Table of Contents
Fiscal Year 2006 Performance Budget
| |
Page |
| I. Summary and Highlights |
1 |
| II. Introduction -- Mission, Vision, and Strategic Goal |
2 |
| III. Budget Request and Annual Performance Plan by Organizational Function |
5 |
| IV. Budget by Object Classification Category |
22 |
| V. Other Tables |
28 |
Summary and Highlights
Summary and Highlights
The Occupational Safety and Health Review Commission requests an appropriation of $10,510,000 to fund it in FY 2006. This amount is the same as the FY 2005 appropriation of $10,510,000. The $10,510,000 for FY 2006 would support 67 FTEs, a reduction of 2 FTEs from the FY 2005 request.
The amount requested would allow the Review Commission to fulfill its legislative mandate to serve as an administrative court providing just and prompt resolution of disputes involving the Occupational Safety and Health Administration (OSHA), employers charged with violations of Federal safety and health standards, and employees and/or their representatives. The request supports the goal in the strategic plan to improve service to the public. The Review Commission updated its strategic plan for the period FY 2003 through FY 2008. The annual performance plan for FY 2006 reflects the new goals and objectives.
OSHRC’s FY 2006 budget request includes:
· $8,127,000 to support direct payroll costs for 67 FTEs. These costs represent 77 percent of the Review Commission’s appropriation.
· $1,265,000 for office space rent.
· Funds for services provided by other Federal agencies such as support for financial and administrative services and for personnel and payroll services. The estimated costs of financial and administrative services provided by the Bureau of Public Debt (BPD) is $258,000 in FY 2006, a 4.6% increase.
· Funds to enable the Agency to complete the annual performance plan goals and targets, and implement the President’s Management Agenda, including the implementation of plans under the Government Paperwork Elimination Act or E-Gov initiative.
· Funds to allow the Review Commission to comply with IT security requirements. Funding will support independent evaluations of the security of the information system and corrections or improvements in any weaknesses found as a result of the evaluation. With base resources, the Agency will also continue to support automation and technology efforts initiated earlier, including hardware, software and contractual support.
II. Introduction -- Mission,
Vision, and
Strategic Goal
Introduction -- Mission, Vision and Strategic Goal
The Review Commission is an independent, adjudicatory agency created by the Occupational Safety and Health Act of 1970. Its sole statutory mandate is to serve as an administrative court providing just and expeditious resolution of disputes involving OSHA, employers charged with violations of Federal safety and health standards, and employees and/or their representatives. The Review Commission was created by Congress as an agency completely independent of the Department of Labor to ensure that OSHA’s enforcement actions are carried out in accordance with the law and that all parties are treated consistent with due process when disputes arise with OSHA.
The Occupational Safety and Health Act and the Review Commission’s Rules of Procedure (which by law mirror the federal rules) provide two levels of adjudication when an employer timely contests an OSHA citation for alleged violations of the Act or failure to abate such alleged violations. The first is a trial level, which affords an opportunity for a hearing before a Review Commission Administrative Law Judge. The judge’s decision becomes final unless the decision is directed for review to the Commission. The second level is a discretionary appellate review of the judge’s decision by the Commission members. Both before its judges and the Commissioners, the Review Commission provides fair and impartial adjudication of cases concerning the safety and health of employees’ working conditions in the United States.
The principal (national) office of the Review Commission is located in Washington, D.C. There are also regional offices in Atlanta and Denver.
Mission Statement
The mission of the Occupational Safety and Health Review Commission is to provide an impartial forum for the just and prompt adjudication of workplace safety and health disputes involving the Department of Labor, employers and employees, and/or their representatives under the Occupational Safety and Health Act of 1970.
Vision Statement
The Review Commission continues to strive to be:
· A quasi-judicial body that is -- and is recognized for being -- objective, fair, prompt, and professional;
· An agency that creates a body of law through its decisions that defines and explains
the rights and responsibilities of employers and employees under the Occupational
Safety and Health Act of 1970;
· A model Federal agency with highly effective processes, a highly motivated,
qualified and diverse workforce, and modern information management,
communications, and administrative systems; and
· An agency that values team work, develops its employees, and strives to improve its performance, service, and value to the American people.
Strategic Goal
The Review Commission has as its strategic goal a public service goal that is to assure fair, just, and expeditious adjudication of disputes brought before the Commission and its judges. The Review Commission updated its strategic plan for the period FY 2003 through FY 2008.
III. Performance Budget
Request by
Organizational function
FY 2006 Performance Budget Request
This section describes the three functions of the Review Commission:
· Administrative Law Judge function
· Commission function
· Management and Administration function
Each function has a staff assigned exclusively to it, and there is virtually no sharing of staff resources between the functions. This circumstance principally stems from the nature of the Administrative Law Judge and Commission functions, which must be separate so that each of these review levels is, both in fact and appearance, independent of the other. The Management and Administration function supports both the Administrative Law Judge and Commission functions and the Agency’s strategic planning efforts.
Funding and staffing by function is as follows:
Funding and FTE by Function
| |
FY 2005 Estimate |
FY 2005 Estimate |
FY 2006 Estimate |
FY 2006 Estimate |
| |
$ |
FTE |
$ |
FTE |
| Administrative Law Judge |
4.4 |
26 |
4.5 |
26 |
| Commission |
4.1 |
26 |
4.2 |
26 |
| Management and Administration |
2.0 |
17 |
1.8 |
15 |
| Total |
10.5 |
69 |
10.5 |
67 |
Administrative Law Judge Function
Function
The function of the Review Commission’s Administrative Law Judge Division is to conduct formal hearings and related proceedings in a fair, just, and expeditious manner. The function is directly related to the public service goal.
