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United States Department of Labor FY 2001 Annual Performance Plan Appendix's B,C,D, and E

Details of FY 2001 Performance Goals, Indicators & Baselines

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

text version

1.1A Performance Goal FY 2001: Of those Welfare-to-Work (WtW) participants placed in unsubsidized employment, 66% will remain in the workforce for six months with 6% average earnings increase by the second consecutive quarter following placement.

FY 2000: Of those Welfare-to-Work (WtW) participants placed in unsubsidized employment, 60% will remain in the workforce for six months with 5% average earnings increase by the second consecutive quarter following placement.

FY1999: N/A *

FY 1999 Performance Results N/A
Indicator Employment retention after six months; average earnings change after six months
Data Source
  • WtW Formula Grant Cumulative Quarterly Financial Status Report (FSR)
  • WtW Competitive Grant Cumulative Quarterly Financial Status Report (FSR)
Baseline
  • WtW FSR unsubsidized employment retention data as of 9/30/99 (10%)
  • FY 1999 TANF high performance bonus retention data (80%)
  • PY 1997 and PY 1998 JTPA Title IIA welfare follow-up (14 weeks after termination) employment rate data (64%)
Comment The WtW FY 1999 performance goal read "56% of Welfare-to-Work (WtW) program terminees will be placed in unsubsidized employment." The FY 2000 goal was revised to eliminate measuring placement of those terminated, as the concept of termination was not compatible with the WtW focus on providing services to individuals who are working to keep them in the job and help them advance in earnings. As a result, the goal is formulated to measure retention in the workforce and increased earnings at two quarters after placement.

* N/A denotes a performance goal or performance result is not applicable for a given year.

1.1B Performance Goal PY2001: In Program Year 2001, of those registered under the WIA adult program, 78% will be employed in the third quarter after program exit, with increased average earnings of $3,361.

PY 2000: Of those registered under the WIA adult program, 76.5% will be employed in the third quarter after program exit, with increased average earnings of $3,264

PY 1999: N/A

PY 1999 Performance Results N/A
Indicator Employment retention after six months; average earnings change after six months
Data Source State WIA reports, (UI wage records will be primary source)
Baseline 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 eight states using WIA indicator specifications which yielded a range of from 72% to 84% for employment and from $2602 to $5488 for earnings gain.
Comment The goal for this indicator is preliminary and based upon the limited experiences of 8 States. The goal may be revised based upon the Department reaching agreement with all States on WIA adjusted levels of performance for Program Year 2000. Employment retention includes exiters employed upon registration and in the first quarter after exit. Earnings gain is based upon a comparison of earnings in the second and third quarters after exit with earnings in the second and third quarters prior to registration.

1.1C Performance Goal PY 2001: In Program Year 2001,76% of job seekers registered by the Wagner-Peyser Act funding stream will have unsubsidized jobs six months after initial entry into employment (Six Month Retention Rate).

PY 2000: N/A

PY 1999: N/A

PY 1999 Performance Results N/A
Indicator Percent of individuals registered who received some reportable service, remaining in unsubsidized jobs six months after entry into employment
Data Source Sample of job seekers registered by the Wagner-Peyser Act funding stream who have entered unsubsidized employment and who received some reportable service as reported on the ETA 9002
Baseline New Goal. FY 2001 will become the baseline.
Comment: This goal is related to the implementation of WIA in PY 2000 and the new WIA performance accountability system since local ES offices are mandatory partners in One-Stop Career Centers established by WIA. The goal may be revised based upon implementation of WIA in PY 2000. An instrument to obtain the data for this measure must be developed.

1.1D Performance Goal PY 2001: In Program Year 2001, increase by 10 percent, 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.

PY 2000: Increase by 15 percent, 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.

PY1999: Increase by 20 percent, 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.

FY 1998 Performance Results The total number of job openings listed with the public employment service increased by 16.5 percent to 8.5 million. The number of job openings listed with the SESAs increased by 11.9 percent to 7.3 million, while the number of job openings listed directly with AJB increased by 51.8 percent to 1.2 million
Indicator Number of job openings listed with SESAs plus the number of job openings listed directly with AJB
Data Source State Reports
Baseline Baseline will be FY 2000 data. 8.5 million total number of job openings were listed with the public employment service in 1999 (PY 1998). 7.3 million job openings were listed with the SESAs, while 1.2 million job openings were listed directly with AJB.
Comment An increasing proportion of job openings now are being listed on AJB.

This goal is subject to fluctuations in the business cycle. If the business cycle turns downward, the goal may be adjusted accordingly.

1.1E Performance Goal FY 2001: Increase by 5% the number of people with disabilities served and increase by 2 percentage points the rate of unsubsidized employment (entered employment rate) in the local Workforce Investment Area.

FY 2000: The new Work Incentive Grant program will be implemented by September 30, 2000, with plans for 40 to 60 awards in State and local areas to enhance services for people with disabilities in the One-Stop Center environment.

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Number of people with disabilities registered under Title I of WIA program; percent of people with disabilities in unsubsidized employment under Title I of WIA
Data Source A grant program reporting system to be established.
Baseline Baseline to be established in FY 2000 using WIA data.
Comment

1.1F Performance Goal FY 2001: Increase by 6% the number of newly registered female apprentices over the end of the FY 1999 baseline.

FY 2000: N/A

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Percent increase of newly registered female apprentices over the end of the FY 1999 baseline.
Data Source Apprenticeship Information Management System (AIMS)
Baseline In FY 1999, there were 7,508 newly registered female apprentices.
Comment

1.1G Performance Goal PY 2001: In Program Year 2001, 69% of participants will be satisfied with services received from workforce investment activities.

PY 2000: N/A

PY 1999: N/A

FY 1999 Performance Results N/A
Indicator Participant customer satisfaction.
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 customer satisfaction based upon three questions that will be asked of a sample of WIA program exiters. The index is based upon the American Customer Satisfaction Index.

1.1H Performance Goal PY 2001: In Program Year 2001, 66% of employers will be satisfied with services received from workforce investment activities.

PY 2000: N/A

PY 1999: N/A

FY 1999 Performance Results N/A
Indicator Employer customer satisfaction.
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 employer customer satisfaction based upon three questions that will be asked of a sample of employers using WIA program exiters. The index is based upon the American Customer Satisfaction Index.

