III. Fiscal Year 2001 Performance Plan

OSHRC Performance Plan -- Fiscal Year 2001

Plan Overview

Highly effective organizations constantly reassess the environment within which they operate, including their customers, their legal mandates, available technology, and economic factors. They use this information to identify areas needing improvements and then set goals and specific strategies to reach these goals. The Review Commission leadership has been engaged in this process since 1994 and has involved stakeholders, managers, and employees in discussions of its current environment and its strategy for the future. Since that time it has made significant progress against its original strategic goals which were set in 1994. In September 1997 new goals were set which built upon that earlier progress.

The agency's updated strategic plan, issued in September 1997, provided detail on specific objectives for fiscal years 1997 through 2002.  This document isolates and expands on the objectives included in that plan for fiscal year 2001. The FY 2001 Annual Performance Plan (APP) was prepared in accordance with guidance contained in OMB Circular No. A-11, which explains the requirements of the Government Performance and Results Act of 1993 (GPRA). The performance indicators and the specific objectives for fiscal year 2001 were developed to enable the Review Commission to improve how it performs its mission and the level of its service to the public.

Also, included in this plan are the annual goals for 1997 through 2002 excerpted from the Review Commission's strategic plan. Greater detail on how performance will be measured in each year is included in the applicable section.  For the complete strategic plan, see our web site at www.oshrc.gov.

Background on the Review Commission

The Review Commission is an independent, adjudicatory agency created by the Occupational Safety and Health Act of 1970 (the Act).  Its sole statutory mandate is to serve as a court providing just and expeditious resolution of disputes between the Occupational Safety and Health Administration (OSHA), employers charged with violations of federal safety and health standards, and employees or their union representatives. The Review Commission was designed by Congress as an agency, completely independent of the Department of Labor, to review the exercise of OSHA's enforcement powers and to assure that employers could appeal and receive relief from any inappropriate enforcement actions by OSHA.   Resolution for employers, and the abatement of alleged occupational hazards, do not occur until the Review Commission issues its final decision and order.  For this reason, the agency's ability to provide speedy adjudication is of the utmost importance in both providing prompt justice and assuring worker safety.

The Review Commission's Rules of Procedure provide two levels of adjudication. The first is a trial before an Administrative Law Judge (ALJ).  The second level is appellate review of the judge's decision by the agency's three Commissioners.  In the hearing phase, a Review Commission judge hears the evidence and issues a written decision based on findings of fact and conclusions of law. As part of the judge's decision, the citation(s) will be either affirmed, modified or vacated. The decision becomes final unless one of the parties requests review and one of the three Commissioners directs that the case be reviewed. The Commissioners review the evidence, briefs, and the ALJ's decision and render a decision affirming or reversing the Administrative Law Judge.

Mission Statement

The mission of the Occupational Safety and Health Review Commission is to provide fair and timely adjudication of workplace safety and health disputes between the Department of Labor and employers. In doing this, the Review Commission plays a vital role in encouraging safe and healthy workplaces for American workers.

Vision Statement

The Review Commission should be a world class judicial commission -- one with an impeccable reputation for objectivity, evenhandedness, promptness and professionalism.  It should be a model federal agency with highly effective processes, a highly motivated and diverse workforce and modern information management, communications and financial management systems. Finally, the Review Commission should be an agency that values and develops its people and constantly strives to improve its performance and its value and service to the American people.

Performance Goals for Fiscal Year 2001

External Factors

Achievement of the performance goals described below depends on a number of external factors over which the Review Commission does not have control -- the nature and number of cases filed with the Review Commission, maintenance of a quorum of Commissioners and appointment of a three-member Commission.

The Review Commission does not control the number or type of case filed with the Administrative Law Judges.  Unexpected turnover of judges or increases in our intake of case and/or complexity of issues we handle would impact our ability to meet certain performance objectives.  Commission vacancies is another uncontrollable factor affecting OSHRC's performance.

