POSTALREGULATORY COMMISSION

CONGRESSIONAL BUDGET 

JUSTIFICATION 

FISCAL YEAR 2021
Table of Contents

Executive Summary.....................................................................................................................................1

Overview of the Commission......................................................................................................................2

Organizational Chart......................................................................................................................2

Mission ............................................................................................................................................3

2019 Accomplishments ..............................................................................................................................4

Budget Justification.....................................................................................................................................6

Overview and Highlights for FY 2021...........................................................................................6

Budget Program Information........................................................................................................7

Commission Strategic Plan and the FY 2021 Budget Request....................................................8

Obligation by Object Classification ..........................................................................................................20

Office of the Inspector General Resources ..............................................................................................21

Proposed Appropriations Language ........................................................................................................22

Strategic Goals, Work Plans, and Performance Objectives ....................................................................23
Executive Summary 

The Postal Regulatory Commission (Commission) is an independent agency that has 

exercised regulatory oversight of the U.S. Postal Service (Postal Service) since its creation 

by the Postal Reorganization Act of 1970, with expanded responsibilities under the Postal 

Accountability and Enhancement Act of 2006 (PAEA). The Commission promotes high 

quality universal mail service for the American people by ensuring transparency, 

accountability, and compliance with the law, including in rates, product offerings, service 

quality, the governmental monopoly, and fair competition. The Commission’s mission is to 

serve as the regulator of the Postal Service and provide analyses and transparency of postal 

financial operations to Congress, stakeholders, and the general public. Effective regulation 

of the Postal Service, the nation’s second largest civilian employer which continues to face 

significant financial challenges, is as critically important as ever. 

The Commission is in a precarious position after years of strict austerity measures, 

including suspension of salary increases, performance pay, training funds, and employee 

retention measures, that have resulted in the loss of mission-critical personnel. From Fiscal 

Year (FY) 2018 through the end of FY 2019, the Commission lost 22 staff. Without the 

ability to restore personnel levels and properly compensate remaining staff, the 

Commission expects to see further personnel losses that will threaten its fundamental 

ability to achieve its mission. As 95 percent of the Commission’s expenditures are 

dedicated to personnel and lease obligations, the Commission cannot absorb any further 

budget reductions and it has already stretched its existing workforce to the limit with 

extensive austerity measures. It is necessary that the Commission receive the 

recommended appropriation to ensure that it is able to decisively operate at a steady state, 

no longer deferring mission-critical needs. 

The Commission requests $19,200,000 for FY 2021, an increase of $2,585,000, in order to 

address the past budgetary shortfalls. The funds will be used to restore key positions, 

increase pay for performance, and implement long-deferred records, cybersecurity, and IT 

requirements in order to fulfill the Commission’s increased workload and responsibilities.

Since FY 2009, Congress appropriates the Commission budget from the off-budget Postal 

Service Fund, which is the permanently appropriated revolving fund comprised solely of 

the monies that the Postal Service controls and raises from selling its products and 

services. The PAEA provided for the Commission’s independence by authorizing 

submission of its budget request directly to Congress. The FY 2021 request represents a 

slight fraction of the Postal Service’s FY 2019 operating revenue of $71.3 billion.

The Postal Service’s financial viability depends upon the prompt and efficient adjudication 

of pricing and product proposals, and the American public relies upon timely Commission 

oversight of Postal Service actions and responses to complaints and service inquiries. With 

a rapidly evolving postal sector resulting in an ever-increasing and complex caseload at the 

Commission, it is imperative that the Commission have the necessary funds to provide 

transparency and accountability of the Postal Service. Failure to provide the Commission 

with the President’s budget recommendation in FY 2021 will materially jeopardize the 

Commission’s ability to achieve its mission.
2

Overview of the Commission

The Commission is an independent establishment of the executive branch, exercising 

regulatory oversight over the Postal Service since its creation by the Postal Reorganization 

Act of 1970, with expanded responsibilities under the PAEA. The Commission is composed 

of five commissioners, each appointed by the President, by and with the advice and consent 

of the Senate, for a term of six years. No more than three of the commissioners may be from

the same political party. The President designates one of the commissioners to serve as 

chairman. The chairman is the principal executive officer of the Commission.

