Page images
PDF
EPUB

Chapter 22. FEDERAL-STATE-LOCAL COOPERATIVE SYSTEMS OF DATA COLLECTION

Definition and Purpose of the Federal-State

Local Cooperative Systems

The Federal-State-Local Cooperative Statistical Systems include those federally initiated or sponsored statistical programs in which State and local agencies participate in the collection or compilation of nationally standardized statistics. The cooperative systems are undertaken for the mutual benefit of the participants, involve multiple States (and local jurisdictions), and contain data of a recurrent nature which are intended to have broad applicability.

Three factors have contributed historically to the development and implementation of the FederalState-Local Cooperative Statistical Systems:

1. The Congress through legislation and the executive agencies through program efforts have increasingly emphasized the responsibilities and roles of State and local agencies in the resolution of national, as well as State and local, problems.

2. The Federal Government has shown an increased interest in improving and extending statistical measures of the status of subnational economies; the composition and characteristics of the population; and the nature, scope and effects of programs designed to promote the general welfare of the Nation and its people. The recent trends toward decentralization, revenue sharing, and block grant funding have served to increase the need for comparable, consistent information on State and local areas, both for assessing relative need and for effectively targeting program resources.

3. Federal and State governments alike have recognized the need to work jointly on information collection and production activities to reduce respondent burden and to improve the scope, uniformity, quality, and timeliness of statistical data in the most economical and efficient manner.

More recently, added emphasis has been given to the cooperative statistical systems governmentwide

through the issuance of a Presidential directive which stated:

Agencies should establish cooperative data collection programs with State and local governments wherever practical to eliminate duplicative reporting of similar data by more than one level of government, so long as no legal prohibition against this exists.'

Nature of the Cooperative Systems

Generally, the Federal-State-Local Cooperative Statistical Systems include the specification of federally required information and the definition of data elements included in the programs. At varying levels, attempts are made to ensure the quality and comparability of data within and across the States. By definition, each of the cooperative programs involves coordination and joint participation of the Federal and State agencies, as well as involvement of other relevant data producers.

Outnumbering these common features are the cooperative systems' characteristics which vary from program to program. For example, some of the cooperative systems in existence today involve all States equally (e.g. the Current Employment Statistics Program of the Bureau of Labor Statistics), while others, such as the Cooperative Health Statistics System, involve the States at variable levels. Reasons for the variability in State participation in the several cooperative systems include inadequate resources at the Federal level to support nationwide participation, inability of some States to meet the requirements of joint participation, and the existence of previously established systems of data collection and compilation involving parties other than the State agencies.

Likewise, the scope of the several cooperative systems varies substantially. Some programs, such as the Census Federal/State Cooperative Program for Local Population Estimates, deal with a single,

'Jimmy Carter, "Cutting Federal Red Tape for State and Local Grant Recipients," Memorandum for the Heads of Executive Departments and Agencies, September 9, 1977.

clearly defined problem, while others, such as the Comprehensive Data System of the Law Enforcement Assistance Administration, attempt to meet a number of diverse needs.

In addition to variations in scope and coverage, there are also differences in the types of data which are collected through the cooperative programs. The major thrust of cooperative Federal-State-local efforts has been on the direct production of generalpurpose, base line statistics. Two programs of longstanding, the Crop and Livestock Reporting Program at the Department of Agriculture and the Current Employment Statistics Program of the Bureau of Labor Statistics, are clearly in this category. Among the newer cooperative endeavors, the Census Federal/State Cooperative Program for Local Population Estimates, the Cooperative Health Statistics System, and the Common Core of Data for Elementary and Secondary Education, all have a primary emphasis on the production of generalpurpose statistics. The Medicaid Management Information System and the Comprehensive Data System of the Law Enforcement Assistance Administration, on the other hand, are designed primarily to produce administrative data required for the operation and evaluation of programs at the State level.

In addition, several of the newer cooperative systems contain components to provide services over and above data collection and processing per se. For example, the Comprehensive Data System of the Law Enforcement Assistance Administration provides funding for State Statistical Analysis Centers, and the Cooperative Health Statistics System includes training of health statisticians for systems implementation and data analysis, as well as provision of direct problem solving assistance to States through the production of special tabulations and analyses.

