The Department has adopted the strategic management and results-oriented
focus of the Government Performance and Results Act as a dynamic, core approach
to ensuring that our constituents will receive program services of the highest
quality at the most efficient cost. Full implementation of GPRA continues to
present challenges to the Department with its diverse missions, agencies,
partners and constituents. The formulation of the Departments three
strategic goalsa prepared workforce, a secure workforce, and quality
workplaceswhich cut across traditional program lines has provided a focal
point for our strategic, results oriented management efforts. Current
Departmental priorities to strengthen our strategic management approach include
improving the outcome focus of our performance goals to ensure program
accomplishments will achieve our strategic goals, assessing the relationship
between our strategies and goals, enhancing the quality of data used to measure
performance, and routinely evaluating our results.
To meet the additional challenges to full GPRA implementation,
management processes have been put into place to foster inter-agency
coordination, on-going monitoring of progress and active executive oversight.
Coordination of the Departments strategic management efforts has been
strengthened by the establishment of a dedicated GPRA staff and an inter-agency
working group which meet together throughout the year to facilitate GPRA
implementation. The Department has initiated systems to ensure routine
assessment of progress against our performance goals. The OIG also works
closely with the Department to provide the Secretary with information and
advice on how to attain the highest possible program accomplishments and
accountability.
6.1 Management Initiatives in the FY 2002 Annual
Performance Plan
As part of its overarching management focus, the Department has also
established long term management initiatives and performance goals to address
cross-cutting Departmental functions such as financial, information technology,
and human resources management which contribute to the achievement of the
Departments strategic and performance goals. These management goals, the
strategies to achieve them, and the external factors that may affect
accomplishment of the goals are detailed in the sections that follow.
6.1.1 Financial
Management
Maintaining the integrity and stewardship of the Departments
financial resources is the principal strategic goal for the Departments
financial management program. In obtaining an unqualified audit opinion on the
Departments financial statements, DOL can measure its overall
effectiveness. The Department has obtained an unqualified opinion on its
Consolidated Financial Statements for the past four years; however, recently
enacted legislation and new accounting standards have placed significant new
responsibilities on the Departmentss financial management community. The
FY 2002 financial management performance goals for the Department address the
efforts needed to meet new financial systems and accounting standards.
Outcome Goal Financial Management: Maintain
the Integrity and Stewardship of the Department's Financial
Resources
FY 2002 Performance Goals
|
FM1. |
All DOL financial systems meet the standards set in the Federal
Financial Management Improvement Act (FFMIA) and the Government Management
Reform Act (GMRA). |
FM2. |
DOL meets all new accounting standards issued by the
Federal Accounting Systems Advisory Board (FASAB) including the Managerial Cost
Accounting Standard. |
Means and Strategies
Sustained Efforts in FY 2002:
- The Department will have corrected all systems that were out of
compliance with the Federal Financial Management Improvement Act (FFMIA) and
will closely monitor the acquisition of new systems and all modifications to
existing systems to maintain compliance with FFMIA. (FM1)
- The Department has had a Cost Accounting system in place that meets
the Federal Accounting Standards Advisory Boards Managerial Cost
Accounting standard. The Department is phasing in program agency use of the
system. For FY 2002, the Office of the Chief Financial Officer (OCFO) will
expand the cost accounting pilot projects to six additional DOL agencies. (FM2)
- The government-wide Human Resources Committee of the CFO Council has
established core competency guidelines. GAO audits have identified financial
management training programs as inadequate to bringing financial managers up to
the task of operating modern financial management systems. The Department will
participate in the achievement of several professional development goals
established by the CFO Council, which include conducting needs assessments,
establishing individual development plans, promoting attainment of professional
certifications and attaining a significant increase in the hours of continuing
professional education per financial management employee in the Department. The
Department will continue to upgrade the number and variety of courses made
available to financial management personnel, including introduction of
distributed learning techniques. (FM12)
- Implement a financial data store to leverage the existing investment
in DOLAR$ (the Departments core accounting system) and provide more
useful data and analysis to financial and program managers throughout the
Department. (FM12)
- In conjunction with OASAM, complete the payroll system modernization
project, implementing the PeopleSoft payroll system for the entire department.
