ETA
Federal Register Notice ETA
Federal Register Notice
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DEPARTMENT OF LABOR
Employment and Training Administration
Workforce Investment Act (WIA) Standardized Record Data (WIASRD),
Quarterly Summary Report, and Annual Report; Comment Request
ACTION: Notice; Request for Comments.
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SUMMARY: The Department of Labor (Department), as part of its
continuing effort to reduce paperwork and respondent burden, conducts a
pre-clearance consultation program to provide the general public and
Federal agencies with an opportunity to comment on proposed and/or
continuing collections of information in accordance with the Paperwork
Reduction Act of 1995 ((PRA95) (44 U.S.C. 3506 (c) (2) (A)). This
program helps to ensure that requested data can be provided in the
desired format, reporting burden (time and financial resources) is
minimized, collection instruments are clearly understood, and the
impact of collection requirements on respondents can be properly
assessed. Currently, the Employment and Training Administration (ETA)
is soliciting comments concerning the new management information and
reporting system including the Workforce Investment Act Standardized
Record Data (WIASRD), the Quarterly Summary Report and the Annual
Report under the Workforce Investment Act of 1998 (WIA).
DATES: Written comments must be submitted to the office listed in the
addresses section below on or before June 2, 2000. The Department is
particularly interested in comments which:
--Evaluate the Department's ability to meet its reporting
responsibility using the proposed system;
--Evaluate whether the proposed collection of information is necessary
for the proper performance of the functions of the agency including
whether the information will have practical utility;
--Enhance the quality, utility, and clarity of the information to be
collected;
--Minimize the burden of the collection of information on those who are
to respond, including the use of appropriate electronic reporting
mechanisms; and
--Examine the accuracy of the Department's estimate of the burden of
the proposed collection of information, including the validity of the
methodology and assumptions used.
ADDRESSES: Please address correspondence concerning the proposed system
to: U.S. Department of Labor, Employment and Training Administration,
Office of Workforce Security, 200 Constitution Avenue, NW., Room S4231,
Washington, DC 20210, Attention: William Rabung, Fax: (202) 219-8506.
(This is not a toll-free number.), or E-mail: wrabung@doleta.gov.
SUPPLEMENTARY INFORMATION:
I. Background
Performance accountability is a key principle under the Workforce
Investment Act of 1998 (WIA). The Department intends to support the
desired focus on customer service and continuous improvement by
providing opportunities for accountability at all levels of the system,
especially at the State and local levels.
The basic accountability system will allow the Department to manage
its responsibilities under WIA secs. 136(d)
[[Page 17538]]
and 189(d) in terms of reporting the progress of States in achieving
negotiated levels of performance on the required core and customer
satisfaction measures, its responsibilities under WIA sec. 185(a)(2),
(c)(2), and (d) in terms of reports and recordkeeping, and its
responsibilities under the Government Performance and Results Act
(GPRA). The Federal reporting and record keeping structure will build
on, and reflect the customer service focus, the continuous improvement
goals, and the partnership expectations. In general, Federal reporting
and recordkeeping requirements will be those minimally required to
comply with statutory provisions, and will be designed so that they may
be satisfied through systems put in place by the State and local
partners to ensure State and local accountability.
There will be two basic report systems--financial and program.
Financial reports will be required quarterly, as provided for in WIA
sec. 185(e). To avoid unnecessary reporting, the quarterly financial
report looks at expenditures and records related to WIA sec. 185(f) and
(g). The quarterly financial report was addressed in a separate Federal
Register Notice (65 FR 5897-5898, Feb. 7, 2000). The three program
reports include:
A. Individual Records
The Department has established a standard set of core data elements
that must be maintained for each individual who receives WIA Title IB
services beyond self-service and informational activities. The number
of data elements collected for each individual is commensurate with the
intensity of the service. Beginning July 1, 2000, States must submit
copies of the individual participant records once each year by
September 30 for all participants, including participants who exited
but for whom information on outcomes is not yet complete. The
individual standardized records will be strictly confidential. The
Workforce Investment Act Standardized Record Data (WIASRD) will
contain:
--Relevant demographic characteristics including race, ethnicity, sex
and age and other related information on the participants (WIA sec.