1.1I Performance Goal FY 2001: Increase the number of women in the labor force who have greater knowledge that can assist them in improving their pay and benefits, worklife needs, and career advancement as measured by a 5 percent increase.

FY2000: Increase by 10% the number of women prepared for the labor force by providing them with tools and education on equal pay, occupational segregation, pension benefits, dependent care, diverse nontraditional occupations, safe and healthy workplaces, and their rights in the workplace. (From 25,000 to 27,500)

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator
  • Number of individual women and employers provided direct assistance and/or consultation by the Women's Bureau
  • Number of women served through service providers or employers educated or provided information by the Women's Bureau
  • Number of women provided assistance to gain entry into nontraditional jobs through WANTO grants and the number of employers and labor unions provided education and assistance by WANTO grantees.
  • Number of women provided assistance to gain entry into high wage, high tech careers and/or entrepreneurship
  • Number of young women (middle and high school age) 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
  • Grantees and Contractors Reports
  • WB Evaluation Form (OMB Approved)
  • Grantees and Contractors Evaluation Forms
  • Customer Comment Cards
Baseline FY 2001 baseline 32,000
Comment The 31,588 women reached directly by the Women's Bureau must be viewed as a sub-set of the approximately 2 million women reached indirectly through Women's Bureau influence of policy issues implemented at the State and local government levels, through employers, and partnering with other organizations.

1.1J Performance Goal FY 2001: 27% of those veterans and other eligible persons registering for public labor exchange services will enter employment each year through assistance provided by VETS' funded staff and the Wagner-Peyser funded systems.

FY 2000: 27% of veterans that register with the Public Employment Service will enter employment and for DVOP and LVER staff the ratio will be 30%. .

FY 1999:N/A

FY 1999
Performance
Results
N/A
Indicator Percent of veterans and other eligible persons served by DVOP and LVER specialists who enter employment
Data Source Reports submitted by State Employment Security Agencies
Baseline FY 1999- 27%
Comment This goal will be discussed with stakeholders during the year, to consider adjustments to the minimum standard for future years.

1.1K Performance Goal FY 2001: At least 50% of those veterans and other eligible persons enrolled in Homeless Veteran Reintegration Project grants enter employment.

FY 2000: NA

FY 1999: N/A

FY 1999
Performance
Results
50%
Indicator Number of those veterans and other eligible persons enrolled in HVRP who enter employment.
Data Source Reports submitted by VETS grantees
Baseline FY 1999-50%
Comment

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

1.2A Performance Goal PY 2001: In Program Year 2001, of the 14-18 year-old youth registered under the WIA youth program, 50% will be either employed, in advanced training, post-secondary education, military service or apprenticeships in the third quarter after program exit.

PY 2000: Of the 14-18 year-old youth registered under the WIA youth program, 48% will be either employed, in advanced training, post-secondary education, military service or apprenticeships in the third quarter after program exit.

PY 1999: N/A

PY 1999 Performance Results N/A
Indicator Percent of youth in either employment, advanced training, post-secondary education, military service, or apprenticeship six month after exit from program.
Data Source State WIA reports; UI wage records
Baseline There is no prior experience with this indicator and no basis for approximating a baseline from current JTPA reports.
Comment Quantified levels for performance measures under the Workforce Investment Act (WIA) will be developed through cooperative negotiation between DOL, its partners, and stakeholders. A small number of States have begun early implementation of WIA for PY 1999, however, data has not previously been collected on this measure which would assist in the development of a baseline. The Department believes this measure will serve as a valid measurement of program performance. The results achieved by the early implementing States will form the basis for the establishment 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.

1.2B Performance Goal: PY 2001: In Program Year 2001, of the 19-21 year-old youth registered under the WIA youth program, 75% will be employed in the third quarter after program exit.

PY 2000: Of the 19-21 year-old youth served under the WIA youth program, 73.6% will be employed in the third quarter after program exit.

PY 1999: N/A

PY 1999 Performance Results N/A
Indicator Percent of youth employed six months after program exit.
Data Source State WIA reports, (UI wage ) records will be primary source
Baseline 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 eight states using WIA indicator specifications which yielded a range of from 69% to 81% for employment.
Comment Quantified levels for performance measures under WIA will be developed through cooperative negotiation between DOL, its partners, and stakeholders. A small number of States have begun early implementation of WIA for PY 1999, and this limited performance will form the basis of baseline data and negotiation of goals for PY 2000 - the period which all States will begin to operate under WIA. The above goal serves as a proxy measure for the expected level of performance based upon levels negotiated with a limited number of early implementing States. The proxy measure will be revised and a baseline level established as performance data is available from the remaining States. Note: the goal excludes youth who go on to post secondary education or advanced training.

1.2C Performance Goal PY 2001: In Program Year 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. (Placement and Retention).

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.
PY 1999 Performance Results The goal was exceeded: 82.4% of Job Corps trainees were placed in jobs, the military, or pursued further education. For those placed in jobs, the average wage was $6.87 per hour.
Indicator Percentages of Job Corps graduates who obtain jobs, average hourly entry wages, percent who continue employment or education for the following six months..
Data Source Job Corps Management Information System.
*Six month job retention goal derived at by projecting from existing thirteen week job placement data collection.
Baseline 75% of Job Corps trainees got jobs or pursued education and, for those with jobs, the average wage was $5.98 per hour (FY 1995).
Comment Job Corps targets severely disadvantaged youth with a variety of barriers to self-sufficiency, including deficiencies in education and job skills. To provide enhanced quality placement services required by the WIA, in FY 2001 Job Corps will focus resources on program improvements informed by employer feedback to increase job retention for graduates.

1.2D Performance Goal PY 2001:

1. In Program Year 2001, 50% of 14-18 year old Youth Opportunity Grant participants placed in employment, the military, advanced training , post secondary education, or apprenticeships will be retained at six months.

2. In Program Year 2001, 60% of 19-21 year old Youth Opportunity Grant participants placed in employment will be retained in the third quarter after exit.

In PY 2000, 50% of the 19-21 year old Youth Opportunity Grant participants will be employed in the quarter after exit.

