second consecutive quarter following placement will be 6%.

FY 2000:

  • 60% will remain in the workforce for six months; and
  • The average earnings increase by the second consecutive quarter following placement will be 5%.

FY1999: N/A

Data Source WtW Quarterly Financial Status Report
Baseline New Goal. The baseline for this performance measure will be FY 2000.
Comment The 84 percent retention rate achieved in FY 2000 is attributed largely to the strong WtW emphasis on post-employment and other supportive services. The 59 percent earnings increase rate is likely to be inflated due to misinterpretations of the reporting guidance by a number of grantees. DOL will use corrected data to establish new baselines for FY 2002 goals and evaluate the need to revise the targets for the goals upward. DOL anticipates raising the FY 2002 retention and earnings increase goals.

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1.1C Performance Goal Improve the outcomes for job seekers and employers who receive public labor exchange services.
Performance Results PY 2000: N/A for all indicators.

PY 1999: Achieved for all indicators.

Indicator PY 2002:
  • 55%* of job seekers registered with the public labor exchange will enter employment with a new employer by the end of the second quarter following registration;
  • 70%* of job seekers will continue to be employed two quarters after initial entry into employment with a new employer; and
  • The number of job openings listed with the public labor exchange (with both SESAs and AJB) will increase by 5% over the total for PY 2001.

PY 2001:

  • 75% of job seekers will have unsubsidized jobs six months after initial entry into employment; and
  • The total number of job openings listed with the public employment service, including both those listed with State Employment Security Agencies (SESAs) and those listed directly with America's Job Bank (AJB) via the Internet, will increase by 10 percent.

PY 2000:

  • Increase by 1 percentage point the share of applicants who receive labor exchange services that enter employment, resulting in more than 3.2 million Employment Service applicants entering employment;
  • Increase by 15%, the total number of job openings listed with the public employment service, including both those listed with State Employment Security Agencies (SESAs) and those listed directly with America's Job Bank (AJB) via the Internet; and
  • Increase the number of new employers registered with America's Job Bank from 51,000 to 60,000.

PY 1999:

  • Increase by 1 percentage point the share of applicants who receive labor exchange services that enter employment; and
  • The total number of job openings listed with the public employment service, including both those listed with State Employment Security Agencies (SESAs) and those listed directly with America's Job Bank (AJB) via the Internet.
Data Source State reports, UI wage records, and AJB Center Reports.
Baseline During PY 2001, DOL will transition to a new Labor Exchange Performance Measurement system. A baseline will be established for the entered employment rate and retention rate goals based on PY 2001 results. Baseline data currently do not exist for the job seeker entered employment and employment retention goals.

PY 2001 data will be the baseline for job openings listed.

Comment Indicators for job seekers were revised to be consistent with the new WIA program.

*ETA is undergoing a transition to a new labor exchange performance measurement system. These performance goals are estimates and will be revised when baseline data become available.

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1.1D Performance Goal Increase the capacity and quality of One-Stop system services for people with disabilities who are registered in the workforce investment area(s) receiving Work Incentive Grants.
Performance Results FY 2000: The goal was achieved. Grants were awarded to 23 state or local recipients.

FY 1999: N/A

Indicator FY 2002:
  • The number of people with disabilities registered in these areas will increase by 5%; and
  • The number of people with disabilities who are registered in these areas and are employed in the quarter after exit will increase by 2%.

FY 2001:

  • The number of people with disabilities served will increase by 5%; and
  • The rate of unsubsidized employment in the local Workforce Investment Area will increase by 2 percentage points.

FY 2000: The new Work Incentive Grant program will be implemented by September 30, 2000, with plans for 20 to 40 awards in State and local areas to enhance services for people with disabilities in the One-Stop Center environment.

FY 1999: N/A

Data Source Workforce Investment Act Standardized Record Data (WIASARD) included in the Enterprise Information Management System (EIMS) from State and/or local areas receiving Work Incentive Grants
Baseline New Goal. The baseline is to be established using PY 2000 WIA data. The baseline will be the number of people with disabilities, as of the beginning of FY 2001 (10/1/00), registered in the workforce area(s) that receive Work Incentive Grants and the number of those registered who are employed in the quarter after exit. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment The Work Incentive Grant program is directed to systemic change for people with disabilities obtaining services under the WIA. Therefore, the current (FY2002) strategic goals are established based upon the extent to which the One-Stop delivery system in the workforce areas which receive grants increase the percent of people with disabilities served.

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1.1E Performance Goal Increase customer satisfaction with services received from workforce investment activities in connection with the One-Stop delivery system.
Performance Results PY 2000: N/A

PY 1999: N/A

Indicator PY 2002:
  • Customer satisfaction of participants with WIA services will result in a score of 70 on the American Customer Satisfaction Index; and
  • Customer satisfaction of employers with One-Stop services will result in a score of 68 on the American Customer Satisfaction Index.

PY 2001:

  • Customer satisfaction of participants with WIA services will result in a score of 69 on the American Customer Satisfaction Index; and
  • Customer satisfaction of employers with One-Stop services will result in a score of 66 on the American Customer Satisfaction Index.

PY 2000:

  • Customer satisfaction of participants with WIA services will result in a score of 67 on the American Customer Satisfaction Index; and
  • Customer satisfaction of employers with One-Stop services will result in a score of 65 on the American Customer Satisfaction Index.

PY 1999: N/A

Data Source WIA State reports
Baseline The goal was based upon limited grantee experience gathering participant customer satisfaction information, including pilot projects.
Comment The indicator is an index of participant and employer customer satisfaction based upon three questions that will be asked of a sample of WIA program exiters and three questions that will be asked of a sample of employers. The index is based upon the American Customer Satisfaction Index.

The current FY 1999-2004 Strategic Plan includes the new WIA goal based upon a weighted average of negotiated levels of performance for all States. The goals for PY 2000, PY 2001 and PY 2002 stated in this plan also reflect these negotiated levels for all States.

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1.1F

Performance Goal FY 2002: Increase by 5% the number of women in the labor force reached directly by the Women's Bureau who have greater knowledge that can assist them in improving their pay and benefits, worklife needs, and career advancement.

FY 2001: Prepare 27,500 for the labor force by providing them with tools and education on equal pay, etc.

FY 2000: Prepare 25,000 for the labor force by providing them with tools and education on equal pay, etc.

FY 1999: N/A

Performance Results FY 2000: The goal was achieved. The 31,588 women directly assisted surpassed the target of 25,000 by 26%.

FY 1999: N/A

Indicator
  • Number of individual women provided direct assistance and/or consultation by the Women's Bureau
  • Number of women served through service providers trained by the Women's Bureau
  • Number of women provided assistance to gain entry into nontraditional jobs through WANTO grants
  • Number of low-income women provided assistance to gain entry into high wage, high tech careers
  • Number of young women (middle and high school students) who are given information to assist them in making informed decisions for careers in the high-tech industry
Data Source
  • Regional and National Office Tracking/Ticketing System
  • Regional and National Office Log of Correspondence from Customers Seeking Assistance
  • WANTO, Grant Report
  • Women Work! Grant Report
  • Grantee Evaluation Forms
  • Comment Cards
  • WB OMB approved evaluation form
Baseline 25,000 women prepared in FY2000
Comment The true measurement for this goal is the degree of knowledge gained by women and the extent it enabled successful entry into the work force and/or improvements in pay, benefits, working conditions, etc. Approximately 2 million women are indirectly affected through policy and other advocacy efforts.

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1.1G

Performance Goal FY 2002: Increase the employment and retention rate of veteran job seekers registering for public labor exchange services
  • *55% of veteran job seekers will be employed in the first or second quarter following registration.
  • * 70% of veteran job seekers will continue to be employed two quarters after initial entry into employment with a new employer.

FY 2001: N/A

FY 2000: N/A

FY 1999: N/A

Performance Results FY 2000: N/A

FY 1999: N/A

Indicator Employment and retention rate of veteran job seekers after registering for public labor exchange services.

Note: In addition to veterans, "other eligible persons" as defined by Title 38 also receive employment services and are counted as part of this goal. Under Title 38, "eligible person" means a) the spouse of any person who died of a service-connected disability, and b) the spouse of any member of the Armed Forces serving on active duty who, at the time of application for assistance meets specific criteria as provided in this Title. The portion of the serviced population which comprises "other eligible persons" is less than ½ of 1% of the total population served.

Data Source State reports and UI wage records.
Baseline FY 2002. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment DOL is undergoing a transition to a new labor exchange performance measurement system. These performance goals are estimates and will be revised when baseline data become available.

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1.1H

Performance Goal FY 2002: At least 51% of veterans enrolled in homeless veterans reintegration project enter employment

FY 2001: Same as FY 2002.

FY 2000: N/A

Performance

Results

FY 2000: N/A

FY 1999: N/A

Indicator Number of those veterans and other eligible persons enrolled in HVRP who enter employment

Note: In addition to veterans "other eligible persons" as defined by Title 38 also receive employment services and are counted as part of this goal. See definition for other eligible persons in the preceding goal matrix.

Data Source Reports submitted by VETS grantees
Baseline FY 2001: Baseline will be established in FY 2001.
Comment The HVRP program has had a rapid expansion since FY 1999, with many new grantees. As these grantees gain experience dealing with this hard to serve population, performance results are expected to increase.

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1.1I

Performance Goal FY 2002: Implement 12 demonstration programs, through grants, designed to develop and test strategies and techniques that need to be implemented in order for One Stop Centers and WIA youth programs to effectively serve persons with significant disabilities.
Performance Results FY 2000: N/A

FY 1999: N/A

Indicator Number of demonstration programs implemented
Data Source Administrative data
Baseline N/A
Comment The new Office of Employment Disability Policy will use program evaluation and demonstration programs as key elements for achieving the mission of the office. The demonstration programs will be evaluated and those found successful will be implemented in the WIA youth programs and the One-Stop system..

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Outcome Goal 1.2: Increase the Number of Youth Making A Successful Transition to Work--Performance Goals

1.2A Performance Goal Increase entrance and retention of youth registered under the WIA youth program in education, training, or employment.
Performance Results PY 2000: N/A

PY 1999: N/A

Indicator PY 2002:
  • 53% of the 14-18 year-old youth will be either employed, in advanced training, post-secondary education, military service or apprenticeships in the third quarter after program exit;
  • 63% of the 19-21 year-old youth will be employed in the first quarter after exit; and
  • 77% of the 19-21 year-old youth employed in the first quarter after exit will be employed in the third quarter after program exit.

