(1205-0455) SUPPORTING STATEMENT FOR REQUEST FOR OMB APPROVAL
UNDER THE PAPERWORK REDUCTION ACT OF 1995
This is a justification for the Department of Labor, Employment and Training Administration’s (ETA) request to extend, with revisions, approval for the reporting and recordkeeping requirements and to change the name of the reporting system for the Prisoner Reentry Initiative, now called Reintegration of Ex-Offenders-Adult Reporting System (RExO-Adult). This reporting structure features standardized data collection for program participants and quarterly progress and Management Information System (MIS) report formats. All data collection and reporting is done by the faith-based and community organization (FBCO) grantees or their subgrantees.
The quarterly progress reports provide a detailed, narrative account of program activities, accomplishments, and progress toward performance outcomes during the quarter. The quarterly performance reports include aggregate and participant-level information on demographic characteristics, types of services received, placements, outcomes, and follow-up status. Specifically, these reports collect data on individuals who receive employment training and placement services, housing assistance, mentoring, and other services essential to reintegrating ex-offenders through PRI programs.
The accuracy, reliability, and comparability of program reports submitted by grantees using federal funds are fundamental elements of good public administration and are necessary tools for maintaining and demonstrating system integrity. The use of a standard set of data elements, definitions, and specifications at all levels of the workforce system helps improve the quality of performance information that is received by ETA.
The BeneChoice information collection appended to this ICR is cancelled, along with Form ETA-9140A, because that grantee program concluded.
The Reintegration of Ex-Offenders-Adult program is a Workforce Investment Act (WIA) demonstration grant designed to reduce recidivism by helping inmates find work when they return to their communities. RExO-Adult programs incorporate employment training, mentoring, housing assistance, and other reintegration services in coordination with businesses, One-Stop Centers, educational institutions, local housing authorities, and the criminal justice system. In addition to reporting participant information and performance-related outcomes, RExO-Adult grantees must demonstrate their ability to establish effective partnerships with the criminal justice system, local Workforce Investment Boards, local housing authorities, and other partner agencies. They must also demonstrate the cost effectiveness of their projects. The reporting and recordkeeping system incorporates each of these aspects necessary for program evaluation.
Five outcome measures are used to measure success in the RExO-Adult grants: entered employment rate, employment retention rate, attainment of a degree or certificate, average six month post-program earnings, and recidivism rate. Several of these conform to the common performance measures implemented across federal job training programs as of July 1, 2005. By standardizing the reporting and performance requirements of different programs, the common measures give ETA the ability to compare across programs the core goals of the workforce system—how many people entered jobs; how many stay employed; and how many successfully completed an educational program. In addition to the five outcome measures, grantees report on a number of leading indicators that serve as predictors of success. These include participation in education or training, attainment of degrees and certificates, workforce preparation, mentoring, community service, reduced substance abuse, proportion of enrollees in stable housing, and proportion of enrollees complying with parole conditions.
In applying for the RExO-Adult grants, FBCOs and their sub-grantees agree to submit participant data and aggregate reports on enrollee characteristics, services provided, placements, outcomes, and follow-up status. Grantees collect and report quarterly RExO-Adult performance data using an ETA-provided MIS. The MIS is a web-based case management and reporting application housed on ETA’s servers.
The RExO-Adult data is evaluated by ETA to determine program effectiveness. This evaluation includes the extent to which the RExO-Adult program improves the employment competencies of participants in comparison to comparably situated individuals who did not participate in the program, and the extent to which the RExO-Adult program increases the level of employment over that which would have existed in the absence of the program. Following are statutory sections in the Workforce Evaluation Act that authorize this data collection:
SEC. 171. DEMONSTRATION, PILOT, MULTISERVICE, RESEARCH, AND MULTISTATE PROJECTS.
(a) Strategic Plan.--
(1) In general.--After consultation with States, localities,
and other interested parties, the Secretary shall, every 2 years,
publish in the Federal Register, a plan that describes the
demonstration and pilot (including dislocated worker demonstration
and pilot), multiservice, research, and multistate project
priorities of the Department of Labor concerning employment and
training for the 5-year period following the submission of the
plan. Copies of the plan shall be transmitted to the appropriate
committees of Congress.
(2) Factors.--The plan published under paragraph (1) shall
contain strategies to address national employment and training
problems and take into account factors such as--
(A) the availability of existing research (as of the date
of the publication);
(B) the need to ensure results that have interstate
validity;
(C) the benefits of economies of scale and the efficiency
of proposed projects; and
(D) the likelihood that the results of the projects will be
useful to policymakers and stakeholders in addressing
employment and training problems.