The Commission consists of three standing members appointed by the President and confirmed by the Senate.  A quorum consists of two appointed Commissioners. The Commission had been without a quorum for most of fiscal years 1998 and 1999 and had been without a third Commissioner from April 1997 - December 1999. During the period when the Commission had no quorum, no cases could be decided.  As a result of a recess appointment in December 1999, the Commission will have three members for the remainder of FY 2000.  The failure to fill vacant Commissioner positions in FY 2001, however, would lessen our ability to meet performance objectives. With fewer than three members, deadlocks on votes may result, action on important issues may be postponed and action on pending cases may be delayed.

The strategic plan goals which are addressed in this performance plan are described below along with the 2001 performance objectives defined in our September 1997 plan.

Performance Goals

Public Service Goal

To assure the ready availability of fair, user friendly and timely adjudication of all disputes brought before the Commission and its judges and achieve a high level of readability and quality in Review Commission legal decisions.

The specific public service objectives and targets for the budget year are as follows:

• Reduce cycle time for most conventionally tried ALJ cases. For fiscal year 2001 the target is to complete 90 percent of cases within 325 days from assignment to a judge, the same as in FY 2000, and down from 350 days in fiscal year 1999.
• Maintain average cycle time for conventional ALJ case settlements for non-trial cases. For fiscal year 2001 the target is to maintain 180 days, the same as FY 2000.
• Reduce the number of ALJ cases taking more than one year to settle.  The fiscal year 2001 target is that no more than 1 percent of the cases closed without a hearing take more than one year from docketing, down from 2 percent in fiscal year 2000.
• Reduce Commission review cycle times for most cases. The fiscal year 2001 target is 325 days for most cases reviewed, down from 350 in FY 1999.  At this juncture, the FY 2001 goal may be difficult to make.  First, because the Commission had been without a third member from April 1997 until December 1999, when it acquired its third Commissioner as a recess appointment. Also, the Commission and had been without a quorum for 14 months during that period.
• Expand the use of E-Z Trial while maintaining the average cycle time of approximately 160 days from docketing to decision. The FY 2001 target is to assign 30 percent of new cases to E-Z Trial, up from a 25 percent goal for 1998.
• Continue the use of the settlement programs, including the "Settlement Part," and evaluate the use of the "Settlement Part" pilot.  During 1999 we expanded the settlement procedures to include large cases -- more than $200,000 in proposed penalties. The target for FYs 2000 and 2001 is to continue the use of the pilot, complete the evaluation of the pilot and determine whether a final rule should be published permanently extending the Settlement Part.
• File legal documents electronically. During 1999 we explored the possibility of allowing contesting parties to file legal documents electronically. We are implementing a pre-test with a small audience in Fiscal Year 2000.  In FY 2000 we will also implement a pilot which will allow contesting parties to file certain legal documents electronically.

Generally, the staff and technological resources are in place to accomplish these performance objectives.  Expediting the processing of old and complex cases that have resulted from the increase in the number and complexity of cases would be accomplished through the use of resources resulting from the savings experienced in rent costs.  Expanding the use of settlement judges and the E-Z Trial procedures are process reengineering efforts that have been underway.  Publishing decisions electronically was accomplished in fiscal year 1998, and facilitating the filing of legal documents in the budget year is feasible because of technological improvements OSHRC initiated in FY 1999 and will be pretested in FY 2000.  The Commission's disposition objectives for new and pending cases can likely be achieved if vacancies in the Commission are filled expeditiously and we have a full Commission throughout fiscal year 2001.  Finally, the target objectives of reducing ALJ case cycle times for tried and non-tried cases require fourteen judges.

Success in fulfilling the majority of these targets is easily measured.  The average time to complete trial and non-trial cases, Commission review cycle time, the number of cases assigned to the E-Z Trial procedure, and the number of settlement judges assigned to large dollar cases are all tracked by our case management system.

External Communications Goal

To significantly enhance the efficiency and effectiveness of communications between the Review Commission and the public, its customers and other stakeholders.