PY 2001:

  • 50% of the 14-18 year-old youth will be either employed, in advanced training, post-secondary education, military service or apprenticeships in the third quarter after program exit; and
  • 70% of the 19-21 year-old youth will be employed in the third quarter after program exit.

PY 2000:

  • 48% of the 14-18 year-old youth will be either employed, in advanced training, post-secondary education, military service or apprenticeships in the third quarter after program exit; and
  • 69% of the 19-21 year-old youth will be employed in the third quarter after program exit.

PY 1999: N/A

Data Source State WIA reports included in the Enterprise Information System (EIMS); UI wage records
Baseline

Younger Youth Indicator: There is no prior experience with this indicator and no basis for approximating a baseline from JTPA reports. The negotiation process for establishing expected levels of performance included information about the percentage of all low income youth who completed high school in each State (the national average is about 75%), the percentage of JTPA youth who completed a major level of education among those who were school dropouts, and the expected relative levels of service to in-school youth and dropouts.

Older Youth Indicator: There is no prior experience with this WIA indicator which is based on the use of UI wage records. An approximation of the goal was derived by analysis of the JTPA program experience of seven States using WIA indicator specifications.

Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.

Comment Quantified levels for performance measures under the Workforce Investment Act (WIA) were developed through cooperative negotiation between DOL, its partners, and stakeholders. A small number of States began early implementation of WIA in PY 1999. For the younger youth indicator, data had not previously been collected which could have assisted in the development of a baseline for this measure. As data becomes available from the remaining States, a revised baseline level will be established or revised as necessary. For the older youth indicator, the 2000 and 2001 goals served as a proxy measure for the expected level of performance based upon levels negotiated with a limited number of early implementing States. The goal went from 70% to 69% for PY 1999. Note: The goal excludes youth who go on to post secondary education or advanced training.

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1.2B Performance Goal Increase participation, retention, and earnings of Job Corps graduates in employment and education.
Performance Results PY 2000: N/A

PY 1999: The goal was achieved: 88.3% of Job Corps graduates entered employment or enrolled in education. For those placed in jobs, the average hourly wage was $7.49.

Indicator PY 2002:
  • 88.5% will enter employment or be enrolled in education;
  • Graduates with jobs will be employed at average hourly wages of $7.90; and
  • 70% will continue to be employed or enrolled in education six months after their initial placement date.

PY 2001:

  • 85% of Job Corps graduates will get jobs with entry average hourly wages of $7.25 or be enrolled in education;
  • 70% will continue to be employed or enrolled in education six months after their initial placement date.

PY 2000:

  • Increase the percent of Job Corps graduates who get jobs or pursue education to 85%;
  • those who get jobs will have an average entry wage increase from the previous year and 70% will still have a job or will be pursuing education after 90 days.

PY 1999:

  • 75% of Job Corps trainees will get jobs or pursue further education, with those obtaining jobs having an average starting wage of $6.50 per hour.
Data Source Job Corps Management Information System
Baseline The PY 2000 results will serve as the baseline, due to a change in the graduate definition in 7/00 to reflect additional requirements for graduation. This information will be compiled and made available in August, 2001.
Comment Job Corps targets severely disadvantaged youth with a variety of barriers to self-sufficiency, including deficiencies in education and job skills. To achieve the enhanced quality of placement and job retention required by the WIA, in FY 2002 Job Corps will focus resources on program improvements that enhance the full Job Corps experience for students, from reinforced outreach and admission strategies and center program effectiveness to intensified center and post-center career development support.

Job Corps introduced a new graduate definition effective 7/00 to reflect additional requirements for graduation. Requirements under this new definition include skill attainment associated with the Career Preparation Period, participation in community service projects, and participation in employer-based work experience.

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1.2C Performance Goal Increase retention of Youth Opportunity Grant participants in education, training, or employment.
Performance Results PY 2000: N/A

PY 1999: N/A

Indicator PY 2002:
  • 53% of the 14-18 year-old participants placed in employment, the military, advanced training, post-secondary education, or apprenticeships will be retained at six months.
  • 72% of the 19-21 year-old participants will be employed in the third quarter after program exit.

PY 2001:

  • 50% of the 14-18 year-old participants placed in employment, the military, advanced training, post-secondary education, or apprenticeships will be retained at six months.
  • 70% of the 19-21 year-old participants will be employed in the third quarter after program exit.

PY 2000:

  • 48% of the 14-18 year-old participants placed in employment, the military, advanced training, post-secondary education, or apprenticeships will be retained at six months.
  • 69% of the 19-21 year-old participants will be employed in the third quarter after program exit.

PY 1999: N/A

Data Source Grantee reports
Baseline Younger Youth Indicator: The baseline for this program will be established in PY 2000.

Older Youth Indicator: The baseline for this program will be established in PY 2000.

Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.

Comment The Youth Opportunity initiative is authorized under the new Workforce Investment Act. It is aimed at increasing the long-term employment of youth living in high-poverty communities. As planned, further development and refinements to the programs and the measures resulted in some revisions to the goal.

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1.2D Performance Goal Increase participation of Responsible Reintegration for Young Offender Program graduates in education programs or employment.
Performance Results FY 2000: N/A

FY 1999: N/A

Indicator FY 2002: 65% will get jobs or be enrolled in education or training.

FY 2001: 65% will get jobs or be enrolled in education or training.

FY 1999-FY 2000: N/A

Data Source Youthful Offender Program Management Information System.
Baseline This is a new initiative. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment Youthful offenders are a particularly difficult population to serve. Also, most employers do not readily hire individuals with criminal records.

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Outcome Goal 1.3: Improve the Effectiveness of Information and Analysis on the U.S. Economy--Performance Goals

1.3A Performance Goal FY 2002: Produce and disseminate timely, accurate, and relevant economic information

FY 1999-2001: Same as FY 2002.

Performance Results FY 2000: The goal was substantially achieved. BLS missed the timeliness target for the Employment Cost Index (ECI) and the quality target for the Producer Price Index (PPI).

FY 1999: The goal was not achieved. BLS missed the timeliness targets for the National Labor Force; Employment, Hours, and Earnings; and PPI, and the quality target for the PPI.

Indicator Percentage of releases of National Labor Force; Employment, Hours, and Earnings; Consumer Prices and Price Indexes; Producer Prices and Price Indexes; and Employment Cost Index that are prepared on time; measures of quality for each Principal Federal Economic Indicator; average number of Internet site user sessions each month.
Data Source Office of Publications and Special Studies report of release dates against release schedule of BLS Principal Federal Economic Indicators; Press releases for each Economic Indicator; Internet site analysis software.
Baseline Timeliness measures for FY 1997: National Labor Force (100 percent); Employment, Hours, and Earnings (100 percent); Consumer Prices and Price Indexes (100 percent); Producer Prices and Price Indexes (100 percent); and Employment Cost Index (100 percent).

Quality measures:

National Labor Force: Number of months that a change of at least 0.25 percentage point in the monthly national unemployment rate will be statistically significant at the 90 percent confidence level = 12. (Baseline is FY 1997.)

Employment, Hours, and Earnings: Root mean square error of total nonfarm employment (a measure of the amount of revision) <70,000. (Baseline is FY 2000.)

Consumer Prices and Price Indexes: Number of months that the standard error on the 12-month change in the U.S. City Average All Items CPI-U Index was 0.25 percentage point or less = 12. (Baseline is FY 1999.)

Producer Prices and Price Indexes: (1) Percent of domestic output, within the scope of the PPI, that is covered by the PPI: goods produced = 85.1 percent; services produced = 38.8 percent; total production = 52.6 percent. (Baseline is FY 1997.) (2) Percent of months that the change in the one-month Finished Goods Index (not seasonally adjusted) between the first-published and final release was +0.2 percent. (Baseline will be set in FY 2001.)

Employment Cost Index: Number of quarters the change in the Civilian Compensation Less Sales Workers Index was within +0.5 percent at the 90 percent confidence level = 4. (Baseline is FY 1998.)

Internet Usage: Average number of user sessions each month = 707,347. (Baseline is FY 1999.)

Comment

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1.3B Performance Goal FY 2002: Improve the accuracy, efficiency, and relevancy of economic measures.

FY 1999-2001: Same as FY 2002.

Performance Results FY 2000: The goal was achieved. Since the performance indicators are the accomplishment of milestones that are specific to the fiscal year, there is no continuity in indicators from year to year, even though the performance goal remained the same.

FY 1999: The goal was achieved.

Indicator Complete full implementation of a four-year outlet rotation cycle.
Data Source BLS Quarterly Review and Analysis System
Baseline Since activities described are new activities, there are no baseline measures.
Comment Since activities described in all indicators are new activities, there are no corresponding FY 1999-2000 results, FY 2001 measures, or baseline measures.

Outcome Goal 2.1: Increase Compliance with Worker Protection Laws--Performance Goals

2.1A Performance Goal FY 2002: Covered American workplaces legally, fairly, and safely employ and compensate their workers as demonstrated by:
  • Increased compliance, including among employers which were previous violators and the subject of repeat investigations, with labor standards laws and regulations in nationally targeted industries. In FY 2002, increase compliance:
  • -in the garment industry:- to 45% in Los Angeles (recidivism: to 42%) ;
  • - in agricultural commodities:- to 54% in cucumber (recidivism: to 44%) and to 43% in garlic (recidivism: establish baseline);
  • -in forestry:- to 35% (recidivism: to 20%); and,
  • -in the health care industry:- establish baseline for home health care (recidivism: establish baseline).
  • Increased child labor compliance, including among employers which were previous violators and the subject of repeat investigations, in the industries where data indicates that the risk of serious injury to young workers is greatest. In FY 2002, increase compliance in :
  • -full service restaurants:-to 85% (recidivism: to 78%)
  • -fast food restaurant:- to 75% (recidivism: to 78%); and,
  • -grocery stores:- to 85% (recidivism: to 77%).

FY 2001:

Garment:- increase to 85% in San Francisco and 42% in New York City (recidivism: 90% in San Francisco and 57% in New York City); in agricultural commodities:- 47% in onion, 80% in tomato, and 70% in lettuce (recidivism: 64% in tomato, 47% in onion and 48% in lettuce); health care:- 62% in residential health care (assisted living facilities) (recidivism: 60%).

Activities ongoing in FY 2001 to support goal accomplishment in FY 2002 (recidivism: ongoing activities to support goal accomplishment in FY 2002).