PY 1999: N/A
PY 1999 Performance Results N/A
Indicator Youth retained for six months in employment, military, advanced training, post-secondary education, or apprenticeships
Data Source Grantee reports.
Baseline Baseline will be established first full year of the program.
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 which experience different barriers than those normally served under WIA. PY 2001 will establish the baseline for performance . In addition, based upon grantee reports, ETA will review other possible outcome-oriented measures for youth participating under Youth Opportunity grant areas.

1.2E Performance Goal: FY 2001: In 25 communities, Youth Councils will build local partnerships with business, community organizations, and schools to improve opportunities for at-risk youth.

FY 2000: N/A

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Number of partnerships created.
Data Source Project reports and documentation from local grantees.
Baseline The Department of Labor's involvement in this initiative is new.
Comment This is a system-building initiative. Currently administered by the Departments of Justice, Education, and HHS, the Department of Labor will join this multi-agency initiative.

1.2F Performance Goal: FY 2001: 65% of Responsible Reintegration for Young Offender program graduates will get jobs, re-enroll in high school, or be enrolled in post-secondary education or training.

FY 2000: N/A

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator: Percentages of program graduates who obtain placement in employment or enrollment in high school or postsecondary education or training.
Data Source: Youthful Offender program Management Information System.
Baseline: This is a new initiative.
Comment: Youthful offenders are a particularly difficult population to serve. Also, most employers do not readily hire individuals with criminal records.

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

1.3A Performance Goal FY 2001: Produce and disseminate timely, accurate, and relevant economic information.

FY 2000: Produce and disseminate timely, accurate, and relevant economic information.

FY 1999: Produce and disseminate timely, accurate, and relevant economic information.

FY 1999 Performance Results The timeliness measure targets of 100 percent were met for the Consumer Prices and Price Indexes and Employment Cost index. The National Labor Force and Employment, Hours, and Earnings statistics goal, and Producer Price Index (PPI) results were 91.7 percent. Quality measures for all programs were met except for that of the PPI. The result for the PPI was 41.2 percent (target 43.2) of services produced and 54.3 percent (target 55.7)of total production.
Indicator Percent 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 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). (Baseline is FY 2000 and is still to be determined.)

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: 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.)

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

Internet Usage for FY 1999:

Average number of user sessions each month = 707,347

Comment

1.3B Performance Goal FY 2001: Improve the accuracy, efficiency, and relevancy of economic measures.

FY 2000: Improve the accuracy, efficiency, and relevancy of economic measures.

FY 1999: Improve the accuracy, efficiency, and relevancy of economic measures.

FY 1999

Performance

Results

The performance indicators are milestones to be reached in each year. Therefore, the indicators are different for FY 1999, FY 2000, and FY 2001. There are no FY 1999 results that correspond to the FY 2001 indicators.
Indicator
  • Conduct cognitive testing, finalize core questionnaire, and obtain OMB clearance for the new time-use survey
  • In the Local Area Unemployment Statistics program, create a research database for modeling substate labor market areas.
  • In the Producer Price Index program, research and select sample frames and develop pricing methodologies for the warehouse construction industry.
  • Implement item outlet rotation in all geographic areas of the Consumer Price Index.
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
FY 1999 results, FY 2000 measures, or baseline measures.

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

2.1A Performance Goal FY 2001: Increase compliance with labor standards laws and regulations including young workers in nationally targeted industries. In FY 2001, increase compliance in the garment industry to 85% in the San Francisco and 42% in New York City; in agricultural commodities - to 47% in onion, 80% in tomato, and 70% in the health care industry - to 62% in residential health care industry (assisted living facilities).

FY 2000: Garment: 45% in Los Angeles (6% increase over FY1998 performance)


Agricultural Commodities: establish baseline for garlic
Poultry Processing: 5% increase
Forestry: establish baseline
Health Care: 5% increase in nursing homes

FY 1999: Increase compliance with labor standards laws and regulations by 5% in the San Francisco and New York City garment industries; in the agricultural industry - establish baselines for the commodities of onions, lettuce and cucumbers; and establish baseline for residential health care (assisted living facilities)
FY 1999
Performance
Results
The garment goal was not met. The compliance rate in San Francisco was 74% (target 79%). The compliance rate in New York City was 35%. (target was 37%). Compliance baselines were established.
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 (FY 1997).
37% compliance in the New York City garment industry (FY 1997).
22% compliance in the Los Angeles garment industry (FY 1994).
75% compliance in tomato commodities (FY 1996).
70% compliance in the nursing home industry (FY 1997).
57% compliance in residential health care (assisted living facilities) (1999).
40% compliance in the poultry processing industry ( FY 1998).
49% compliance in cucumber commodities (1999)
42% compliance in onion commodities (1999)
65% compliance in lettuce commodities (1999)
38% compliance in garlic commodity (2000)
30% compliance in forestry (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.

2.1B Performance Goal Reserved
FY 1999
Performance
Results
N/A
Indicator
Data Source
Baseline
Comment

2.1C Performance Goal Reserved
FY 1999
Performance
Results
N/A
Indicator
Data Source
Baseline
Comment

2.1D Performance Goal Increase compliance by 15 percentage points (10-15 percentage points based on years surveys are conducted) among employers, which were previous violators and the subject of repeat investigations in nationally targeted industries. In FY 2001, improve reinvestigation compliance rates in the garment industry to 90% in San Francisco and 57% New York City; in agricultural commodities - to 64% in tomato, 47% in onion, and 48% in lettuce; and in the health care industry - to 60% in residential health care (assisted living facilities).

FY 2000: Garment: 5% increase in Los Angeles
Agriculture Commodities: establish baseline for garlic
Health Care: 5% increase in nursing homes
Forestry: establish baseline
Poultry: 5% increase

FY 1999: To increase compliance among employers, which were previous violators and the subject of repeat investigations, establish baselines in the San Francisco and New York City garment industries; in the agricultural commodities of lettuce, cucumbers, and onions; and in the residential health care industry (assisted living facilities).