The Administrative Law Judges report organizationally, through the Chief Judge, to the Chairman. However, they act independently in arriving at case decisions. The Commission’s rules are based upon the Federal rules, but in the absence of specific provisions in the Commission’s rules, the procedures are in accordance with the Federal Rules of Procedure. The Rules are constructed and administered to secure the just, speedy and inexpensive determination of every action.
Proceedings Before the Review Commission’s Administrative Law Judges
The events leading to the presentation of an OSHA case before a Review Commission Administrative Law Judge follow an established procedure. To contest all or part of a citation, penalty, or abatement period, an employer must file a notice of contest within 15 working days from the receipt of the citation proposed by OSHA. The Secretary of Labor transmits the notice of contest and all relevant documents to the Review Commission’s Executive Secretary for filing. After the case is docketed, it is forwarded to the Office of the Chief Judge who monitors the process and assigns the case to an Administrative Law Judge. The case is generally assigned to an Administrative Law Judge in the Review Commission office closest to where the alleged violation occurred. Thereafter, the Administrative Law Judge has full responsibility for all pre-hearing and pre-trial procedures, including settlement, and is charged with providing a fair and impartial hearing in an expeditious manner, and rendering a decision promptly.
Administrative Law Judge Operations
The Review Commission strives to expedite the judicial process in a fair and impartial manner, strengthen its settlement procedures and case management responsibilities, and maintain the success of its E-Z Trial for cases that are not complex and Settlement Part processes for complex cases. The Administrative Law Judge function addresses a caseload that is becoming increasingly more complex. Achieving these ends is the primary responsibility of the Chief Administrative Law Judge.
OSHA’s emphasis during recent years on more serious workplace hazards, and the consequent increase in proposed penalties, has translated into more complicated cases and more costly trials (cases involving lock-out/tag-out, confined spaces, health care hazards, including asbestos, lead poisoning, construction industry hazards, etc.). These cases command a greater portion of the judges’ time. The Review Commission anticipates that this trend will continue.
The complexity of these cases is the result of the existence of any one or a combination of the following:
· Intricacies of the law (complex questions of law)
· Volume of documents, including transcripts
· Large number of witnesses (including expert witnesses in such fields as engineering, architecture, construction, soil, physics, epidemiology, pathology, neurology and infectious diseases)
· Number of alleged violations, items, and affirmative defenses (including distinct and separate items)
· Technical, novel, difficult or new standards raised
· Types of cases, such as those involving asbestos, lead poisoning, or ergonomics, process safety management and/or confined spaces
The Review Commission intends to expedite case processing by easing entry requirements to its E-Z Trial and Settlement Part Programs. These programs grant full due process rights to all parties in adjudicating these cases expeditiously and in a cost effective manner.
The Settlement Part (Rule 120) requires formal settlement efforts in cases where the proposed aggregate penalty is $200,000 or the Chief Judge finds that the case is appropriate for this part because of its complexity. The Review Commission hopes to expand this program by rule changes to include cases with an aggregate penalty of $100,000 or more, allowing more cases to be assigned to mandatory settlement procedures.
The E-Z Trial process allows parties with relatively simple cases to have their “day in court” unencumbered by the formal rules of procedure and evidence, while assuring that due process requirements will be maintained. Under this process, a business, with or without counsel, can present its case before a Review Commission judge and receive a prompt decision. Most paperwork, including legal filings, has been eliminated so that justice can be rendered swiftly and inexpensively. The process is intended to reduce the time and legal expenses to employers contesting relatively small penalty cases. The process also allows more time for Administrative Law Judges to address the more complex cases. The Review Commission arranged for an outside evaluation of the program performed in FY 2001. The evaluation showed that program implementation was effective and that the program is generally being implemented in accordance with the goals. The Review Commission hopes to expand this program by revising the eligibility requirements for entry. The Review Commission solicited public comment on proposed rule changes to expand E-Z Trial and Settlement Part Programs in June 2004.
E-Z Trial Case Activity
FY 2001 through FY 2006
| |
FY2001 |
FY2002 |
FY2003 |
FY2004 |
FY2005 |
FY2006 |
| |
Actual |
Actual |
Actual |
Actual |
Est. |
Est. |
| New Cases |
2316 |
2134 |
2369 |
2230 |
2400 |
2400 |
| Cases assigned to E-Z Trial |
711 |
869 |
1017 |
1119 |
1080 |
1080 |
The proportion of new cases assigned to the E-Z Trial process has averaged 41 % over the last four years. The Review Commission projects 45% of new cases will be assigned to the E-Z Trial process in FY 2005 and FY 2006.
Anticipated Administrative Law Judge Workload for FY 2006
Three major factors impact on this function’s workload: (1) the quantity, magnitude, and nature of the cases; (2) the success of the E-Z Trial and Settlement Part processes; and (3) the number of trials held, and their length and complexity.
OSHA projects it will conduct 37,700 inspections in FY 2005, and 37,700 in FY 2006, slightly fewer than the number of inspections conducted in FY 2004 (39,167). The Review Commission’s caseload is not expected to be affected by OSHA’s reduced inspections due to their likely focus on the highest hazard workplaces – especially those with high injury and illness rates, fatalities, repeat offenders, and the most egregious workplace hazards, which could result in larger contestable fines and penalties. These inspections tend to result in more complex and contentious cases, which consume extensive judicial time. Their discovery process is lengthy and time consuming, motion practice is expanded, legal research and decision-writing time is protracted and, of necessity, the trial process is elongated and complicated.