FY 2000:

Garment:- increase to 45% in Los Angeles (recidivism: establish baseline) Agricultural Commodities:- establish baseline for garlic (recidivism: establish baseline)

Poultry Processing:- 5% increase (recidivism: 5% increase)

Forestry:- establish baseline (recidivism: (establish baseline)

Health Care:- 5% increase in nursing homes (recidivism: 5% increase)

Establish baselines for the restaurant and grocery industries (recidivism: establish baselines)

FY 1999: Increase compliance with labor standards laws and regulations by 5% in the San Francisco and New York City garment industries (recidivism: establish baselines); in the agricultural industry, establish baselines for the commodities of onions, lettuce and cucumbers; and establish baseline for residential health care (assisted living facilities) (recidivism: establish baseline.)

N/A--Child labor compliance.

Performance Results FY 2000:

1. The garment, poultry processing and healthcare (nursing homes) industry goals were not met.

The forestry and agriculture (garlic) goals were met.

The garment, poultry processing, healthcare (nursing home) and agriculture (garlic) recidivism goals were not met.The forestry recidivism goal was met.

2. The child labor goal was met. The compliance surveys established a baseline of 79% in full service restaurants, 70% in fast food restaurants, and 82% in grocery stores. The child labor recidivism goal was met. The compliance surveys established baselines of 53% in full service restaurants, 73% in fast food restaurants and 72% in grocery stores.

FY 1999:

1. The garment goal was not met, remaining goals were met.

2. N/A--Child labor compliance.

Indicator Trends in compliance/violation rates by industry (NAIC Code); changes in results of compliance surveys in targeted industries
Data Source Wage Hour Investigator Support and Reporting Database (WHISARD); results of compliance surveys
Baseline Industry/sector-specific baseline data

79% compliance in the San Francisco garment industry ( 1997); recidivism: 86% (1999)

37% compliance in the New York City garment industry ( 1997); recidivism: 52% (1999)

22% compliance in the Los Angeles garment industry ( 1994); recidivism: 37% (2000)

75% compliance in tomato commodities ( 1996); recidivism: 59% (1998)

70% compliance in the nursing home industry ( 1998); recidivism: 76% (1997)

57% compliance in residential health care (assisted living facilities); recidivism 55% (1999)

40% compliance in the poultry processing industry; recidivism 40% (1998)

49% compliance in cucumber commodities; recidivism 37% (1999)

42% compliance in onion commodities; recidivism 42% (1999)

65% compliance in lettuce commodities; recidivism 43% (1999)

38% compliance in garlic commodity (2000); recidivism: TBD

30% compliance in forestry (planting and thinning); recidivism 15% (2000)

Comment Because there is no unbiased industry-wide database on labor standards violations or compliance, the Wage and Hour Division faces a challenge in determining industry-wide levels of compliance, measuring changes in compliance and attributing causality for any changes. To determine the impact of Wage and Hour efforts, a statistically sound method for establishing baselines and measuring compliance was developed using investigation-based compliance surveys of targeted industries and areas.

Based on results, specific industries and/or industry sectors will be re-surveyed every 2 to 3 years.

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2.1B

Performance Goal FY 2002: Achieve timely union reporting such that a minimum of 89% of unions with annual receipts greater than $200,000 timely file union annual financial reports for public disclosure access.

FY 2001: Achieve timely union reporting such that a minimum of 88% of unions with annual receipts greater than $200,000 timely file union annual financial reports for public disclosure access.

FY 2000: Minimum of 87% of unions with annual receipts greater than $200,000 timely file union annual financial reports for public disclosure.

FY 1999: 85% of unions with receipts greater than $200,000, timely file union annual financial reports for public disclosure.

Performance Results FY 2000: The goal was achieved for FY 2000. 87.2% of unions with annual receipts greater than $200,000 timely filed union annual financial reports for public disclosure access.

FY 1999: The goal was met. 89.8% of unions with annual receipts greater than $200,000 timely filed union annual financial reports for public disclosure access.

Indicator Percentage of financial reports timely filed for public disclosure availability
Data Source Labor Organization Reporting System
Baseline Timely filing of annual financial reports required of unions with annual receipts over $200,000: 79% in FY 1997
Comment The indicators reflect union compliance with laws established to ensure democratic practices and financial integrity in unions in the American workforce.

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2.1C

Performance Goal FY 2002: Increase by 2.5% (to 1,768) per year the number of closed fiduciary 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.

FY 2001: Increase by 2.5% (to 1,725) per year the number of closed fiduciary 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.

FY 2000: 2.1C Increase by 2.5% both the number of closed investigations of employee pension and health benefits plans where assets are restored (to 819) and the number where prohibited transactions are reversed (to 301).

FY 1999: 2.1C Increase by 2.5% both the number of closed investigations of employee pension and health benefits plans where assets are restored (to 537) and prohibited transactions are corrected (to 241)

Performance Results FY 2000: The goal was achieved. 1,187 cases where assets were restored and 538 cases where Prohibited Transactions were corrected.

FY 1999: Goal was achieved. 958 cases where assets were restored and 389 cases where Prohibited Transactions were corrected.

Indicator Number of closed fiduciary investigations of employees' pension plans where assets are restored, prohibited transactions are corrected, participant benefits are recovered, or plan assets are protected
Data Source Enforcement Management Systems
Baseline The number of investigations of employee pension plans where assets are restored, prohibited transactions are corrected, participant benefits are recovered, or plan assets are protected for FY 1999-2000 (1,683).
Comment The protection of plan assets is the primary investigative purpose. When plan assets have been potentially endangered by an imprudent act on the part of a plan fiduciary or have otherwise been misused, DOL seeks to have the plan made whole through the restoration of assets.

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2.1D Performance Goal FY 2002: Increase by 2.5% (to 349) per year the number of closed fiduciary 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.

FY 2001: Increase by 2.5% (to 340) per year the number of closed fiduciary 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.

FY 1999-FY 2000: N/A

Performance Results FY 1999-FY2000: N/A
Indicator Number of closed fiduciary investigations of employees' health and welfare plans where assets are restored, prohibited transactions are corrected, participant benefits are recovered, or plan assets are protected
Data Source Enforcement Management Systems
Baseline The number of investigations of employee health and welfare plans where prohibited transactions are corrected, assets are restored, participant benefits are recovered, or plan assets are protected for fiscal years 1999 and 2000 (332).
Comment The protection of plan assets is the primary investigative purpose. When plan assets have been potentially endangered by an imprudent act on the part of a plan fiduciary or have otherwise been misused, DOL seeks to have the transaction corrected to minimize potential loss.

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Outcome Goal 2.2: Protect Worker Benefits--Performance Goals

2.2A Performance Goal Unemployed workers receive fair UI benefit eligibility determinations and timely benefit payments.
Performance Results FY 2000: This goal was substantially achieved.

23 States met or exceeded the minimum performance criterion for benefit adjudication quality (nationwide, 70.3% of all nonmonetary determinations were adequate.);

47 States met or exceeded the Secretary's Standard for intrastate payment timeliness (nationally, 89.9% of all intrastate first payments were made within 14/21 days).

FY 1999: N/A

Indicator FY 2002:

Eligibility Determinations Fairness: Increase to 30 the number of States meeting or exceeding the minimum performance criterion for benefit adjudication quality;

Payment Timeliness: Increase to 49 the number of States meeting or exceeding the Secretary's Standard (minimum performance criterion) for intrastate payment timeliness.

FY 2001:

Eligibility Determinations Fairness: increase to 26 the number of States meeting or exceeding the minimum performance criterion for benefit adjudication quality; and

Payment Timeliness: Increase to 48 the number of States meeting or exceeding the Secretary's Standard (minimum performance criterion) for intrastate payment timeliness.

FY 2000:

Eligibility Determinations Fairness: Increase to 24 the number of States meeting or exceeding the minimum performance criterion for benefit adjudication quality; and

Payment Timeliness: Increase to 47 States the number of States meeting or exceeding the Secretary's Standard (minimum performance criterion) for intrastate payment timeliness.

FY 1999: N/A

Data Source Eligibility Determinations Quality: ETA 9056; Payment timeliness:9050 Report
Baseline Fiscal Year 1999:

Eligibility Determinations Fairness: 20 States met the minimum criterion that at least 75% of their determinations score over 80 points; nationally, 71% of all non-monetary adjudications scored >80 points using the standard review instrument.

Payment Timeliness: 46 States met the Secretary's Standard that at least 87% of intrastate lst payments were made within 14 days (in States with a waiting week) or 21 days (non-waiting week States). Nationally, 90% of intrastate payments were made within 14/21 days.

Comment The ETA 9056 report is validated in two ways. The data entry software has edits for several elements. More importantly, two expert reviewers must agree on every rated element to ensure validity of the quality review of each determination. The ETA 9050 report is not now validated but the Department plans to validate it and most other key reports as part of the UI Data Validation system.

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2.2B Performance Goal Promptly review applications for foreign labor certifications to ensure that aliens admitted to work under foreign labor certification will not adversely affect domestic workers' wages or working conditions.
Performance Results FY 2000: N/A

FY 1999: N/A

Indicator FY 2002: Establish a baseline for the average time required in the ETA's Regional Offices to process applications for permanent alien residency.

FY 1999-2001: N/A

Data Source Regional Office Foreign Labor Certification data system, implemented in early FY 2001.
Baseline To be established. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment At present, SESAs first process applications for permanent alien certification to ensure absence of adverse impact; ETA Regional Offices complete the review and then they go to INS. SESAs do not report processing times. Starting in FY 2001, Regional Offices will assume responsibility for the entire review of applications and forwarding the applications to INS. The new regional data system will enable tracking of processing times and age of unprocessed cases.

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2.2C

Performance Goal FY 2002: Increase by 2% (to $67 million) benefit recoveries achieved through the assistance of Pension Benefit Advisors.

FY 2001: Increase by 2% (to $66 million) benefit recoveries achieved through the assistance of Benefit Advisors.

FY 2000: Increase by 2% (to $53 million) benefit recoveries achieved through the assistance of Benefit Advisors.

FY 1999: N/A

Performance Results FY 2000: The goal was achieved. The Department recovered $67 million as a result of participant assistance.

FY 1999: N/A

Indicator The dollar value of benefit recoveries achieved through the assistance of technical assistance staff
Data Source The Technical Assistance and Inquiries System
Baseline Average of the benefit recoveries achieved in Fiscal Years 1999 and 2000 ($64.5 million)
Comment Represents the amount of dollars returned to participants via the intervention of Benefit Advisers.

