QUARTERLY UPDATE THROUGH JUNE 30, 2010

Governor Paterson’s Office of Taxpayer Accountability (OTA) posted its Second Quarter 2010 government performance data through its innovative, data-based performance evaluation and improvement initiative called EmpireStat. The OTA identified some performance shortfalls and implemented “action plans” with the agencies to address and improve them; other performance areas showed adequate and high performance levels. Click here to view the Second Quarter data; Click here for an overview of EmpireStat.

The EmpireStat data analysis through the first half of 2010 revealed examples of inadequate performance in some specific areas -- public safety and Minority and Women’s Business Enterprise (MWBE); these issues are currently being addressed through targeted action plans, as described below. And EmpireStat found adequate or high performance in other performance measurement areas -- health care/vulnerable youth and weatherization/jobs. In addition, the OTA removed the initial metrics under the category of “Road Safety” because the data and the programs were not suited to accurate monitoring and improvement under this type of performance review system, as described in greater detail at the end of this quarterly update. The OTA is now investigating more appropriate metrics in the category of “Customer Service.”

An overview of each performance category and the actions taken in response to the data follows:

PUBLIC SAFETY

Review of 2010 data revealed some problematic trends. For example, the number of shooting incidents resulting in injury for the first half of 2010 was up 23% from 2009 numbers. Also, the number of guns recovered and traced through ATF was down 21%. However, the number of deaths from gun violence went down 9%, and the number of violent crimes (murder, rape, robbery, and aggravated assault) involving a gun was down 3%.

With these numbers in hand, the NYS Department of Criminal Justice Services (DCJS) has begun to take steps to address the problematic data:

The agency coordinated warrant initiatives across the state targeting people who were arrested for a violent offense, but did not show up for their court appearance. This is an effort to target state resources toward the individuals most likely to commit another violent crime, and to use those resources most effectively and efficiently. The agency is now aggressively pursuing this population in order of the severity of the crime they were arrested for: first, sex offenders; then people who used a gun in connection with their crime; and then violent offenders and persistent felony offenders.
Since fire-arms are often used several times for different crimes by different people, DCJS is addressing firearms backlogs in forensic labs across the state -- which was detected through the EmpireStat data -- with additional and targeted resources. For each gun taken off the street, several crimes can be avoided.

Through EmpireStat, DCJS and the Governor’s office will monitor data monthly to determine if these efforts are working to address the problem; if not, new solutions will be developed.

Another benefit of an inter-agency system such as EmpireStat is that participating agencies can share data across agency jurisdictions – data that would normally not be shared in the regular course of business. After one EmpireStat meeting, for example, DCJS Commissioner Sean Byrne shared his sex offender data with the Office of the Medicaid Inspector General. The Medicaid Inspector General now uses this additional data source to supplement his agency’s existing sex offender data when conducting background checks on individuals seeking employment with the Medicaid program.

Governor Paterson has gone beyond just inter-agency data-sharing. In June, he and Maryland Governor Martin O’Malley – the architect of the CitiStat system first initiated when he was Mayor of Baltimore, and then the StateStat system when he became governor -- have also agreed to share crime data to help each other fight crime in their respective states. The two states will share arrest data on a daily basis so each state can track its parolees and probationers. Under this new approach, New York officials will be able to promptly determine if an individual under their supervision is arrested in Maryland, and Maryland officials will be able to do the same if a Maryland parolee or probationer is arrested in New York.

HEALTH CARE/VULNERABLE YOUTH

The Health Care/Vulnerable Youth data show that the NYS Department of Health (DOH) is improving performance in critical performance measure areas - lead testing for children at ages one and two, and the number of lead inspections for buildings built before 1978; childhood immunizations for children less than six years of age, and participation by health care providers (who immunize children in the State Immunization Registry; and processing complaints against physicians through DOH’s physician review and discipline process. Upon examination, the data did reveal a drop in DOH’s performance for acting on physician complaints within ten days during the months of April and May. However, even though the drop was attributed to staff reductions and retirements, DOH nonetheless re-assigned existing staff to address the shortfall – and as a result, performance levels rose the following months.

EmpireStat also measures the results of Medicaid fraud audits initiated by the Office of the Medicaid Inspector General. OMIG initiates audits when it determines that a health care provider has submitted, or caused to be submitted, claims for medical services or supplies for which payment should not have been made. When OMIG completes an audit and identifies overpayments or wrongful payments, OMIG generates recovery amounts – cash, withholdings from the medical provider and voided claims. Between January and March 2010, OMIG increased recoveries from $10,949,911 to $16,445,181. OMIG also increased the number of audits finalized from 187 to 311 during that same period. (Note: OMIG data reported has a 90-day lag period – and is therefore one quarter behind the other EmpireStat data -- because claiming and billing information is added to various data systems for a period after the occurrence.)

