[Federal Register Volume 67, Number 8 (Friday, January 11, 2002)]
[Notices]
[Pages 1514-1516]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-667]


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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; Proposed Collection; 
Comment Request

ACTION: Notice.

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SUMMARY: The Department of Labor, as part of its continuing effort to 
reduce paperwork and respondent burden, conducts a preclearance 
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 is soliciting 
comments concerning the proposed extension of the Workforce Investment 
Act Management Information and Reporting System.
    A copy of the proposed information collection request (ICR) can be 
obtained by contacting the office listed below in the addressee section 
of this notice.

DATES: Written comments must be submitted to the office listed in the 
addressee's section below on or before March 12, 2002.

ADDRESSES: U.S. Department of Labor, Employment and Training 
Administration, 200 Constitution Avenue, N.W., Room S-4231, Washington, 
DC, 20210. Attention: William Rabung, Telephone: (202) 693-3031 (not a 
toll-free number), Facsimile number: (202) 693-3229, E-mail address: 
[email protected]. 

SUPPLEMENTARY INFORMATION:   

I. Background

    In implementing the performance accountability and reporting 
provisions of the Workforce Investment Act of 1998 (WIA), all state 
jurisdictions and territories operating programs under WIA Title I-B 
are required to submit three types of participation and performance 
reports electronically to DOL on a periodic basis that allow the 
Department to manage its responsibilities under: (1) WIA section 
136(d); (2) WIA section 185(a)(2), (c)(2), and (d); and (3) WIA section 
189(d). These responsibilities include reporting the progress of States 
in achieving negotiated levels of performance on the required core and 
customer satisfaction measures, reports and recordkeeping, and 
responsibilities under the Government Performance and Results Act 
(GPRA). The Department seeks to extend these data collection and 
reporting requirements without change. The Department originally 
received approval of this reporting package on March 1 of this year 
with an expiration date of October 31 of this year. This very limited 
approval period made it impossible for the Department to receive 
required information from states or to perform any analyses of the data 
for purposes of program administration. The Department has requested 
and received a 90 day extension of this reporting package in order for 
the Department to at least receive the next quarterly report and the 
first annual report and WIASRD data from states. In order to meet the 
requirements of the Paperwork Reduction Act, the Department is 
submitting this package as approved on March 1, 2000 with only minor 
clarification and grammatical corrections for extension of data 
collection and reporting requirements.
    There are two basic report systems--financial and program. The 
financial reports are 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). Turning to the program 
report system, there are three types of reports submitted by states: 
individual records, quarterly summary reports, and annual reports.

A. Individual Records

    The Department established a standard set of core data elements 
that must be maintained for each individual who receives WIA Title I-B 
services beyond self-service and informational activities. The number 
of data elements collected for each individual is driven by the level 
of service. States submit individual record-level electronic records 
for program exiters annually. The Workforce Investment Act Standardized 
Record Data (WIASRD) contains:
    --Relevant demographic characteristics including race, ethnicity, 
sex and age and other related information on the participants (WIA sec. 
185(d)(1)(A));
    --WIA Title I-B and partner program activities in which the 
participants are enrolled (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 WIASRD and related documents can be viewed at the Department's 
Internet Web site, http://www.usworkforce.org.

B. Quarterly Summary Reports

    The quarterly summary reports reflect 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.These reports provide DOL with key information 
necessary for program oversight purposes. This information

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facilitates the Department's efforts in assessing its own performance 
against established GPRA goals. States electronically submit the 
quarterly summary reports within 45 days following the end of each 
quarter.
    The Quarterly Summary Report format and instructions for completing 
this report can be viewed at the Department's Internet Web site, http://www.usworkforce.org.

C. Annual Reports

    On an annual basis, each state publishes and submits to the 
Secretary an Annual Report which explains the outcomes of WIA Title I-B 
programs to employers, taxpayers, participants and Congress and meets 
the provisions at WIA sec.136(d) and WIA sec. 185(d). This report 
emulates the private sector's ``report to stockholders'' and affords 
considerable flexibility to states to represent their qualities in the 
most advantageous manner to all stakeholders, including Congress, 
Governors, state legislators, workforce investment boards, and the 
public. This report is submitted electronically to DOL.
    The state's Annual Report includes state performance as well as 
local performance. Copies of each state's Annual Report are 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 instructions for completing an annual report can be accessed 
and viewed at the Department's Internet Web site, 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 Web site, http://www.usworkforce.org.