FY 1999
Performance
Results
Goal was met.
Indicator Trends in compliance/violation rates by industry (NAIC code); changes in results in 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:

37% compliance in reinvestigated Los Angeles garment industry (2000)
86% compliance in reinvestigated San Francisco garment industry (1999)
52% compliance in reinvestigated New York City garment industry (1999)
76% compliance in reinvestigated nursing home industry (1997)
59% compliance in reinvestigated tomato commodity (1999)
55% compliance in reinvestigated residential health care (assisted living facilities) (1999)
40% compliance in reinvestigated poultry processing (1998)
43% compliance in reinvestigated lettuce commodity (1999)
42% compliance in reinvestigated onion commodity (1999)
37% compliance in reinvestigated cucumber commodity (1999)
15% compliance in reinvestigated forestry industry (2000)
Baseline for garlic to be determined.

Comment This goal is to increase the level of compliance as a result of a Wage and Hour enforcement intervention. Data on entities covered in an investigation-based compliance survey that have previously been investigated by Wage and Hour, will be analyzed to compare those entities' compliance to the rest of the survey universe and to the entities' prior compliance history. Data on the outcomes or repeat investigations will also be used to evaluate the relative effectiveness, or return on investment, of the various types of interventions. Based on results, specific industries and/or industry sectors will be re-surveyed every 2 to 3 years.

2.1E Performance Goal 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.
FY 1999
Performance Results
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.

2.1F Performance Goal FY 2001: Increase by 2.5% per year (to 1,725) 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 tranactions are corrected (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)

FY 1999
Performance
Results
Goal was met. 958 case assets were restored and 389 cases 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 average 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 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.

2.1G Performance Goal 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 2000: N/A

FY 1999: N/A

FY 1999
Performance
Results
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 average number of closed fiduciary investigations of employee pension 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.

Outcome Goal 2.2 - Protect Worker Benefits -- Performance Goals

2.2A Performance Goal: FY 2001: Unemployed workers receive fair UI benefit eligibility determinations and timely benefit payments:
  • Increase to 26 the number of States meeting or exceeding the minimum performance criterion for benefit adjudication quality
  • Increase to 48 the number of States meeting or exceeding the Secretary's Standard (minimum performance criterion) for intrastate payment timeliness.

FY 2000: Unemployed workers receive fair UI benefit eligibility determinations and timely benefit payments:

  • Increase to 24 the number of States meeting or exceeding the minimum performance criterion for benefit adjudication quality.
  • 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

FY 1999 Performance Results N/A
Indicator:
  1. Benefit adjudication quality: # of States meeting or exceeding the minimum criterion that 75% of non-monetary eligibility determinations have an adequate quality score (>80 points using standard review instrument)
  2. Payment timeliness: # of States meeting or exceeding the Secretary Standard that 87% of intrastate 1st Payments be made within 14 days of the first compensable week- ending date if the state has a waiting week and within 21 days if it does not have a waiting week.
Data Source: ETA 9056 Report (non-monetary determinations quality); ETA 9050 Report (initial payment promptness)
Baseline: FY 1999:
  1. Benefit adjudication quality: 20 States met the minimum criterion for adequate non-monetary determinations quality (nationwide, 70.7% of all non-monetary determinations were adequate);
  2. Payment timeliness: 46 States met the Secretary's Standard for timely first payments; (nationally, 89.6% of all intrastate first payments were made within 14/21 days)
Comment: The current UI validation program validates non-monetary quality measures and the numbers of first payments but not payment time lapse. All facets of key performance measures are scheduled to be validated through the UI Data Validation program starting in 2000.
The Department will work through technical assistance and other means within the UI PERFORMS system to raise the number of States attaining all minimum performance criteria. These efforts, plus encouraging continuous improvement at all levels, will also raise national averages.

2.2B Performance Goal FY 2001: Increase by 2% (to 66 million) benefit recoveries achieved through the assistance of Pension Benefit Advisors.

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

FY 1999:N/A

FY 1999
Performance
Results
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

2.2C Performance Goal FY 2001: 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 2000: 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: Revised Goal 2.2C : 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
Performance
Results
The goal was met. 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.

2.2D Performance Goal 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 production 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

FY 1999
Performance
Results
This goal was exceeded.
Indicator Average number of days lost due to disability for all cases.
Data Source Federal Employees' Compensation Act (FECA) data systems Federal agencypayroll offices; Office of Personnel Management employment statistics.
Baseline FY 2000: 68.3 workdays.
Comment 2000 DOL established a new baseline covering all federal employee injuries. Data for this much larger cohort requires that federal agencies capture and report "Continuation of Pay" data. The recently signed Presidential Initiative "Federal Worker 2000" sets a goal for agencies to reduce disability days, and will give impetus to data collection.
In FY Because the inclusion of thousands of temporary Census 2000 workers employed b the Department of Commerce would disproportionately skew the national result, the Commerce Department is excluded from the baseline calculation.

2.2E Performance Goal FY 2001: Produce $95 million in cumulative first-year savings (FY 1999-2001) 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

FY 1999
Performance
Results
This goal has been 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 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 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.

2.2F Performance Goal FY 2001:In the FECA program, reduce the average annual cost for physical therapy and psychiatric services 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 a 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.

FY 1999
Performance
Results
This goals was exceeded.
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

Average case costs for all cases receiving medical services after adjustment for inflation.

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

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 Scedule 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 each medical condition selected for review.

Comment The FECA program uses Fee Schedules to set payment levels for standard categories of billed medical services. Special automated bill review (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 conditions. These mechanisms, along with procedural changes and other quality controls, will result in overall reduction of program medical costs.

2.2G Performance Goal FY 2001: Each area of the country will be surveyed for all four types of construction at least every three years, and the resulting Davis- Bacon wage determinations validly represent locally prevailing wages/benefits. In FY2001, complete development of all aspects of a reengineered system.

FY 2000: Each area of the country will be surveyed for all four types of construction at least every three years, and the resulting wage determinations validly represent locally prevailing wages/benefits. In FY 2000, implement scanning technology and develop knowledge management technology; and complete analysis of BLS data and decide whether a reengineering or reinvention approach will be pursued in FY 2001.

FY 1999: Each area of the country will be surveyed for all four types of construction at least every three years, and the resulting wage determinations validly represent locally prevailing wages/benefits. In FY 1999, implement new data collection form and automated printing and mailing process and test whether automation can increase the accuracy and timeliness of the survey process and wage determinations.