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2.2D Performance Goal FY 2002: Increase by 1% the number of workers who are covered by a pension plan sponsored by their employer, particularly women, minorities and workers in small businesses.

FY 1999-FY 2001: Same as FY 2002.

Performance Results FY 2000: The goal was achieved. The number of workers increased by 2% (From 46.6 million to 48.3 million).

FY 1999: The goal was achieved. The number of workers increased by 5% (From 45.1 million to 47.6 million)

Indicator The number of active workers within the categories that report participation in a proper pension plan sponsored by their current employer
Data Source Income Supplement of the Current Population Survey, U.S. Bureau of Census
Baseline Estimated covered population derived from 1998 pension topical module--45.1 million.
Comment The expansion of coverage within the private employer-sponsored pension system is one of the primary results goals toward which PWBA's programs and policy initiatives are directed. Providing access to populations that have historically shown a lower coverage rate is a high priority within this large goal. Coverage rates for specific populations can be tracked through specific sets of questions periodically included in surveys conducted by the Census Bureau. The Bureau provides statistically reliable data on pension coverage rates.

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2.2E Performance Goal FY 2002: Return Federal employees to work following an injury as early as appropriate indicated by a 4% reduction from the FY 2000 baseline in the average number of production days lost due to disability.

FY 2001: Return Federal employees to work following an injury as early as appropriate indicated by a 2% reduction from the FY 2000 baseline in the average number of productions days lost due to disability.

FY 2000: Reduce to 173 days (QCM cases only). Establish baseline for all cases.

FY 1999: Return Federal employees to work following an injury as early as appropriate, as indicated by a 6% reduction from the baseline in production days lost due to disability for cases in the Quality Case Management (QCM) program. Reduce number of lost production days to 178 days (QCM cases only).

Performance Results FY 2000: This goal was exceeded. Average lost production days (LPD) measured for Quality Case Management cases in FY 2000 was 164 days. A new LPD baseline representing all cases was established at 68.3 workdays.

FY 1999: This goal was exceeded. Average LPD for cases measured in FY 1999 was 173 days against a target of 178 days.

Indicator Average number of days lost due to disability for all cases
Data Source Federal Employees' Compensation Act (FECA) data systems; Federal agency payroll offices; Office of Personnel Management employment statistics.
Baseline Baseline for Quality Case Management (QCM) cases only is the FY 1997 actual: 189 workdays. FY 2000 baseline: 68.3 workdays (revised by .2 workdays in 1st quarter FY2001 to reflect receipt of late data).
Comment In FY 2000 DOL established a new baseline covering all Federal employee injuries.

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2.2F Performance Goal FY 2002: Produce $122 million in cumulative first-year savings (FY 1999-FY 2002) in the FECA program through Periodic Roll Management.

FY 2001: Produce $95 million in cumulative first-year savings in the FECA Program through Periodic Roll Management.

FY 2000: Produce $66 million in first year savings through Periodic Roll Management.

FY 1999: Produce $19 million in first year savings through Periodic Roll Management.

Performance Results FY 2000: This goal was exceeded. Cumulative first-year savings for FY 1999-2000 were $72 million.

FY 1999: This goal was exceeded. PRM case review actions produced an additional $20.8 million in FECA compensation benefit savings.

Indicator The fiscal year amount of total periodic payment (compensation benefit) reductions in PRM universe cases
Data Source Periodic Roll Management System; Automated Compensation Payment System
Baseline For all cases with benefit actions in the measurement year, the periodic payment amount paid at time of their entry into the PRM universe, compared to the periodic payment amount after benefit reduction.

The methodology for measuring savings from compensation benefit adjustments and terminations was revised in FY 2000 to coincide with PRM's integration into permanent operations. PRM savings for performance reporting were previously derived by comparing total FECA program benefit reductions in all cases, including PRM cases, in the measurement year, to total reductions produced in the baseline year, but not counting PRM case reductions.

Comment Periodic Roll Management has proven highly successful in identifying potential for return to work and resolving cases leading to greater savings in benefit compensation (an additional $317 million between 1992 and 1998). In FY 1999, Congress appropriated resources to fully staff all offices and integrate PRM into FECA program operations. This is accelerating savings in Federal workers' compensation costs, and increasing the potential for returning workers to employment after recovery from an injury. Note: Decisions on cases under PRM review often result in adjustment or termination of benefits. On a case-by-case basis, and beginning with the first payment cycle after the benefit action, savings are scored for the remainder of the measurement (fiscal) year, producing the first-year savings for the case. First-year savings for all cases in the measurement year are then combined producing the total first-year savings. The cumulative sum of first-year savings is matched against the goal as stated for each measurement year.

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2.2G Performance Goal FY 2002: In the FECA program, reduce the overall average medical service cost per case (adjusted for inflation) by .5% versus the FY 2000 baseline. Reduce the average annual cost for physical therapy cases by .5% through focus reviews of services charged.

FY 2001: In the FECA program, reduce the average annual cost for physical therapy and psychiatric services cases by 1% through focus reviews of services charged. (Note: This intermediate goal will assist the agency in developing strategies to reach the overall cost reduction goal. Reduction of overall average medical costs will be measured against an FY 2000 baseline.)

FY 2000: In the FECA program, save an additional $5 million over FY 1999 compared to amounts charged through full-year implementation of fee schedules for inpatient hospital and pharmacy services; save $1.5 million compared to amounts charged for physician services through the Correct Coding Initiative.

FY 1999: Save 19% annually versus amounts billed for FECA medical services.

Performance Results FY 2000: This goal was exceeded. The FECA program saved $34.5 million (61% over target) using fee schedules for Inpatient and Pharmacy services.

FY 1999: Both the original and revised goals were achieved.

Indicator For Fee Schedules, Correct Coding Initiative, and Focus Reviews, savings are calculated by comparing amounts paid to amounts billed for drugs, hospital, and physician services in each performance year (e.g., paid versus billed in FY 2001).

Overall average case costs, after adjustment for inflation, for all cases receiving medical services.

Average case costs for services, adjusted for inflation and changes in industry practices, paid for selected medical conditions.

Data Source FECA Medical Bill Pay System.
Baseline Fee Schedule and Correct Coding Initiative Baselines: Amounts charged for medical services in each fiscal year that performance will be measured.

Fee Schedule Baseline: Amounts billed for drugs, hospital and physician services in the measurement year

Overall Average Medical Cost Baseline: Average annual cost per case in FY 2000 for all cases receiving medical services.

Selected Medical Services Average Cost Baseline: Average annual cost per case in FY 2000 for cases receiving medical services selected for review.

Comment The FECA program uses Fee Schedules to set payment levels for standard categories of billed medical services. A special automated bill review, the Corrective Coding Initiative (CCI) identifies medical providers' duplicate and abusive billing practices, and facilitates evaluation and resolution of questionable bills before payment is authorized. Focus Reviews identify proper treatment or payments for selected medical services provided and matched to medical condition. These mechanisms, along with procedural changes and other quality controls, will result in overall reduction of program medical costs.

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2.2H Performance Goal FY 2002: Reduce the average processing time to 3 years to send benefit determinations to participants in defined benefit pension plans taken over by PBGC.

FY 2001: Reduce processing time from 4-5 years to 3-4 years to send benefit determinations to participants in defined benefit pension plans taken over by PBGC.

FY 2000: Reduce processing time from 5-6 years to 4-5 years to send benefit determinations to participants in defined benefit pension plans taken over by PBGC.

FY 1999: N/A

Performance Results FY 2000: This goal was achieved.

FY 1999: N/A

Indicator Timeliness of benefit determinations to participants in trusteed plans
Data Source Participant Record Information Management System
Baseline FY 1997: 7 to 8 years
Comment This measure addresses PBGC's largest operating functions which are processing terminated plans and paying benefits. Termination activities involve an intricate series of complex actions, from reviewing plan assets and participant data, to completing financial and control group analysis. Sponsor bankruptcies and legal disputes over plan assets also complicate and stretch out the trusteeship process. Total participant count in PBGC-trusteed plans will have increased to over 500,000 in FY 2002, while trusteed plans will have increased to about 3,000.

Ultimately, faster case processing leads to increased accuracy of benefit payments.

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Outcome Goal 2.3: Provide Worker Retraining--Performance Goals

2.3A Performance Goal Increase the employment, retention, and earnings replacement of individuals registered under the WIA dislocated worker program.
Performance Results PY 2000: N/A

PY 1999: N/A

Indicator PY 2002:
  • 75% will be employed in the first quarter after program exit.
  • 85% 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 92% of their pre-dislocation earnings.

PY 2001:

  • 73% will be employed in the first quarter after program exit.
  • 3% 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 91% of their pre-dislocation earnings.

PY 2000:

  • 71% will be employed in the first quarter after program exit.
  • 82% 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 90% of their pre-dislocation earnings.

PY 1999: N/A

Data Source Workforce Investment Act Standardized Record Data (WIASRD) included in the Enterprise Information Management System (EIMS); UI Wage Records
Baseline There is no prior experience with these WIA indicators, which are based on the use of UI wage records. PY 2000, the first full year of WIA implementation, will constitute the baseline year for this measure. The performance measure is derived from the agreed upon levels of performance for all States. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment The current FY 1999-2004 Strategic Plan includes the new WIA goal based upon a weighted average of negotiated levels of performance for all States. The goals for PY 2000, PY 2001 and PY 2002 stated in this plan also reflect these negotiated levels for all States.

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2.3B Performance Goal Increase the employment, retention, and earnings replacement of workers dislocated in important part because of trade and who receive trade adjustment assistance benefits.
Performance Results FY 2000: N/A

FY 1999: N/A

Indicator FY 2002:
  • 75% will be employed in the first quarter after program exit;
  • 85% 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 third quarter after program exit will earn, on average, 85% of their pre-separation earnings.

FY 2001:

  • 73% will be employed in the first quarter after program exit;
  • 80% 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, 82% of their pre-separation earnings.

FY 1999-FY 2000: N/A

Data Source TAPR (Trade Act Participant Report) included in the Enterprise Information Management System (EIMS)
Baseline New Goal. FY 2001 will constitute the baseline year for this measure. Because there is no comparable baseline, these measures will be regularly reviewed for appropriateness and rigor as performance data becomes available.
Comment Beginning in FY 2001, the TAA/NAFTA program's performance measures were revised to conform to WIA and align more closely with the dislocated worker goals.