(b) Demonstration and Pilot Projects.--
(1) In general.--Under a plan published under subsection (a),
the Secretary shall, through grants or contracts, carry out
demonstration and pilot projects for the purpose of developing and
implementing techniques and approaches, and demonstrating the
effectiveness of specialized methods, in addressing employment and
training needs. Such projects shall include the provision of direct
services to individuals to enhance employment opportunities and an
evaluation component and may include--
(A) the establishment of advanced manufacturing technology
skill centers developed through local partnerships of industry,
labor, education, community-based organizations, and economic
development organizations to meet unmet, high-tech skill needs
of local communities;
(B) projects that provide training to upgrade the skills of
employed workers who reside and are employed in enterprise
communities or empowerment zones;
(C) programs conducted jointly with the Department of
Defense to develop training programs utilizing computer-based
and other innovative learning technologies;
(D) projects that promote the use of distance learning,
enabling students to take courses through the use of media
technology such as videos, teleconferencing computers, and the
Internet;
(E) projects that assist in providing comprehensive
services to increase the employment rates of out-of-school
youth residing in targeted high poverty areas within
empowerment zones and enterprise communities;
(F) the establishment of partnerships with national
organizations with special expertise in developing, organizing,
and administering employment and training services, for
individuals with disabilities, at the national, State, and
local levels;
(G) projects to assist public housing authorities that
provide, to public housing residents, job training programs
that demonstrate success in upgrading the job skills and
promoting employment of the residents; and
(H) projects that assist local areas to develop and
implement local self-sufficiency standards to evaluate the
degree to which participants in programs under this title are
achieving self-sufficiency.
(2) Limitations.--
(A) Competitive awards.--Grants or contracts awarded for
carrying out demonstration and pilot projects under this
subsection shall be awarded only on a competitive basis, except
that a noncompetitive award may be made in the case of a
project that is funded jointly with other public or private
sector entities that provide a portion of the funding for the
project.
(B) Eligible entities.--Grants or contracts may be awarded
under this subsection only to--
(i) entities with recognized expertise in--
(I) conducting national demonstration projects;
(II) utilizing state-of-the-art demonstration
methods; or
(III) conducting evaluations of workforce
investment projects; or
(ii) State and local entities with expertise in
operating or overseeing workforce investment programs.
(C) Time limits.--The Secretary shall establish appropriate
time limits for carrying out demonstration and pilot projects
under this subsection.
WIA section 172
SEC. 172. EVALUATIONS.
(a) Programs and Activities Carried Out Under This Title.--For the
purpose of improving the management and effectiveness of programs and
activities carried out under this title, the Secretary shall provide
for the continuing evaluation of the programs and activities, including
those programs and activities carried out under section 171. Such
evaluations shall address--
(1) the general effectiveness of such programs and activities
in relation to their cost, including the extent to which the
programs and activities--
(A) improve the employment competencies of participants in
comparison to comparably-situated individuals who did not
participate in such programs and activities; and
(B) to the extent feasible, increase the level of total
employment over the level that would have existed in the
absence of such programs and activities;
(2) the effectiveness of the performance measures relating to
such programs and activities;
(3) the effectiveness of the structure and mechanisms for
delivery of services through such programs and activities;
(4) the impact of the programs and activities on the community
and participants involved;
(5) the impact of such programs and activities on related
programs and activities;
(6) the extent to which such programs and activities meet the
needs of various demographic groups; and
(7) such other factors as may be appropriate.
(b) Other Programs and Activities.--The Secretary may conduct
evaluations of other federally funded employment-related programs and
activities under other provisions of law.
(c) Techniques.--Evaluations conducted under this section shall
utilize appropriate methodology and research designs, including the use
of control groups chosen by scientific random assignment methodologies.
The Secretary shall conduct as least 1 multisite control group
evaluation under this section by the end of fiscal year 2005.
(d) Reports.--The entity carrying out an evaluation described in
subsection (a) or (b) shall prepare and submit to the Secretary a draft
report and a final report containing the results of the evaluation.
(e) Reports to Congress.--Not later than 30 days after the
completion of such a draft report, the Secretary shall transmit the
draft report to the Committee on Education and the Workforce of the
House of Representatives and the Committee on Labor and Human Resources
of the Senate. Not later than 60 days after the completion of such a
final report, the Secretary shall transmit the final report to such
committees of the Congress.