185(d)(1)(A));
--WIA Title IB and partner program activities in which the participants
are enrolled and the length of time the participants are engaged in
such activities (WIA sec. 185(d)(1)(B)); and
--Outcomes for the participants, including occupations and placement in
non-traditional employment (WIA sec. 185(d)(1)(C)).
The proposed WIASRD and related documents can be viewed at the
Department's Internet website, http://www.usworkforce.org.
B. Quarterly Summary Reports
Quarterly summary reports reflecting statewide activity for
negotiated performance and actual performance levels as well as the
number of current participants and those participants who exited during
the program period, will provide DOL with key information necessary for
program oversight purposes. This information will facilitate the
Department's efforts in assessing its own performance against
established GPRA goals. States will be expected to electronically
submit the quarterly summary reports within 45 days following the end
of each quarter.
Quarterly reports are described in WIA sec. 185(a)(2)--``Every such
recipient shall maintain such records and submit such reports, in such
form and containing such information, as the Secretary may require
regarding the performance of programs and activities carried out under
this title. Such records and reports shall be submitted to the
Secretary but shall not be required to be submitted more than once each
quarter unless specifically requested by Congress or a committee of
Congress, in which case an estimate may be provided.''
The proposed Quarterly Summary Report Format and instructions for
completing this report can be viewed at the Department's Internet
website, http://www.usworkforce.org.
C. Annual Reports
On a yearly basis, States must publish and submit to the Secretary
an Annual Report which explains the outcomes of WIA Title IB programs
to employers, taxpayers, participants and Congress and meets the
provisions at WIA sec. 136(d) and WIA sec. 185(d) as described in the
following chart:
Required Components of The Annual Report
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WIA citation Performance-related items
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Sec. 136(d)(1)............. State's progress in achieving performance
measures including the core indicators of
performance, the customer satisfaction
indicator, any additional indicators of
performance (if any) identified by the
State, and the negotiated level of
performance for each indicator.
Sec. 136(d)(1)............. Progress of local areas in the States in
achieving performance measures including
the core indicators of performance and
the customer satisfaction indicators.
Sec. 136(d)(2)(A).......... Entry by participants who have completed
training services provided under section
134(d)(4) into unsubsidized employment
related to the training received.
Sec. 136(d)(2)(B).......... Wages at entry into employment for
participants in workforce investment
activities who entered unsubsidized
employment, including the rate of wage
replacement for such participants who are
dislocated workers.
Sec. 136(d)(2)(C).......... Cost of workforce investment activities
relative to the effect of the activities
on the performance of participants.
(Please note: States will have the
flexibility to define this element.)
Sec. 136(d)(2)(D).......... Retention and earnings received in
unsubsidized employment 12 months after
entry into the employment.
Sec. 136(d)(2)(E).......... Performance with respect to the indicators
of performance specified in subsection
(b)(2)(A) of participants in workforce
investment activities who received the
training services compared with the
performance of participants in workforce
investment activities who received only
services other than the training services
(excluding participants who received only
self-service and informational
activities).
Sec. 136(d)(2)(F).......... Performance with respect to the indicators
of performance specified in subsection
(b)(2)(A) of recipients of public
assistance, out-of-school youth,
veterans, individuals with disabilities,
displaced homemakers, and older
individuals.
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Citation Other performance-related items
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Sec. 136(d)(1)............. Status of State evaluations of workforce
investment activities described in
subsection (e) (evaluation of state
programs).
Sec. 189(d)(1)............. A summary of the achievements, failures,
and problems of the programs and
activities in meeting the objectives of
this title.
Sec. 189(d)(2)............. A summary of major findings from research,
evaluations, pilot projects, and
experiments conducted under this title in
the fiscal year prior to the submission
of the report.