(FM1)
- Upgrade OCFO financial systems in two significant areas: Improving
system security and enabling web interfaces to key systems. (FM1)
- To leverage collective recruitment efforts, meet the demands of the
new government-wide financial legislation, and address the rapid changes in the
DOL financial workforce, the Departments Chief Financial Officer Advisory
Council developed the Financial Management Careers Program (FMCP) to develop
highly qualified individuals who will undertake future leadership roles in
financial management. We will continue to hire and train individuals under this
program. (FM12)
- Cost accounting applications will extend beyond the outcome goal
level to developing cost information for additional DOL program agencies.
(FM2)
Significant New or Enhanced Efforts in FY 2002:
- OCFO will continue a DOL-wide program to target financial management
training in critical skill areas, including the application of cost accounting
standards and financial management systems development training. The Financial
Management Careers Program will include a number of new learning options,
including a variety of college courses via the Internet. (FM12)
- OCFO will expand on the effort begun in FY 2001 to review
Departmental performance plans, data sources that support those plans, and
other documents that assess performance plan quality (e.g., GAO, OMB, OIG
reports) in order to assist program agencies to meet their financial
performance goals. (FM12).
- OCFO will be in the pre-acquisition stage of replacing DOLs
Central Accounting System (DOLAR$). The replacement system will be designed to
ensure ongoing compliance with regulations, conformance with technical
standards, and the ability to provide accurate and timely financial management
information to meet both internal and external demands. (FM12)
- Provide expertise and support for cost accounting throughout the
Department. (FM2)
6.1.2 Information
Technology Management
The Department of Labor will improve mission performance, productivity,
and administrative processes through better utilization of Information
Technology (IT). The focus of this endeavor is to reduce risks, improve
efficiencies, and contain costs through greater integrationof Departmental IT
systems, thereby providing DOL employees with quality, reliable automated tools
and improved access to useful information so they can better perform their
jobs.
In line with the Information Technology Management Reform Act, the
Department implemented an IT Capital Investment Management process for
selecting, controlling, and evaluating IT investments. This process includes an
automated IT portfolio evaluation and tracking system, with review and decision
making through a Technical Review Board composed of DOL agencies IT
professionals.
In addition to the program-specific automated system initiatives of
individual DOL agencies, DOL will expand capability for information delivery to
the public via its Internet World Wide Web sites. Public access will become
both easier and more beneficial as DOL carries out plans to expand information
sources available, provide expert systems, and add search capabilities.
The Departments key performance goals and measures for information
technology management in FY 2002 are detailed below.
Outcome Goal IT: Improve Organizational
Performance and Communication through Effective Deployment of IT
Resources
FY 2002 Performance Goals
|
IT1. |
Improve automated access to administrative and program systems,
services and information. |
Means and Strategies
Sustained Efforts in 2002:
- Continue the evolution of the enterprise architecture by modernizing
the infrastructure that supports information access and exchange.
- Continue to strengthen physical and logical access controls that
protect systems and the information they process.
- Support the operational integrity of installed information
technology.
- Provide customer support to facilitate implementation and use of new
technology.
- Continue to expand use and accessibility of information technology
for access to and dissemination of information to enhance transmittal of
DOL-wide distributed information and enhance employees ability to perform
administrative tasks.
- Continue to improve electronic correspondence with DOLs
customers.
- Continue to improve the usability of the DOL homepage design and
improve browse and search capabilities across DOL Public Websites.
Significant New or Enhanced Efforts in 2002:
- Redesign and implement new electronic government solutions that
harnesses technology through personal and organizational leadership to change
the way the Department works.
- Serve the public through electronic government solutions that apply
appropriate standards for privacy, security, and authentication.
- Complete strategic information technology investments that produce
cost-effective long-term efficiencies and savings.
- Improve connectivity of people with the Department via the Internet
according to their needs.
6.1.3 Information
Security Program
The Department has initiated an enhanced information security program
that meets the intent of the Fiscal Year 2001 Defense Authorization Act
amendment to the Paperwork Reduction Act of 1995, which adds a sub-chapter on
Information Security. This program is being integrated into the
business practices and ongoing programs of the Department. All agencies have
developed security program plans that establish milestones and detail the tasks
necessary to strengthen cyber security within the program areas. Departmental
guidance has been issued via the Systems Development Life-Cycle Manual that
requires security activities be performed during each phase of the life-cycle.