(f) Coordination.--The Secretary shall ensure the coordination of
evaluations carried out by States pursuant to section 136(e) with the
evaluations carried out under this section.
WIA section 185
SEC. 185. REPORTS; RECORDKEEPING; INVESTIGATIONS.
(a) Reports.--
(1) In general.--Recipients of funds under this title shall
keep records that are sufficient to permit the preparation of
reports required by this title and to permit the tracing of funds
to a level of expenditure adequate to ensure that the funds have
not been spent unlawfully.
(2) Submission to the secretary.--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.
(3) Maintenance of standardized records.--In order to allow for
the preparation of the reports required under subsection (c), such
recipients shall maintain standardized records for all individual
participants and provide to the Secretary a sufficient number of
such records to provide for an adequate analysis of the records.
(4) Availability to the public.--
(A) In general.--Except as provided in subparagraph (B),
records maintained by such recipients pursuant to this
subsection shall be made available to the public upon request.
(B) Exception.--Subparagraph (A) shall not apply to--
(i) information, the disclosure of which would
constitute a clearly unwarranted invasion of personal
privacy; and
(ii) trade secrets, or commercial or financial
information, that is obtained from a person and privileged
or confidential.
(C) Fees to recover costs.--Such recipients may charge fees
sufficient to recover costs applicable to the processing of
requests for records under subparagraph (A).
(b) Investigations of Use of Funds.--
(1) In general.--
(A) Secretary.--In order to evaluate compliance with the
provisions of this title, the Secretary shall conduct, in
several States, in each fiscal year, investigations of the use
of funds received by recipients under this title.
(B) Comptroller general of the United States.--In order to
ensure compliance with the provisions of this title, the
Comptroller General of the United States may conduct
investigations of the use of funds received under this title by
any recipient.
(2) Prohibition.--In conducting any investigation under this
title, the Secretary or the Comptroller General of the United
States may not request the compilation of any information that the
recipient is not otherwise required to compile and that is not
readily available to such recipient.
(3) Audits.--
(A) In general.--In carrying out any audit under this title
(other than any initial audit survey or any audit investigating
possible criminal or fraudulent conduct), either directly or
through grant or contract, the Secretary, the Inspector General
of the Department of Labor, or the Comptroller General of the
United States shall furnish to the State, recipient, or other
entity to be audited, advance notification of the overall
objectives and purposes of the audit, and any extensive
recordkeeping or data requirements to be met, not later than 14
days (or as soon as practicable), prior to the commencement of
the audit.
(B) Notification requirement.--If the scope, objectives, or
purposes of the audit change substantially during the course of
the audit, the entity being audited shall be notified of the
change as soon as practicable.
(C) Additional requirement.--The reports on the results of
such audits shall cite the law, regulation, policy, or other
criteria applicable to any finding contained in the reports.
(D) Rule of construction.--Nothing contained in this title
shall be construed so as to be inconsistent with the Inspector
General Act of 1978 (5 U.S.C. App.) or government auditing
standards issued by the Comptroller General of the United
States.
(c) Accessibility of Reports.--Each State, each local board, and
each recipient (other than a subrecipient, subgrantee, or contractor of
a recipient) receiving funds under this title--
(1) shall make readily accessible such reports concerning its
operations and expenditures as shall be prescribed by the
Secretary;
(2) shall prescribe and maintain comparable management
information systems, in accordance with guidelines that shall be
prescribed by the Secretary, designed to facilitate the uniform
compilation, cross tabulation, and analysis of programmatic,
participant, and financial data, on statewide, local area, and
other appropriate bases, necessary for reporting, monitoring, and
evaluating purposes, including data necessary to comply with
section 188; and
(3) shall monitor the performance of providers in complying
with the terms of grants, contracts, or other agreements made
pursuant to this title.
(d) Information To Be Included in Reports.--
(1) In general.--The reports required in subsection (c) shall
include information regarding programs and activities carried out
under this title pertaining to--
(A) the relevant demographic characteristics (including
race, ethnicity, sex, and age) and other related information
regarding participants;
(B) the programs and activities in which participants are
enrolled, and the length of time that participants are engaged
in such programs and activities;
(C) outcomes of the programs and activities for
participants, including the occupations of participants, and
placement for participants in nontraditional employment;
(D) specified costs of the programs and activities; and
(E) information necessary to prepare reports to comply with
section 188.