Specific external communications performance objectives and budget year targets are as follows:

• We completed development of a new web site during 1998 so that OSHRC decisions, rules, press releases, guides, and other information are readily available electronically to the public.  The docket sheet/case status information listing contemplated for FY 2000 has been eliminated because our focus groups showed little interest in this service.  In FY 2001, we intend to continue to maintain and enhance the website capabilities and appearance.
• Publish Commission and ALJ decisions on CD-ROM for use by litigants, libraries and other interested parties.  Developmental work was completed in FY 1998 and the first CD-ROM was published by GPO in FY 1999. In FY 2000, we plan to enhance the website's appearance and searching capabilities to permit more efficient use and more meaningful research for the user. The Review Commission plans to issue two updated CD-ROMs in FY 2000. Prior years are available on microfiche. The target for fiscal year 2001 is to continue to update the CD-ROM to be placed on the website.  If available, some of the savings realized from reductions in rent costs would be used to enhance our website to include older Review Commission decisions, to improve search capability of cases on the website, and to provide links to appropriate state sites.
• Develop better mechanisms for communications between stakeholders and customers, and various state and federal adjudicators who resolve occupational safety and health cases. We have revised our goal to concentrate on adjudicators, stakeholders, and customers, rather than only state adjudicators in FY 2001. This will be done through surveys, focus groups, periodic conferences, electronic data bases, and other means.  The objective for FY 2000 is to have an ongoing communications system in place incorporating our website. The target in FY 2001 is to conduct a customer satisfaction survey during the year and to bring together focus groups in FY 2002 to review key business processes -- judicial case handling, Commission review procedures, and information dissemination.  We will also publish a report of the Review Commission's FY 2000 conference.
• Publish Biennial Review Commission reports.  The Review Commission will continue to produce biennial reports of the Review Commission's activities.

Technology and staff support for the achievement of these performance targets are basically available. As mentioned above, resources resulting from the savings realized from reductions in rent costs would be used to enhance our website to include older Review Commission decisions, to improve search capability of cases on the website, and to provide links to appropriate state sites. The Review Commission plans to work in coordination with appropriate Federal and state agencies, and other stakeholders.  This exchange of information will be mutually beneficial and will assist us in learning lessons from the states - the vital laboratories of democracy - to more effectively enhance our adjudicating responsibilities.

OSHRC has already established a website through an interagency agreement with the Government Printing Office, and the data base maintained by GPO already has ALJ decisions dating back to FY 1993 and Commission decisions back to FY 1981. We may pursue additional interagency agreements to enhance our website capabilities.

The degree of success in achieving these performance targets is readily measurable.

Information Technology Goal

To capitalize on recent investments in modern computer hardware and software to increase organizational effectiveness, operate more efficiently and better serve internal and external customers.

The specific information technology objectives and FY 2001 performance targets are as follows:

• Enhance the case management/case tracking system by developing and implementing additional reporting and data communications capabilities.
• Improve communications with regional offices and maintain up-to-date stock of ADP equipment. For FY 2001, we will upgrade and migrate to a client/server environment.
• Enhance Review Commission research capabilities by providing necessary research tools and training to all employees. The target goal for this year is to learn the state of the art tools used for research in the legal area, conduct an employee skills assessment to enhance employees automated research capabilities, and acquire the necessary equipment or material.  The training will be conducted consistent with the targets set in the Human Resource Management Goal.
• Evaluate the Review Commission's financial management information system which tracks obligations and expenditures and supports financial planning and budgeting.  The baseline system was scheduled to be completed in FY 1998. Enhancements were made in FY 1999. In fiscal year 2000 we will use this system to reduce paper work in purchasing and billing, automate finance and procurement functions and develop additional system modules.  In FY 2001, the Review Commission's payroll and financial service provider, the National Finance Center (NFC), will implement the Financial Foundation Information System (FFIS) to facilitate agencies' compliance with laws, regulations and federal financial accounting standards.  The target for FY 2001 is to maintain the system and complete an evaluation of the integrated financial management information system in light of the new NFC system.
• Develop Intranet communications. Our emphasis this year will be to continue to operate more efficiently and increase employees' effectiveness in servicing internal and external customers.  The target is the development of the Intranet in FY 2001 with 50 percent installation in fiscal year 2001, and full installation by FY 2002.