The IT capital management program has been expanded to require performance of
risk mitigation activities before investments are completed. A security
awareness program that requires security awareness training for all employees
has been implemented. An aggressive vulnerability assessments program has been
established and security monitoring functions continue to be strengthened.
6.1.4 Human Resources
Management
The Department recognizes that to maximize successful operations,
ongoing investments in human capital are necessary. This will be achieved
through making DOL a model workplace that facilitates the recruitment and
retention of a diverse, highly-skilled workforce capable of meeting strategic
and performance goals, while creating a "family-friendly" environment that is
accessible to all employees and enables them to better balance their work and
family obligations. The acquisition of needed new skills and ongoing skills
improvement among the DOL workforce will be facilitated through lifelong
learning initiatives.
Outcome Goal HR: Establish DOL as a Model
Workplace
FY 2002 Performance Goals
|
HR1. |
The right people are in the right place at the right time to
carry out the mission of the Department. |
HR2. |
Reduce the rate of lost production days by two
percent (i.e., number of days employees spend away from work due to injuries
and illnesses). |
HR3. |
Reduce the overall occurrence of injuries and
illnesses for DOL employees by 5 percent, and improve the timeliness of filing
injury/illness claims by 5 percent. |
Means and Strategies
Sustained Efforts in FY 2002:
- The Human Resources Center is leading an effort to re-establish a
common foundation for Workforce Planning in the Department of Labor. It is
critical that DOL Agencies undertake a systematic process, as part of the
budget and GPRA planning process, for identifying the human capital required to
meet organizational goals and needs so DOL can assure that there are the right
people in the right place and at the right time. By integrating meaningful data
on human capital into the Departments Annual Performance Plans and
Budgets, the Department will create a basis for identifying future workforce
needs, including the size of the workforce, its deployment across the
organization, and the competencies needed to efficiently and effectively carry
out the mission of the Department. Workforce planning must be undertaken to
address current and projected staff shortages, assure the development and
skills sets of its employees, and help anticipate changes to staff and
competency requirements. Employees in occupations that are no longer necessary
as a result of technology or changing business practices will be afforded the
opportunity to be retrained, and succession planning and other planned
management approaches to an aging workforce will be pursued. (HR1)
- DOL will monitor on-the-job incidents, injuries, and illnesses and
will analyze incident and injury statistics to identify problems and corrective
actions necessary to reduce incident and injury rates and mitigate the
long-term effects of injuries. (HR23)
- DOL will continue to support the effective use of technology by
encouraging its agencies to utilize the enhanced Safety and Health Information
Management System to directly analyze injuries and illnesses, target resources
toward duties and areas with elevated injury rates, and increase expeditious
processing of injury/illness claims. (HR23)
- The Department will provide technical assistance to DOL agencies in
managing Workers Compensation programs, including helping agencies in
their efforts to identify candidates eligible to return to duty through
workplace accommodation, flexiplace, or assistive technologies. The Department
will identify best practices used to reduce the rate of incidents and injuries
and to manage lost-time cases. (HR23)
Significant, New or Enhanced Efforts in FY 2002:
- DOL will pursue process enhancements and technological innovations in
areas such as recruitment, employee self service, strategic planning
information linkages, and use of job competencies in order to provide better
service to customers. (HR1)
- In support of the workforce planning effort, DOL will conduct an
aggressive outreach and recruitment effort to attract a highly skilled and
diverse workforce including persons with disabilities. To address the growing
challenge of attracting and retaining employees, DOL will pursue the use of
various Departmental/OPM hiring authorities, lifelong learning opportunities,
and workplace flexibilities. (HR1)
- DOL will explore new methods of minimizing workplace injuries by
identifying practices employed by agencies and worksites with lower than
average injury rates and determining whether these practices can be used
effectively elsewhere. (HR23)
- The Department will launch a study of the feasibility and potential
benefits of a DOL return-to-work initiative designed to offer injured employees
the opportunity to return to work and to reduce the associated Workers
Compensation costs. (HR23)
6.1.5 Procurement
Management
In line with government-wide reforms in the area of procurement, the
Department of Labor will improve procurement management to make government more
results-oriented, and, where practicable, market-driven. For FY 2002, immediate
improvements will include expanding A-76 competitions and improving the
accuracy of Federal Activities Inventory Reform (FAIR) Act listings. Details on
additional procurement initiatives are presented in section 6.2.3 of this plan,
and goals will be added in the Revised Final FY 2002 Annual Performance Plan.