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Outcome Goal 3.1: Reduce Workplace Injuries, Illnesses, and Fatalities--Performance Goals

3.1A

Performance Goal FY 2002: Reduce the number of mine fatalities and non-fatal injury rate to below the average for the previous five years.

FY 1999-FY 2001: Reduce the number of mine fatalities and the non-fatal injury rate to below the average for the previous five years.

PerformanceResults FY 2000: The goal was substantially achieved.
  • Fatalities: Average FY 1995-1999 = 89; FY 2000 = 89
  • Nonfatal-days-lost incidence rate: Average FY 1995-1999 =3.83; FY 2000 = 3.45

FY 1999: The goal was achieved.

  • Fatalities: FY 1994-1998 Average = 92; FY 1999 = 82*
  • Nonfatal-days-lost incidence rate: FY 1994-1998 Average = 4.07; FY 1999 = 3.51*
Indicator Coal and metal/nonmetal mine fatalities: Coal and Metal and Nonmetal mine industry nonfatal-days-lost incidence rate
Data Source Mine Accident, Injury, Illness, Employment, and Coal Production System (30 Code of Federal Regulations Part 50 System)
Baseline 89 average fatalities for FY 1995-1999 (five-year average); 3.83. average nonfatal-days-lost incidence rate for FY 1995-1999
Comment A five-year moving average is used to reduce irregular fluctuations in order to highlight trends in the performance measure.

*These figures will not necessarily match those reported in the FY 2000 Annual Performance Report, since they reflect more current data.

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3.1B

Performance Goal FY 2002: Reduce by 5% the percentage of coal dust and silica dust samples that are out of compliance for coal mines and metal and nonmetal high risk mining occupations, respectively.

FY 1999-2001: Same as FY 2002.

Performance Results FY 2000: The goal was achieved.
  • Coal dust goal: 5% reduction; Target: 11.7%; actual: 11.2% reduction
  • Silica dust goal: < 85 index points; actual: 65.3 index points

FY 1999: The goal was achieved.

  • Coal dust goal: 5% reduction; actual: 11.6% reduction
  • Silica dust goal <90 index points; actual: 75.1 index points.
Indicator Compliance with the permissible level for coal mine dust and metal/nonmetal silica.
Data Source Coal Mine Safety and Health Management Information System and Metal and Nonmetal Mine Safety and Health Management Information System
Baseline Coal dust baseline: 13% not in compliance in FY 1998 based on 3,773 inspector samples.

Metal and Nonmetal silica baseline set at 100 index points (1997-1998 data); FY 2000 target at 85 index points.

Comment Respirable dust is one of the three major health hazards to miners. Prevention of pneumoconiosis (black lung disease) and silicosis is a priority health initiative.

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3.1C

Performance Goal FY 2002: Reduce three of the most significant types of workplace injuries and causes of illnesses by 15%.

FY 2001: Reduce three of the most significant types of workplace injuries and causes of illnesses by 11% [from baseline].

FY 2000: Reduce three of the most significant types of workplace injuries and causes of illnesses by 7% [from baseline].

FY 1999: Reduce three of the most prevalent workplace injuries and causes of illnesses by 3% in selected industries and occupations.

Performance Results FY 2000: The goal was achieved.
  • Silica: Decreased by 59%
  • Lead: Decreased by 36%
  • Amputations: Decreased by 19% (CY 1997-1999)*

FY 1999: The goal was achieved.

  • Silica: Decreased by 70%
  • Lead: Decreased by 48%
  • Amputations: Decreased by 17% (CY 1996-1998)
Indicator Silica: Percent change in average silica exposure severity**

Lead: Percent change in average lead exposure severity**

Amputations: Percent change in rate of amputations

Data Source OSHA Integrated Management Information System (IMIS) (Silica and Lead)

Bureau of Labor Statistics Annual Survey of Occupational Injuries and Illnesses (Amputations)

Baseline Silica: 9.4 average silica exposure severity (IMIS) FY 1996)

Lead: 4.8 average lead exposure severity (IMIS) FY 1995)

Amputations: 1.45 per 10,000 employees for CY 1993-1995

Comment Silica: OSHA will measure average silica exposure severity in establishments where OSHA has silica-related interventions.

Lead: OSHA will measure average lead exposure severity in establishments where OSHA has lead-related interventions.

Amputation: A three-year moving average is used to reduce fluctuations in order to highlight trends in the performance measures.

* CY 2000 BLS Annual Survey of Occupational Injury and Illness characteristic data for amputations will be available in April 2002.

** Average exposure severity calculated by averaging the exposures measured for each inspection, then taking the average for all inspections.

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3.1D

Performance Goal FY 2002: Reduce injuries and illnesses by 15% in five industries characterized by high-hazard workplaces.

FY 2001: Reduce injuries/illnesses by 11% [from baseline] in five industries characterized by high-hazard workplaces.

FY 2000: Reduce injuries and illnesses by 7% [from baseline] in five industries characterized by high-hazard workplaces.

FY 1999: Reduce injuries and illnesses by 3% in five industries characterized by high-hazard workplaces.

Performance Results FY 2000 data will be available December 2001.

FY 1999: The goal was achieved.

  • Shipyard industry: Decreased by 28%*
  • Food processing industry: Decreased by 15%*
  • Nursing home industry: Decreased by 6%*
  • Logging industry: Decreased by 26%*
  • Construction industry: Decreased by 19%*
Indicator Shipyard, food processing, nursing homes and logging: Percent change in lost workday injury/illness (LWDII) rates in industries per 100 full-time workers

Construction: Percent change in lost workday injury rate per 100 full-time workers in the construction industry

Data Source Bureau of Labor Statistics Annual Survey of Occupational Injuries and Illnesses
Baseline Shipyard: 13.4 average lost workday injury and illness rate per 100 full-time workers for CY 1993-1995

Nursing homes: 8.7 average lost workday injury and illness rate per 100 full-time workers for CY 1993-1995

Food processing: 8.9 average lost workday injury and illness rate per 100 full-time workers for CY 1993-1995

Logging: 7.2 average lost workday injury and illness rate per 100 full-time workers for CY 1993-1995

Construction: 5.2 average lost workday injury rate per 100 full-time workers for CY 1993-1995

Comment A three-year moving average is used to reduce fluctuations in order to highlight trends in the performance measures.

* CY 1997-1999 BLS data.

CY 2000 BLS lost workday injury and illness rate data will be available in December 2001.

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3.1E

Performance Goal FY 2002: Reduce injuries and illnesses (LWDII) by 20% in at least 100,000 workplaces where OSHA initiates an intervention.

FY 2001: Reduce injuries and illnesses (LWDII) by 20% in at least 75,000 workplaces where an intervention is initiated.

FY 2000: Reduce injuries and illnesses (LWDII) by 20% in at least 50,000 workplaces where the agency initiates an intervention.

FY 1999: Reduce injuries and illnesses (LWDII) by 20% in at least 25,000 workplaces where the agency initiates an intervention.

Performance Results FY 2000: The goal was achieved. Lost workday injury and illness (LWDII) rates were reduced by 20% in 67,900 workplaces.**

FY 1999: The goal was achieved. Lost workday injury and illness (LWDII) rates were reduced in 50,100 workplaces.*

Indicator The number of workplaces where OSHA intervened and (LWDII) rates were reduced by 20%
Data Source OSHA Data Initiative (ODI)

OSHA Integrated Management Information System (IMIS)

Bureau of Labor Statistics Annual Survey of Occupational Injuries and Illnesses

Baseline Will vary depending on when the intervention occurs; tracking began with FY 1995 interventions
Comment * Results based on an analysis conducted by researchers from the University of Pittsburgh and Clark University.

** Results based on an analysis conducted by a researcher from Clark University.

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3.1F Performance Goal FY 2002: Decrease fatalities in the construction industry by 15%, by focusing on the four leading causes of fatalities (falls, struck-by, crushed-by, and electrocutions and electrical injuries).

FY 2001: Decrease fatalities in the construction industry by 11% [from baseline], by focusing on the four leading causes of fatalities (falls, struck-by, crushed-by, and electrocutions and electrical injuries).

FY 2000: Decrease fatalities in the construction industry by 7%, [from baseline] by focusing on the four leading causes of fatalities (falls, struck-by, crushed-by, and electrocutions and electrical injuries).

FY 1999: Decrease fatalities in the construction industry by 3%, by focusing on the four leading causes of fatalities (falls, struck-by, crushed-by, and electrocutions and electrical injuries).

Performance Results FY 2000 data will be available August 2001.*

FY 1999: The goal was not met. Fatalities were decreased by 2% (CY 1997-1999).

Indicator Percent change in the rate of fatalities
Data Source Bureau of Labor Statistics Census of Fatal Occupational Injuries
Baseline Rate of fatal occupational injuries: 14.5 per 100,000 workers for CY 1993-1995
Comment A three-year moving average is used to reduce fluctuations in order to highlight trends in the performance measures.

CY 2000 BLS Census of Fatal Occupational Injuries data will be available in August 2001.

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3.1G Performance Goal FY 2002: Reduce injuries and illnesses by 15% at work sites engaged in voluntary, cooperative relationships with DOL.

FY 2001: Same as FY 2002.

FY 1999-2000: N/A

Performance Results FY 2000: N/A

FY 1999: N/A

Indicator The percent change in injury and illness rates at work sites engaged in voluntary, cooperative relationships with DOL
Data Source Special study
Baseline The year prior to the voluntary cooperative relationship with DOL .
Comment This is a new performance goal (FY 1999/2000 Strategic Plan revision).

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Outcome Goal 3.2 Foster Equal Opportunity Workplaces--Performance Goals

3.2A

Performance Goal FY 2002: Federal contractors achieve equal opportunity workplaces as demonstrated by:
  • Improving the equal employment opportunity performance of federal contractors and subcontractors within industries where data indicate the likelihood of equal employment opportunity problems is greatest. In FY 2002, achieve __% improvement over the FY 2001 established baselines;
  • Improving the equal employment opportunity performance of federal contractors and subcontractors that have had prior contact with OFCCP through evaluations, outreach, or technical assistance. In FY 2002, achieve __% improvement over the FY 2001 established baselines; and,
  • Reducing compensation discrimination by federal contractors and subcontractors. In FY 2002, achieve __% improvement over the FY 2001 established baselines.

FY 2001: Identify those industries where data indicate the likelihood of equal employment opportunity problems is greatest and establish baselines; establish baselines for contractors and subcontractors that have had prior contact with ESA/OFCCP through evaluations, outreach or technical assistance; and establish baselines for reducing compensation discrimination by federal contractors and subcontractors.