Administrative Law Judge Case Activity
FY 2001 through FY 2006
| |
|
FY2001 |
FY2002 |
FY2003 |
FY2004 |
FY2005 |
FY2006 |
| |
|
Actual |
Actual |
Actual |
Actual |
Est. |
Est. |
| 1. |
OSHA Inspections |
35,578 |
37,493 |
39,798 |
39,167 |
37,700 |
37,700 |
| 2. |
New Cases |
2,316 |
2,134 |
2,369 |
2,230 |
2,400 |
2,400 |
| 3. |
Administrative Law Judge |
|
|
|
|
|
|
| |
a. Case Inventory, Start of Year |
846 |
840 |
812 |
780 |
761 |
681 |
| |
b. New Cases |
2,316 |
2,134 |
2,369 |
2,230 |
2,400 |
2,400 |
| |
c. Total Caseload |
3,162 |
2,974 |
3,181 |
3,010 |
3,161 |
3,081 |
| |
d. Disposals |
|
|
|
|
|
|
| |
(1) With Hearing |
121 |
95 |
97 |
94 |
110 |
110 |
| |
(2) Without Hearing |
2,201 |
2,067 |
2,304 |
2,155 |
2,370 |
2,370 |
| |
e. Total Dispositions |
2,322 |
2,162 |
2,401 |
2,249 |
2,480 |
2,480 |
| 4. |
Total Case Inventory, End of Year |
840 |
812 |
780 |
761 |
681 |
601 |
The table above shows projected, as well as recent, case activity. Total caseload is projected to be level through 2006, but with higher rates of dispositions due to expanded use of E-Z Trial and Settlement Part programs.
Staffing
Of the total 67 FTEs requested, 26 are required for the Administrative Law Judge function. This staff level includes the employment of 12 Administrative Law Judges, plus other staff attorneys and support staff. Given the number of inspections occurring in FY 2004, and the complexity of the cases received, the Review Commission believes this is the minimum number of FTEs that is needed to address the expected workload and meet its performance targets.
The Chief Judge manages the effort to meet the Agency’s GPRA goals at the Administrative Law Judge Level.
The Chief Judge:
· Conducts early review and screening of the potentially difficult cases before
assignment
$ Exercises strong management and monitoring of progress of cases to meet
performance goals
$ Ensures training of judicial and administrative staff and
$ Examines judicial case management practices of other entities
Funding and FTE
| |
FY 2005 Est. |
FY 2005 Est. |
FY 2006 Est. |
FY 2006 Est. |
| |
$ |
FTE |
$ |
FTE |
| Administrative Law Judge |
4.4 |
26 |
4.5 |
26 |
Strategic Plan Goal and Objectives and Performance Goals and Measures
The Review Commission’s Strategic Plan for 2003-2005 includes the following goals and objectives related to this function:
| Strategic Plan Goal |
Strategic Plan Performance Objectives |
|
Public Service Goal
To assure fair, just, and expeditious adjudication of disputes brought before the Commission and its judges
|
$ Increase the percent of non-complex cases at the Administrative Law Judge level that are resolved in less than one year
$ Increase the percent of complex cases at the Administrative Law Judge level that are resolved within 18 months
|
The Review Commission intends to advance this strategic goal at the ALJ level through the following strategies:
· Expedite the assignment of cases to judges
· Use objective criteria to determine complex cases, and track the processing of these cases
· Monitor closely case performance, and improve case management information systems and reports
· Conduct early review and screening of the potentially difficult cases
· Provide training to all judges on a variety of subjects, including technical and legal issues, legal writing, case management and alternative of dispute resolution (ADR), to help them develop services and processes equal to the very best in judicial arenas
· Improve and expand existing ADR processes (i.e., Settlement Part and the E-Z Trial) and seek new ADR methods
· Continue to use a team of judges to handle, on a rotational basis, extremely complex cases and assign appropriate staff to timely process and monitor such cases, including settlement discussions
· Develop procedures for case processing and decision quality
· Make changes to the Agency’s Rules of Procedures to improve case processing
The Review Commission revised its strategic plan in FY 2000 for the FY 2000 - FY 2005 period and updated the plan once again for the period FY 2003 through FY 2008. The following goals are included in its performance plans for fiscal years 2002 through 2006:
| |
Performance Goals |
Performance Indicators |
FY 2002 |
FY 2003 |
FY 2004 |
FY 2005 |
FY 2006 |
| |
|
|
Actual |
Actual |
Actual |
|
|
| |
|
|
(Target) |
(Target) |
(Target) |
Target |
Target |
| $ |
Increase the percent of non-complex cases at the ALJ level that are resolved in less than one year |
Percent within 365 days |
New for FY 04 |
New for FY 04 |
98% |
94% |
95% |
| |
|
|
|
|
(93%) |
|
|
| $ |
Increase the percent of complex cases at the ALJ level that are resolved within 18 months |
Percent within 540 days |
New for FY 04 |
New for FY 04 |
98% |
94% |
95% |
| |
|
|
|
|
(93%) |
|
|
| |
Performance Goals |
Performance Indicators |
FY 2002 |
FY 2003 |
FY 2004 |
FY 2005 |
FY 2006 |
| |
|
|
Actual |
Actual |
Actual |
|
|
| |
|
|
(Target) |
(Target) |
(Target) |
Target |
Target |
| 1 |
Increase the percent of complex cases disposed of with hearing that are disposed of within 325 days |
Percent within 325 days |
77% |
82% |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
| |
|
|
(75%) |
(78%) within 325 days |
|
|
|
| |
|
|
within 325 days |
(78%) within 325 days |
|
|
|
| 1.2 |
Increase the percent of complex cases disposed of with hearing that are disposed of within 18 months |
Percent within 540 days |
92% |
81% |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
| |
|
|
(75%) within 540 days |
(80%) within 540 days |
|
|
|
| 1.3 |
Increase the percent of cases that are disposed of without a hearing that are disposed of within six months |
Percent within 180 days |
77% |
80% |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
| |
|
|
(75%) within 180 days |
(76%) within 180 days |
|
|
|
| 1.4 |
Increase the percent of cases that are disposed of without a hearing that are disposed of in less than one year |
Percent within 365 days |
98% |
98% |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
| |
|
|
(99%) within 365 days |
(99%) within 365 days |
|
|
|
Commission Function
Function
The function of the Commissioners is to review and decide cases contested under the Act, following an initial decision by an Administrative Law Judge. This higher level of review must be prompt, fair, and protective of the parties’ rights. Overall, this is our public service goal.