(2) Additional requirement.--The Secretary shall ensure that
all elements of the information required for the reports described
in paragraph (1) are defined and reported uniformly.
(e) Quarterly Financial Reports.--
(1) In general.--Each local board in the State shall submit
quarterly financial reports to the Governor with respect to
programs and activities carried out under this title. Such reports
shall include information identifying all program and activity
costs by cost category in accordance with generally accepted
accounting principles and by year of the appropriation involved.
(2) Additional requirement.--Each State shall submit to the
Secretary, on a quarterly basis, a summary of the reports submitted
to the Governor pursuant to paragraph (1).
(f) Maintenance of Additional Records.--Each State and local board
shall maintain records with respect to programs and activities carried
out under this title that identify--
(1) any income or profits earned, including such income or
profits earned by subrecipients; and
(2) any costs incurred (such as stand-in costs) that are
otherwise allowable except for funding limitations.
(g) Cost Categories.--In requiring entities to maintain records of
costs by category under this title, the Secretary shall require only
that the costs be categorized as administrative or programmatic costs.WIA section 188
SEC. 188. NONDISCRIMINATION.
(a) In General.--
(1) Federal financial assistance.--For the purpose of applying
the prohibitions against discrimination on the basis of age under
the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), on the
basis of disability under section 504 of the Rehabilitation Act of
1973 (29 U.S.C. 794), on the basis of sex under title IX of the
Education Amendments of 1972 (20 U.S.C. 1681 et seq.), or on the
basis of race, color, or national origin under title VI of the
Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), programs and
activities funded or otherwise financially assisted in whole or in
part under this Act are considered to be programs and activities
receiving Federal financial assistance.
(2) Prohibition of discrimination regarding participation,
benefits, and employment.--No individual shall be excluded from
participation in, denied the benefits of, subjected to
discrimination under, or denied employment in the administration of
or in connection with, any such program or activity because of
race, color, religion, sex (except as otherwise permitted under
title IX of the Education Amendments of 1972), national origin,
age, disability, or political affiliation or belief.
(3) Prohibition on assistance for facilities for sectarian
instruction or religious worship.--Participants shall not be
employed under this title to carry out the construction, operation,
or maintenance of any part of any facility that is used or to be
used for sectarian instruction or as a place for religious worship
(except with respect to the maintenance of a facility that is not
primarily or inherently devoted to sectarian instruction or
religious worship, in a case in which the organization operating
the facility is part of a program or activity providing services to
participants).
(4) Prohibition on discrimination on basis of participant
status.--No person may discriminate against an individual who is a
participant in a program or activity that receives funds under this
title, with respect to the terms and conditions affecting, or
rights provided to, the individual, solely because of the status of
the individual as a participant.
(5) Prohibition on discrimination against certain
noncitizens.--Participation in programs and activities or receiving
funds under this title shall be available to citizens and nationals
of the United States, lawfully admitted permanent resident aliens,
refugees, asylees, and parolees, and other immigrants authorized by
the Attorney General to work in the United States.
(b) Action of Secretary.--Whenever the Secretary finds that a State
or other recipient of funds under this title has failed to comply with
a provision of law referred to in subsection (a)(1), or with paragraph
(2), (3), (4), or (5) of subsection (a), including an applicable
regulation prescribed to carry out such provision or paragraph, the
Secretary shall notify such State or recipient and shall request that
the State or recipient comply. If within a reasonable period of time,
not to exceed 60 days, the State or recipient fails or refuses to
comply, the Secretary may--
(1) refer the matter to the Attorney General with a
recommendation that an appropriate civil action be instituted;
or
(2) take such other action as may be provided by law.
(c) Action of Attorney General.--When a matter is referred to the
Attorney General pursuant to subsection (b)(1), or whenever the
Attorney General has reason to believe that a State or other recipient
of funds under this title is engaged in a pattern or practice of
discrimination in violation of a provision of law referred to in
subsection (a)(1) or in violation of paragraph (2), (3), (4), or (5) of
subsection (a), the Attorney General may bring a civil action in any
appropriate district court of the United States for such relief as may
be appropriate, including injunctive relief.
(d) Job Corps.--For the purposes of this section, Job Corps members
shall be considered as the ultimate beneficiaries of Federal financial
assistance.