FY 1999
Performance
Results
Target activities for FY 1999 were accomplished.
Indicator Survey Planning Data Base maintained by Construction Resource Analysis (CRA) measures the length of time since the last survey in every county
Data Source Survey Planning Data Base (CRA)
Baseline Baseline to be determined and goal achieved in FY 2002.
Comment Although some incremental improvements may be realized and conceptual changes validated, almost all of the improvement will be accomplished at the end of the process when a reengineered system is fully implemented.

2.2H Performance Goal Reduce processing time from 4-5 years to 3-4 years to send final, accurate benefit determinations to participants in defined benefit pension plans taken over by PBGC.

FY 2000: Issue final benefit notifications to participants in defined benefit pension plans taken over by PBGC within 6 to 7 years of trusteeship.

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Timeliness of final accurate benefit determinations to participants in trusteed plans
Data Source Participant Record Information Management
System 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 500,000 in FY 2001 while trusteed plans will have increased to 2,900. To keep up with these increases, PBGC must find ways to streamline processing and measure the results. PBGC will lower the time frame to 3-4 years in FY 2001.

Outcome Goal 2.3 - Provide Worker Retraining -- Performance Goals

2.3A Performance Goal PY 2001 In Program Year 2001, of those registered under the WIA dislocated worker program, 73% will be employed in the first quarter after program exit, and 83% will be employed in the third quarter after program exit with 91% of pre-dislocation earnings.

PY 2000: Of those registered under the WIA dislocated worker program, 71.4% will be employed in the first quarter after program exit and 81.6% will be employed in the third quarter after program exit with 89.7% of pre-dislocation earnings.

PY 1999: Under JTPA Title III for dislocated workers, 74% of program terminees will be employed at an average wage replacement rate (compared to their wage at dislocation) of 93% at termination; 76% will be employed one quarter after program exit at an average wage replacement rate of 97%.

PY 1998 Performance Results The goal was met. Based on PY 1998 data, 73% of program terminees were employed at an average wage replacement rate of 99% at termination, and 76% were employed one quarter after program exit at an average wage replacement rate of 102%.
Indicator Dislocated worker employment, employment retention, and earnings replacement
Data Source State WIA reports, (UI wage records will be the primary source)
Baseline 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 three states using WIA indicator specifications which yielded a range of from 72% to 80% for employment in the first quarter after program exit, from 82% to 91% for employment in the third quarter after program exit, and a range of from 85% to 97% pre-dislocation earnings in the third quarter after program exit.
Comment Quantifiable levels for performance measures under WIA will be developed through a cooperative negotiation between DOL, its partners, and stakeholders. A small number of states have begun early implementation of WIA for PY 99, and this limited performance will form the basis of baseline data and negotiation of goals for PY 2000 -2001, the period in which all states will operate under WIA

2.3B Performance Goal FY 2001 Upon exit from the Trade Adjustment Assistance (TAA) or NAFTA Transitional Adjustment Assistance (NAFTA-TAA) programs, 73% will be employed in the third quarter after exit with 82% of the total pre-dislocation earnings.

FY 2000: N/A

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Employment retention after six months; post-program earnings change after six months.
Data Source TAPR (Trade Adjustment Performance Report)
Baseline Incomplete as of this date.
Comment During FY 2001, TAA/NAFTA-TAA will be using a new performance measures data system that is directly comparable to the system being developed for the dislocated worker program under WIA. FY 2001 will be the first year of operation for the new system. This may require revision of the goals stated above.

2.3C Performance Goal FY 2001: In Program Year 2001, the initial year of funding, an estimated 30 grants serving an estimated 20,000 participants will be awarded for the incumbent workers initiative

FY 2000: N/A

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Grants awarded and participants served
Data Source Grantee records
Baseline There is no baseline since this is a new initiative for which funding is being requested in the FY 2001 budget.
Comment This goal is for the first year of operation, when the initiative will be implemented. Indicators under consideration for FY 2002 include maintaining or increasing earnings, promoting retention at the employer of record, and upgrading skills.

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

3.1A Performance Goal FY 2001: Reduce the number of mine fatalities and non-fatal injury rate to below the average for the previous five years

FY 2000: Reduce the number of mine fatalities and non-fatal injury rate to below the average for the previous five years.

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

FY 1999
Performance
Results
The goal was met.

Fatalities: FY 1994-1998 Average = 92; FY 1999 = 81*

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 92 average fatalities for FY 1994-1998 (five-year average); 4.07 average nonfatal-days-lost incidence rate for FY 1994-1998.
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 1999 Annual Performance Report, since they reflect more current data.

** By the time the performance results are prepared for FY2001 a 1996-2000 baseline will be computed.

3.1B Performance Goal FY 2001: 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 2000: 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: 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 occupations, respectively.

FY 1999 Performance Results The goal was met.

Coal dust goal: 5% reduction; actual: 11.6% reduction

Silica dust goal: <90 index points; actual: 75.1 index points.

Indicator Compliance with the permissable 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 1999 target at 90 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.

3.1C Performance Goal 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.

FY 1999
Performance
Results
The goal was met.

Silica: -70%

Lead: -48%

Amputations: -17% (CY 1996-1998)*

Indicator Silica: Percent change in average silica exposure severity per inspection

Lead: Percent change in average lead exposure severity per inspection

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 per inspection (IMIS) FY 1996

Lead: 4.8 average lead exposure severity per inspection (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

Silica/Lead severity is defined as the exposure measured divided by the Permissible Exposure Limit. Average exposure severity per inspection is defined as the sum of the average severities from each inspection, divided by the number of inspections.

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

*CY 1999 BLS amputation rate data will be available in April 2001.

*CY 2000 BLS amputation rate data will be available in April 2002.

3.1D Performance Goal FY 2001: Reduce injuries and illnesses by 11% [from baseline] in 5 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.

FY 1999
Performance
Results
The goal was met.

Shipyard industry: - 28% (CY 1997 - 1999)*

Food processing industry: - 15% (CY 1997 - 1999)*

Nursing home industry: - 6% (CY 1997 - 1999)*

Logging industry: - 26% (CY 1997 - 1999)*

Construction industry: - 19% (CY 1997 - 1999)*

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

Food processing: 8.9 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

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

3.1E Performance Goal 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.

