[Code of Federal Regulations] [Title 20, Volume 3] [Revised as of April 1, 2002] From the U.S. Government Printing Office via GPO Access [CITE: 20CFR658.601] [Page 709-711] TITLE 20--EMPLOYEES' BENEFITS CHAPTER V--EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR PART 658--ADMINISTRATIVE PROVISIONS GOVERNING THE JOB SERVICE SYSTEM--Table of Contents Subpart G--Review and Assessment of State Agency Compliance With Job Service Regulations Sec. 658.601 State agency responsibility. (a) Each State agency shall establish and maintain a self-appraisal system for job service operations to determine [[Page 710]] success in reaching goals and to correct deficiencies in performance. The self-appraisal system shall include numerical (quantitative) appraisal and non-numerical (qualitative) appraisal. (1) Numerical appraisal at the local office level shall be conducted as follows: (i) Performance shall be measured on a quarterly-basis against planned service levels as stated in the State Program and Budget Plan (PBP). The State plan shall be consistent with numerical goals contained in local office plans. (ii) To appraise numerical activities/indicators, actual results as shown on the Employment Security Automated Reporting System (ESARS) tables and Cost Accounting Reports shall be compared to planned levels. Variances between achievement and plan shall be identified. (iii) When the numerical appraisal of required activities/indicators identifies significant variances from planned levels, additional analysis shall be conducted to isolate possible contributing factors. This data analysis shall include, as appropriate, comparisons to past performance, attainment of PBP goals and consideration of pertinent non- numerical factors. (iv) Results of local office numerical reviews shall be documented and significant deficiencies identified. A corrective action plan as described in paragraph (a)(6) shall be developed to address these deficiencies. (v) The result of local office appraisal, including corrective action plans, shall be communicated in writing to the next higher level of authority for review. This review shall cover adequacy of analysis, appropriateness of corrective actions, and need for higher level involvement. When this review is conducted at an area or district office, a report describing local office performance within the area or district jurisdiction shall be communicated to the central office on a quarterly basis. (2) Numerical appraisal at the central office level shall be conducted as follows: (i) Performance shall be measured on a quarterly basis against planned service levels as stated in the State Program and Budget Plan (PBP). The State plan shall be consistent with numerical goals contained in local office plans. (ii) To appraise these key numerical activities/indicators, actual results as shown on the Employment Security Automated Reporting System (ESARS) tables and Cost Accounting Reports shall be compared to planned levels. Variances between achievement and plan shall be identified. (iii) The central office shall review Statewide data, and performance against planned service levels as stated in the State Program and Budget Plan (PBP) on at least a quarterly basis to identify significant Statewide deficiencies and to determine the need for additional analysis, including identification of trends, comparisons to past performance, and attainment of PBP goals. (iv) Results of numerical reviews shall be documented and significant deficiencies identified. A corrective action plan as described in paragraph (a)(5) of this section shall be developed to address these deficiencies. These plans shall be submitted to the ETA Regional Office as part of the periodic performance process described at 20 CFR 658.603(d)(2). (3) Nonnumerical (qualitative) appraisal of local office job service title III activities shall be conducted at least annually as follows: (i) Each local office shall assess the quality of its services to applicants, employers, and the community and its compliance with Federal regulations. (ii) At a minimum, nonnumerical review shall include an assessment of the following factors: (A) Appropriateness of services provided to applicants and employers; (B) Timely delivery of services to applicants and employers; (C) Staff responsiveness to individual applicant and employer needs; (D) Thoroughness and accuracy of documents prepared in the course of service delivery; and (E) Effectiveness of JS interface with external organizations, i.e., other ETA funded programs, community groups, etc. (iii) Nonnumerical review methods shall include: (A) Observation of processes; [[Page 711]] (B) Review of documents used in service provisions; and (C) Solicitation of input from applicants, employers, and the community. (iv) The result of nonnumerical reviews shall be documented and deficiencies identified. A corrective action plan that addresses these deficiencies as described in paragraph (a)(6) of this section shall be developed. (v) The result of local office nonnumerical appraisal, including corrective actions, shall be communicated in writing to the next higher level of authority for review. This review shall cover thoroughness and adequacy of local office appraisal, appropriateness of corrective actions, and need for higher level involvement. When this review is conducted at an area or district level, a report summarizing local office performance within that jurisdiction shall be communicated to the central office on an annual basis. (4) As part of its oversight responsibilities, the central office shall conduct onsite reviews in those local offices which show continuing internal problems or deficiencies in performance as indicated by such sources as data analysis, nonnumerical appraisal, or other sources of information. (5) Nonnumerical (qualitative) review of central office job service activities shall be conducted as follows: (i) Central office operations shall be assessed annually to determine compliance with Federal regulations and to assess progress made on annually established work plans established for central office staff. (ii) Results of nonnumerical reviews shall be documented and deficiencies identified. A corrective action plan that addresses these deficiencies shall be developed. (6) Corrective action plans developed to address deficiencies uncovered at any administrative level within the State as a result of the self-appraisal process shall include: (i) Specific descriptions of the type of action to be taken, the time frame involved and the assignment of responsibility. (ii) Provision for the delivery of technical assistance as needed. (iii) A plan to conduct follow-up on a timely basis to determine if action taken to correct the deficiencies has been effective. (7) (a) The provisions of the JS regulations which require numerical and nonnumerical assessment of service to special applicant groups, e.g., services to veterans at 20 CFR 653.221 through 653.230 and services to MSFWs at 20 CFR 653.108, are supplementary to the provisions of this section. (b) Each State Administrator and local office manager shall assure that their staffs know and carry out JS regulations, including regulations on performance standards and program emphases, and any corrective action plans imposed by the State agency or by the ETA. (c) Each State Administrator shall assure that the State agency complies with its approved program budget plan. (d) Each State Administrator shall assure to the maximum extent feasible the accuracy of data entered by the State agency into ETA required management information systems. Each State agency shall establish and maintain a data validation system pursuant to ETA instructions. The system shall review every local office at least once every four years. The system shall include the validation of time distribution reports and the review of data gathering procedures.