Commission staff have expertise in law, economics, finance, statistics, and cost accounting. 

The Commission also maintains an independent Office of the Inspector General (OIG). The 

four offices are:

 Accountability and Compliance (OAC)

 General Counsel (OGC)

 Public Affairs and Government Relations (PAGR)

 Secretary and Administration (OSA)

Organizational Chart
3

Mission

Ensure transparency and accountability of the United States Postal Service and 

foster a vital and efficient universal mail system

Guiding Principles

The Commission is committed to, and operates by, the principles of:

 Openness

 Public participation

 Integrity

 Fairness and impartiality

 Timely and rigorous analysis

 Merit

 Commitment to excellence

 Collegiality and multi-disciplinary approaches

 Adaptability

 Proactive response to the rapidly changing postal environment

Vision

To be an independent regulator respected for effectively engaging postal 

stakeholders to promote a robust universal mail system through objective, 

accurate, and timely regulatory analyses and decisions
4

2019 Accomplishments

The Commission achieved significant accomplishments in FY 2019. These accomplishments 

and Commission activities are summarized below and detailed in the Commission’s Annual 

Report to the President and Congress for Fiscal Year 2019 (Annual Report) which is available 

at https://www.prc.gov/sites/default/files/reports/FY2019_Annual%20Report.pdf.

In FY 2019, the Commission continued pursuing a revised rule in response to its

statutorily-mandated review of the system for regulating rates and classes for Market 

Dominant products. Commission staff reviewed and considered more than 200 comments 

and nearly 20 reply comments throughout the course of the § 3622 10-year review 

proceeding. Based on the filed comments and additional considerations, the Commission 

issued a Revised Notice of Proposed Rulemaking on December 5, 2019, which modifies and 

clarifies the previous proposed rules. This ongoing proceeding requires extensive legal and 

technical analysis and the involvement of every member from the Commission’s OAC and 

OGC staff.

The Commission also conducted a complex statutorily-mandated rulemaking to determine 

the appropriate minimum share of institutional costs that Competitive products must 

contribute to the Postal Service’s total institutional costs pursuant to 39 U.S.C. § 3633(b). 

The law requires the Commission to review the appropriate share regulation at least every 

5 years to determine if this requirement should be retained, modified, or eliminated. This 

statutorily-mandated review also requires significant Commission resources and functions 

as an essential check on the Postal Service to ensure that Competitive products are not 

being subsidized by Market Dominant products. 

In addition to the two highlighted major rulemakings conducted by the Commission in FY 

2019, the Commission also handled numerous rate and classification proceedings to ensure 

that rate and classification changes for Market Dominant and Competitive products comply 

with applicable statutory and regulatory requirements. The Commission reviewed and 

approved a Postal Service proposal to adjust Market Dominant prices and conducted a 

review of a Postal Service proposal regarding inbound international mail. The 

Commission’s review of price adjustments demands significant analysis from both 

technical and legal staff and requires turnaround on an accelerated statutory timeframe. 

The Commission also reviewed and approved 215 Negotiated Service Agreements (NSAs)

for Competitive products (191 domestic, 24 international) and issued orders concerning 

131 amendments and modifications to existing NSAs for Competitive products. The 

Commission’s review of rate and classification proceedings is a fundamental part of its 

oversight of the Postal Service.

As part of its mission to ensure transparency and accountability of Postal Service 

operations and foster a vital and efficient universal mail system, the Commission is also 

tasked with issuing reports on Postal Service financial results, its compliance with pricing 

and service standards, and its compliance with its performance plan. The Commission 

published these four major reports in FY 2019:

 The Annual Report described the Commission’s accomplishments and activities as 

the regulator of the Postal Service.
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 The Annual Compliance Determination Report (ACD) for FY 2018 reviewed the 

Postal Service’s compliance with statutory pricing and service requirements.

 The Financial Analysis of the United States Postal Service Financial Results and 10-K 

Statement for Fiscal Year 2018 provided an in-depth analysis of the Postal Service’s 

financial condition. 

 The Analysis of the Postal Service FY 2018 Annual Performance Report and FY 2019

Performance Plan evaluated whether the Postal Service met its performance goals as 

required under 39 U.S.C. § 3653(d). 