FY 2000: Increase by 5% over the FY 1999 baseline the number of Federal contractors brought into compliance with the Equal Employment Opportunity (EEO) provisions of Federal contracts via OFCCP's compliance evaluation procedures.

FY 1999: Increase by 5% over the FY 1998 baseline the number of Federal contractors brought into compliance with the EEO provisions of Federal contracts via ESA's compliance evaluation procedures.

Performance Results FY 2000: The goal was fully achieved. The Department brought 3,353 contractors into compliance, an increase of 27 percent over FY 1999 performance.

FY 1999: This goal was not achieved.

Indicator Trends/changes in compliance and violation rates and EEO-1 data. Trends/Changes in compensation and other data gathered from evaluations and from Federal contractors. Trends/changes in data gathered from customer satisfaction surveys.
Data Source EEO-1 data file; Case Management System; Federal contractors' data; customer satisfaction survey; compliance reviews within industries.
Baseline Baselines will be established by the end of FY 2001.
Comment Revisions to the goal have been made for FY 2001 to more comprehensively measure the Department's mission and the effectiveness of our efforts in the EEO arena.

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3.2B Performance Goal FY 2002: States that receive DOL financial assistance under the Workforce Investment Act provide benefits and services in a nondiscriminatory manner as evidenced by:
  • Their timely submission of Methods of Administration which demonstrate how their programs and activities are operated in a nondiscriminatory manner, or in the absence of timely submissions, the issuance of a "Show Cause Notice" within 15 days of a non-timely submission ; and
  • The issuance, within 180 days of the submission of the MOA, of a determination or a conciliation agreement which indicates that the MOA gives reasonable guarantee that benefits and services are provided in a nondiscriminatory manner.

FY 2001: All DOL national and State level programs financially assisted under the Workforce Investment Act (WIA) are in compliance with all applicable civil rights laws and regulations.

FY 2000: Within 180 days of submission of State Methods of Administration (MOAs), States are in compliance with the non-discrimination provisions of Section 188 of the Workforce Investment Act (WIA) and 29 CFR Part 37.

FY 1999: Issue final regulations implementing the nondiscrimination provisions of Section 188 of WIA by August 7, 1999.

Performance Results FY 2000: Deferred until FY 2001

FY 1999: The goal was not met.

Indicator
  • Number of MOAs due during FY
  • Number of MOAs timely submitted
  • Number of compliance determinations issued within 180 days.
  • Number of conciliation agreements issued within 180 days.
  • Number of Show Cause Notices issued within 15 days.
Data Source Methods of Administration Agreement signed by States, Show Cause Notices, Compliance Determinations, and Conciliation Agreements.
Baseline FY 2001: 30 ETA approved State plans.

FY 2000: 53 state administered programs, 4 national programs

Comment MOAs detail how each State will implement the nondiscrimination and equal opportunity provisions of WIA. MOAs are due 180 days after ETA gives final approval to a States's five-year WIA Strategic Plan. Noncompliance with MOA requirements can result in the withdrawal of grant funds.

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Outcome Goal 3.3: Support a Greater Balance Between Work and Family--Performance Goals

3.3A Performance Goal Increase employment and access to quality child care by increasing the number of registered child care apprenticeship programs and the number of newly registered child care apprentices.
Performance Results FY 2000: The goal was achieved. The number of States with child care apprenticeship programs increased from 29 to 39. The number of newly registered child care apprentices increased from 202 in FY 1999 to 700 in FY 2000, significantly exceeding the targeted 15% increase.

FY 1999: The goal was achieved.

Indicator FY 2002:
  • 49 States will have registered child care apprenticeship programs; and
  • The number of newly registered child care apprentices will increase by 25% over the FY 1999 baseline.

FY 2001:

  • 49 States will have registered child care apprenticeship programs; and
  • The number of new child care apprentices will increase by 20% over the FY 1999 baseline.

FY 2000:

  • 39 States will have registered child care apprenticeship programs; and
  • The number of new child care apprentices will increase by 15% over the FY 1999 baseline.

FY 1999:

  • 29 States will have registered child care apprenticeship programs; and
  • The number of new child care apprentices will increase by 10% (to at least 2,114).
Data Source Apprenticeship Information Management System (AIMS)
Baseline At the end of FY 1999, 29 States had child care apprenticeship programs. In FY 1999, the number of child care apprentices increased from 1,914 to 2,116 (202 new apprentices).
Comment

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Outcome Goal 3.4: Reduce Exploitation of Child Labor and Address Core International Labor Standards Issues--Performance Goals

3.4A Performance Goal FY 2002: Reduce exploitative child labor by promoting international efforts and targeting focused initiatives in selected countries.

FY 2001: Reduce exploitative child labor worldwide by increasing international support and funding the most promising programs and projects in targeted countries.

FY 2000: Same as 2001.

FY 1999: N/A

Performance Results FY 2000: The goal was achieved as reflected in the following supporting indicators:

1. Increase number of countries ratifying International Labor Organization (ILO) Convention 182 on the Worst Forms of Child Labor.

Result: A total of 37 countries(36 in FY 2000) ratified ILO Convention 182 on the Worst Forms of Child Labor. This Convention was unanimously adopted by the delegates to the International Labor Conference in June 1999.

2. Increase number of IPEC National Action Plans.

Result: DOL funded two additional IPEC National Action Plans in FY2000--one in South Africa and the other in Yemen.

3. Increase awareness through reports, other publications, and website on exploitative child labor disseminated by ILAB.

Result:

• ILAB published its sixth report on international child labor, By the Sweat & Toil of Children: An Economic Consideration of Child Labor.

• ILAB's International Child Labor Program's website provides information on child labor issues. ICLP receives numerous questions and requests for information from the public via email.

• ILAB funded a Global Campaign/Best Practices Conference to help raise awareness about child labor. This conference provided speakers from Africa, Asia, and Latin America with an opportunity to share their experiences in working to address child labor issues.

4. 50,000 children targeted for prevention and removal from exploitative work.

Result: In FY2000, ILAB targeted over 100,000 children for prevention and/or removal from exploitative work.

FY 1999: N/A

Indicator
  • 8 countries will ratify International Labor Organization (ILO) Convention 182 on Worst Forms of Child Labor.
  • 7 countries will establish National Action Plans.
  • 100,000 children in developing countries will be targeted for prevention and/or removal from exploitative work and placed in educational settings.
  • 50,000 children in developing countries will be prevented and/or removed from exploitative work.

5. 70% of children removed from child labor will be placed in educational settings.

6. Establish baseline for a rate of retention for children placed in educational settings.

Data Source ILO-IPEC and DOL/ILAB
Baseline Baseline is zero for all indicators.

In the Spring of 2000, ILAB published its sixth child labor report in the By the Sweat & Toil of Children series. This report focuses on the possible economic benefits that could be realized from withdrawing children from exploitative work and enrolling these children in school.

The ILO's Statistical Information and Monitoring Program (SIMPOC) is currently assisting countries in generating statistical data on child labor at the national level that would more accurately assess the extent and nature of the global child labor problem. More than 40 SIMPOC surveys are scheduled to be conducted through 2000 and 2001. In the meantime, baseline information collected through the IPEC projects will be used to establish target populations and measure future progress.

Comment Throughout the 1990s, increased international recognition of the child labor problem and action to address it have been increasing. While there is still a high incidence of child labor in many developing countries, many governmental and non-governmental organizations are taking steps to remove children from exploitative work. This increased commitment to the eradication of child labor is evident by the unanimous adoption of the ILO Convention on the Worst Forms of Child Labor in Geneva in June 1999.

ILAB is working to establish better survey data and to document the extent and nature of child labor through the ILO's SIMPOC program. Achievement of this performance goal depends upon other countries agreeing to establish and implement IPEC projects to be funded by ILAB. Projects funded in FY 2000 in some instances may not have impact until FY 2001.

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3.4B Performance Goal FY 2002: Advance workers' protections and economic status in developing countries.

FY 2001: Raise workers' protection and the safety of work places in selected countries by improving core labor standards and social safety net programs.

1. 15 countries receive US financial support and commit to core labor standards.

2. Two initiatives to effect policy changes in other Nations will yield judicial, legal, or significant policy decisions which improve core labor standards.

3. Eight project countries commit with USA/DOL assistance make substantive improvements in social safety programs that protect workers and develop labor markets.

FY 2000: Raise workers' protection and the safety of work places in selected countries by improving core labor standards and social safety net programs.

  • Eight USDOL project countries commit to undertake improvements in assuring compliance and implementation of core labor standards in USDOL project countries which have accepted financial support from U.S.A./DOL.
  • Number of judicial and legal decisions which improve core labor standards and workplace safety standards.
  • Four project countries commit to undertake improvements in social safety nets funded by U.S.A./DOL, which may include labor market information systems; unemployment insurance/social security systems; employment creation, training/retraining and placement programs; occupational safety and health including the mining sector; workforce development initiatives for vulnerable groups.
  • Number of countries that improve social safety programs that protect workers and develop labor markets.

FY 1999: N/A

Performance Results FY 2000: The goal was substantially achieved. Three of four performance indicators were met or surpassed; one indicator was not achieved. Results are reported after each indicator below.

1. Eight USDOL project countries will commit to undertake improvements in assuring compliance and implementation of core labor standards in USDOL project countries which have accepted financial support from U.S.A./DOL in USDOL project countries which have accepted financial support from DOL.

Result: A total of 12 projects in 35 countries to improve the protection of workers' basic rights were established

2. Four project countries commit to undertake improvements in social safety nets funded by U.S.A./DOL, which may include labor market information systems; unemployment insurance/social security systems; employment creation, training/retraining and placement programs; occupational safety and health including the mining sector; workforce development initiatives for vulnerable groups

Result: A total of 11 projects to economically empower workers were implemented in 34 countries

3. Number of countries that improve social safety programs that protect workers and develop markets.

Result: Projects in target countries were not funded until September 2000.

4. Number of judicial and legal decisions which improve core labor standards and workplace safety standards.

Result: In Mexico core labor standards have been improved with these actions: The Mexican Department of Labor signed a Joint Declaration with the United States and Canada, committing to promote that workers be provided information pertaining to collective bargaining agreements existing in their place of employment and to promote the use of eligible voters lists and secret ballot elections in disputes over the right to administer the collective bargaining contract.