Proceedings Before the Commission
The Review Commission adjudicates contested cases independent from the enforcement and rule-making functions vested in OSHA. Disputed enforcement proceedings are tried initially before the Review Commission’s Administrative Law Judges. The Commission members may then review decisions by the Review Commission’s Administrative Law Judges.
The Occupational Safety and Health Act of 1970 provides for Presidential appointment and Senate confirmation of three Commissioners, each with a six-year term. The Commissioners sit as an appellate review body to review any case decided by the Review Commission’s Administrative Law Judges. Each Commission member has the authority to direct for review by the full Commission any case decided by any judge. Absent such a direction for review, the decisions of the Administrative Law Judges become final by operation of law. Once a case is directed for review, the Commission members have authority to review all aspects of a case, including judges’ findings of fact, conclusions of law, penalty assessments and abatement orders.
A counsel, who is responsible for providing assistance and advice on all pending matters, including the proper disposition of cases and motions and whether cases are appropriate for Commission review, aids each Commissioner. Each counsel also aids the Commissioner in researching and editing draft opinions submitted by the General Counsel after the Commission decides a case.
The General Counsel has primary responsibility for preparing and presenting factual and legal analyses to assist Commission members in adjudicating appeals. Office of General Counsel staff has primary responsibility for presenting cases to the Commission for disposition and for preparing drafts of the Commission’s opinions.
Commission Operations
The Commission strives to minimize the time for deciding cases and thus, the number of pending cases. Aided by improved case management technology, the Commission seeks to strengthen the internal processes by which a case is prepared for decision. Three external factors have a major
impact on the operations of the Commission: the presence of a quorum, the size and complexity of cases, and the novelty of the issues presented for review.
As mentioned previously, the Commission consists of three members. The Occupational Safety and Health Act require a quorum of two Commissioners. By statue can only be decided on the affirmative vote of two Commissioners. During periods when the Commission lacks a quorum, no cases can be decided. In addition, with only two Commissioners, it may be more difficult to reach agreement sufficient to dispose of some cases. In cases where such agreement cannot be reached, deadlocks result. As a result, action on important issues may be postponed and issuance of some pending cases will be delayed. The Commission was without a quorum during almost nine months in FY 2002, from December 20, 2001 until late April 2002. From late April 2003 until early September 2003, the Commission operated with only two members. The Commission now has three members that have been confirmed, however one Commissioner’s term will expire on April 27, 2005, and based upon past experience, the position likely will be vacant for several months.
The number of safety and health inspections carried out by OSHA each year, the nature of those inspections, and the rate at which employers choose to contest the citations issued and penalties proposed by OSHA all impact on the number of cases contested before the Review Commission. In addition, OSHA’s emphasis during recent years on more serious workplace hazards, and the consequent increase in proposed penalties, has translated into more complicated cases, and more costly trials. Consequently, the complexity and size of the cases both at the Administrative Law Judge level and at the Commission level has increased steadily in recent years.
The Commission’s inventory of cases includes a number of extremely large and difficult cases. Preparation of each of these cases consumes a huge amount of attorney and Commissioner time. This, in turn, slows work on all other cases. The size and complexity of these cases have impacted the ability of the Office of the General Counsel to prepare and present a steady flow of cases to the Commission for disposition and to prepare the initial drafts of the Commission’s opinions. To address this problem, three team leader positions were established in the Office of the General Counsel to speed preparation, facilitate coordination of issues, and to help assure consistency among cases. Team case preparation has helped to shorten the time to analyze, present, and draft a number of these cases.
Anticipated Commission Workload for FY 2006
In FY 2002, the Commission maintained a quorum with two members for most of the first quarter. The term of one recess appointee expired upon the adjournment of Congress in late December 2001. As a result, the Commission had only one Member and no quorum from December 2001 until August 2002. These vacancies stopped the decision-making process at the Commission level for eight months of FY 2002. Nevertheless, the Commission decided and issued 21 cases in the four months during which a quorum was maintained. On the other hand, the Commission received only 28 new cases in FY 2002.
As a result, the number of cases pending at the end of the year increased from 67 at the beginning of FY 2002 to only 74 despite the absence of a quorum for two thirds of the fiscal year. Most of
the pending cases, however, became a year older without decision contrary to Agency goals.
A new member took office in late August 2002, and a third member took office in November 2002.
The Commission maintained a quorum from late August 2002, until April 27, 2003, when the term of a Commissioner expired. That vacancy existed until early September 2003, when the Commission once again regained a full membership. Although the assumption is that the Commission will maintain a full membership into FY 2005, a vacancy beginning in April 2005 could impact the Agency’s ability to decide cases into 2006.