Among many other accomplishments in FY 2019, the Commission:

 Revised and reorganized its regulations and rules of practice and procedures to 

simplify processes for participating in Commission dockets and rulemakings that 

had not been revised since the enactment of the PAEA or before

 Revised its rules and regulations to increase accountability and efficiency in the 

handling of Freedom of Information Act requests 

 Adopted rules requiring the Postal Service to detail how an update to size or weight 

limitations adversely affects users of the mail or competitors

 Adopted rules improving transparency of cost and service performance issues 

related to flats 

 Established procedures for conducting market tests 

 Amended rules for the calculation of assumed Federal income tax on Competitive 

products

 Considered public inquiry dockets

 Consulted with the President’s Task Force on the United States Postal System

 Provided testimony to Congress

The Commission also provides consumer assistance for a wide variety of rate and service

inquiries. In FY 2019, the Commission processed more than seven thousand suggestions, 

comments, and inquiries from the general public primarily relating to undelivered, delayed, 

misdelivered, and missing mail.

In addition to the many accomplishments in FY 2019, the Commission also continued its 

initiatives to recruit, develop, and retain a skilled, high-achieving, and diverse workforce. 

At the end of FY 2019, women and minorities accounted for 60 percent and 34 percent of 

the workforce, respectively. The Commission will continue efforts to maintain diversity in 

the workforce through outreach and recruiting at local universities, veterans’ groups, and 

through organizations that target under-represented populations.
6

Budget Justification

Overview and Highlights for FY 2021

The Commission transmits the President’s appropriation recommendation of $19,200,000 

for FY 2021. The President’s recommendation represents an increase of $2,585,000 over 

the FY 2020 budget request of $16,615,000.

The Commission’s funding request is based on a projected staffing level of 80 full-time 

equivalents (FTEs). The proposed FY 2021 personnel budget is needed to fill numerous key 

vacancies resulting from employee separations related to the extended austerity measures 

enacted over the past fiscal years. The request also includes the resources necessary to

fully implement the Commission’s pay for performance system.

The Commission’s non-personnel budget supports training, recruitment, and retention 

incentives for staff, as well as implementation of several critical deferred IT system 

requirements and improvements, including measures to strengthen the cybersecurity 

posture of the Commission. The Commission has deferred much-needed IT expenditures 

due to budget constraints and the Commission is operating “At-Risk,” as defined by the 

Department of Homeland Security. This request supports the replacement of the 

Commission’s electronic docketing system, which is nearing the end of its life and subject to 

failure due to deferred investments.

This fiscally conservative budget request is essential for the Commission to accomplish its

mission; address in a timely fashion all statutorily-required and regulatory obligations in a 

drastically changing postal environment, including the mandated § 3622 10-year review

and periodic reporting proposals; take on the administrative recommendations of the 

President’s Task Force report that would expand the scope of the critical work of the 

Commission; strategically develop the workforce; modernize information 

security/cybersecurity protections; address emerging requirements in data governance 

and records management; and meet all other legal obligations.
7

Budget Program Information

The Commission’s FY 2021 Performance Budget Plan has four programs consisting of: 

(1) Postal Service Accountability and Compliance; (2) Public Access and Participation; (3) 

Integration and Support; and (4) the Office of the Inspector General. These programs are 

aligned with the goals contained in the Commission’s Strategic Plan.

Program

FY 2019 

Appropriation 

FY 2019 

Requirement 

FY 2020 

Appropriation

FY 2020

Requirement

FY 2021

President's 

Recommendation

Amount FTE Amount FTE Amount FTE Amount FTE Amount FTE

Postal Service 

Accountability 

and 

Compliance

 

$8,289 41

 

$10,662 41

 

$9,138 41

 

$10,398 45

 

$ 10,800 45

Public Access 

and 

Participation

 

$ 3,021 13

 

$4,113 18

 

 $3,157 17

 

$4,159 18

 

$4,320 18

Integration 

and Support

 

$3,445 18

 

 $3,002 13

 

$3,822 11

 

$3,430 14

 

$ 3,551 14

Office of the 

Inspector 

General*

$445 3 $478 3 $498 3 $498 3 $529 3

Total 15,200 75 18,256 80 16,615 71 18,486 80 19,200 80

Unobligated funds are used to offset shortfalls. FY 2021 recommendation shows the authorized 

complement of 80 FTEs.