The Departments performance goal for procurement management in FY
2002 is detailed below.
Outcome Goal PR: Improve Procurement
Management
FY 2002 Performance Goals
|
PR1: |
Complete public-private or direct conversion competitions on not
less than five percent of the FTE listed on DOL's Federal Activities Inventory
Reform Act listings. |
PR2: |
Award contracts over $25,000 using Performance-Based Contracting
Services (PBSC) techniques for not less than 20 percent of total eligible
service contracting dollars. |
Means and Strategies
Significant, New or Enhanced Efforts in FY 2002:
- To achieve more accurate FAIR Act inventories in FY 2002, DOL will
conduct a comprehensive review of all departmental functions, as well as a
thorough re-examination of inherently governmental and
commercial designations. A methodology, different from that used in
past inventories, will be developed. It is planned that a database will be
developed allowing for the production of various types of reports that assist
in the entire A-76 process. (PR-1)
- DOL will provide focused training on FTE classification for staff
responsible for inventory development in the various DOL agencies. Effective
training will make certain that key DOL staff with A-76 responsibilities are
familiar not only with the process itself, but also with the human resources
and labor management implications. (PR-1)
- DOL established a department-wide A-76/FAIR Act Work Group, whose
primary purpose is to advise DOL managers and leaders on strategies and
activities to ensure competitive sourcing goals are met. The Work Group is
chaired by representatives from DOL=s
Office of the Procurement Executive, comprised of managers from the large DOL
agencies, and tasked with the following responsibilities. (PR-1)
- Monitoring the identification of FTE at DOL that will be subject
to competition.
- Identifying training needs for DOL personnel.
- Ensuring that competitive sourcing is conducted in accordance
with labor management relations obligations and applicable personnel
regulations.
- Ensuring consistency of DOLs competitive sourcing
activities with DOLs workforce planning and restructuring
activities.
- Participating in the Procurement Executives Council Civilian A-76
Interagency Work Group, facilitating the sharing of information and best
practices in the A-76 process with other federal agencies.
- Coordinating the development of DOLs FAIR Act Inventory in
FY 2002, 2003, and future years, ensuring that they accurately reflect the
distribution of inherently governmental and commercial-activity FTE across
DOL.
- Developing DOL guidance and policy on the A-76 and FAIR Act
processes.
- DOL will develop a communications plan to keep interested parties
informed of the progress of DOLs competitive sourcing efforts. This
audience includes affected agency employees, employee union representatives,
functional team members, and headquarters and local support staffs. (PR-1)
- DOL is evaluating options for the best method of coordinating and
tracking competitive sourcing activities and FAIR Act inventory development.
This may involve a combination of centralized and decentralized management,
along with a computerized tracking system for competitive sourcing DOL-wide.
(PR-1)
- DOL has developed a timeline for achievement of specific milestones
in its competitive sourcing plan. This plan sets out policy decisions and major
tasks needed to launch a program that will meet the Secretarys and the
Administrations goals. (PR-1)
Milestones
|
Date
|
Develop OMB-approved Competitive Sourcing Plan |
December 2001 |
Complete FY 2001 FAIR Act Inventory |
December 2001 |
Publish 2001 inventory |
December 2001 |
Review DOL Competitive Sourcing Plan |
Ongoing |
Respond to challenges/appeals of FY 2001 inventory |
Within FAIR Act time frames |
Issue Guidance to DOL Agencies on FY 2002 inventory |
March/April 2002 |
Training staff on development of FY02 Inventory |
March/April 2002 |
Publish DOL competitive sourcing policy/guidance |
May 2002 |
Develop plan and schedule for FY 2003 studies
Obtain contractor support for larger studies Begin
first reviews of larger functions Identify functions subject to more formal
competitions Determine schedule for competitions |
May 2002 |
Develop Communications Plan |
June 2002 |
Submit FY 2002 FAIR Act inventory to OMB |
June 2002 |
Create tracking and reporting database |
July 2002 |
Conduct competitive sourcing studies |
Through September 2003 |
- The Department will work to establish a baseline for FY 2002 with the
support of a contractor skilled in performance-based contracting. The baseline
will include identification of the universe of available service contracts and
the percentage which are currently performance based. Utilizing the established
baseline, the Department will identify possible candidates among current
service contracts which could be converted to performance-based contracts.