FY 1999
Performance
Results
The goal was met. 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 a researcher from the University of Pittsburgh and Clark University. The researchers examined injury and illness data of establishments that had inspections, consultations, or high injury/illness rate notification letters. The study analyzed prior- and post-intervention injury and illness rates for selected interventions. From these, the researchers projected the number of workplaces with selected interventions during FY 1995 - FY 1999 where rates declined by 20% or more.

3.1F Performance Goal 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).

FY 1999
Performance
Results
The goal was not met.

-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 fatality data will be available in August 2001.

3.1G Performance Goal FY 2001: Reduce injuries and illnesses by 15% at work sites engaged in voluntary, cooperative relationships with DOL

FY 2000: N/A

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator The average percent change in injury and illness rates at worksites 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)

Outcome Goal 3.2 - Foster Equal Opportunity Workplaces -- Performance Goals

3.2A Performance Goal FY 2001: 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 2001, identify those industries where data indicate the likelihood of equal employment opportunity problems is greatest and establish 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 2001, establish baselines; and,
  • Reducing compensation discrimination by federal contractors and subcontractors. In FY 2001, establish baselines.

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.

FY 1999
Performance
Results
Ninety-three percent of the goal was met. OFCCP brought fewer Federal contractors into compliance because it was found that more Federal contractors were already in compliance for various reasons.
Indicator Trends/changes in compliance and violation rates, EO Survey Data, and EEO-1 data. Trends/Changes in compensation and other data gathered from evaluations and from EO Surveys. Trends/changes in data gathered from customer satisfaction surveys.
Data Source EEO-1 data file; Case Management System; Equal Opportunity Survey; customer satisfaction survey; compliance reviews within industries.
Baseline New baselines will be established by the end of FY 2001.
Comment

3.2B Performance Goal FY 2001: DOL grant recipients and programs financially assisted under the Workforce Investment Act (WIA) achieve equal opportunity workplaces as demonstrated by:
  • timely submission as required by 29 CFR 37 of 30 MOAs or in the absence of timely submissions, the issuance of a "Show Cause Notice" within 15 days of a non-timely submission.
  • Issuance of compliance determinations or conciliation agreements within 180 days for those states submitting timely MOAs.

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 August 7, 1999.

FY 1999 Performance Results The goal was not met. The interim final rule was submitted to OMB on June 16, 1999, and interim final regulations were published in accordance with OMB guidance, effective November 12, 1999.
Indicator Number of Show Cause Notices issued within 15 days.

Number of compliance determinations within 180 days.

Number of conciliation agreements within 180 days.

Data Source Methods of Administration Agreement signed by the States, Show Cause Notices, Compliance Determination, and Conciliation Agreements
Baseline FY 2000 Statistics (30 ETA approved state plans).
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 state's five-year WIA Strategic Plan. Noncompliance with MOA requirements can result in the withdrawal of grant funds.

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

3.3A Performance Goal FY 2001: The number of states with registered child care apprenticeship programs will increase to 49 and the number of new child care apprentices will increase by 20% over FY 2000.

FY 2000: By replicating the West Virginia and other successful child care models, increase the number of States with child care apprenticeship programs from 29 to 39 and increase the number of new child care apprentices by 15% over the FY 1999 results.

FY 1999: By replicating the West Virginia and other successful child care models, increase the number of States with child care apprenticeship programs to 29 and increase the number of child care apprentices by 10% (to at least 2,114).

FY 1999 Performance Results At the end of FY1999 there were 29 States with child care apprenticeship programs and 2,216 child care apprentices registered. BAT will continue to work with States that received child care grants in an effort to build child care infrastructures, train professional child care workers, and identify best practice initiatives that serve as model for future replication.
Indicator The number of States with registered child care apprenticeship programs
Data Source Apprenticeship Information Management System (AIMS)
Baseline At the end of FY 1997, nineteen states had childcare apprenticeship programs with 1,914 apprentices enrolled.
Comment

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

3.4A Performance Goal FY 2001: Reduce exploitative child labor by promoting international efforts and targeting focused initiatives in selected countries.

FY 2000: Progressively reduce exploitative child labor worldwide by increasing international support and funding the most promising programs and projects in targeted countries.

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator(s)
  • 25 countries will ratify International Labor Organization (ILO) Convention 182 on Worst Forms of Child Labor.
  • 15 countries will establish new national plans to eliminate child labor.
  • 100,000 children in developing countries will be targeted for prevention and/or removal from exploitative work.
  • 50,000 children will be prevented from starting, and/or removed from exploitative work.
Data Source ILO-IPEC and DOL/ILAB
Baseline In 1998, ILAB published its fifth child labor report in the By the Sweat & Toil of Children series. This report focuses on efforts to reduce child labor in 16 countries.

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 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.

3.4B Performance Goal FY 2001: Advance the basic rights of workers protections and their economic security in developing countries.

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

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator
  • Fifteen countries commit with DOL financial assistance to further protect the basic rights of workers.
  • Eight countries commit with DOL assistance to improve economic opportunities for workers and labor market efficiency.
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.

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

FM1 Performance Goal FY 2001: All DOL financial systems meet the standards set in the Federal Financial Management Improvement Act (FFMIA) and the Government Management Reform Act (GMRA).

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: Performance Goal M.2A: 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.

FY 1999
Performance
Results
The goal was met.
Indicator Percentage of the 14 financial systems compliant with the Acts
Data Source OIG audit opinion in Accountability Report to be issued in March 2001
Baseline FY 1999: 64% - nine of fourteen systems in compliance

FY 1998: 64% - nine of fourteen systems in compliance

FY 1997: 57% -- eight of fourteen systems in compliance

Comment It is anticipated that all 5 remaining systems will be in compliant by FY 2000.

FM2 Performance Goal FY 2001: DOL meets all new accounting standards issued by the Federal Accounting Systems Advisory Board (FASAB) including the Managerial Cost Accounting Standard.

FY 2000: DOL meets all eight current FASAB standards

FY 1999: N/A

FY 1999
Performance
Results
N/A
Indicator Percentage of FASAB standards met
Data Source OIG audit opinion in Accountability Report to be issued in March 2001
Baseline FY 1997: DOL meets all current FASAB accounting standards
Comment The Cost Accounting Standards will require additional effort to maintain.

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

IT Performance Goals FY 2001: Increase integration of DOL IT systems and extend access to automated services.