* This is the full amount requested by the Inspector General to fund personnel (including detailees), 

travel, and training.
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Commission Strategic Plan and the FY 2021 

Budget Request

The FY 2017-2022 Strategic Plan was developed to serve as a guide to steer the future work 

of the Commission and is a fundamental beacon for the Commission’s efforts toward 

continuous improvement, efficiency, and effectiveness. The four strategic goals listed below 

guide the Commission’s work and serve to directly link the budget to the Strategic Plan’s

Work Plans and Performance Objectives. 

1. Deliver accurate and objective analyses and decisions to ensure transparency and 

accountability of the Postal Service.

2. Actively engage with Congress and stakeholders in support of a dynamic postal 

system.

3. Provide an optimal internal infrastructure to support management of priorities, 

workload, and emerging requirements.

4. Recruit, develop, and retain a diverse, high-performing workforce.

In addition to its strategic plan, the Commission focuses its efforts on the Cross-Agency 

Priority (CAP) goals from the President’s Management Agenda to assess its ability to meet 

its mission. The four CAP goals concentrated on by the Commission include CAP Goal #1:

Modernize IT to increase productivity and security; CAP Goal #2: Leveraging data as a 

strategic asset; CAP Goal #3: Developing a workforce for the 21st century; and CAP Goal #5:

Sharing quality services.

In FY 2021, the Commission will be creating a new strategic plan for the next 5 years. This 

effort will build upon the existing Strategic Plan to ensure the ongoing alignment of agency 

strategic goals and the performance pay process.

Budget History and Constraints

Over the last several fiscal years, the Commission has been operating at a funding level far 

below the actual needs of the agency. Given the Administration’s desired reductions 

throughout non-defense discretionary programs and the fact that the Commission—

through a unique set of circumstances—had carryover funds, the Commission requested 

appropriations that were below its actual requirements. By implementing a combination of 

budget cuts and austerity measures, including hiring and pay freezes, elimination of 

employee recruitment and retention incentives, and delaying necessary infrastructure 

improvements and maintenance, the Commission was able to manage the gap between its 

expenditures and its lower appropriation. As described below, a larger appropriation is 

now critically necessary.

Since it began accumulating carryover funds,1 the Commission has continuously submitted 

fiscally responsible appropriation requests. The Commission’s budget requests do not 

 

1 Given the Commission’s unique status as an independent establishment and regulator of the Postal 

Service, since 2015, the Commission’s funds have been available to it without fiscal year limitation 

pursuant to a decision by the Comptroller General. See B-327122, November 30, 2015. This allows 
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include an amount for carryover funds; rather the accumulated carryover funds are due to

unforeseen staff vacancies and funds set aside for potential and reserved litigation 

expenses that did not materialize. For example, funds allocated for a commissioner (and 

staff) billet began to accrue in 2015 and that position remained unfilled for more than 3 

years. Beginning in FY 2018, instead of continuing to accrue funds such as this in a

carryover balance, the Commission responsibly reduced its appropriation request and used 

a combination of carryover funds and austerity measures to fill the gap between its 

appropriated amounts and its spending requirements. The Commission was able to submit 

reduced appropriation requests in FYs 2018, 2019, and 2020, applying its carryover funds 

and implementing further budget cuts and deferred investments to meet its actual 

requirements.

In FY 2018, the Commission deferred IT projects and requested a reduced appropriation. It 

received an appropriation of $15,200,000 and was able to apply limited carryover funds to 

meet the shortfall between the requested and actual appropriation. In FY 2019, the 

Commission again deferred IT projects and applied a number of other austerity measures 

to submit a reduced appropriations request. It again received an appropriation of 

$15,200,000. In response to the constrained budget environment, the Commission 

instituted several actions affecting personnel, including a hiring freeze, a training budget 

freeze, a freeze on non-local professional development events, and suspension of the 

presidentially-approved, congressionally-authorized pay increase of 1.9 percent. These 

actions contributed to the highest attrition rate in Commission history, with an 11 percent 

voluntary separation rate. This turnover occurred at all levels of the Commission, including 

senior staff, mission-critical positions, and senior executives across the Commission’s four 

major offices. 

In FY 2020, the President’s budget request and the amount appropriated was $16,615,000. 