(e) Regulations.--The Secretary shall issue regulations necessary
to implement this section not later than one year after the date of the
enactment of the Workforce Investment Act of 1998. Such regulations
shall adopt standards for determining discrimination and procedures for
enforcement that are consistent with the Acts referred to in a
subsection (a)(1), as well as procedures to ensure that complaints
filed under this section and such Acts are processed in a manner that
avoids duplication of effort.
WIA section 189(d)
SEC. 189. ADMINISTRATIVE PROVISIONS.
(d) Annual Report.--The Secretary shall prepare and submit to
Congress an annual report regarding the programs and activities carried
out under this title. The Secretary shall include in such report--
(1) a summary of the achievements, failures, and problems of
the programs and activities in meeting the objectives of this
title;
(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;
(3) recommendations for modifications in the programs and
activities based on analysis of such findings; and
(4) such other recommendations for legislative or
administrative action as the Secretary determines to be
appropriate.
Grantees carry out recordkeeping and reporting requirements with grant funds. As a government-procured MIS is provided to all grantees, their implementation costs will be minimized. Grant funds may also be used with the prior approval of the grant officer to upgrade computer hardware and internet access to enable projects to use the MIS.
Grantees enter data into the MIS on individuals who receive services through RExO-Adult programs and their partnerships with One-Stop Centers, local Workforce Investment Boards, employment providers, the criminal justice system, and the local housing authority. These data are used by the Department and ETA to evaluate performance and delivery of RExO-Adult program services. Attachment A contains a list of the required data elements to be collected in the MIS and the purpose for collecting each item. The MIS allows grantees to collect additional participant data beyond those elements required by RExO-Adult.
ETA uses the data to track total participants, characteristics, services, and outcomes for released prisoner participants. Additionally, ETA analyzes the data to (1) determine the delivery of core employment services within the WIA framework; (2) study performance outcomes vis-à-vis performance measures, policies, and procedures; and (3) help drive the workforce investment system toward continuous improvement of outcomes and integrated service delivery for released prisoners. Common measures enhance ETA’s ability to assess the effectiveness of the PRI program within the broader workforce investment system.
Within ETA, the data are used by the Offices of Workforce Investment, Financial and Administrative Management, Policy Development and Research, Performance and Technology, and Field Operations (including the regional offices). Other DOL users include the Offices of the Assistant Secretary for ETA and Assistant Secretary for Policy.
The reports and other analyses of the data are made available to the public through publication and other appropriate methods and to the appropriate congressional committees through copies of such reports. In addition, information obtained through the MIS information and reporting system is used at the national level during budget and allocation hearings for DOL compliance with the Government Performance and Results Act (GPRA) and other legislative requirements, and during legislative reauthorization proceedings.
All RExO-Adult data and reports are submitted to ETA via the internet. Grantees collect, retain, and report all information electronically through the ETA-provided MIS.
A hallmark of WIA Title I is increased accountability in exchange for optimal flexibility. Title I has strengthened accountability by requiring more comprehensive performance standards and establishing quarterly reports for demonstration projects. The data items on the individual MIS records support the measures, and much of these data are used by grantees to prepare the quarterly progress reports.
ETA has minimized the reporting burden by establishing the number of data elements required commensurate with the level of resources expended and services received. Data items collected by program reports and individual records are needed to: (1) account for the detailed services and mentoring provided by multiple agencies to help participants get and keep well paying jobs and obtain stable housing; (2) better identify overlapping and unproductive duplication of services; and (3) reduce the effect of stove-piped data and generate performance information across employment and training programs. Information provided through the RExO-Adult management information and reporting system is not available through other data collection and report systems.
For reporting purposes, the involvement of small businesses or other small entities who are not grantees or sub-grantees is extremely limited. The only time contacting them may be required is during the provision of a service. Methods to minimize the burden on small entities that are grantees or subgrantees are discussed in other sections of this supporting statement.
29 CFR 95.51(b) (59 F.R. 38271, July 27, 1994), which governs monitoring and reporting program performance under grants and agreements with non-profit organizations, states that quarterly reports shall be due 30 days after the reporting period. If ETA did not comply with these requirements, funding for demonstration programs would be compromised. In applying for RExO-Adult grants, grantees agree to meet ETA’s reporting requirements as indicated in the Solicitation for Grant Applications (SGA/DFA PY-04-08), which requires the submission of quarterly reports within 30 days after the end of the quarter.
These data collection efforts do not involve any special circumstances.