(PR-2)
- The Department will identify appropriate training in writing
performance-based statements of work and ensure that at least 50 percent of the
Contracting Officer's Technical Representative (COTR) community receives this
training. (PR-2)
6.2 Program Improvement Opportunities and Management
Reforms
The Department of Labor is committed to working with the Office of
Inspector General (OIG), the General Accounting Office (GAO) and the Office of
Management and Budget (OMB) to improve its management systems and procedures.
Periodic reviews of the status of corrective actions in response to audit
recommendations are conducted throughout the year. The budget process will
consider the resources needed in each year to take necessary corrective actions
on audit recommendations and to institute other critical management reforms.
OIG and GAO have identified several management improvement opportunities, and
DOLs plans to address these issues during the remainder of FY 2001 and in
FY 2002 are highlighted below. This chapter also summarizes the
Departments plans with respect to the Presidents Government-wide
and DOL specific management reforms included in the Presidents budget and
recent OMB guidance.
GAO issued a letter report on June 30, 2000, addressing the
Departments FY 1999 Performance Report and Fiscal Year 2001 Performance
Plan. While the report did not make specific recommendations, GAO provided a
number of observations about the need for additional information in the
performance plan and report, in the areas of data validation and verification,
crosscutting programs, and the linkage of goals and strategies. The Department
increased attention to the items cited by GAO in the development of this plan,
and incorporated the auditors guidance in the preparation of DOLs
FY 2000 annual performance report.
6.2.1 GAO High Risk and Other Audits
None of the Departments programs are the subject of management
weaknesses reported in the most recent GAO high risk audit series.
GAO published Major Management Challenges and Program Risks,
Department of Labor, in January 2001 as part of their Program and
Accountability Series. The report covered three general areas: retraining
workers to better meet rapidly changing workplace needs; protection of
workers benefits; and ensuring safe and healthful working conditions.
GAOs challenges in all three areas focused on the need to improve
performance measurement and, in particular, the availability and quality of
data relative to some of the specific program issues reviewed by GAO. As
described in detail in Chapter 5, improving performance data is a priority of
the Department. For example, the Employment and Training Administration and the
Veterans Employment and Training Service are developing a new data
collection and reporting system, in cooperation with their program partners, to
provide accurate and complete information on assisting clients to secure
long-term employment with opportunities for advancement.
6.2.2 Program Improvement Opportunities
Identified by the OIG and DOL Management
Improving program performance is a priority of the Department, and the
Inspector Generals Statement on the Most Serious Management and
Performance Challenges Facing the Department presents issues of major potential
impact on the effectiveness and efficiency of DOLs programs and
operations. Several of the Statements challenges reference specific
concerns reported in detail in recent OIG audits. The majority of these
findings, if not already resolved, should be corrected before the end of FY
2001 and are not, therefore, included among the Departments goals for FY
2002. Other challenges require legislative action at the Federal or State
level, as explained in Managements Response to the Challenges, which is
included in the Departments FY 2000 Annual Report. Finally, some
challenges are broad issues of sound management, such as the need to exercise
stewardship over significant information technology and benefit program
resources. The FY 2000 Annual Report provides detailed information about
the actions taken over a number of years to effectively manage these
challenges. The Department will work with the Inspector General to develop an
approach for reaching agreement that the Departments actions sufficiently
meet each of the challenges, or what specific actions the Inspector General
considers essential to resolving the challenges in future years.
The following examples summarize the performance related challenges
identified by OIG and the actions completed by the Department or in progress to
address these issues. The complete text of the Inspector Generals
Statement and managements response is included in the Departments
FY 2000 Annual Report.