This amount was desperately needed at the Commission, and the funds specifically allowed 

the Commission to implement the President’s 3.1 percent pay increase, reinstitute minimal 

employee training and recruitment/retention incentives, and begin necessary IT 

transitions and upgrades. However, even with this increase, the Commission’s budget 

requirement remains higher than its appropriation. Although Commission carryover 

funding was projected to be completely exhausted by the close of FY 2019, unexpectedly 

high staff attrition during FY 2019 allowed the Commission to retain a small carryover 

balance to be utilized in the event of continued budgetary constraints. Considering the 

above budget history and challenges, the Commission’s budget request for FY 2021 reflects 

the amount necessary to restore and sustain personnel and operational requirements.

 

the Commission to remain operating for a period of time during a government-wide lapse in 

appropriation or Continuing Resolutions (CRs) (subject to availability of carryover funds). CRs and 

government shutdowns do not apply to the Postal Service because its funds are not subject to the 

appropriations process. Thus, the availability and prudent use of carryover funds allowed the 

Commission to continue its regulatory oversight of the Postal Service despite budgetary shortfalls, 

which caused many other federal departments and agencies to shut down.
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For nearly 38 years, from 1970 until FY 2008, the Commission received its budget directly 

from the Postal Service. During this time, the Commission received a consistent budget, 

with requested increases to cover the Commission’s requirements. When the Commission 

entered the appropriations process, the agency’s budget decreased dramatically in FY 2009 

and remained generally flat until FY 2017. During this time, the Commission deferred 

needed hiring and investments in IT. After 6 years, this was no longer sustainable and 

additional monies were appropriated by Congress beginning in FY 2017. However, as 

detailed above, subsequent years’ appropriations were lower than the Commission’s 

requirements. Notably, the Commission’s FY 2008 budget was nearly $15,000,000 and 

more than a decade later only increased to $15,200,000 for FY 2018. The Commission has

consistently employed numerous cost-reductions and austerity measures to manage 

operations since entering the appropriations process; however, it has reached a critical 

point where receiving the President’s recommendation of $19,200,000 is imperative to 

meets its statutory obligations.

Personnel Compensation and Lease Obligations

The Commission’s two primary expenditures, personnel compensation and lease 

obligations, account for 95 percent of the annual appropriation. The chart below illustrates 

the limited room for budget reductions outside of personnel cuts that will ultimately

degrade the Commission’s ability to meet its mission. The Commission is obligated to a 

long-term lease through 2022, and will continue to explore ways to reduce rental costs and 

optimize space throughout the Commission even before its lease expires. 

Personnel 

Compensation, 

$12,648,992.14

Facility Lease, 

$2,116,366.00

Supplies and Services, 

$249,707.00

Other Operating Expenses, 

$612,792.55

Personnel Compensation Facility Lease Supplies and Services Other Operating Expenses

81 %

2% 4%

14%

FY 2019 Actual Budget Expenditures

$15,627,857.69
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The Commission is requesting the funds it needs to restore mission-critical positions, 

increase pay for performance spending programs, and provide training. In support of the 

Commission’s budget request, the Commission highlights the challenges it is facing with 

personnel. These challenges result from significant staff attrition and lack of workforce 

development, increased statutory responsibilities, and workload as detailed below.

SIGNIFICANT STAFF ATTRITION AND LACK OF WORKFORCE DEVELOPMENT

CAP Goal #3: Developing a Workforce for the 21st Century

With the FY 2020 budget request of $19,200,000, the Commission will be able to support 

80 FTEs to meet the increased workload and other obligations facing the Commission. In 

FY 2018, the Commission strategically assessed its workforce to ensure that it possessed all 

necessary positions to accomplish its core mission. The Commission’s workforce goal for 

FY 2021 is to preserve its ability to fund and award the current FTEs, fill mission-critical 

positions, and develop the staff to allow the Commission to fulfill its statutory and 

regulatory obligations and provide its expertise to the postal community. The Commission 

will continue to undertake a full evaluation of every vacancy before filling any positions, 

consistent with the Administration’s goal of workforce reshaping and Government reform.