JOBS/WEATHERIZATION

Several State agencies offer assistance for home weatherization – that is, energy retrofits that improve home energy efficiency through insulation, caulking, improved heating systems, energy-efficient appliances, and other measures. Home weatherization programs also create jobs and there are complementary programs that train employees in green-collar skills.

EmpireStat is evaluating performance in several such components of weatherization, including – the number of households weatherized; jobs supported by these programs; and number of people receiving clean energy job training. Through the first half of 2010, these programs have met or exceeded established benchmarks:

Home Energy Efficiency Retrofits. In 2009, the three agencies involved with this program – NYSERDA, DHCR, and LIPA – reached 39,124 households; the target number for 2010 is 72,000 households. The 2010 goal is higher than the 2009 number, in part because of federal stimulus money received for these initiatives. Through the first half of 2010, 44,000 households have been reached – above the half-year benchmark of 36,000.
Clean Energy Job Support. In 2009, 637 jobs were supported as a result of State energy efficiency programs (not including jobs supported in the renewable energy sector); the target number set for 2010 is 1,893. Through the first half of 2010, 1,050 jobs have been supported – above the half-year benchmark of 947.
Clean Energy Job Training. In 2009, the State trained 3,189 workers in clean energy; the target number for 2010 is 10,000 workers trained. Through the first half of 2010, approximately 6,200 workers have been trained – above the half-year benchmark of 5,000.

MINORITY AND WOMEN’S BUSINESS ENTERPISES APPLICATION PROCESSING

The data depicts the number of new Minority and Women’s Business Enterprise (MWBE) applications processed by Empire State Development (ESD) within 90 days of receipt (the benchmark established by EmpireStat). Since EmpireStat was launched in March 2010, the agency has only reduced the number of backlogged cases (over the benchmark of 90 days old) from 186 to 173.

The OTA and ESD have developed an action plan to eliminate the backlog of applications. The plan takes into consideration recent staff reductions (primarily from retirement) and an increase in MWBE applications due to recent legislation signed by the Governor. Under the action plan, the agency will:

Re-deploy one-half of an existing staff person’s time to process backlogged cases;
Transfer one full-time staff person to handle application certification intake;
Authorize overtime for existing analysts specifically to handle applications, while keeping within the Department’s personal services budget;
Implement a simplified application procedure for federal- and city-certified firms;
Fill positions lost to retirement, while still keeping within the Department’s workforce reduction targets.

The OTA will monitor the progress of this action plan on a monthly and a quarterly basis, and will release publicly third quarter data when complete.

The agency has also implemented Efficiency Improvement that should improve, expedite and streamline the process of reviewing and approving MWBE applications:

Travel Reductions. To reduce time and money on wasted travel, the agency changed its process of assigning applications for review. Analysts are now assigned specific counties so they can bundle their travel around several applications.
“Fast-Track” Applications. Due to legislative reforms, the agency has developed a “fast-track” application for certain cases that can be completed more quickly.
Standardized Checklists. The agency developed a “desk audit” or checklist in order to standardize the review process for all analysts and help the weaker analysts to improve.
On-line technology Upgrades. Technology improvements now allow applicants to input information on-line, which reduces processing time for intake staff.

ROAD SAFETY

EmpireStat originally started monitoring another broad category – Road Safety. This category was removed from the system because the data and the programs being monitored did not fit the EmpireStat system for accurate and meaningful performance evaluation and improvement. In place of road safety, however, the OTA is investigating new metrics related to customer service, particularly at the Department of Motor Vehicles.

To understand why road safety data and performance monitoring was not appropriate for EmpireStat, these metrics must be viewed in the context of the 4-step EmpireStat process:

Use reliable data. The data for road safety was not reliable enough to make accurate conclusions about performance. The numbers were not available on a timely basis; the data was regularly being changed and updated because local law enforcement agencies provide and accumulate data at different times; and often data was only verified as accurate a year after the occurrences.
Use data that relates to a state action or program that can improve performance. The numbers being reviewed did not relate directly to the performance or under-performance of the state programs being monitored. When this happens, the state cannot determine if a change in the program being monitored will have any effect on the problem trend revealed in the data.
Target/deploy/re-assign state resources to address the problem. As discussed above, if the program being monitored does not directly affect the problem revealed in the data in a measurable way, then appropriate changes – such as the targeting, deployment, or re-assignment of staff – cannot be identified and implemented. The road safety programs formerly monitored by DMV had no measurable bearing on the data.
Monitor the data to determine if the action is producing performance improvement/results. The performance metric must be able to be monitored accurately after actions have been taken to determine if those actions are actually working.

The next Quarterly Update will be provided in December.