A.8 Federal Register Notice and Consultation Outside the Agency
The public was given an opportunity to review and comment through the Federal Register notice process. The notice was published in the Federal Register on November 4, 2011 (Vol. 76, No. 214, p. 68509 et seq.). No comments were received.
There are no payments of gifts to respondents.
ETA is responsible for protecting the privacy of the RExO-Adult participant and performance data and maintaining the data in accordance with all applicable federal laws, with particular emphasis on compliance with the provisions of the Privacy and Freedom of Information Acts. The Department is working diligently to ensure the highest level of security whenever personally identifiable information is stored or transmitted. All contractors that have access to individually identifying information are required to provide assurances that they will respect and protect the data. ETA’s Office of Information Systems and Technology (OIST) has been an active participant in the development and approval of data security measures – especially as they apply to the web-based version of the RExO-Adult system.
A key concern is for the protection of participant social security numbers (SSNs), which is voluntarily provided by the individual as part of this information collection request. The SSN is being requested in order for grantees to properly determine that the individual is eligible to participate in the RExO-Adult program, ensure data integrity, and, to the extent practicable, track program participant outcomes through state wage record systems. The RExO-Adult system also includes a statement that informs the individual where the information he/she has provided is being stored, the name and location of the system, and that the information is protected in accordance with the Privacy Act. When participant files are retrieved within the RExO-Adult system, only the last four digits of the social security number are displayed. Any information that is shared or made public is aggregated by grantee and does not reveal personal information on specific individuals.
While sensitive questions will be asked of participants in the proposed data collection, the confidentiality of participants will be protected as discussed in section A.10. In addition, security is built into the data collection system by the MIS contractor. Participant responses to these sensitive questions allow ETA to comprehensively evaluate the effectiveness of the RExO-Adult program.
The annual national burden for the RExO-Adult reporting system has three components: (1) the participant data collection burden; (2) the quarterly narrative progress report burden; and (3) the quarterly performance report burden. This response provides a separate burden for each of the three components.
(1). Participant Data Collection Burden
The RExO-Adult participant data collection burden considers the amount of participant and performance-related information collected and reported on the participant record that would not have to be collected by the grantees as part of their customary and usual burden to run the program. Thus the burden reflects the information collected solely to comply with the federal reporting requirements.
The data collection burden varies by participant based on the range and intensity of services provided by the grantee and its partnerships with One-Stop Centers, local Workforce Investment Boards, employment providers, the criminal justice system, the grantee programs run by the U.S. Department of Justice, and local housing authorities. For example, data collection may involve acquiring information from the various partner agencies regarding employment training and placement, housing assistance, mentoring, parole, and probation, in addition to the collection of personal and demographic information by the grantees themselves.
To arrive at the average annual figure of 1.3 hours per participant record, Mathematica, the contractor which computed the original data for this submission when it was a new initiative, assessed the time for entries by grantees based on scenarios postulating a variety of services possible for a range of anticipated participants. This information, in turn, was based on similar programs of this sort, including Justice Department programs.
Finally, RExO-Adult program managers consulted with grantees who have collected this information over the past several years to verify that 1.3 hours, as an average figure devoted for MIS for the estimated 5,700 participants, averaged out among the grantees, represented the best estimate of time devoted to data entry for each participant, given the range of entries anticipated for each participant, as described above. These grantees affirmed this estimate.
Participants’ time in providing the information to grantees collecting this data is estimated at .5 hours per participant.
The PY 2012 number of grantees is reduced from the number included in the PY 2008 approval request. Fewer grantees are being awarded now compared to previous years because funds are no longer being mortgaged. Grantees are being provided the full grant award in the initial grant award year which means that fewer grants are awarded each year but they are provided with larger grant awards up front for the full period of performance. Regarding the estimated 5,700 participants for 2012, it is noted that the grantees are in different years in their grants, and those in the final drawdowns are serving fewer participants than those in their initial years of grant-funded activity. To estimate the participants for 2012, the initiative’s efficiency measure of $3,000 expended per participant was compared with each grant’s expected first-year funding level, which determined the number of those who could be served by each grantee per year. This estimate of the number of participants served through this grant program is also based on the MIS data collected thus far. By dividing the estimated 5,700 participants among the 38 current and anticipated grantees, one arrives at the average per grantee, given the broad range of years into the grant and range of activities and number of potential participants represented by each grantee, of 150 persons per grant: 5,700 divided by 38 = 150.