The variability in the types of data collected through the cooperative systems is accompanied by inconsistencies in policies and procedures to ensure that the data needs of the agency components other than the system sponsors are considered or met in the design and implementation of the cooperative program. Furthermore, there has been, until recently, little coordination across Federal agencies, and among the respective sponsors of cooperative statistical programs to ensure that cross-agency needs are addressed through the statistical systems which are currently sponsored.

Coupled with the inconsistencies in the degree to which the cooperative statistical systems serve Federal agency statistical needs are variations in the

interdependency of federally sponsored cooperative programs with State statistical and information needs. Programs such as the Medicaid Management Information System are clearly designed to provide data needed by the States, with a by-product being the capability to produce a more limited set of statistical information required by the Federal Government. The Common Core of Data Program of NCES, on the other hand, has been primarily designed to standardize and produce the data required by the Federal Government, with the service of specific State information requirements being an important, but secondary, purpose.

Finally, in the development and operation of the Federal-State-Local Cooperative Statistical Systems there are considerable differences in the types of administrative and financial arrangements which are employed. In the Crop and Livestock Reporting Program of USDA, a Federal employee actually directs the program in each of the States; in most of the other programs, the Federal Government contracts with the States to produce the required information. The Census Cooperative Program, however, provides neither manpower nor dollars to the participants, but relies on technical coordination and consultation with State representatives to produce the needed results. The extent of State personnel involvement in the design of the cooperative systems also varies from program to program. In the case of the Medicaid Management Information System, for example, the system design was completed primarily at the Federal level, while alternative designs for the components of the Cooperative Health Statistics System were initially developed through contracts with State agencies. Similarly, in the design and implementation phases of the cooperative programs some Federal agencies have worked essentially one-on-one with their State counterparts while others, such as the National Center for Education Statistics, have sponsored multistate and national conferences as an integral part of the systems development phase. The more detailed discussions of the Federal-State-Local Cooperative Statistical Systems which appear in the section on the agencies and programs involved will further highlight the wide variability in the operation of the various systems.

The Problem

At the Federal and State levels alike, the theory, and to varying degrees the operations, of the FederalState-Local Cooperative Statistical Systems are well received. The cooperative programs represent a viable means for balancing ever-growing demands for information at the Federal, State and local levels against the requirement to reduce burden on

respondents. But the historic absence of guidelines for the operation of these programs, including the lack of a definition of the appropriate Federal role, as well as problems within the specific agency initiatives, has given rise to the need for governmentwide attention to cooperative statistical activities.

Agencies and Programs2

Crop and Livestock Reporting Program-Economics, Statistics, and Cooperatives Service, Department of Agriculture

Since 1917, the U.S. Department of Agriculture has worked jointly with State agencies to provide more complete coverage of agricultural statistics. The objective of the Crop and Livestock Reporting Program, which provides support for the production of National and State estimates for important commodities, is "to avoid duplication of effort and confusion of conflicting reports and to promote economy and efficiency of operations." The system is predicated on the fact that the "Federal service is primarily concerned with national estimates and estimates for the individual States" while the State agency "is particularly interested in the collection, development, and publication of more detailed information than is provided in the Federal program of reports." The core program is specified by, and coordinated from, the national office. Much of the supplemental State program is integrated into the national program, following the data collection, compilation, and analytical procedures utilized by the Economics, Statistics, and Cooperatives Service (ESCS).

A key feature of the Agriculture program is the provision by the Federal Government of an agricultural statistician who directs the program in the State. The terms of the agreement establish a formal framework within which the national government retains control of the statistical techniques and operations used in each survey by making them the responsibility of its own employee as "Statistician in Charge." The ESCS supports approximately 400 field-based professionals responsible for the crop and livestock reporting program in 48 participating States. Technical support in sampling schemes and overall survey design is available to the Statisticians in Charge from ESCS headquarters.

'This discussion is not intended to provide a comprehensive account of all Federal-State-Local Cooperative Statistical Programs. Major activities are highlighted to represent the scope and diversity of the cooperative programs.

A unique feature of this program is the provision of funds by some States to the Federal Government. These funds, paid under the terms of the individual State cooperative agreements, are used by the Statistics Division at the ESCS to cover the additional cost of collecting and processing the subState (county-level) data required by the State over and above the national need.