The technological and staff resources to achieve these targets are currently available, and the means for measuring the degree of achievement of these targets is also available.  Only a lack of funding could hamper achievement.

Human Resource Management Goal

To build a highly motivated diverse workplace by developing a first class human resource management system, including highly effective affirmative action, recruitment, training, award, and performance management processes.

The specific human resource management goals and FY 2001 performance targets are as follows:

• Identify annual and long-term training needs and fulfill these needs.  For FY 2000, the target is to ensure the average number of hours of training per employee is 40, an increase over the 30 classroom hours targeted in FY 1998. This was the same goal as for FY 1999. We will continue this target for FY 2001 which includes attendance at professional development courses for attorneys and judges.
• Recruit and retain a trained, specialized and highly skilled workforce.  In FY 1999, all employee annual performance plans were to be revised to incorporate strategic goal expectations.  For FY 2001 and beyond, we intend to develop succession plans, knowledge management strategies, and competency-based models for the mainstream occupations in the Review Commission. We will develop an infrastructure that will provide extensive briefings of and orientation for new Commissioners to enable them to acquire the necessary knowledge of the Review Commission's cases, processes, and procedures to expedite the transition period.  The target for FY 2002 is to develop a curriculum to train employees, managers, and Commissioners in programmatic areas, leadership, office automation and general skills through the use of various training media (CD-ROM, Intranet, Internet and classroom/instructor).
• Identify, define, and enhance Review Commission values and a culture that incorporates those values. The target for FY 2001 is to identify, define, and enhance Review Commission values, learn about the organizational culture and determine what the key aspects of our target culture should be. In FY 2002 we will develop and implement a change management initiative to reinforce our culture and values. In fiscal year 2003, we will communicate and educate our customers and employees about the effort and incorporate it in agency policies.

We will conduct bench marking activities to determine what other Federal agencies are doing to develop succession plans, and agency cultures. Our success in achieving the targets is measurable.  Only a lack of funding could hamper achievement.

Quality Improvement Goal

To develop and institutionalize a process for continuous quality improvement.

The specific quality improvement objectives and performance targets are as follows:

• Provide quality management and team leader training to Review Commission staff, with the expectation that such training will contribute to improvements in the internal processes and better service to the public.  We intended to train 20% of the staff in FY 2000 and 10% in FY 2001 and FY 2002.  We have revised our target so that for FY 2001 the target now is to train all Review Commission staff who have not been trained.
• Systematically review and improve all key business processes, contributing to both external and internal efficiencies. For FY 2000 the target is to establish two process reengineering teams which will make suggestions for improving processes that affect regional office operations and one other as yet unidentified process.  For FY 2001, we will combine the regional quality improvement teams and other reengineering teams, to improve business processes that affect Review Commission operation. We will also create an employee partnership to work along with the quality improvement teams to make recommendations to the Chairman to improve the delivery of quality service to internal customers and create a family friendly working environment.

All targets are measurable and achievable.

OSHRC Performance Indicators and Annual Performance Goals

Public Service Performance Indicators

For each strategic goal and its related objectives, the Review Commission has also formulated performance measures and annual numerical targets for these measures whenever possible.  A few measures are necessarily qualitative in nature.  We have noted the actual performance results of FY 1999 for those elements for which data are available.

P1. Public Service Indicator #1: Average cycle time for conventionally tried cases

Definition:  We plan to reduce the cycle time for conventionally heard ALJ cases to less than a year, measured as the number of days from the date of assignment to a judge to the date a decision is filed with the Executive Secretary.  Cycle time data are kept in the Case Management system. Because some very complex cases will necessarily take more than one year, the goal is that 90 percent of heard cases are closed each year.

FY   1997 1998 1999 2000 2001 2002 Cycle time in days Goal 90% in 400 days or less 90% in 375 days or less 90% in 350 days or less 90% in 325 days or less 90% in 325 days or less 90% in 325 days or less Cases meeting cycle time goal Actual 62 79 83       Percent meeting cycle time goal Actual 79% 59% 67%       Average cycle time for cases issued Actual 325 days 393 days 357 days

P2. Public Service Indicator #2: Cycle time for conventional case settlements

Definition:  We plan to maintain the average cycle time for conventional ALJ cases disposed of without a hearing to 180 days or less to resolve.  Cycle time is the number of days from the date of docketing to the date the decision is filed.

