State Letter #00-19
Guidance to States on Setting FY 2001 Annual Outcome Goals
TO: STATE REFUGEE COORDINATORS
FROM: Lavinia Limón, Director
Office of Refugee Resettlement
SUBJECT: Guidance to States on Setting FY 2001 Annual Outcome Goals
The purpose of this letter is to transmit guidance to States on setting annual outcome goals for FY 2001 and reporting on annual outcomes for FY 2000.
In 1993, Congress passed the Government Performance and Results Act (GPRA). Since FY 1995, the Office of Refugee Resettlement (ORR) has been working in partnership with States to implement the requirements of the law into our State-administered program.
Our joint efforts have moved the State-administered program to a focus on results through the process of setting and reporting of annual outcome goals. These efforts have been recognized by the Office of Management and Budget (OMB) as consistent with the intent of GPRA. OMB has shared ORR's approach to implementation of GPRA with other Federal programs as a best practice. We should take pride in the work we've done to date and understand that continuous improvement in performance requires continuous effort.
We ask more of you every year, because refugees deserve the best that we can offer. Each successful outcome translates into a positive effect on a refugee's life. The work that you do matters a great deal. Thanks very much for the progress you have made.
The due date for submission of the FY 2001 annual outcome goal plan to ORR is November 15, 2000. All plans should be mailed as early as possible to ensure receipt of all FY 2001 annual outcome goal plans no later than Wednesday, November 15, 2000. States are encouraged to submit their plans to ORR as soon as they are finalized.
Your State analyst in the Division of Refugee Self-Sufficiency
will be contacting you shortly to provide technical assistance in establishing reasonable outcome goals that are acceptable to both the State and ORR. A list of Division of Refugee Self-Sufficiency (DRSS) State analysts and their State assignments can be found at Attachment A.
A sample format for the annual outcome goal plan is included as Attachment B. The format includes information on the number of TANF, RCA and other refugees in the total caseload, and requires a breakdown of outcomes for RCA and TANF refugees on the measures of entered employments, cash assistance terminations, cash assistance reductions, 90-day employment retentions and entered employments with health benefits.
A discussion of data needed for the plan follows.
A caseload is defined as the unduplicated number of active employable adults enrolled in employment services (ES) as defined under 45 CFR 400.154(a) (c) (d) and (e) that comprise the total ES caseload eligible for services during a Federal fiscal year.
Matching Grant Enrollees: States that are providing English as a Second Language (ESL) to Matching Grant (MG) enrollees through their employment services should not count these MG participants in their ES caseload. Outcomes achieved for Matching Grant participants during the MG 4-month period should be reported by the MG agency separately and are not included in the State's outcomes. States may report participation in ESL by MG enrollees on page 2 of Schedule C of the QPR each quarter.
Unduplicated caseload data must be provided by category of assistance for FY 2000 and FY 2001.
We ask that you set goals for each performance measure defined below. These definitions are consistent with the definitions used in the quarterly performance report (QPR).
Entered employments (placements)
a. full-time (35 or more hours per week)
b. part-time (fewer than 35 hours per week)
Entered employment is defined as the entry of an active participant in employment services into unsubsidized employment for at least one day during any quarter of the Federal fiscal year (10/1 - 9/30).
Goals and actual performance on the annual outcome goal plan should be stated separately in terms of number and percent of full-time and part-time entered employments per fiscal year, as well as total unduplicated number of entered employments.
The methodology for calculation of the entered employment rate on the annual outcome goal plan is the unduplicated number of projected or actual entered employments divided by the caseload. The rates that you indicate for part-time and full-time entered employments are a percent of the total unduplicated number of projected or actual entered employments, and not a percent of the total caseload. The full-time and part-time rates should equal 100 percent.
Cash assistance terminations due to earnings
A cash assistance termination (grant termination) is defined as the closing of a cash assistance case due to earned income in an amount that is predicted to exceed the State's payment standard for the case based on family size, thereby rendering the case ineligible for cash assistance.
The methodology for calculation of the cash assistance termination rate on the annual outcome goal plan is the unduplicated number of cash assistance terminations divided by the unduplicated number of individuals placed in employment.
As an alternative, those States that have accurate data regarding the number of active employment services participants who are receiving cash assistance at the time of placement may define goals and calculate actual rates on this measure by using the smaller number of cash assistance recipients placed in employment as the denominator instead of the total number of entered employments.
Cash assistance reductions due to earnings
A cash assistance reduction (grant reduction) is defined as a reduction in the amount of cash assistance that a case receives as a result of earned income from employment.
The methodology for calculation of the cash assistance reduction rate on the annual outcome goal plan is the unduplicated number of cash assistance reductions divided by the unduplicated number of individuals placed in employment, or if available, divided by the number of cash assistance recipients placed in employment.
Average hourly wage at placement
Average hourly wage at placement (employment entry) is calculated as the sum of the hourly wages for the unduplicated number of full-time placements in employment during the fiscal year divided by the total unduplicated number of individuals placed in full-time employment.