Current Employment Statistics Program-Bureau of Labor Statistics, Department of Labor

The Current Employment Statistics Program is designed to eliminate duplication of collection efforts at the State and Federal levels, to increase the comparability and timeliness of information collected, and to extend the scope of coverage of the survey to the broadest possible number of establishments. Under the aegis of this cooperative program, monthly data on employment, hours of work, and earnings at the National, State, and area levels, used to measure the level of current economic activity and anticipate changes in the direction of such activity, are produced. Detailed industry series are used for labor-management wage negotiations, adjustments to labor costs in escalator clauses of long-term contracts, regional analyses, and plant location planning. The earnings data are also important for estimating current personal income and gross national product (GNP).

Like the Department of Agriculture, the Department of Labor supports personnel at the State level as the key strategy for accomplishing its objectives. The Employment and Training Administration and the Bureau of Labor Statistics cooperatively fund approximately 400 positions in State Employment Security Agencies. These individuals are responsible for collecting and editing data and completing follow-up activities with nonrespondents. In addition, BLS supports an average of two to three professionals in each of its Federal regional offices. The regional personnel are responsible for training new State employees, answering technical questions relating to surveys, and monitoring the application of survey methodology by the States. Staff at the national office provide program direction, conduct training, process the national sample, review and analyze national estimates, and disseminate data and new analytic techniques.

In addition to the Current Employment Statistics Program, the Bureau of Labor Statistics supports a number of other cooperative statistical activities. The Employment and Wages Covered by Unemployment Insurance Laws program provides labor market

information on employment and wages by detailed industry at the county, standard metropolitan statistical area, State, region and national levels from the administrative records of the Unemployment Insurance (UI) system. Data on wages subject to UI taxes as well as taxes due from employers are also reported. The employment data serve as a benchmark for the Current Employment Statistics program, and the wage data are used to make personal income and GNP estimates. The report also serves as the statistical base for the administration of the UI program which includes actuarial studies, determination of maximum weekly benefit amounts and the rate of insured unemployment.

Monthly employment and quarterly wage information are collected and summarized by State Employment Security Agencies (SESA's) each quarter from approximately four million employers covered under UI laws. The Employment and Training Administration provides funds for computer costs as well as 300 positions to SESA's to process, tabulate, edit and review the summaries of employer reports. BLS provides 12 positions in Federal regional offices to train State employees, answer technical questions and enforce standards. In addition 26 positions in the national office provide program direction and procedures, process and review national industry summaries, conduct training, and develop and disseminate data and new analytical techniques.

Another BLS program, the Labor Turnover Statistics Survey, provides information on the rate of additions and separations to employers' payrolls in mining and manufacturing industries. These estimates are used by business as a yardstick for measuring individual plant performance, by planners for labor force and job market analysis and by policymakers as economic indicators and measures of U.S. Employment Service penetration for job placement.

Each month State Employment Security Agencies mail a questionnaire to a sample of about 40,000 establishments to collect data on labor turnover actions for the calendar month. These data are edited and transmitted to BLS for preparation of national estimates. The same data are used by SESA's for preparation of State and local estimates.

The Employment and Training Administration and BLS jointly fund 59 positions in SESA's to conduct the survey. BLS also provides 15 positions in Federal regional offices to train State employees, answer technical questions and enforce standards. National office personnel provide program direction, conduct training, process the national sample, review

and analyze national estimates, and disseminate data and new analytical techniques.

The Local Area Employment and Unemployment Statistics Program facilitates the development of reliable monthly estimates of employment and unemployment by State and local area. These data are the basis for allocation of funds under the Comprehensive Employment and Training Act (CETA) and other legislation. The area unemployment rates are used to identify areas of high unemployment eligible for various Federal assistance programs. The program also provides information on local labor force and unemployment trends for planning and analysis.

Each month State Employment Security Agencies develop composite estimates of unemployment using administrative records on unemployment insurance claims. These estimates are benchmarked on an annual basis to statewide unemployment levels obtained from the Current Population Survey, except in 10 States where monthly controls are available.

The Employment and Training Administration provides funding for SESA staff to prepare estimates at all levels and transmit the final product to BLS. BLS provides 27 positions in Federal regional offices to train State personnel, coordinate activities, provide technical assistance and enforce standards and procedures. National office staff provide program direction, develop procedures and methodology improvements, review and analyze data, and supervise data transmittals and publications.