Estimated National Count:
Record Type |
Av Hrs. Per Record |
PY 12 Estimated National Count |
Annual National Burden Hours |
Applicable Hourly Rate |
Annual National Burden Dollars |
Participant data collected by grantees |
1.3 |
5,700 |
7410 |
$10.75 |
$79,658 |
Record Type |
Av Hrs. Per Record |
PY 12 Estimated National Count |
Annual National Burden Hours |
Applicable Hourly Rate |
Annual National Burden Dollars |
Participant data provided by individual program participants |
.5 |
5,700 |
2850 |
$10.75 |
$30,638 |
Hourly rates used to calculate cost depend upon the type of organization administering the program. For private non-profit grantees, the hourly rate is the average hourly earnings in the Census Bureau’s social assistance industry category (May 2003, Current Employment Statistics Survey, U.S. Census Bureau). An identical amount was postulated for participants to cover opportunity costs.
(2). Quarterly Narrative Progress Report Burden
The RExO-Adult quarterly narrative progress report burden involves providing a detailed account of all activities undertaken during the quarter including in-depth information on accomplishments, promising approaches, progress toward performance outcomes, upcoming grant activities, and updates on product, curricula, and training development. It is assumed that each grantee will spend approximately two days (16 hours) per quarter preparing this report. Information to be included in this quarterly narrative report is laid out in the RExO-Adult Solicitation for Grant Application (SGA) and concomitant grant documents.
Narrative Report |
Av Hrs. Per Year Per Grantee (4 responses x 16 hours each) |
Number of Grantees |
Annual National Burden Hours |
Applicable Hourly Rate |
Annual National Burden Dollars |
Quarterly Narrative Progress Report |
64 |
38 |
2,432 |
$10.75 |
$26,144 |
(3). Quarterly Performance Report Burden ETA – 9140
The quarterly performance report burden assumes that all grantees use the ETA-provided MIS to generate quarterly performance reports (referred to as Management Information System (MIS) Reports in SGA/DFA PY-10-10). The MIS is designed to apply edit checks to participant data and to generate facsimiles of the aggregate information on enrollee characteristics, services provided, placements, outcomes, and follow-up status in quarterly report format. The burden includes reviewing and correcting errors identified by the MIS in the participant-level data and generating, reviewing, and approving the aggregate quarterly reports.
ETA 9140 Report
|
Av Hrs Per Year Per Grantee (4 responses x 16 hours each) |
Number of Grantees |
Annual National Burden Hours |
Applicable Hourly Rate |
Annual National Dollars |
Quarterly Performance Report |
64 |
38 |
2432 |
$10.75 |
$26,144 |
TOTAL ANNUAL HOURS, Narrative and Quarterly Performance Reports & MIS system, 38 Grantees and 5700 participants: 15,124 total annual burden hours.
Start-up/capital costs: There are no start-up costs, as ETA provides grantees with a free, web-based, data collection and reporting system that grantees will use to collect and maintain participant data, apply edit checks to the data, and generate the quarterly reports.
Annual costs: There are no annual costs, as ETA is responsible for the annual maintenance costs for the free, web-based, data collection and reporting system.
The MIS system is fully developed and these costs have been absorbed. The annual costs of maintaining the system and developing training and technical assistance guides, continues to be estimated to be $285,000, are borne by ETA.
The burden reduction is due to a decrease in grantees from 74 to 38. Also the BeneChoice information collection appended to this ICR in ROCIS is cancelled, along with ETA-9140A, because that grantee program concluded. Thus there is an added drop of 20 grantees and 80 annual hours. The added responses are due to an additional IC which acknowledges the individual participant burden for providing information for participant data records.
A.16 Tabulation of Publication Plans and Time Schedules for the Project
Product |
Submission Date |
Comments |
Quarterly Narrative Progress Report |
Within 45 days after the end of the quarter. |
Quarterly progress reports and MIS data will be submitted electronically using ETA’s On-Line Electronic Reporting System. |
Quarterly Performance Report
|
Within 45 days after the end of the quarter. |
The expiration date for OMB approval will be displayed. We are not seeking approval to have this concealed.
A.18 Exceptions to OMB Form 83-I
No exceptions are requested in the “Certification of Paperwork Reduction Act Submissions.”
This information collection request does not contain statistical methods.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | NOTE: (1) PLEASE |
| Author | Tom Armington |
| File Modified | 0000-00-00 |
| File Created | 2021-01-31 |