- Protection of Worker Benefit Funds. OIGs management
challenges included concerns about vulnerability to fraud in the Unemployment
Insurance (UI) and the Federal Employees Compensation Act (FECA)
programs. The Department recognizes that all major benefit programs are
vulnerable to some degree of fraud, and has initiated a number of actions to
protect both programs. For example, the Department has conducted training for
the States to highlight UI fraud detection techniques and encourage the sharing
of enforcement approaches. Consistent with this effort, Texas has developed an
exportable fictitious employer detection system which has been shared with
other States at the 2000 UI Directors Conference. DOLs Employment
and Training Administration and OIG are in the process of negotiating an
agreement with the IRS to provide State Employment Security Agencies nationwide
access to IRS 1099, Miscellaneous Income data, so employers who inaccurately
classify workers can be identified. With regard to the workers
compensation programs, the limited number of individuals prosecuted annually
for fraud is indicative of the effectiveness of the programs internal
controls. While some inappropriate FECA payments may go undetected, the
Employment Standards Administrations major cost containment initiatives,
including the highly successful Periodic Roll Management program and multiple
medical cost savings efforts, are making significant progress in addressing
those instances.
- Implementation of the Workforce Investment Act (WIA). In
reviewing the implementation of the WIAs One-Stop structure for
delivering program services, OIG has identified several concerns, including:
the use of individual training accounts, establishment of eligibility criteria
for training providers, and the implementation of adequate systems to allocate
costs among the One-Stop partner programs and agencies. In response to
OIGs concerns, the Employment and Training Administration has developed a
Technical Assistance Workbook with guidance on individual training accounts and
eligible training providers, and a standard 12-hour training course on these
subjects is being offered in each region. Cost allocation has been addressed
though the issuance of draft guidance in June 2000, which was cleared by OIG,
and the publication of a new definition of administrative costs as part of WIA
final regulations. OIG was actively involved in testing the definition and
provided its approval as part of the clearance process for the final WIA
regulations.
- Effectiveness of the Welfare-to-Work Initiative. OIG
identified the consistency and quality of performance data reported by the
States and other grantees as a concern, and emphasized the need to finalize
reporting requirements for the Welfare-to-Work program. The Welfare-to-Work
program is part of the Departments data validity project, explained in
greater detail in Chapter 5, which is designed to provide accurate and reliable
program outcome data for performance goals. The final reporting requirements
for the program are effective April 1, 2001.
- Targeting of the Dislocated Workers Program. An audit of the
Dislocated Workers program identified concerns with participants
eligibility in 35 percent of the cases reviewed by OIG, and found that
eligibility criteria were relaxed in some localities with relatively few
dislocated workers to permit the use of the available funds. The auditors also
found that program data reported by the States were often incomplete or in
error. Although the audit report does not adequately consider the authority
vested in State and local governments and the need for flexibility in
addressing local labor-market conditions, a number of actions are being taken
to address the issues raised in the report. The Employment and Training
Administration is increasing technical assistance and monitoring to ensure that
State and local programs adequately document dislocated workers
eligibility for services. The Department is reviewing the current formula for
determining the allocation of dislocated worker funds. During Program Year
2001, the Department will begin to rely upon the Unemployment Insurance wage
record data to provide more accurate program outcome information, and a data
validity system is being designed to better ensure the validity of the data.
- Financial Management. OIG noted in the top management issues
paper that the audit of DOLs FY 2000 Consolidated Financial Statement
identified two systems which have not yet been brought into full compliance
with the Federal Financial Management Improvement Act. Chapter 6 of this plan
retains as a performance goal (FM1) for FY 2002 that all DOL financial systems
meet the standards set in the FFMIA and the Government Management Reform Act
(GMRA). Similar goals were included in the Departments FY 1999, FY 2000,
and FY 2001 plans and are ensuring the Departments continuing focus on
this issue.
6.2.3 Presidential
Management Reforms
The Presidents budget, A Blueprint for New Beginnings
(Blueprint) includes a comprehensive agenda of program accomplishment and
management reforms, and the Department has initiated the necessary actions to
ensure the full implementation of these reforms through the performance
planning process.
Five Government-wide reforms were identified in the Blueprint,
and the status of the Departments progress in implementing these
initiatives to improve operational efficiency and to streamline communications
and business services for DOLs stakeholders and customers is summarized
below.
- Delayering management levels to streamline organizations.
Within the last six months, the Department has undertaken a major Workforce
Planning initiative, leading to a new, overarching human resources management
goal which provides that DOL will have the right people in the right place at
the right time to carry out the mission of the Department. This goal, presented
in section 6.1 and Appendix A of this plan, will be modified in the Revised
Final FY 2002 Annual Performance Plan to include indicators to target
DOLs objectives for delayering management, as additional guidance is
received on this reform.