Finally, the Bureau of Labor Statistics has responsibility for employer recordkeeping regulations and governmental statistical activities mandated under the Occupational Safety and Health Act. The Act provides that a State may assume responsibility for standards and enforcement if the Secretary of Labor is satisfied with its plan and performance on specified points. Statistical functions can be assumed independent of others. The occupational safety and health system records injuries and illnesses. These statistics, by characteristics of employing establishments, support the administration of the Occupational Safety and Health Act. By State, they assist in decisions to assume the statistical functions and in evaluation of State performance. The information also supports many nongovernmental safety and health efforts, and the basic records are arranged to inform employers, employees, and government compliance officers of the experience of individual establishments. While the general plan and even specific definitions for the recordkeeping and statistical systems are specified in the legislation, much of the detail has been worked

out in cooperation with State representatives, as well as with producers and users of the data. BLS provides manuals, forms, and guidance and consultation. Participating States receive Federal grants of 90% of the cost of developing statistical plans and 50% of the cost of operating under them.

Federal/State Cooperative Program for Local Population Estimates-Bureau of the Census, Department of Commerce

The Census Federal/State Cooperative Program for Local Population Estimates was initiated in 1967 to develop an annual series of county population estimates prepared jointly by the Bureau of the Census and the State agencies designated by their Governors to work with the Bureau. The specific goals of the program were to construct a consistent series of estimates with comparability from area to area, to extend the coverage of ongoing estimating programs for a nationwide comprehensive system, to insure the quality of the estimates by improved estimating methods, data collection procedures, and data editing and review techniques, and to reduce the confusion surrounding current population estimates by discouraging competing estimates. Data are collected at the county and State levels by the cooperating agencies, with data for municipalities and minor civil divisions collected by the Census Bureau for tabulation with the series for other geographic areas. Editing and review of the data are performed by both the Census Bureau and the cooperating agencies, and, with the exception of a few States, estimates are ultimately developed by Census. The resulting estimates are reviewed jointly, with countylevel figures being released locally by the State agency and national figures being released by Census. Although no funds are specifically allocated to the States under this cooperative program, support is given in the form of in-kind personnel assistance and technical consultation by the Bureau regarding the collection and editing of data, as well as in computer software and processing time to undertake data review and derive the estimates.

Since the program's inception in the late 1960's, and after extensive testing of methods against the results of the 1970 census, the nature of the program has shifted to a somewhat broader focus. This occurred largely as a result of two developments: the enactment of general revenue sharing legislation in 1972 requiring population estimates for civil jurisdictions below the county level, and a diversification of interest on the part of the cooperating agencies away from concentration on total population. The latter development resulted in the establishment of task forces to address the related

issues of population projections, estimating techniques for subcounty areas, county population characteristics, and population estimates for States. Activities in all of these areas have expanded the scope and charter of the initial program. The basic framework, however, has served as a vehicle for general communication with State governments and provided a foundation for additional responsibilities and new projects involving State and local areas.

More recently, the Governments Division of the Bureau of the Census has developed and implemented a cooperative program to obtain tax and intergovernmental revenue data for counties, municipalities, and townships. These data are used in calculating allocations under the terms of the Federal general revenue sharing and antirecession fiscal assistance programs. The State offices of either the Comptroller, Auditor, or Department of Community Affairs generally provide the needed data. Data compilation is usually performed by these offices, in close consultation with the Governments Division, to assure maximum uniformity and accuracy in terms of classification and definitions of taxes and intergovernmental revenues.

Respondent burden has been reduced and uniformity of data has been increased in the 20 States which now provide the required information directly to the Bureau of the Census. Federal support for this program has consisted primarily of technical advice and assistance in resolving classification problems. In a few cases, the Census Bureau allocated a nominal amount of funds to State agencies for first year startup costs. Discussions with officials in the nonparticipating States are continuing in order to extend this program.

Medicaid Management Information System-Health Care Financing Administration, Department of Health, Education, and Welfare

The Medicaid Management Information System. was authorized by legislation enacted in 1972 (Public Law 92-603). Development of the general system design, including specification of the minimum data elements to be maintained in the automated systems at the State level, was completed under contract at the Federal level. State personnel are, in turn, being trained by various systems design and development contractors, and are responsible for submitting individual State plans detailing the State's proposed systems development procedures.

Upon approval of a State's plan, the agency becomes eligible to receive 90% matching funds for the execution of system development activities.

« PreviousContinue »