FY 1999: N/A

Indicator
  • 7 countries commit to undertake improvements in assuring compliance and implementation of core labor standards.
  • 6 project countries will commit with US/DOL assistance to make substantive improvements in raising income levels of working families.
Data Source ILO Reports; reports by government and nongovernmental organizations
Baseline Current level of implementation
Comment Multilateral and Bilateral technical assistance programs are being launched in FY 2000 with new funds. Consequently, outcomes are not anticipated to be realized until FY 2001, following a number of key project interventions. Other countries may not share U.S. priorities in determining agendas.

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Outcome Goal FM: Maintain the Integrity and Stewardship of the Department's Financial Resources--Performance Goals

FM1

Performance Goal FY 2002: 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 of 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.

Performance Results FY 2000: The goal was substantially achieved.

FY 1999: The goal was achieved.

Indicator Percentage of financial systems compliant with the Acts
Data Source OIG audit opinion in Accountability Report to be issued in March 2002
Baseline FY 1997: 8 of 14 systems in compliance (57%) ; FY 1998: 9 of 14 systems in compliance (64%); FY 1999: 17 of 22 (77%) systems in compliance; FY 2000: 15 of 17 (88%) systems in compliance.
Comment

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FM2

Performance Goal FY 2002: DOL meets all new accounting standards issued by the Federal Accounting Systems Advisory Board (FASAB) including the Managerial Cost Accounting Standard.

FY 2001: Same as FY 2002.

FY 2000: DOL meets all current FASAB standards

FY 1999: N/A

Performance Results FY 2000: The goal was achieved.

FY 1999: N/A

Indicator Percentage of accounting standards met
Data Source OIG audit opinion in Accountability Report to be issued in March 2002
Baseline The standard has been met in each year since FY 1997.
Comment

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Outcome Goal IT: Improve Organizational Performance and Communication through Effective Deployment of IT Resources--Performance Goals

IT1 Performance Goals FY 2002: Improve automated access to administrative and program systems, services andinformation.

FY 2000-2001: Increase integration of DOL IT systems and extend access to automated services

FY1999: N/A

Performance Results FY 2000: This goal was achieved.

FY 1999: N/A

Indicator
  • Common office automation suite of software DOL-wide (ITC)
  • The Remote Terminal Network (RTN) replaced (ITC)
  • New automated time and attendance and payroll systems operational Department-wide (PP2K).
  • Establish baseline for LaborNet customer satisfaction using an on-line survey.
  • Implement 15 DOL Public Web Site topical and client-targeted web interfaces. (ASP)
  • Increase the number of DOL Public Web Site users by 5%. (ASP)
  • Reduce the number of page hits users must traverse to obtain the information they seek by 5%. (ASP)
  • Improve the user satisfaction results from the Internet Customer Satisfaction Survey to average score of 3 or better. (ASP)
Data Sources a) Agency reports.
  • Network inventory monitoring.
  • Time and Attendance (T&A) and Payroll transactions.
  • Results of on-line Customer Satisfaction Survey.
  • Progress reports to the IMG.
  • Webtrends Usage Reports.
  • Webtrends Usage Reports.
  • Internet Customer Satisfaction Survey Results.
Baseline
  • FY 2001: DOL does not have a common office automation suite of software DOL-wide.
  • FY 2001: The RTN is fully operational.
  • FY 2001: ATA and legacy payroll systems in use.
  • FY2002: LaborNet customer satisfaction baseline to be established.
  • FY2000: Zero topical and client-targeted web interfaces.
  • FY2000: Average monthly user sessions: 2,732,919,

Average monthly page hits: 14, 366,961.

  • FY 2001: Baseline to be established.
  • FY 2000: Average customer satisfaction usability results: 4.05

(Scale: 1=Exactly, 5=Not At All)

Comment

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Outcome Goal HR: Establish DOL as a Model Workplace--Performance Goals

HR1 Performance Goal FY 2002: The right people are in the right place at the right time to carry out the mission of the Department.

a) A prepared and competent workforce

b) A diverse workforce

c) Compliance with merit system principals

FY 2001: N/A

FY 2000: N/A

Performance Results FY 2000: N/A
Indicators a1) Extent of satisfaction by selecting officials with the quality of applicants referred for their vacancies.

a2) Extent of agreement by program managers that their workforce enables their program to meet its mission.

b1) Extent of satisfaction of selection officials with the diversity of the applicants referred for their vacancies.

b2) Extent to which diversity in the DOL workforce reflects the civilian labor force.

c1) Percent of vacancy announcements that meet regulatory requirements.

c2) Extent to which DOL employees agree that personnel actions are carried out in accordance with merit system principles.

Data Sources a1) Survey of selecting officials.

a2) Survey of program managers.

b1) Survey of selecting officials.

b2) Data on overall DOL representation rates for the six protected groups.

c1) Accountability review (several DOL agencies are reviewed each year).

c2) DOL survey or MSPB/OPM survey.

Baseline a1) To be established in 2001

a2) To be established in 2001

b1) To be established in 2001

b2) 2000 data

c1) To be established in 2001

c2) To be established in 2001, or use 2000 MSPB/OPM survey results

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.

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HR2 Performance Goal FY 2002: 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 2001: Reduce the rate of lost production days by 3.5 percent (i.e., number of days employees spend away from work due to injuries and illnesses).

FY 2000: 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

Performance Results FY 2000: This goal was not achieved. The rate of lost production days was reduced by .05 percent to 57.1 days per 100 employees.

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 DOL's Office of Budget.

OWCP Charge Back System data.

Baseline Initial baseline for lost production days was officially set by OWCP at 56 days per 100 employees in FY 2001 (based on FY 2000 data).
Comment Factors that will influence achieving the above goal: ability of the Safety and Health Center to fill currently vacant staff positions; progress in achieving the FY 2001 goals; and successful implementation of the new system for filing and tracking of injury/illness reports.

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HR3 Performance Goal FY 2002: Reduce the overall occurrence of injuries and illnesses for DOL employees by 3 percent, and improve the timeliness of filing injury/illness claims by 5 percent.

FY 2001: Same as FY 2002

FY 2000: Reduce the overall occurrence of injuries of DOL employees by three percent. Improve the timeliness of filing injury claim forms by five percent.

FY 1999: N/A

Performance Results 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 3.50 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 a) Percent decrease in total case rate of illnesses, accidents, & injuries (target is 3%).

b) Increase in timeliness of reporting new injuries (target is 5%).

Data Source OWCP time-lag reports for federal agencies for submission of claims forms CA-1

and CA-2 within 10 working days or 14 calendar days.

OWCP Table 2 Reports and personnel data from DOL's Office of Budget.

Baseline a) Initial baseline for timeliness of filing is 47.4% based on 1998 data. Initial baseline injury and illness rate is 3.71 cases per 100 employees based on 1997 data.
Comment Preliminary data indicated that DOL's injury and illness rate had increased in FY 2000. As a result, DOL reported that this goal had not been achieved and accelerated its reduction to 5% in FY 2001 to assist in achieving the Initiative's overall 5-year goal. More current and accurate data indicates that this goal was achieved (3.50 cases per 100 employees). As a result, DOL's FY 2001 goal has reverted to the Initiative's original 3% reduction (3.49 cases per 100 employees). DOL exceeded the timeliness of filing goal in FY 2000 (57.3%) and has implemented a stretch goal of 65% in FY 2001. Factors that will influence achieving the above goals: ability of the Safety and Health Center to fill currently vacant staff positions; progress in achieving the FY 2001 goals; and successful implementation of the new system for filing and tracking of injury/illness reports.

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Outcome Goal PR: Improve Procurement Management--Performance Goals

PR1 Performance Goal FY 2002: Complete public-private or direct conversion competitions on not less than the five percent of the FTE listed on the DOL's Federal Activities Inventory Reform Act (FAIR) listings.

FY 2001: N/A

FY 2000: N/A

Performance Results N/A
Indicator Percentage of commercial competitive or commercial exempt FTE on the Department's FAIR inventory included in completed competitions or direct conversions.
Data Sources DOL Federal Activities Inventory Reform Act inventory.

Completed A-76 competitions.

Completed direct conversion competitions for DOL commercial exempt FTE.

Baseline FY 2001 FTE listings.
Comment During the remainder of FY 2001 DOL will: (a) assess and verify the accuracy of the Department's current system for conducting FAIR Act inventories; (b) provide recommendations for changes in how DOL inventories are conducted; (c) where changes are needed, develop and implement a DOL wide implementation plan; (d) validate and refine the system as needed.

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Appendix B. Relationship of Budget Activities to Outcome Goals