- Reducing erroneous payments to beneficiaries and other recipients
of government funds. One of the most significant benefit payment programs
administered directly by DOL is the Federal Employees Compensation Act
(FECA) program. All three of the performance goals included in this plan for
the FECA program focus on improving efficiency by returning injured employees
to the workplace in a more timely manner and reducing the costs of medical
services; achieving these goals will reduce the potential for erroneous
payments. With respect to the Unemployment Insurance (UI) program, DOLs
State partners have the responsibility for issuing payments directly to
eligible claimants. After consulting with the programs State partners and
stakeholders, the Department will add an appropriate indicator to measure the
accuracy of benefit payments to the existing UI goal which measures timeliness
and quality. (See section 4.2 and Appendix A of this plan for the FECA and UI
program goals.)
- Making greater use of performance-based contracts. The
Department currently emphasizes the expected level of performance outcomes in
grants and contracts for partners who deliver core program services, including
States, Job Corps contractors and the International Labor Organization.
However, many of DOLs contracts do not meet all established criteria for
performance based contracts. During the first quarter of FY 2002 DOL obtained
the services of a contractor skilled in implemeting performance-based
contracting to develop both an overall DOL strategy and one for each DOL agency
to meet the goal for FY 2002, to provide training for DOL agency staff
(contract specialists, managers and supervisors) in the use and implementation
of performance-based service contracts, and to develop a long-term strategy to
meet the goals in this area for fiscal years 2003, 2004 and 2005.
- Expanding the application of on-line procurement and other
E-Government services and information. The Department provides a number of
services and extensive information on-line, and routinely seeks opportunities
to streamline communications and business transactions for DOLs
constituents. For example, the Occupational Safety and Health
Administrations (OSHA) strategies in section 4.3 of this plan include
enhancing two information technology initiatives, which provide technical
assistance to employers. These OSHA initiatives include Expert
Advisorsinteractive, decision-logic products that help users determine
what requirements apply to them or what actions they need to take to address
hazardous conditions in their workplacesand e-CATS (electronic Compliance
Assistance Tools) which are graphic programs that provide extensive information
on a variety of safety and health issues. Another example of initiatives to
facilitate customers transactions with the Department is the Pension and
Welfare Benefits Administrations strategy to enable pension plan
administrators to electronically file required plan documents with DOL.
Notwithstanding the Departments overall
progress in extending E-Government services, DOL will be challenged in FY 2002
to meet the goal established by OMB to post: (a) all synopses for acquisitions
valued at over $25,000 for which widespread notice is required and (b) all
associated solicitations unless covered by an exemption in the Federal
Acquisition Regulation on the government-wide point-of-entry website
(www.FedBizOpps.gov).
The Department is undertaking its e-Procurement
initiative with the goal of replacing paper-based procurement and grants
processes with a streamlined end-to-end Commercial-Off-the-Shelf or Government
e-Procurement package that meets or exceeds the needs and functional
requirements for the Department as a whole, including each of its component
agencies. This initiative is necessary for the Department to meet current
legislative requirements and government-wide initiatives in the area of
e-commerce, and to provide timely, efficient and effective services to our
customers for the management of administrative operations.
DOLs e-procurement requirements are
currently under review as part of a business process reengineering effort.
Existing e-Procurement solutions are being compared and contrasted to determine
which solution best fits the needs of the Department. Once a solution has been
identified, the Department will manage this initiative through its IT Capital
Planning and Investment Management program. The oversight controls contained
within the capital planning process will ensure the appropriate resources are
acquired and the project proceeds as planned through to its successful
implementation.
During FY 2002, the Department plans to test and
implement in all agencies and the Job Corps Centers the new e-procurement
product to provide a paperless process for creating, routing, and approving
requisitions, automating the posting of contract solicitations using web
technology, and accepting vendor quotes and proposals electronically. The use
of the Commerce Business Daily will be replaced by interfacing with FedBizOps
for synopsis requirements, and interfaces will also be established with
GSAs newly designed Federal Procurement Data System, the Federal
Assistance Awards Data System, and the Federal Grants Management System.