In FY 2004, the Commission had 60 cases pending at the beginning of the year. It received 23 new cases and issued decisions in 29 cases. Thus, the Commission entered FY 2005 with 54 cases pending on review.
Because the Commission expects stability in membership until seven months into FY 2005, case production should be fairly consistent throughout FY 2005. The term of one Commission Member will expire in FY 2005; however, a quorum will not be lost unless another unexpected vacancy were to occur. The Commission anticipates ending FY 2005 with about 59 cases pending on review.
Solid case production focused on deciding and issuing decisions in older cases is projected to reduce further the Commission’s case inventory in FY 2006. Absent greater than anticipated increases in the number of incoming cases, the Commission expects to end FY 2006 with only about 52 cases pending.
Office of General Counsel and Commissioners’ Case Activity
FY 2001 – FY 2006
| |
FY2001 |
FY2002 |
FY2003 |
FY2004 |
FY2005 |
FY2006 |
| |
Actual |
Actual |
Actual |
Actual |
Est. |
Est. |
| 1) New Cases (a + b) |
|
|
|
|
|
|
| a) Cases Directed for Review |
28 |
27 |
16 |
19 |
22 |
20 |
| b) Other New cases |
3 |
1 |
1 |
4 |
5 |
3 |
| (1) Interlocutory Appeals |
(0) |
(0) |
(0) |
(0) |
(1) |
(1) |
| (2) Remands |
(1) |
(1) |
(0) |
(4) |
(3) |
(2) |
| (3) Other |
(2) |
(0) |
(1) |
(0) |
(1) |
(0) |
| C ) Total New Cases (a + b) |
31 |
28 |
17 |
23 |
27 |
23 |
| 2) Case Inventory from Prior Year |
88 |
67 |
74 |
60 |
54 |
59 |
| 3) Total Caseload (1 + 2) |
119 |
95 |
91 |
83 |
81 |
82 |
| 4) Dispositions |
52 |
21 |
31 |
29 |
22 |
30 |
| 5) Case Inventory, End of Year (3 - 4) |
67 |
74 |
60 |
54 |
59 |
52 |
Staffing
The FY 2006 budget requests funding for 9 FTEs to include the three Commissioners and their immediate staff (each Commissioner has a counsel and a confidential assistant) and 17 FTEs in the General Counsel’s office, for a total of 26 FTEs. The budget request assumes that the Commission will have a full complement of Commissioners in place throughout FY 2006.
Funding and FTE
| |
FY 2005 Est |
FY 2005 Est |
FY 2006 App |
FY 2006 App |
| |
$ |
FTE |
$ |
FTE |
| Commission |
4.1 |
26 |
4.2 |
26 |
Strategic Plan Goal and Objectives and Performance Goals and Measures
The Review Commission’s Strategic Plan (Updated) includes the following goals and objectives related to this function:
| Strategic Plan Goal |
Strategic Plan Performance Objectives |
|
Public Service Goal
To assure fair, just, and expeditious adjudication of disputes brought before the Commission and its judges
|
$ Reduce the length of time to resolve Commission-level cases |
The Review Commission intends to advance this strategic goal at the Commission level through the following strategies:
· Focus on the disposition of older cases, with the immediate aim of reducing the existing backlog and the eventual goals that no case will sit for more than nine months on review
· Expedite the disposition of priority cases that require immediate action (e.g., cases that are to be remanded back to the ALJ level, court remands, interlocutory reviews, and 60 (b) cases)
· Implement internal markers to assist in the preparation of cases and issuance of Commission decisions
· Accelerate processing of cases through a variety of efforts, including early intervention of the Commissioners’ counsels, computerization of changes to draft decisions and development of strategies to resolve cases when there are only two Commission members
· Expand the use of terms and staff meetings in the Office of the General Counsel to reduce the time needed to write decisional memoranda and draft decisions
· Develop new methods to shorten case preparation time
· Develop procedures for case processing and decision quality
· Make changes to the Agency’s Rules of Procedures to improve case processing
The Review Commission revised its strategic plan in FY 2000 for the FY 2000 - FY 2005 period and updated the plan once again for the period FY 2003 through FY 2008. The following performance goals have been developed for fiscal year 2006:
| |
Performance Goals |
Performance Indicators |
FY 2001
Actual
|
FY 2002
Actual
(Target)
|
FY 2003
Actual
(Target)
|
FY 2004
Actual
(Target)
|
FY 2005
(Target)
|
FY 2006
(Target)
|
| |
Reduce the length of time to resolve Commission-level cases |
Percent of cases over 2 years old disposed of at the Commission level |
New for FY 04 |
New for FY 04 |
New for FY 04 |
42%
(100%)
|
(100%) |
(100%) |
| |
Reduce the length of time to resolve priority cases |
Percent of priority cases disposed of within 6 months |
New for FY 04 |
New for FY 04 |
New for FY 04 |
100%
(100%)
|
(100%) |
(100%) |
| 1.5 |
Increase the percent of Commission-level dispositions issued within 325 days |
Percent of cases that are disposed of within 325 days |
56% (50%) |
43% (55%) |
35% (57%) |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
| 1.6 |
Reduce the number of cases pending Commission-level disposition for more than two years |
Reduce by a percent the number of cases pending for more than 2 years |
36%
(25%)
|
22%
(30%)
|
38%
(32%)
|
This goal was replaced with the goals above |
This goal was replaced with the goals above |
This goal was replaced with the goals above |
Management and Administration Function
Function
The function of Management and Administration is to provide executive management and administrative support services for the Review Commission, to assure its success in fulfilling its mission.