The Commission operates as a lean organization. After accounting for Commissioners, their 

staff, and administrative support personnel, the Commission has just 45 staff to perform 

the challenging analytical, technical, and legal work that is the core of the Commission’s 

regulatory responsibilities. An additional resource requirement is that the Commission, by 

law, must also appoint a professional staff member to serve as an officer of the Commission 

to represent the interests of the general public in all docketed proceedings. Therefore, the 

Commission must field “two teams” for every case, further stretching resources.2 The 

Commission, by law, must also maintain an independent Office of the Inspector General, 

which is comprised of three employees at a current cost of nearly $500,000 annually.3

The Commission’s funding levels over the past few fiscal years have negatively affected the 

retention of personnel and will impede the Commission in the future in carrying out its 

statutory and regulatory obligations if the FY 2021 request is not provided. The effects of 

the budget constraints are acutely evident in both the Commission’s Office of 

Accountability and Compliance (OAC) and Office of the General Counsel (OGC). OAC is 

responsible for all of the Commission’s technical analysis and formulation of policy 

 

2 Under 39 U.S.C. § 505, the Commission shall designate an officer of the Commission in all public 

proceedings to represent the interests of the general public. This officer, the Public Representative 

(PR), operates independently from the Commission and must adhere to ex parte rules. This 

requirement means that one or more staff members must be appointed PR in every case who, 

consequently, will not be available to assist the Commission in reviewing, analyzing, and making 

determinations for that case.

3 This includes the cost of detailees. Under the Inspector General Act of 1987 (Public Law 95-452; 5 

U.S.C. App., as amended through Public Law 114-317), for each fiscal year, an Inspector General 

shall transmit a budget estimate and request to the head of the establishment or designated Federal 

entity to which the Inspector General reports. For FY 2021, the Inspector General has requested 

$529,000.
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recommendations for the Commission in both domestic and international matters. This 

office has experienced a 10 percent reduction in staff and because each staff member in 

OAC possesses a unique set of skills and expertise, the loss of just one FTE is acutely felt. 

Similarly, the Commission’s OGC has faced significant staffing shortfalls over the past year.

In FY 2019 through the first quarter of FY 2020, OGC experienced a 14 percent reduction in 

staff due to voluntary separations. This directly impacts the Commission’s ability to issue 

legally sound decisions, pursue rulemaking relevant to postal policy, and fulfill the 

Commission’s statutory responsibilities. Additionally, OGC is responsible for ensuring that 

the Commission operates in a legally sound manner, including compliance with all 

applicable federal requirements in the areas of human resources, contracting, records 

management, and privacy. Finally, OGC is responsible for administering the Commission’s 

ethics compliance (advice and financial disclosures) and FOIA programs, two essential 

federal requirements necessary to support the Commission’s ability to provide 

transparency and accountability as it regulates within the postal system.

As a result of these personnel vacancies and statutory funding obligations, the most recent 

Federal Employee Viewpoint Survey results showed a decrease in the Commission’s 

Employee Engagement index to 78 percent, and the largest decreases (all in excess of 22 

points) related to questions on pay. Measures such as continuing the hiring freeze and 

potential staffing reductions, elimination of pay increases, continuing the prohibition on all 

travel, elimination of all training, and reduction of IT contract support directly led to a 

reduction in overall employee engagement at the Commission. The Commission anticipates 

that without sufficient funding these negative trends in attrition and engagement will 

continue into FY 2020 and FY 2021, seriously jeopardizing the Commission’s ability to 

fulfill its statutory obligations.

It is important to recognize that the Commission deferred most hiring from 2008-2014. In 

the window between FY 2014 and the funding reduction in FY 2018, the Commission was 

finally able to make progress towards hiring the adequate number of staff to address the 

greatly expanded mission assigned under the PAEA. The budget reduction in FY 2019 led to 

staff shortfalls that will continue into FY 2020 and FY 2021 without adequate funding. The 

Commission does not anticipate adding personnel above the 80 FTEs at this time, despite 

the increased workload and obligations described below; rather, it is seeking to staff up to 

the authorized 80 FTEs necessary to accomplish the Commission’s mission.

