Table
of Contents
Fiscal
Year 2006 Performance Budget
Page
I. Summary and
Highlights
1
II. Introduction
--
III. Budget
Request and Annual Performance Plan by Organizational Function
5
IV. Budget
by Object Classification
Category
22
V. Other Tables 28
I. 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
--
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
The principal (national) office of the Review
Commission is located in
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
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
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.
|
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.
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 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 Actual (Target) |
FY
2003 Actual (Target) |
FY
2004 Actual (Target) |
FY
2005 Target |
FY
2006 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% (93%) |
94% |
95% |
$ |
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% (93%) |
94% |
95% |
|
Performance Goals |
Performance Indicators |
FY
2002 Actual (Target) |
FY
2003 Actual (Target) |
FY
2004 Actual (Target) |
FY
2005 Target |
FY
2006 Target |
1 |
Increase
the percent of complex cases disposed of with hearing that are disposed of
within 325 days |
Percent within 325 days |
77% (75%) within 325 days |
82% (78%) within 325 days |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
1.2 |
Increase
the percent of complex cases disposed of with hearing that are disposed of
within 18 months |
Percent within 540 days |
92% (75%) within 540 days |
81% (80%) within 540 days |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
1.3 |
Increase
the percent of cases that are disposed of without a hearing that are disposed
of within six months |
Percent within 180 days |
77% (75%) within 180 days |
80% (76%) within 180 days |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
1.4 |
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% (99%) within 365 days |
98% (99%) within 365 days |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
This goal was replaced with the goals
above |
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
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.
FY 2005 Est. 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
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
· 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.
FY 2005 Est. FY 2006 Est.
$ FTE $
FTE
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 $10,510,000 for the FY 2006 request
would support 67 FTEs, a reduction of 2 FTEs from the FY 2005 request. Within
the funds requested, the Review Commission would support the same level of
activities and services included in the FY 2005 request. The proposed budget
for FY 2006 by object classification category is shown in the table below,
along with the FY 2005 budget request. A narrative explanation of the amounts
requested for each object classification follows the table.
Object Classification Table
Occupational Safety and Health Review Commission
Fiscal Years 2005 and 2006 ($ 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 25.3 |
Other Services Services by Other
Federal Agencies |
372 326 |
372 326 |
0 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 |
|
|
10,510 |
10,510 |
0 |
0 |
11.0 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
Commission
Executive Level
IV 2 2 2
ES-6
1 1 1
ES-0
1 1 1
GS-15 5 5 5
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-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
GS-15 1 1 1
GS-14 3 3 3
GS-13 1 1 2
GS-11 1 1 1
GS-9 4 4 3
GS-5 1 1 1
Sub-total
17 17 15
Total full-time
equivalent positions 69 69 67