Management and Administration Operations
The Management and Administration function provides strategic planning and operational management of the organization. Management and Administration also includes the office of public information, case docketing, technology management, computer and information security, and financial and administrative services. The day-to-day tasks performed under the direction of the Executive Director and Chief Operating Officer, include:
· Supporting the development and implementation of the Agency’s strategic goal
· Docketing incoming cases resulting from OSHA appeals and communicating with
the public in general and case parties in particular
· Maintaining a public information office, including providing case decisions to the
public
· Responding to Congressional and Freedom of Information Act inquiries
· Maintaining and enhancing a website to provide the public with greater access to
Review Commission information
· Providing support agency-wide in the areas of finance, budget, procurement,
personnel, equal opportunity and administration
· Providing personnel, payroll, benefits, reproduction, and mail services, and travel
assistance to agency employees
· Procuring goods and services, maintenance and needed repairs of equipment,
training, reference materials, supplies and office
· Maintaining a library in the national office and in each regional office for legal and
technical research
· Implementing improved computerized case management and administrative systems
through hardware and software
· Developing computer systems and information security enhancements
enhancing telecommunications and improving technology efficiency and effectiveness
Anticipated Management and Administration Workload for FY 2006
During FY 2006, the Office of the Executive Director will pursue various activities in support of the Agency’s mission, with the following results expected:
· Improved financial and administrative services and enhanced integrity and
efficiency of the Agency’s financial management and human resources programs
· Greater online access with citizens and government and non-government systems
under Government Paperwork Elimination Act (GPEA) and E-Gov
· Improved computer information security program based on an evaluation of the
Review Commission’s computer security, compliance with the various security acts and the implementation of corrections or improvements in any weaknesses found as a result of evaluations
· Faster and better public access to and dissemination of Review Commission
information and decisions through the use of modern automated technology and techniques, including the Agency’s website
· Execution of the Continuity Of Operations Plan (COOP) including maintenance,
testing, and (if needed) implementation of the COOP for Washington, DC and regional offices in Denver and Atlanta
· Timely implementation and oversight of the Agency’s succession and transition
plans and other human capital objectives
The Review Commission updated its strategic plan for the period FY 2003 through FY 2008. As part of the update, two strategic goals were eliminated, the external communications goal and the organizational goal. Consequently, performance goals associated with these two goals have been deleted from the performance plan. However, while the goals have been eliminated from the performance plan, they will continue to be a priority within the Agency and will be monitored for effectiveness.
Staffing
The FY 2006 budget requests funding for 15 FTEs (down from 17 FTEs in FY 2005) for the Management and Administration function to perform the duties and responsibilities outlined above. The duties and responsibilities of eliminated positions have been absorbed within other functions in Management and Administration. The Management and Administration staff has responsibility for implementing the President’s management and reform efforts, including implementing and monitoring strategic and performance plans and reports, budget and performance integration, human capital and competitive sourcing, and e-government.
Funding and FTE
| |
FY 2005 Est |
FY 2005 Est |
FY 2006 Est |
FY 2006 Est |
| |
$ |
FTE |
$ |
FTE |
| Management |
2.0 |
17 |
1.8 |
15 |
IV. Budget by Object
Classification Category
Budget by Object Classification Category
The Occupational Safety and Health Review Commission requests an appropriation of $10,510,000 for FY 2006. This amount is the same as the FY 2005 appropriation. The $10,510,000 for the FY 2006 request would support 67 FTEs, a reduction of 2 FTEs from the FY 2005 request. Within the funds requested, the Review Commission would support the same level of activities and services included in the FY 2005 request. The proposed budget for FY 2006 by object classification category is shown in the table below, along with the FY 2005 budget request. A narrative explanation of the amounts requested for each object classification follows the table.
Object Classification Table For the
Occupational Safety and Health Review Commission
Fiscal Years 2005 and 2006 ($ in 000s)
| |
|
|
|
Change FY 2005-2006 |
|
| |
Budget Object Class |
FY 2005 |
FY 2006 |
$ |
% |
| 11.1 |
Full Time PermanentPositions |
6,820 |
6,820 |
0 |
0 |
| 11.7 |
Other Compensation |
25 |
25 |
0 |
0 |
| |
Sub-total |
6,845 |
6,845 |
0 |
0 |
| 12.0 |
Benefits to Personnel |
1,282 |
1,282 |
0 |
0 |
| 21.0 |
Travel |
117 |
117 |
0 |
0 |
| 22.0 |
Transportation of Things |
7 |
7 |
0 |
0 |
| 23.1 |
Rental Payments to GSA |
1,265 |
1,265 |
0 |
0 |
| 23.3 |
Communications, Utilities, and Miscellaneous |
61 |
61 |
0 |
0 |
| 24.0 |
Printing |
17 |
17 |
0 |
0 |
| 25.2 |
Other Services |
372 |
372 |
0 |
0 |
| 25.0 |
Other Services |
372 |
372 |
0 |
|
| 25.3 |
Services by Other Federal Agencies |
326 |
326 |
0 |
0 |
| 25.7 |
Repair and Maintenance of Equipment |
46 |
46 |
0 |
0 |
| 26.0 |
Supplies |
45 |
45 |
0 |
0 |
| 31.0 |
Equipment |
127 |
127 |
0 |
0 |
| |
Total |
10,510 |
10,510 |
0 |
0 |
1.0 Full Time Permanent Positions
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $6,820,000 |
$6,820,000 |
-0- |
-0- |
The request for FY 2006 includes $6,820,000 to fund the direct payroll costs of 67 FTEs. This is flat to the FY 2005 level, but includes a 2 FTE reduction, the general pay raises in January 2004, January 2005, and proposed general pay raises in January 2006.
