V. Performance Management

For each of the core indicators (Section II), the customer satisfaction indicator and additional state measures, explain how NY worked with Local Boards to determine the level of the performance goals.

1. For the 15 core indicators and the two customer satisfaction indicators, the State worked with Local Boards to determine the level of their performance goals through a negotiation process. The State supplied baseline information on employment-related measures, using UI wage record information. Local Boards were asked to supply baseline information on education-related and customer satisfaction measures.

   Local boards responded to the baseline data that NYSDOL supplied to them, and either accepted the data as their goals for Program Year 2000, or rejected it, with proposed alternative goals. USDOL Regional Office asked the State not to commence with state/local negotiation until federal/state negotiations have concluded.

   New York State will determine how its levels compare with the State-adjusted levels of performance established for other states when the information is made available from USDOL. The comparison will take into account differences in economic conditions, the characteristics of participants when they entered the program and the services to be provided.

   The levels will help the State achieve customer satisfaction and continuous improvement over the five years of the Plan in that the statewide levels will likely show increases, as appropriate, from year to year. This will encourage all Local Areas and partners to continuously improve their programs so that the higher goals will be met and so that customers will be satisfied by higher rates of employment, retention, earnings, credential attainment, skill attainment and diploma attainment.

   The performance goals for the State will increase each year from PY 2000 through PY 2002. NYSDOL will, on a quarterly basis, compile information on the outcomes of the State and each of the local areas on all measures, including customer satisfaction. The Department will supply the information to the local boards to inform them of how well they are achieving their goals and where they need to improve.

2. Does your state have common data system and reporting processes in place to track progress? Identify any financial reporting requirements on sub-recipients beyond those that will be required by the Department in its financial reporting instructions (to make guidance consistent with regulation 666.150(b) Include the State's plan to use the UI wage records to measure performance and continuous improvement as required. How will the State comply with WIA performance reporting if local areas are not able to connect? What strategy is New York using to assess local readiness and to ensure that the entire state will be ready for implementation?

   The New York State Department of Labor has selected the One-Stop Operating System (OSOS), as the case management/WIA reporting system it will use under WIA. It is encouraging all of the Local Areas in the State to also utilize this system. It is expected that over 80% of the State's future Workforce Investment Areas will utilize this system. Even where a Workforce Investment Area does not use the OSOS, WIBs will be required to convert their reporting data into an OSOS format, and download it into OSOS, where unified federal reports will be generated.

   The OSOS is currently being developed by America's Job Bank. It is expected that all of the system's software will be written by March 5, 2000. The software will be developed and tested on America's Job Bank's services by April of 2000, and the software will be tested on NYSDOL's services beginning in May, 2000. The OSOS is expected to be installed and operating on July 1, 2000, when WIA begins.

   New York State Department of Labor will use the UI wage records maintained by the NYS Department of Taxation. Individuals exiting from WIA services will be matched to these wage files on a quarterly basis for the purpose of determining performance measures (at local and State levels). The performance measures data will be shared with the locals for their use in achieving continuous improvement for both service delivery and outcome accountability.

   Twenty-eight of New York's thirty-three workforce investment areas are using OSOS as their case management system. The five workforce investment areas which opted not to use OSOS are required to submit monthly data files which will be imported into OSOS via Application Programmers Interfaces (APIs) provided as part of the OSOS product. Matches to the UI wage records will be processed identically whether or not a local is using OSOS as the case management system. This information was provided to those local areas and is regularly updated through the use of the OSOS section of the Workforce Development web site.

   Since January 28, 2000, NYSDOL has been working in concert with NYS Office for Technology (OFT) to assess each locality's OSOS connectivity alternatives. In addition, regional meetings were held to advise and assist each local in choosing the optimum connectivity route, planning necessary hardware and software acquisitions, and when necessary, assisting with development of the connectivity infrastructure. This consultation is ongoing.

   As indicated previously, New York State will be utilizing the OSOS system. The State conducted training sessions across New York State on using OSOS. Given a conservative amount of time to work out remaining bugs, performance measurement and reporting systems are expected to be fully operational no later than the middle of the second quarter.