FY   1997 1998 1999 2000 2001 2002 Cycle time in days Goal 180 180 180 180 180 180 Actual 151 158 155       Number of cases settled Actual 1,307 1,607 1,494

P3. Public Service Indicator #3: Percent of settlements exceeding one year cycle time

Definition: We plan to virtually eliminate cases that take more than one year to settle. Cycle time is measured from the date of notice of docketing to the date the decision is filed. Our goal is that no more than 1% of the cases closed without a hearing will have a cycle time that exceeds one year.

FY   1997 1998 1999 2000 2001 2002 Percent exceeding one year Goal 10% 5% 3% 2% 1% 1% Actual 5% 4% 3%       Number of cases settled in one year Actual 1,681 2,125 2,023

P4. Public Service Indicator #4: Commission review cycle time.

Definition:  The Commission plans to reduce the cycle time to less than a year for most cases reviewed, measured as the number of days from direction for review by a Commissioner to the date a decision is issued. Because a few cases involve extremely complex issues and staff effort beyond what is reasonable to expect in a one year period, the goals below are set for 95 percent of all cases closed in each fiscal year.

FY   1997 1998 1999 2000 2001 2002 Cycle time in days Goal 95% in 400 days or less 95% in 375 days or less 95% in 350 days or less 95% in 325 days or less 95% in 325 days or less 95% in 325 days or less Cases meeting cycle time goal Actual 23 11 20       Percent meeting cycle time goal Actual 46% 85% 47%       Total cases issued Actual 50 13 43       Average cycle time (days) Actual 465 days 262 days 447 days

P5. Public Service Indicator #5: Cycle time for E-Z Trial cases.

Definition:  The Review Commission wants to maintain the recently improved cycle times for less complex cases processed under the E-Z Trial program.  Cycle time is measured as the average time elapsed from the date of docketing of the case to the date the decision is filed by a judge for all heard E-Z Trial cases closed during the fiscal year. To achieve this will become increasingly difficult as our work load increases.

FY   1997 1998 1999 2000 2001 2002 Cycle time in days Goal 160 160 160 160 160 160 Actual 168 162 166       Number of cases heard Actual 27 29 31

P6. Public Service Indicator #6: Percentage of total cases received which are designated E-Z Trial.

Definition:  The Review Commission hopes to continue to expand the use of the E-Z Trial process to a higher proportion of the Review Commission's cases. It has changed its rules to make more cases eligible, completed a successful pilot program, and the chief judge has increased the percentage designated gradually so that any transition problems could be avoided.

FY   1997 1998 1999 2000 2001 2002 Percent of cases designated Goal 20% 25% 30% 30% 30% 30% Actual 25% 28% 31%       Number of cases docketed Actual 2,067 2,141 2,324       Number of cases designated as E-Z trial Actual 524 611 733

P7. Public Service Indicator #7: Number of Settlement Part cases where settlement judges are appointed and the percentage where settlement conferences are held.

Definition:  The agency drafted procedural changes in FY 1998 to require our Chief Judge to appoint settlement judges for cases involving proposed penalties of more than $200,000 and in other cases where he deems it desirable. The Settlement Part Pilot became effective in FY 1999.  This measure is defined as the number of cases during the year for which a settlement judge is appointed. The Review Commission will establish procedures to require that, in cases with proposed penalties of more than $200,000 and/or which are expected to have lengthy trials, Review Commission judges initiate settlement conferences in which they attempt to narrow the issues in dispute and/or reach settlement agreements. The FY 2001 target is to increase the use of the Settlement Part and to evaluate this new procedure to determine whether it should be made permanent.

FY   1997 1998 1999 2000 2001 2002 Number of cases using settlement procedures Goal N/A N/A 10 20 30 30 Actual N/A N/A 30

P8. Public Service Indicator #8: Number of major changes implemented in structure and format standards for decisions and other legal documents.