- Expanding A-76 competitions and more accurate FAIR Act
inventories. A goal implementing OMBs guidance to complete
public-private or direct conversion competitions on not less than five percent
of the positions listed on the Departments Federal Activities Inventory
Reform Act listings in FY 2002 has been established and included in section 6.1
and Appendix A of this plan.
The Blueprint also identified an additional six
potential DOL-specific management reforms based upon areas of concern to
the Departments Inspector General and new program initiatives. These
potential management reforms have been or will be incorporated in the planning
process as outlined below.
- Protection of Worker Benefit Funds. The Department and our
partners in the State Employment Security Agencies have implemented a wide
array of internal controls over the worker benefit funds, as detailed in the
FY 2000 Annual Report, and monitor the programs vigilantly for any
indication of emerging fraud schemes. The relatively limited number of
individuals prosecuted annually for fraud against these programs is a measure
of the effectiveness of the existing internal controls.
- Foreign Labor Certification and Alien Labor Certification Program
Reform. The Blueprint included two reforms directed toward the
certification of foreign labor. A new goal related to DOLs initiative to
streamline the adjudication process for foreign labor certification has been
included in section 4.2 and Appendix A of this plan. The Department anticipates
that the quality assurance checks to be instituted as part of the streamlined
certification process will assist the Department in reducing the incidence of
fraudulent petitions, the subject of the second foreign labor certification
reform identified in the Presidents Budget.
- Performance Accountability of Grants. The Department
recognizes the need to improve management and accountability over DOLs $9
billion in grant funds, and has begun to address this problem. However, current
resources have proven inadequate to fully ensure accurate reporting on the use
of grant funds. The Department has requested an increase of $1.8 million to
improve DOLs grant management program, in particular, to make certain
that all grantee cost reports are entered timely into the Departments
financial system. The requested funding would also strengthen oversight of
grant systems and grant financial activities, to ensure that the
Departments grants programs meet all applicable requirements,
particularly those of the Federal Financial Management Improvement Act.
- Compliance Assistance Efforts. This Annual Performance Plan
reflects a wide array of compliance assistance efforts, including innovative
uses of technology, as key strategies in support of the core outcome goals of
our regulatory agencies to improve working conditions for Americas
workers and protect the pensions of the Nations retirees. For example,
OSHA plans to use distance learning technology, such as nationwide satellite
broadcasts for small businesses, to provide training and education assistance
to employees and employers on all new OSHA rules and regulations. Additional
compliance assistance strategies can be found throughout sections 4.2 and 4.3
of this plan. In addition to the strategies, a goal has been established to
reduce injuries and illnesses by 15 percent at work sites engaged in voluntary,
cooperative relationships with OSHA, which will assist the Department in
evaluating the effectiveness of compliance assistance strategies.
- Energy Employees Occupational Illness Compensation
Program. The Department will review the status of this new program during
the preparation of the Revised Final FY 2002 Annual Performance Plan and
determine at that time whether a performance goal(s) should be developed for FY
2002.
6.3 Enhancing DOLs Customer Focus
Many of DOLs component agencies strategic plans include the
integration of customer service concerns into their day-to-day operations. DOL
customers feedback is instructive in measuring how well services are
provided, identifying how services might be better delivered, and determining
whether DOLs program goals effectively address customers needs. DOL
component agencies, as part of their service delivery initiatives, will conduct
customer surveys, using appropriate sampling techniques, to obtain this
feedback at a reasonable cost.
As DOL agencies gain experience in measuring customers
satisfaction, performance goals will be included in the Departments
Annual Performance Plans to inform stakeholders about the Departments
objectives and progress in meeting the needs of our customers. For example, the
Employment and Training Administration has added a goal in section 4.1 and
Appendix A of this plan to increase customer satisfaction with services
received from workforce investment activities in connection with the One-Stop
delivery system, as measured by the American Customer Satisfaction Index.
Not only will DOL improve processes for listening to its
customers, but it will work towards improving the communication process with
its customers, focusing efforts on improving the understandability of workplace
standards by developing plain language regulations. Technology will
be applied across the Department to improve the dissemination of these
regulations, issue technical assistance material, respond to individual
customers problems, and collect public comments. DOL agencies will work
collaboratively to share these and other techniques that provide the feedback
needed to fully measure program results.
|