11.7 Other Compensation
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $25,000 |
$25,000 |
-0- |
-0- |
Consistent with the Review Commission’s encouragement of individual employee initiative and performance, $25,000 is requested to provide funds to reward employees for superior performance or special acts or services. Cash awards are a necessary incentive in the Review Commission’s continuing effort to improve the quality and timeliness of its work product, which in turn, contributes to overall agency efforts to accomplish its Annual Performance Plan objectives.
12.0 Personnel Benefits
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $1,282,000 |
$1,282,000 |
-0- |
-0- |
An amount of $1,282,000 is needed to fund the payroll-related costs of employee benefits in FY 2006. These benefits principally consist of the government’s contribution to the CSRS and FERS retirement programs, life and health insurance programs, the Transit Subsidy Program, and the Thrift Savings Plan. Personnel Benefits are increasing as a proportion of personnel costs in general as the FERS program covers more employees and as the costs and types of other benefits increase.
21.0 Travel
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $117,000 |
$117,000 |
-0- |
-0- |
The Review Commission requests $117,000 for travel. Travel of administrative law judges to conduct hearings will require an estimated $101,000. The request also includes funds for travel associated with training, conferences and supervisory travel to the regional offices.
22.0 Transportation of Things
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $7,000 |
$7,000 |
-0- |
-0- |
An amount of $7,000 is requested to fund the cost of shipping materials between Review Commission offices and other locations, and the shipping costs associated with the purchase of supplies and equipment.
23.1 Rental Payments to GSA
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $1,265,000 |
$1,265,000 |
-0- |
-0- |
The request includes $1,265,000 for office space rent. These projected rent costs are based on estimates provided by the General Services Administration (GSA) to the Review Commission in August 2004. In previous years funds for building security were included under this object class, but for FY 2006 the security function is now with the Department of Homeland Security, therefore, costs for security are included under Services by Other Federal Agencies.
23.3 Communications, Utilities and Miscellaneous Charges
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $61,000 |
$61,000 |
-0- |
-0- |
Telephone and postage costs are projected to require $61,000 in FY 2006. Local phone service and telecommunications is expected to require $42,000. Long distance service is estimated at $6,000, and postage for the required mailing of letters, cases, and other materials is expected to be $13,000.
24.0 Printing
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $17,000 |
$17,000 |
-0- |
-0- |
The printing costs consist mainly of the charges for publishing proposed regulations and announcements in the Code of Federal Regulations (CFR) and the Federal Register, purchasing copies of the CFR and the Federal Register and other GPO publications. Together, these printing/publishing costs are expected to approximate $9,000 in fiscal year 2006. The balance of the budget -- $8,000 -- is needed for the production of compact discs, which contain the latest decisions reached by the Review Commission’s Administrative Law Judges and by the full Commission.
25.0 Other Services
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $372,000 |
$372,000 |
-0- |
-0- |
An amount of $372,000 is requested for Other Services. These funds will support: court reporting ($92,000), maintenance of the Review Commission’s automated data processing system, ($51,000), evaluation and support for information technology security ($28,000), and on-line legal research ($35,000). The category also includes funding for other contractual services such as the annual audit of our financial statements ($41,000), the services of a librarian ($25,000), training ($15,000), and contracting for services required to support the agency’s mission ($58,000). Finally, this category includes funds needed for continuing maintenance of the Review Commission’s Internet website ($27,000), which is housed and maintained by the Government Printing Office.
25.3 Services by Other Federal Agencies
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $326,000 |
$326,000 |
-0- |
-0- |
An amount of $326,000 is requested for services provided by other federal agencies. This area includes $15,000 for the costs of support for personnel and payroll services provided by the National Finance Center, $258,000 for the costs of financial and administrative services provided by the Bureau of Public Debt, $41,000 for the costs of building security (estimated) provided by the Department of Homeland Security, and $12,000 for other interagency services.
25.7 Repair and Maintenance of Equipment
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $46,000 |
$46,000 |
-0- |
-0- |
An amount of $32,000 is requested for repair and maintenance of equipment including equipment used for printing and reproduction of cases, automated data processing equipment and servicing of building security equipment. The balance of the request ($14,000) is for maintenance of software licenses that ensure the security and integrity of our system.
26.0 Supplies
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $45,000 |
$45,000 |
-0- |
-0- |
The amount of $45,000 is requested for materials and publications. General office supplies, will require an estimated $22,000. Automated data processing supplies, including software, will require approximately $20,000. Subscriptions to periodicals and other publications will require $3,000.
31.0 Equipment
Change FY 2005-FY 2006
| FY 2005 |
FY 2006 |
Amount |
% |
| $127,000 |
$127,000 |
-0- |
-0- |
The amount of $127,000 is required for equipment in FY 2006. Subscriptions and other publications necessary to maintain our legal libraries will require $68,000 and $38,000 will be applied to computer acquisitions. This amount will enable the Review Commission to continue the replacement cycle established in earlier years. The expected life cycle of our automated data processing equipment is four years. Our automated data processing equipment includes personal computers, printers, a local area network, and associated peripherals. The remaining $21,000 of the amount requested for equipment will be used to replace worn or obsolete equipment. Within this amount we will also fund any furniture that may be needed.