Strategic Goal 1--A Prepared Workforce

Outcome Goal 1.1

ETA

Training and Employment Services

0174-0-1-504

01 Adult employment and training activities

03 Dislocated worker employment and training activities

10 Native Americans

11 Migrant and seasonal farm workers

13 National programs

Welfare to Work

0177-0-1-504

01 Formula grants

02 Competitive grants



Community Service Employment for Older Americans

0175-0-1-504

01 National programs

02 State programs



Employment Service

0179-0-1-999

10 Grants to States

11 National activities

12 One-stop centers

13 Work Incentive assistance grants



Program Administration

0172-0-1-504

01 Adult services

03 Workforce security

04 Apprenticeship training, employer and labor services

05 Executive Direction

06 Welfare to Work

VETS

Veterans Employment and Training

0164-0-1-702

01 Disabled veterans outreach program

02 Local veterans employment representatives

03 Administration

04 National Veterans Training Institute

05 Homeless veterans program

06 Veterans workforce investment program

Office of the Inspector General

0106-0-1-505

01 Program activities

02 Executive direction and management

Departmental Management

0165-0-1-505

01 Program direction and support

02 Legal services

04 Administration and management

07 Women's Bureau

09 Chief Financial Officer

Office of Disability Employment Policy

0166-0-1-505

01 Office of Disability Employment Policy

02 President's Taskforce on Employment of Adults with Disabilities

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Outcome Goal 1.2

ETA

Training and Employment Services

0174-0-1-504

05 Youth activities

06 Youth opportunity grants

07 Job Corp

08 Responsible reintegration for youth offenders

13 National programs

14 Expired programs

Employment Service

0179-0-1-999

10 Grants to States

11 National activities

Program Administration

0172-0-1-504

02 Youth services

05 Executive Direction

Office of the Inspector General 0106-0-1-505

01 Program activities

02 Executive direction and management

Departmental Management

0165-0-1-505

01 Program direction and support

02 Legal services

04 Administration and management

09 Chief Financial Officer

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Outcome Goal 1.3
BLS

0200-0-1-505

01 Labor force statistics

02 Prices and living conditions

03 Compensation and working

conditions

04 Productivity and technology

06 Executive direction and staff services

07 Consumer Price Index

9.01 Reimbursable program

Office of the Inspector General

0106-0-1-505

01 Program activities

02 Executive direction and management

Departmental Management

0165-0-1-505

01 Program direction and support (ASP)

04 Administration and management

09 Chief Financial Officer

Office of Disability Employment Policy

0166-0-1-505

01 Office of Disability Employment Policy

02 President's Taskforce on Employment of Adults with Disabilities

Text Version

Strategic Goal 2--A Secure Workforce

Outcome Goal 2.1

PWBA

1700-0-1-601

01 Enforcement and Compliance

02 Policy, regulations and public services

03 Program oversight

9.01 Reimbursable program

ESA

Direct program

0105-0-1-505

01 Enforcement of wage and hour standards

04 Program direction and support

05 Labor-management standards

9.01 Reimbursable program

Veterans Employment and Training

0164-0-1-702

03 Administration

04 National Veterans Training Institute

Office of the Inspector General

0106-0-1-505

01 Program activities

02 Executive direction and

management

Departmental Management

0165-0-1-505

01 Program direction and support (ASP)

02 Legal services

04 Administration and management

09 Chief Financial Officer

Text Version


Outcome Goal 2.2

ETA

Fed Unemployment Benefits & Allowances

0326-0-1-999

01 Trade adjustment assistance benefits

03 NAFTA adjustment assistance benefits

9.01 Reimbursable program

Training & Employment Services

0174-0-1-504

13 National programs



Unemployment Compensation

0179-0-1-999

01 State Administration

02 National Activities

9.01 Reimbursable grants

Unemployment Trust Fund

8042-0-7-999

01, 02, 03 Federal State withdrawals

10, 11 Federal administrative expenses

20 Veterans employment and training

21 Interest on refunds

Program Administration

0172-0-1-504

03 Workforce security

05 Executive Direction

Outcome Goal 2.2 continued

ESA

Direct program

0105-0-1-505

01 Enforcement of wage and hour standards

03 Federal programs for workers compensation

04 Program direction and support

05 Labor-management standards

9.01 Reimbursable program

Black Lung Disability Trust Fund

8144-0-7-601

01 Disabled coal miners benefits

02 Administrative expenses

03 Interest on advances

Special Workers Compensation Expenses

9971-0-7-601

01 Longshore and Harbor Workers Compensation Act

02 DC Compensation Act

Special Benefits

1521-0-1-600

01 Longshore and harbor workers compensation benefits

02 Federal Employee Compensation Act benefits

Panama Canal Commission Compensation Fund

5155-0-2-602

PWBA

1700-0-1-601

01 Enforcement and Compliance

02 Policy, regulations and public services

03 Program oversight

9.01 Reimbursable program

PBGC

4204-0-3-601

01 Single employer benefits payment

02 Multi-employer program financial assistance

9.03 Administrative expenses

9.04 Services related to terminations

Departmental Management

0165-0-1-505

01Program direction and support

02 Legal services

04 Administration and management

05 Adjudication

09 Chief Financial Officer

Office of the Inspector General: 0106-0-1-505

01 Program activities

02 Executive direction and management

Text Version


Outcome Goal 2.3

ETA

Training & Employment Services

0174-0-1-504

03 Dislocated worker employment and training activities

Employment Service

0179-0-01-999

12 One-stop centers

Federal Unemployment Benefits & Allowances

0326-0-1-999

02 Trade adjustment assistance

training

04 NAFTA adjustment assistance training

Program Administration

0172-0-1-504

01 Adult services

05 Executive Direction

Departmental Management

0165-0-1-505

01 Program direction and support

02 Legal services

04 Administration and management

09 Chief Financial Officer

Text Version

Strategic Goal 3--Quality Workplaces



Outcome Goal 3.1

OSHA

Direct Program

0040-0-1-554

01 Safety and health standards

02 Federal enforcement

03 State programs

04 Technical support

05 Federal compliance assistance

06 State consultation grants

07 Training grants

08 Safety and health statistics

09 Executive direction and administration

9.01 Reimbursable program

MSHA

Enforcement

1200-0-1-554

01 Coal

02 Metal/non-metal

03 Standards development

04 Assessment

05 Educational policy and development

06 Technical support

07 Program administration

9.01 Reimbursable program

Office of the Inspector General

0106-0-1-505

01 Program activities

02 Executive direction and management

Departmental Management

0165-0-1-505

01 Program direction and support

02 Legal services

04 Administration and management

09 Chief Financial Officer

Text Version


Outcome Goal 3.2

ESA

Direct Program

0105-0-1-505

02 Federal contractor EEO standards enforcement

04 Program direction and support

Office of the Inspector General

0106-0-1-505

01 Program activities

02 Executive direction and management

Departmental Management

0165-0-1-505

01 Program Direction and support

02 Legal services

04 Administration and management

08 Civil Rights

09 Chief Financial Officer

Text Version


Outcome Goal 3.3

ETA

Training and Employment Services

0174-0-1-504

13 National programs

Departmental Management

0165-0-1-505

01 Program direction and support (ASP)

02 Legal services

04 Administration and management

09 Chief Financial Officer

Text Version


Outcome Goal 3.4

Departmental Management

0165-0-1-505

01 Program direction and support

02 Legal services

03 ILAB

04 Administration and management

09 Chief Financial Officer

Office of the Inspector General

0106-0-1-505

01 Program activities

02 Executive direction and

management

Appendix C. Cross-Walk of Congressional Committees to Strategic Goals

Congressional Committee

Goal 1:
A Prepared Workforce

Goal 2:
A Secure Workforce

Goal 3:
Quality Workplaces

Departmental
Management Goals

Senate Government Affairs Committee x x x x
House Government Reform and Oversight Committee x x x x
Senate Committee on Health, Education, Labor, and Pensions x x x x
House Education and Workforce Committee x x x x
House Appropriations Subcommittee for Labor, Health and Human Services x x x x
Senate Appropriations Subcommittee for Labor, Health and Human Services x x x x
House Budget Committee x x x x
Senate Budget Committee x x x x
Joint Economic Committee x x x x
Senate Indian Affairs Committee x      
House Ways and Means Committee x x    
Senate Finance Committee x x    
House Veteran's Affairs Committee x x    
Senate Veteran's Affairs Committee x x x  
House Small Business Committee   x x  
House Resources Committee     x  
Senate Small Business Committee   x x  
Senate Environment and Public Works Committee     x  

Text Version

Appendix D. List of Acronyms

AJB America's Job Bank
ALMIS America's Labor Market Information System
BLS Bureau of Labor Statistics
APP Annual Performance Plan
CFO Chief Financial Officer
CFR Code of Federal Regulations
CMS Case Management System
COP Continuation of Pay
CPI Consumer Price Index
DOD U.S. Department of Defense
DOI U.S. Department of Interior
DOJ U.S. Department of Justice
DOL U.S. Department of Labor
DOLAR$ Department of Labor Accounting & Related Systems
DOT U.S. Department of Transportation
DVOP Disabled Veterans' Outreach Program
ED U.S. Department of Education
EEO Equal Employment Opportunities
EEOC Equal Employment Opportunity Commission
EO Equal Opportunity
ERISA Employee Retirement and Income Security Act
ESA Employment Standards Administration
ETA Employment and Training Administration
FAIR Federal Activities Inventory Reform Act
FASAB Federal Accounting System Advisory Board
FBI Federal Bureau of Investigation
FECA Federal Employees' Compensation Act
FFMIA Federal Financial Management Improvement Act
FM Financial Management
FTE Full Time Equivalent
FY Fiscal Year
GAO General Accounting Office
GMRA Government Management Reform Act
GPRA Government Performance and Results Act
GSA General Services Administration
HHS U.S. Department of Health and Human Services
HR Human Resources
HUD U.S. Department of Housing and Urban Development
HVRP Homeless Veterans Reintegration Project
ILAB Bureau of International Labor Affairs
ILO International Labor Organization
IMIS Integrated Management Information System
INS Immigration and Naturalization Service
IPEC International Program for the Elimination of Child Labor
IRS Internal Revenue Service
IT Information Technology
JTPA Job Training Partnership Act
LMRDA Labor-Management Reporting and Disclosure Act
LVER Local Veterans' Employment Representative
LWDII Lost Work Day Injury and Illness Rate
MOU Memorandum of Understanding
MSHA Mine Safety and Health Administration
NAFTA North American Free Trade Agreement
NIOSH National Institute for Occupational Safety and Health
OASAM Office of the Assistant Secretary for Administration and Management
OCFO Office of the Chief Financial Officer
ODEP Office of Disability Employment Policy
ODI OSHA Data Initiative
OFCCP Office of Federal Contract Compliance Programs
OIG Office of the Inspector General
OMB Office of Management and Budget
O*NET Occupational Information Network
OPM Office of Personnel Management
OSBP Office of Small Business Programs
OSHA Occupational Safety and Health Administration
OSOS One-Stop Operating System
OTE OSHA Office of Training and Education
OWCP Office of Workers' Compensation Programs
P&F Program and Financing
PBGC Pension Benefit Guaranty Corporation
PPI Producer Price Index
PRM Periodic Roll Management
PROVET Providing Reemployment Opportunities for Veterans
PWBA Pension and Welfare Benefits Administration
PY Program Year
QCM Quality Case Management
SBA Small Business Administration
SBREFA Small Business Regulatory Enforcement Fairness Act
SESA State Employment Security Agency
SIMPOC Statistical Information and Management System on Child Labor
SOL Office of the Solicitor
SSA Social Security Administration
TAA Trade Adjustment Assistance
TANF Temporary Assistance for Needy Families
TAP Transition Assistance Program
TAPR Trade Adjustment Performance Report
TECS Technology for Excellent Customer Service
UI Unemployment Insurance
USAID Agency for International Development
USDA U.S. Department of Agriculture
VA U.S. Department of Veterans Affairs
VEVRA Vietnam Era Veterans Readjustment Assistance Act
USAID U.S. Agency for International Development
VETS Veterans' Employment and Training Service
WB Women's Bureau
WHD Wage and Hour Division
WHISARD Wage Hour Investigator Support and Reporting Database
WIA Workforce Investment Act
WOTC Work Opportunity Tax Credit
WtW Welfare-to-Work