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

FY1999: N/A

FY 1999 Performance Results N/A
Indicators
  1. Implement the first phase of the common office automation suite DOL- wide crosscut initiative .
  2. Increase electronic services provided via LaborNet and assess customer feedback (target includes QuickHire implementation; employee access to DOL Locator; and establishment of a baseline for customer feedback).
Data Sources
  • Agency IT systems
  • Personnel Action Reports
  • Service usage trends via LaborNet (Web Trends)
Baseline
  • Currently, DOL does not have a common office automation suite of software DOL-wide.
  • DOL does not currently have the capability to enable candidates to electronically file applications for employment or promotional opportunities. Currently, changes to employees' office locations and telephone numbers in the DOL Locator can only be made centrally, rather than by the employees, which can delay communications.
Comment

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

HR1 Performance Goal FY 2001: Recruit, develop, and retain a highly competent and diverse
workforce to support the accomplishment of the DOL mission by:

a) Attract a diverse, highly competent applicant pool of candidates

b) Provide lifelong learning programs and services to support mission accomplishment

c) Implement and expand model workplace initiatives to enhance morale and retention rates.

FY 2000: (a) Increase usage of career assistance and continuous learning programs and services by 20% over FY 1999. (b) Increase participation in "family-friendly" programs by 10% from FY 1999 utilization.

FY 1999: Goals for the human resources area were: (a) increase by 10% the number of employees utilizing continuous learning/development and career management programs and services; and (b) increase participation in "employee-friendly" programs by 10%.

FY 1999 Performance Results Goal was exceeded.
Indicator a) 85% of managers will indicate satisfaction with the diversity and quality of applicants referred for their vacancies

b) Increase utilization of career assistance and continuous learning opportunities by 25% over FY 2000 data

c1) Reduce third party litigation by 2% via use of Alternative Dispute Resolution (ADR) approaches and partnership activities

c2) Increase participation in family friendly programs by 10% over FY 2000 data.

Data Source a1) Applicant background questionnaire-tracking system and relevant civilian labor force data

a2) Managerial feedback obtained by survey and focus groups

b) Utilization and participation data in continuous learning programs and services

c1) Labor-Management Relations tracking system

c2) Program participation tracking systems and DCC quarterly reports

Baseline a) FY 2000 applicants' profile data and representation rates

b) FY 2000 participation and usage data

c) FY 2000 data from LMR and Worklife Center tracking systems

Comment The following factors may affect the ability to attain the above goals: DOL's budget; changes in recruitment and hiring procedures; introduction of new recruitment flexibilities; computer access to programs and services to all DOL employees; and the unions' and management's willingness to instill partnership principles at the working level and adopt the use of ADR techniques.

HR2 Performance Goal 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 accidents and injuries).

FY 1999: N/A

FY 1999 Performance Results N/A
Indicator Progress against DOL's rate of lost production days as established by OWCP.
Data Source
  • OWCP Table 2 Reports and personnel data from DOL's Office of Budget.
  • OWCP Automated Compensation Payment System
  • SHC
Baseline Total case rate goal established by Presidential Initiative for DOL agencies in FY 2001 is 55.1 days per 100 employees.
Comment The goal for reducing the rate of lost production days for DOL is higher in FY 2001 (3.5%) to maintain a 2% per year reduction on average in accordance with the Federal Worker 2000 five-year goal. DOL did not meet the 2% reduction goal for FY2000.

HR3 Performance Goal FY 2001: 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.

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:

FY 1999 Performance Results N/A
Indicator
  1. Percent decrease in total case rate of illnesses, accidents, & injuries (target is 5%)
  2. Increase in timeliness of reporting new injuries.
Data Source
  • OWCP Table 2 Reports and personnel data from DOL's Office of Budget.
  • 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
  • SHC
Baseline
  1. Total case rate goal established by Presidential Initiative for DOL agencies in FY 2001 is 3.49 cases per 100 employees.
  2. Percentage of timely reporting of new injuries established by Presidential Initiative for DOL agencies.
Comment The 5 percent injury rate reduction for FY 2001 is higher than prescribed in the Federal Worker 2000 initiative because DOL did not meet the performance goal of a 3 percent injury reduction rate for FY 2000. DOL must aggressively increase efforts to reduce injuries to keep pace with goals established in the five year Presidential Initiative.

HR4 Performance Goal
(internal)
FY 2001: Major DOL program components are in compliance with applicable Civil Rights laws and regulations and achieve equal opportunity workplaces. This is accomplished by:

-- Assessing compliance and recommending corrective action, as appropriate, through reviews of two (2) DOL program components.

FY 2000: Two of ten major DOL agencies are reviewed and their EEO programs are found to be in compliance with the applicable civil rights laws and equal opportunity regulations.

FY 1999: Complete a review of one of the ten major DOL agencies to verify that all DOL agencies have procedures in place to meet the requirements of applicable civil rights laws.

FY 1999 Performance Results The goal was met.
Indicator Number of components reviewed and that have in place all requirements outlined under 29 CFR 1614, Secretary Order 3-96, and related statutes
Data Source Civil Rights Center Methods of Administration Evaluation Instrument
Baseline Thirteen DOL components
Comment One review was completed in FY 1999. Two reviews in FY 2000.

text version

Appendix C

Relationship of Budget Activities to Strategic Goals
A Prepared Workforce A Secure Workforce Quality Workplaces
ETA

Training & Employment Services

  • Adult employment and training assistance
  • Youth activities
  • School-to-work opportunities
  • Job Corps
  • Native Americans
  • Migrant and seasonal farm workers
  • Veterans workforce investment programs
  • National programs
  • Fathers Work Families Win
  • Responsible Integration of Young Offenders
  • Safe Schools/Healthy Students
Welfare-To-Work

  • Formula grants
  • Competitive grants
  • Performance grants

Employment Service

  • Allotments to States
  • Reemployment services grants
  • National Activities
  • One-Stop Career Centers
  • Work Incentive assistance grants

Program Administration

  • Adult employment and training
  • Youth employment and training
  • Apprenticeship services
  • Welfare to Work
  • Employment Security
  • Executive Direction