Sec. 189(d)(3)............. Recommendations for modifications in the
programs and activities based on analysis
of such findings.
[[Page 17539]]
Sec. 189(d)(4)............. Such other recommendations for legislative
or administrative action as the Secretary
determines to be appropriate.
Sec. 185(d)(1)(D).......... Specified costs of the (programs and)
activities.
Sec. 136(d)(3)............. Information dissemination.--The Secretary--
(A) shall make the information contained
in such reports available to the general
public through publication and other
appropriate methods; (B) shall
disseminate State-by-State comparisons of
information; and (C) shall provide the
appropriate congressional committees with
copies of such reports.
------------------------------------------------------------------------
The Annual Report will be prepared by each State in accordance with
guidelines established by the Department, including definitions for
calculating performance, and specifications for satisfactory completion
and submission of the report. The State's Annual Report will include
state performance as well as local performance.
The Annual Report will be sent to Congress. The performance
outcomes detailed in the report will serve as the basis for awarding
incentives or administering sanctions to States for performance which
exceeds or falls below the negotiated levels of performance (The
negotiation process and details of the incentive and sanction process
are described in separate Federal guidance--TEGL 8-99). The final
approach to distributing incentive awards is still under development,
but may include, among other things, performance reports from each
State submitted by the date specified by the Secretary. A State that
does not meet the deadline (September 30 of each year) for submission
may be subject to sanction as described in WIA sec. 136(g)(1) and
Interim Final Rule at 20 CFR 667.300 (e).
The Secretary plans to post these annual reports on a web site. In
accordance with the Act, the Secretary will send copies of the State's
Annual Report to each Local Workforce Investment Board (local board)
and to the State Workforce Investment Board (State Board) if the State
does not submit assurance that this has been accomplished by the time
of submission to the Secretary.
The instructions for completing an annual report can be accessed
and viewed at the Department's Internet website, http://
www.usworkforce.org.
In order to report on the two required customer satisfaction
measures (one for employers and one for participants) in the annual and
quarterly summary reports, States must conduct surveys of both groups
following the directions contained in Attachment V posted on the
Department's Internet website, http://www.usworforce.org.
II. Current Actions
The proposed data collection and reporting system will assist the
Department in meeting its mandated responsibilities by providing
standardized information regarding demographics, activities and
outcomes for all registrants receiving more than informational or self-
service in all States and workforce investment areas. Information will
also be used for general oversight, continuous improvement and research
purposes.
Type of Review: New.
Agency: Employment and Training Administration.
Titles: Workforce Investment Act Standardized Record Data,
(WIASRD), Annual Report, Quarterly Summary Reports.
OMB Number: 1205-0NEW.
Affected Public: State governments, local workforce investment
areas, and local workforce investment boards.
Cite/Reference: Authority to collect this information is provided
by the Workforce Investment Act of 1998 in secs. 136, 185, and 189.
Form/etc: See the documents posted on the Department's Internet
website, http://www.usworkforce.org.
Total Respondents: 56 (50 States, American Samoa, Commonwealth of
the Northern Mariana Islands, District of Columbia, Guam, Puerto Rico,
and Virgin Islands).
Frequency: Annual Report--Yearly by September 30 with quarterly
summary reports due within 45 days following each quarter Individual
Record--Annually by September 30.
Total Responses: One Annual Report for each respondent. States must
submit three hard copies and one electronic copy of the annual report
to the Secretary of Labor. One electronic submission of the Quarterly
Summary Report from each respondent. One electronic data set from each
of the respondents containing individual records for each registrant
served.
Average Time: 13,862 hours.
Per Response: The actual response time will vary by number of local
workforce investment boards and individual records of individuals
served in the State.
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Burden
Total Average time per (total
Cite/reference respondents Frequency Total responses response nat.
hours)
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Individual Record............ 56.............. Annually........ 1 set of records 13,152 hours.... 736,512
per respondent
(set will vary
in size
depending on
the number of
individuals
served in the
jurisdiction).