V. Other Tables
Appropriation History
Occupational Safety and Health Review Commission
| Fiscal Year |
Request to Congress |
House Allowance |
Senate Allowance |
Appropriation |
| 1971 |
$75,000 |
$75,000 |
$75,000 |
$75,000 |
| 1972 |
$400,000 |
$400,000 |
$400,000 |
$1,592,000 |
| 1973 |
$5,979,000 |
$5,979,000 |
$5,979,000 |
$3,850,000 |
| 1974 |
$4,890,000 |
$4,890,000 |
$4,890,000 |
$4,687,000 |
| 1975 |
$5,720,000 |
$5,512,000 |
$5,700,000 |
$5,512,000 |
| 1976 |
$5,806,000 |
$5,769,000 |
$5,769,000 |
$5,769,000 |
| TQ |
$1,464,000 |
$1,464,000 |
$1,464,000 |
$1,464,000 |
| 1977 |
$6,280,000 |
$6,607,000 |
$6,607,000 |
$6,607,000 |
| 1978 |
$7,150,000 |
$7,150,000 |
$7,150,000 |
$7,150,000 |
| 1979 |
$7,658,000 |
$7,658,000 |
$7,658,000 |
$7,658,000 |
| 1980 |
$7,450,000 |
$7,450,000 |
$7,450,000 |
$7,450,000 |
| 1981 |
$7,806,000 |
$7,806,000 |
$7,806,000 |
$7,806,000 |
| 1982 |
$7,787,000 |
$7,787,000 |
$7,387,000 |
$7,092,000 |
| 1983 |
$6,316,000 |
$6,316,000 |
$6,316,000 |
$6,316,000 |
| 1984 |
$6,331,000 |
$5,982,000 |
$6,339,000 |
$5,982,000 |
| 1985 |
$6,143,000 |
$6,143,000 |
$6,143,000 |
$6,143,000 |
| 1986 |
$5,742,000 |
$5,901,000 |
$5,901,000 |
$5,647,000 |
| 1987 |
$5,750,000 |
$5,647,000 |
$5,750,000 |
$5,750,000 |
| 1988 |
$6,232,000 |
$5,885,000 |
$5,885,000 |
$5,885,000 |
| 1989 |
$6,002,000 |
$5,831,000 |
$5,831,000 |
$5,845,000 |
| 1990 |
$5,970,000 |
$5,970,000 |
$5,970,000 |
$5,970,000 |
| 1991 |
$6,401,000 |
$6,401,000 |
$6,401,000 |
$6,401,000 |
| 1992 |
$6,711,000 |
$6,497,000 |
$6,497,000 |
$6,711,000 |
| 1993 |
$7,241,000 |
$7,169,000 |
$7,169,000 |
$7,169,000 |
| 1994 |
$7,262,000 |
$7,362,000 |
$7,362,000 |
$7,362,000 |
| 1995 |
$7,655,000 |
$7,595,000 |
$7,595,000 |
$7,595,000 |
| 1996 |
$8,127,000 |
$8,200,000 |
$8,100,000 |
$8,081,000 1 |
| 1997 |
$7,753,000 |
$7,753,000 |
$7,753,000 |
$7,738,000 2 |
| 1998 |
$7,800,000 |
$7,900,000 |
$7,800,000 |
$7,900,000 |
| 1999 |
$8,050,000 |
$8,100,000 |
$8,100,000 |
$8,092,000 3 |
| 2000 |
$8,500,000 |
$8,100,000 |
$8,500,000 |
$8,470,000 4 |
| 2001 |
$8,720,000 |
$8,600,000 |
$8,720,000 |
$8,720,000 |
| 2002 |
$8,964,000 |
$8,964,000 |
$8,964,000 |
$8,958,000 5 |
| 2003 |
$9,577,000 |
$9,577,000 |
$9,577,000 |
$9,673,000 6 |
| 2004 |
$10,115,000 |
$10,115,000 |
$9,610,000 |
$9,863,000 7 |
| 2005 |
$10,516,000 |
$10,595,000 |
$10,595,000 |
$10,510,000 8 |
| 2006 |
$10,510,000 |
|
|
|
Authorized Full Time Positions, by Function
FY 2004FY2005FY2006
ActualEstimateEstimate
Commission
| Executive Level III |
1 |
1 |
1 |
| Executive Level IV |
2 |
2 |
2 |
| ES-6 |
1 |
1 |
1 |
| ES-0 |
1 |
1 |
1 |
| GS-15 |
5 |
5 |
5 |
| GS-14 |
7 |
7 |
7 |
| GS-13 |
3 |
3 |
3 |
| GS-12 |
1 |
1 |
1 |
| GS-11 |
1 |
1 |
1 |
| GS-10 |
2 |
2 |
2 |
| GS-9 |
1 |
1 |
1 |
| GS-7 |
1 |
1 |
1 |
| Sub-total |
26 |
26 |
26 |
| Administrative Law Judge |
|
|
|
| AL-1 |
1 |
1 |
1 |
| AL-III |
12 |
12 |
11 |
| GS-14 |
4 |
4 |
4 |
| GS-12 |
0 |
0 |
1 |
| GS-11 |
4 |
4 |
4 |
| GS-9 |
1 |
1 |
1 |
| GS-8 |
2 |
2 |
3 |
| GS-6 |
2 |
2 |
1 |
| Sub-total |
26 |
26 |
26 |
| Management and Administration |
|
|
|
| ES-3 |
1 |
1 |
1 |
| GS-15 |
1 |
1 |
1 |
| GS-14 |
3 |
3 |
3 |
| GS-13 |
1 |
1 |
2 |
| GS-12 |
2 |
2 |
1 |
| GS-11 |
1 |
1 |
1 |
| GS-10 |
1 |
1 |
0 |
| GS-9 |
4 |
4 |
3 |
| GS-6 |
2 |
2 |
2 |
| GS-5 |
1 |
1 |
1 |
| Sub-total |
17 |
17 |
17 |
| Total full-time equivalent positions |
69 |
69 |
67 |