Community Service Employment for Older Americans

  • National programs
  • State programs
ETA

Training & Employment Services

  • Dislocated worker employment and training activities

Federal Unemployment Benefits and Allowances

  • Trade Adjustment Assistance benefits
  • Trade Adjustment Assistance training
  • NAFTA adjustment assistance benefits
  • NAFTA adjustment assistance training

Unemployment Insurance

  • State Administration
  • National Activities
  • Wage record initiative
  • Contingency

Program Administration

  • Employment Security
  • Adult employment and training
  • Executive Direction

Unemployment Trust Fund

  • Federal-State unemployment insurance

PWBA

  • Enforcement and compliance
  • Policy, regulations, and public services
  • Program oversight
ETA

Program Administration

  • Apprenticeship services
  • Adult employment and training
  • National activities
  • Executive Direction
  • Equal Pay Initaitive

ESA
  • Federal contractor EEO standards enforcement
  • Program direction and support

OSHA
  • Safety and health standards
  • Federal enforcement
  • State programs
  • Technical support
  • Federal compliance assistance
  • State consultation grants
  • Safety and health statistics
  • Executive direction and administration

MSHA
  • Enforcement
  • Assessments
  • Education policy and development
  • Technical support
  • Program administration
BLS
  • Labor force statistics
  • Prices and cost of living
  • Compensation and working conditions
  • Productivity and technology
  • Employment projections
  • Executive direction
  • CPI revision

DEPARTMENTAL MANAGEMENT
  • Program direction and support
  • Legal services
  • Administration and management
  • Adjudication
  • Promoting employment of people with disabilities
  • Women's Bureau
  • Chief Financial Officer

Office of Inspector General

  • Audit
  • Program fraud
  • Labor racketeering
  • Special evaluations and inspections of program activities

Assistant Secretary for Veterans Employment and Training

  • Disabled veterans outreach program
  • Local veterans employment services
  • Administration
  • National Veteran's Training Institute
PBGC
  • Single-employer program
  • Multi-employer program
  • Administrative expenses
  • Services related to terminations

ESA
  • Enforcement of wage hour standards
  • Federal programs for workers' compensation
  • Program direction and support
  • Labor-management standards

DEPARTMENTAL MANAGEMENT
  • Program direction and support
  • Legal services
  • Administration and management
  • Adjudication
  • Promoting employment of people with disabilities
  • Women's Bureau
  • Chief Financial Officer

Office of Inspector General

  • Audit
  • Program fraud
  • Labor racketeering
  • Special evaluations and inspections of program activities
DEPARTMENTAL MANAGEMENT
  • Program direction and support
  • Legal services
  • International labor affairs
  • Administration and management
  • Adjudication
  • Promoting employment of people with disabilities
  • Women's Bureau
  • Civil rights
  • Chief Financial Officer

Office of Inspector General

  • Audit
  • Program fraud
  • Labor racketeering
  • Special evaluations and inspections of program activities

text version

Appendix D.

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 Labor and Human Resources Committee 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 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

Appendix E.

List of Acronyms


ADR Alternative Dispute Resolution

AgNET America's Agricultural Labor Network

AIMS Apprenticeship Information Management System

AJB America's Job Bank

APEC Asia-Pacific Economic Cooperation

APP Annual Performance Plan

AQS Agency Query System

BAT Bureau of Apprenticeship and Training

BLS Bureau of Labor Statistics

CAS Complaint Administration System

CFR Code of Federal Regulations

CMS Case Management System

CPI Consumer Price Index

CPI-I Consumer Price Index - Improvement

CPI-R Consumer Price Index - Revision

CRIS Compliance Review Information System

CTS Casework Tracking System

DCC Dependent Care Connection

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 Employement Opportunity Commission

EFAST Employee Retirement and Income Security Act Filing Acceptance System

EFOLA Electronic Freedom of Information Act Amendments of 1996

ERISA Employee Retirement and Income Security Act

ES U.S. Employment Service

ESA Employment Standards Administration

ETA Employment and Training Administration

FASAB Federal Accounting System Advisory Board

FECA Federal Employees' Compensation Act

FERSA Federal Employee Retirement Security Act

FFMIA Federal Financial Management Improvement Act

FLSA Fair Labor Standards Act

FM Financial Management

FMIP Financial Management Intern Program

FMLA Family Medical Leave Act

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

HIPAA Health Insurance Portability and Accountability Act

HHS U.S. Department of Health and Human Services

HR Human Resources

HRC Human Resources Center

HUD U.S. Department of Housing and Urban Development

HVRP Homeless Veterans Reintegration Project

IFIs International Financial Institutions

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

IT Information Technology

ITMRA Information Technology Management Reform Act

IVC Title IVC of the Job Training Partnership Act

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

NAICS North American Industry Classification System

NCFLL National Council of Field Labor Locals

NIOSH National Institute for Occupational Safety and Health

NSOL National Solicitor of Labor

OASAM Office of the Assistant Secretary for Administration and Management

ODI OSHA Data Initiative

OEIS ESA-OFCCP Execution Information System

OFCCP Office of Federal Contract Compliance Programs

OIG Office of the Inspector General

OLMS Office of Labor-Management Standards

OMB Office of Management and Budget

OMS Outcome Measurement System

OPM Office of Personnel Management

OPTMS OSHA Performance Tracking and Measurement System

OSBP Office of Small Business Programs

OSHA Occupational Safety and Health Administration

OWCP Office of Workers' Compensation Programs

P&F Program and Financing

PBGC Pension Benefit Guaranty Corporation

PPI Producer Price Index

PRISM Participant Records Information System Management

PRM Periodic Roll Management

PROVET Providing Reemployment Opportunities for Veterans

PWBA Pension and Welfare Benefits Administration

PY Program Year

QCM Quality Case Management

RTP Right-Track Partnerships

SBA Small Business Administration

SBREFA Small Business Regulatory Enforcement Fairness Act

SDA Service Delivery Area

SESA State Employment Security Agency

SIC Standard Industrial Classification

SIC Skills Inventory Code

SOL Office of the Solicitor

SPIR Standardized Program Information Report

STW School-to-Work

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

USDA U.S. Department of Agriculture

UTF Unemployment Trust Fund

VA U.S. Department of Veterans Affairs

USAID U.S. Agency for International Development

VETS Veterans' Employment and Training Service

WB Women's Bureau

WDS Workforce Development System

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