II. Current Actions

    The proposed extension of the 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: Extension.
    Agency: Employment and Training Administration.
    Titles: Workforce Investment Act Standardized Record Data, 
(WIASRD), Annual Report, Quarterly Summary Reports.
    OMB Number: 1205-0420.
    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 Web 
site, http://www.usworkforce.org.
    Total Respondents: 53 (50 States, District of Columbia, Puerto 
Rico, and Virgin Islands).
    Frequency: Annual Report--Yearly by December 1; Quarterly Summary 
Report--submitted within 45 days following each quarter; Individual 
Record--Annually by December 1.
    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: 2,384 hours.
    Per Response: The actual response time varies by number of local 
workforce investment boards and individual records of individuals 
served in the state.
    Estimated Total Burden Hours:

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                                                                                                            Average time per       Burden  (total nat.
         Cite/reference              Total respondents          Frequency          Total responses              response                  hrs.)
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Individual Records..............  53 entities are          Annually..........  53 (One set of records   13,272 hours             703,416 hours
                                   required to submit                           per respondent. Set
                                   individual records 6                         will vary in size
                                   entities may submit                          depending on the
                                   individual records \1\.                      number of individuals
                                                                                served in the
                                                                                jurisdiction.).
Annual Report...................  See above..............  Annually..........  53.....................  45 hours                 2,385 hours
Customer Satisfaction Survey....  53 States*.............  Quarterly/Annually  (Results to be included  5 min. (\1/12\ hr.)**    4,417 hours
                                                                                in the Annual and
                                                                                Quarterly Reports).
                                  Agency Administration    ..................  .......................  688 hours                36,464 hours
                                   53.
                                  Overhead 53............  ..................  .......................  154 hours                8,162 hours
Quarterly Summary Report........  53.....................  Quarterly.........  212 (53 x 4)...........  16 hours                 3,392 hours.
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      Totals....................  53.....................  Quarterly/Annually  318....................  2,384 hours              758,236 hours.
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*Each State will submit one index score for the employer responses and one for the participant responses.
**Assumes only 3 ASCI questions are administered.
 
\1\ All 50 States, the District of Columbia, Puerto Rico and The U.S. Virgin Islands are required to submit individual records, quarterly reports and
  annual reports using the instructions and formats provided.
 
The Secretary may reserve up to \1/4\ of 1 percent of the WIA Title I-B funds for Guam, American Samoa, the Commonwealth of the Northern Mariana
  Islands, and the Freely Associated States (The Marshall Islands, Palau and the Federated States of Micronesia). Notwithstanding any other provision of
  law, the Freely Associated States shall not receive any assistance for any program year that begins after September 30, 2001 (WIA section
  127(b)(1)(B)(ii)(IV)). These areas have limited access to technology, wage records and unique economies that result in barriers to implementing some
  of the indicators of performance and to collecting and reporting data. Given these unique circumstances, regional staff will work with these entities
  to develop suitable reporting requirements. These areas are not eligible to receive incentive grants for exceeding negotiated levels of performance.

    Explanation of Burden Hours:
    A. Individual Record--703,416 hrs.
    Baseline: 8,768 hrs./reporting unit in the Paperwork Reduction 
Package regarding the JTPA reporting system (SPIR = 56 State reporting 
units).

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    Factor: 51% 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.
    B. Annual Report--2,385 hrs.
    Estimate based on 45 hrs./reporting unit to produce one report per 
year (includes program run, checking, report formatting for 
transmission).
    C. Quarterly Report--3,392 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.
    D. Customer Satisfaction Survey.
    Respondents--4,417 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 the three ACSI questions are asked. States may incur 
increased costs in the event additional questions are asked on the 
surveys.
    Survey Administration--36,464 hrs.
    Estimate based on 41 minutes to obtain a completed survey 
(telephone contacts, call-backs, data entry). This estimate assumes 50% 
of the respondents for each State will take an average of 30 minutes 
each, 25% will require an average of 45 minutes, and 25% will require 
an average of 60 minutes to obtain each completed survey.
    Survey Preparation and Overhead--8,162 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 Costs): $0. All respondents are 
currently operating production-status reporting systems.
    Total Burden Cost (Operation and Maintenance Costs): $18,986,229.
    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 also 
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 Web site, http://www.usworkforce.org;
--The Workforce Investment Act Title I-B 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: December 13, 2001.
Emily Stover DeRocco,
Assistant Secretary of Labor.
[FR Doc. 02-667 Filed 1-10-02; 8:45 am]
BILLING CODE 4510-30-P