Average hourly wage at employment entry is expressed in terms of a dollar amount for each fiscal year. No percentage is required on this measure.
States or counties in which a significant number (50% or more) of the placements were part-time during FY 2000 should indicate this in a footnote. These States or counties should also set a separate FY 2001 goal on the average hourly wage for projected part-time placements.
This is a measure of continued participation in the labor market, not retention of a specific job. Employed means working for wages on the 90th day from placement at any unsubsidized job. Where there have been multiple placements for the same individual within the same Federal fiscal year, the date of the first employment entry is the start date for calculating the 90-day follow-up. An individual who is on strike on the 90th day is considered employed. An individual who has been laid off and does not anticipate returning to the same employer within 30 days is considered unemployed, unless the individual has obtained other employment.
This is a reminder that since we are interested in retentions achieved during a fiscal year, the methodology for calculation of the retention rate for FY 2000 is the following:
The sum of retentions for Q1 through Q4 (both full-time and part-time) of FY 2000 divided by the sum of entered employments (both full-time and part-time) for Q1 through Q3 of FY 2000 and Q4 of FY 1999.
To facilitate the calculation of the retention rate for FY 2000 and subsequent years, States should provide the total unduplicated fourth quarter (Q4) number of entered employments from the previous fiscal year in the narrative of the annual outcome goal plan.
Entered employments with health benefits available
This item reflects the availability of health benefits, (either at placement, or at any time within 6 months of placement) for those individuals who entered full-time employment. This is not a measure of how many individuals elect to enroll in health benefits, but rather how many jobs offer this option. Benefits should be considered available if self-only coverage is available to the employee, even if coverage is not extended to the employee's family members. Benefits are considered available without regard to whether the employee must contribute to the premium or whether the employee must wait for coverage.
The methodology for calculation of the rate is the unduplicated number of full-time entered employments (placements) with health benefits available divided by the unduplicated number of full-time entered employments (placements).
Establishing the Goal Plan
The Annual Outcome Goal Plan for FY 2001 should include the following:
•Unduplicated data. States should use actual unduplicated performance data from FY 2000 as the basis for establishing an annual goal for each outcome measure for FY 2001.
•FY 2001 outcome goals for each measure. Average wage at employment entry requires only a dollar amount. For the rest, each measure must be expressed in terms of both the number and percentage of participants (or cases for cash assistance terminations) in a service caseload projected to achieve the outcome.
•When setting outcome goals for each measure, States should establish goals aimed at improving upon the previous year's actual performance. States that reach a high employment and self-sufficiency rate of 90% among employable refugees may establish goals to maintain that level of outcomes instead of aiming for continued improvement.
•A column for reporting actual FY 2000 outcomes for each measure. States (and counties) are required to submit an end-of-year report to ORR comparing projected annual outcome goals with actual annual outcomes achieved with respect to each of the six measures for FY 2000. This report should be a side-by-side comparison of projected vs. actual FY 2000 goals (see suggested format at Attachment B).
•Narrative. States may include a narrative to explain the actual outcomes in terms of local conditions that may have affected performance during the year, such as labor market conditions, or other factors that had an impact on a State's ability to achieve its goals, such as an unanticipated reduction in refugee arrivals.
•We encourage States with low payment standards and low refugee utilization of cash assistance to explain their outcomes more fully by including information on welfare avoidances to the maximum extent feasible. Usually these States have a high number of entered employments but very few cash assistance terminations and reductions because most refugees are placed in employment very soon after arrival and do not access cash assistance.
•Funds. The total amount of ORR funds used by the State or county for employment services upon which the projected outcome goals are based, and an identification of the type of ORR funds.
•States may set their annual outcome goals based on ORR funding in the aggregate that the State uses for employment services (current year funding and carryover) including, at the State's discretion, any ORR discretionary funds that are used to provide employment services. This information should be entered in the two columns indicated on page 2 of the goal plan. Actual funds expended to achieve FY 2000 outcomes should be entered in the FY 2000 ACTUAL column by funding category and funds projected to be used to achieve FY 2001 goals should be entered in the FY 2001 PROJECTED column.
•Cost per Placement. ORR also reviews the performance goals in relation to the funds used to achieve these goals. We calculate a projected cost-per-job placement ratio, also called the unit cost, by dividing the total ORR funds a State has indicated it has used for employment services (actual) by the total number of entered employments (actual). We also calculate a projected unit cost per placement for FY 2001 based on information provided by each State on the annual goal plan. We believe the unit cost per placement is a useful indicator of the cost-effectiveness of employment outcomes and encourage States to use it.
The State analyst in the Division of Refugee Self-Sufficiency (DRSS) who is assigned to your State will be contacting you to provide technical assistance in establishing reasonable outcome goals that are agreeable to both the State and ORR.
Please submit annual outcome goal plans to Pamela Green-Smith, Office of Refugee Resettlement, Division of Refugee Self-Sufficiency, no later than COB Wednesday, November 15, 2000. If you have any questions, you can reach Pam at (202) 401-4531.