Annual Report................ 56.............. Annually........ 56.............. 40 hours........ 2,240
Customer Satisfaction Survey. 500 participants Quarterly/ 56,000.......... 5 min. \1/12\ 4,667.
500 employers... Annually. hr.)*.
(Results to be included in Agency Admin. 56 ................ 56.............. 500 hours....... 28,000
the Annual and Quarterly
Reports).
Overhead 56..... ................ 56.............. 154 hours....... 8,624
Quarterly Summary Report 56.............. Quarterly....... 224 (56X4)...... 16 hours........ 3,584
(Statewide aggregate data
only).
[[Page 17540]]
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Totals................... 1,056........... Quarterly/ 56,281.......... 13,862 hours.... 783,627
Annually.
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* Assumes only 3 ASCI questions are administered.
Explanation of Burden Hours
Individual Record--736,512 hrs
Baseline: 8,768 hrs./reporting unit (State) (56 reporting units) in
last FRN regarding Job Training Partnership Act (JTPA) reporting system
(SPIR). Factor: 50% higher due to (1) increase in size of record, and
(2) increase in number of program participants. Increases were not
cumulative; some allowance made for economies of scale and learning
curve.
Annual Report--2,240 hrs
Estimate based on 40 hrs./reporting unit to produce one report per
year (includes program run, checking, report formatting for
transmission).
Quarterly Report--3,584 hrs
Estimate based on 64 hrs./reporting unit to produce four reports
per year (includes program run, checking, report formatting for
transmission)--16 hrs./report.
Customer Satisfaction Survey
Respondents--4,667 hrs.
Estimate based on 1,000 responses per reporting unit (500 WIA
participants and 500 employers) and 5 min. (\1/12\ hr.) per survey.
This assumes only the three ACSI questions are asked.
Survey Administration--28,000 hrs.
Estimate based on 30 min. (0.5 hrs.) to obtain a completed survey
(telephone contacts, call-backs, data entry).
Survey Preparation and Overhead--8,624 hrs.
Estimate based on:
Survey development (preparation of questionnaire and telephone
script for interviewer)--40 hrs./reporting unit.
Sample selection--24 hrs./reporting unit.
Survey set-up (setting up survey for telephone administration and
creation of a database)--40 hrs./reporting unit.
Compilation of results (includes generation of descriptive
statistics and calculation of index for participants and employers)--50
hrs./reporting unit.
Total Burden Cost (capital/start-up)--$825,906
Estimate based on \1/3\ staff year to develop WIASRD data record;
this estimate was based on experience of Utah in converting from SPIR
to WIASRD and programming time for the Data Validation and Denied
Claims Accuracy pilots. A staff year cost factor of $44,245 was
applied; this is the salary/benefits rate used in the FY 2000 budget.
Total Burden Cost (operating/maintaining)--$16,653,333.50
The estimate is based on the $44,245 staff year cost factor applied
to the burden hours listed above. The burden hours for participant and
employer responses to the customer satisfaction surveys equates to
$24,035, while the burden cost for developing the survey and start-up
totals $183,432.
Comments submitted in response to this comment request will be
summarized and/or included in the request for Office of Management and
Budget approval of the information collection request; they will become
a matter of public record.
III. Documents for Review and Comment
The following documents cited in this notice can be viewed at the
Department's Internet website, http://www.usworkforce.org:
--The Workforce Investment Act Title IB Standardized Record Data
(WIASRD) layout;
--The Workforce Investment Act Quarterly Summary Report Format;
--The Instructions for Submission of WIA Quarterly Summary Report;
--The instructions for submission of the WIA Annual Report; and
--The instructions for capturing, computing and recording outcomes on
the Customer Satisfaction Measures
Dated: March 28, 2000.
Raymond L. Bramucci,
Assistant Secretary of Labor.
[FR Doc. 00-8122 Filed 3-31-00; 8:45 am]
BILLING CODE 4510-30-P
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