3. Describe the system(s) by which your state measures customer satisfaction for both job seekers and employers (beyond those required.) How will customer satisfaction data be evaluated, disseminated locally, and used to improve services and customer satisfaction? Describe any targeted applicant groups under WIA Title 1, the WPA or Title 38 (Veterans' e&t programs) that NY will track. If no system is currently in place, describe NY's timeframe and plan to collect this info. 111(d)(2), 112(b)(3), 136(b)(2)(B)

   New York State will use surveys to evaluate customer satisfaction. New York State has utilized a wide variety of customer satisfaction surveys to identify opportunities for improvement. The best results have been obtained through surveys that are brief and easily completed. Wherever possible, the survey questions will be integrated into the work process to allow for automated summarization and reporting. Survey questions will be included in a uniform telephone follow-up survey with employers and job seekers, to be conducted locally. Service providers will be required to collect and report on customer satisfaction with the services that they provide. Data will be maintained to meet all reporting requirements.

   Local entities will be encouraged to develop methods of collecting immediate feedback from customers in order to identify and react to customer concerns in a timely manner.

   Any change in policy or procedure that significantly impacts on a customer group will initiate the collection and reporting of the effect of the change on customer satisfaction levels.

   Initially, tracking of customer satisfaction will be limited to individuals registered with the system. Information will be maintained to allow analysis by target group and/or local entity. Results of tabulated customer satisfaction data will be made available through periodic postings to the Department's web site.

4. Describe any actions the Governor and State Board will take to ensure collaboration with key partners and continuous improvement of the statewide workforce investment system. 111(d)(2), 112(b)(1)

   The Governor, with the assistance of the State Board, develops the comprehensive State performance measures and provides feedback to Local Boards. Consultation among all partners at both State and local levels will be an integral part of the development of the performance system to ensure collaboration and continuous improvement. Incentive awards will be utilized to reward Local Areas that meet State performance goals and are able to effectively integrate services within their One-Stop systems. Capacity building efforts and technical assistance will be provided by the Department as directed by the Governor and State Board to enhance collaboration and continuous improvement in the local One-Stop systems. The Department also has instituted a Workforce Development Bulletin System to communicate technical advisories, technical assistance, best practices, and workforce-related information to all workforce development partners.

   At the State level, the Governor's agencies responsible for the various partner programs have entered into a State-level MOU with the State Board outlining their respective activities and responsibilities under WIA. This collaborative process will continue as the State's Workforce Development System continues to evolve under WIA.

5. How will the State and Local Boards evaluate performance? What corrective actions (including sanctions and technical assistance) will NY take if performance falls short of expectations?

   The State and Local Boards will evaluate performance by monitoring the progress of partners and Local Areas in achieving their performance standards. Mechanisms will be established for periodic review of these core indicators throughout the program year. The State will also monitor the satisfaction of employer and job seeker customers who receive services authorized under the Act and delivered through the State's Workforce Development System. Finally, the State will recommend strategies for ensuring customer satisfaction with the types and quality of services offered as well as the accessibility and effectiveness of those services.

   If performance in any workforce investment area in New York State falls short of expectations, New York expects to take the following steps:

   1. Identify local area(s) of under-performance;

   2. Identify factors contributing to the under-performance of the standard(s);

   3. Provide Technical Assistance that may include assistance in the development of a performance improvement plan or development of a modified local plan. Technical Assistance might also include reviewing intake, eligibility, assessment, placement with appropriate recommendations for change;

   4. Advise the local area that it is ineligible for incentive awards until its performance meets expectations.

   5. The Governor shall consider corrective action for successive failure. This could include:
      1. appointment and certification of a new Local Board;
         
      2. prohibit the use of particular service providers or One-Stop partners that have been identified as achieving poor levels of performance;
         
      3. take other appropriate measures as the Governor determines are appropriate to improve the performance of the local area.

      How will the Boards use the review process to reinforce the strategic direction of the system? 111(d)(2), 112(b)(1), 112(b)(3)

      In instances when performance falls short of expectations, the State will provide technical assistance to Local Areas, including developing a performance improvement plan. If poor performance continues, the State will consider suspending eligibility of the local area for any incentive awards until performance meets expectations, developing reorganization plans, requiring the formation of new Local Boards, and prohibiting the use of poorly performing training providers and One-Stop partners.

      The State will further use the information from reviewing and monitoring programs to assure that the State's Workforce Development System is achieving its strategic vision and goals.