Definition:  Three major sets of documents are to be redesigned throughout a three year period: (1) Commission decisions, (2) judges decisions, and (3) legal documents, such as notices, orders and other legal documents. The redesign of one set of documents is planned for each fiscal year.

FY   1997 1998 1999 2000 2001 2002 Number of documents to redesign Goal 0 1 1 1 0 0 Actual 0 1 1

External Communications Indicators

P9. External Communications Indicator #1:  The extent to which Review Commission decisions and other publications and case information are made available electronically through the agency's wide website.

Definition:  This effort involves three distinct phases in which (1) the web site is established and recent and new decisions and procedural guides and publications are made available, (2) a more complete listing and copies of earlier decisions are added and (3) docket information on open cases is made available. The levels of effort for the three phases were estimated at 50 percent, 20 percent, and 30 percent.  However, we have eliminated the third phase because of lack of interest by our customers.  The effort is now complete. We intend to continue to maintain and enhance the website capabilities and appearance.

FY   1997 1998 1999 2000 2001 2002 Percent complete Goal 0 50% 70% 100% Maintain Maintain Actual 0 50% 70% *

* The third phase was eliminated because of lack of interest by our customers.
 

P10. External Communications Indicator #3: Number of issuances (and updates) of CD-ROM's providing Review Commission decisions made available to the public through the Superintendent of Documents.

Definition:  The first edition was published in 1998 and updated versions are to be issued each year thereafter.

Units   1997 1998 1999 2000 2001 2002 Number of CD-ROMs Goal 0 1 1 1 1 1 Actual 0 0 1

P11. External Communications Indicator #4: Extent to which communication enhancing activities are completed to aid stakeholders, customers and various state and federal adjudicators.

Definition:  The Review Commission will facilitate communications by conducting a customer satisfaction survey and focus groups to review key business processes -- judicial case handling, Review Commission review procedures, and information dissemination.  We will consider the goal to be achieved if we complete the effort and prepare analyses and reports of the survey and focus groups.

Units   1997 1998 1999 2000 2001 2002 % Complete Goal         Complete Survey 100% Focus Groups 100% Actual

P12. External Communications Indicator #5: Biennial reports for the Review Commission issued as planned.

Definition:  The Review Commission produced a highly professional biennial report for fiscal years 1996 and 1997 and will produce reports for every two-year period thereafter as an element of the Review Commission's evaluation strategy and include the results of financial statement audits for applicable years.

Units   1997 1998 1999 2000 2001 2002 Number of Biennial Reports Goal 0 1 0 1 0 1 Actual 0 0 1

Information Technology Indicators

P13. Information Technology Indicator #1:  Develop enhancements to case management/tracking system based on revised performance plans and strategic plan.

Definition: This measurement is defined as the percent of total effort completed in a given fiscal year. We will develop the enhancements to the case management/ tracking system in FY 2001 (50%) and implement additional reporting and data communicating capabilities to support new performance plans and a revised strategic plan in FY 2002 (50%).

Units 1999 2000 2001 2002 2003 % Complete 0% 0% 50% 100%   Activity         Assess

P14. Information Technology Indicator #2:  Complete wide area network and improve communications with regional offices

Definition: This measurement is defined as the percent of total effort completed in a given fiscal year. The Review Commission will upgrade and migrate to a client/server environment to strengthen data transfer and communications. A portion of this effort will be completed in FY 2001, the remainder in FY 2002, and we will assess our needs again in FY 2003.

Units 1999 2000 2001 2002 2003 % Complete 0% 0% 50% 100%   Activity         Assess

P15. Information Technology Indicator #3:  Enhance Review Commission research capabilities by providing necessary research tools to all employees.

Definition: This measurement is defined as the percent of total effort completed in a given fiscal year. During FY 2001, we will complete a needs assessment for research equipment, material, and training and complete the acquisition or installation of the majority of the material or equipment (70%).  We will also ensure that employees are trained to make full use of the tools (30%), in FY 2002. We will reassess our needs in FY 2003.

Units