However, were it able to obtain more than 80 FTEs, the Commission identifies numerous 

projects that could be undertaken. With additional resources, the Commission would 

explore more ways to improve its:

1) Analysis of the United States Postal Service’s financial position, strengthening the 

Commission’s analysis and conclusions, potentially providing financial trend 

analysis of the Postal Service’s financial data throughout the year instead of 

annually

2) Annual Report, reassessing the cost associated with the statutory requirement 

imposed on the Postal Service (§ 3651(b)(1)(C)), evaluating and updating the costs 
13

not associated with the USO, reporting on the extent to which Market Dominant and 

Competitive products regulations are achieving the objectives of §§ 3622 and 3633 

3) ACD, strengthening analysis to determine if rates were in compliance

As indicated, failure to attain this moderate increase in funding after years of insufficient 

funding will result in further reductions in staffing that will degrade the Commission’s 

ability to meet its statutory responsibilities, delay timely responses, and affect the 

customer experience of the Postal Service’s stakeholders, especially the American public 

and businesses.

INCREASE IN AWARDS FUNDING

CAP Goal #3: Developing a Workforce for the 21st Century

The FY 2021 budget request of $19,200,000 includes a 1 percent increase in awards 

funding in accordance with the Passback Guidance. This 1 percent increase in awards 

spending is especially important since the Commission instituted pay measures that 

negatively affected staff retention (e.g., did not pay the presidentially-approved, 

congressionally-authorized pay increase of 1.9 percent for FY 2019 due to budgetary 

constraints).

The human capital goal of the Commission, as stated in the Strategic Plan, is to “recruit, 

develop, and retain a diverse, high-performing workforce.” CAP Goal #3 reflects the 

Commission’s focus on “developing a workforce for the 21st century.” To accomplish this 

goal, the Commission established a performance management policy in FY 2011 and 

applies a merit pay process to more closely link pay and performance. This policy 

established procedures for planning, assessing, rating, rewarding, and developing 

individual employee performance. It is the means by which the Commission measures and 

recognizes employee performance and accomplishments. This policy works hand-in-hand 

with the Commission’s compensation policy to ensure that pay and performance are also 

aligned with the budget, which ensures the sustainability over time for the merit pay 

process. The 1 percent increase in awards spending supports CAP Goal #3 and the 

Commission’s merit pay process.

Consistent with the Passback Guidance, the Commission plans to use the 1 percent increase 

allowed to bolster its award spending from FY 2020 to FY 2021 for non-SES/SL/ST 

positions with an additional $59,064. In FY 2019, the awards spending at the Commission 

equaled 2 percent of non-SES/SL/ST spending. In accordance with the Passback Guidance, 

the FY 2021 budget provides for an amount dedicated towards awards equal to 3 percent, 

reflecting the 1 percent increase in awards spending. This amount will be applied to the 

Commission’s merit pay system for the EOY performance cycle to recognize employees 

whose performance was critical to mission achievement. 

Increased Statutory Responsibilities and Workload

As the regulator of the Postal Service, the Commission employs expert technical and legal 

staff that possess a unique set of skills related to postal regulation. Not only does the 

Commission’s personnel work to fulfill the Commission’s statutory obligations, but they 

must respond to the ever-changing needs of the Postal Service in a time where the Postal 
14

Service is facing many challenges and threats to its continued viability. As summarized in 

more detail below, the Commission’s increased workload demonstrates the critical need to 

restore its personnel to at least 80 FTEs and ensure there is sufficient IT support.

Increased Volume and Complexity of Cases 

The number of docketed cases before the Commission continues to increase each year and 

these cases are becoming more complex, particularly those related to rates, new products, 

service changes, and competition. In FY 2021, the Commission expects a significant

increase in workload. The increased workload stems from novel issues arising from the 

rapidly changing postal and delivery sector and the substantial financial and operational 

challenges facing the Postal Service. Given the precarious position of the Postal Service in 

the evolving delivery market, it is critically important that the Commission receive the full 

resources necessary to arbitrate these issues and carry out its oversight responsibilities. 

As the Postal Service considers and implements changes to operating hours, delivery 

service, and processing infrastructure, the Commission will likely be required to handle 

several highly complex cases related to these changes. Additionally, as the Postal Service 

proposes new products, services, and Negotiated Service Agreements (NSAs) to generate 

additional revenue, the Commission must review these initiatives and service agreements 

to ensure a predictable, transparent, and effective system of rate and product regulation 

that complies with the law. As a result, the Commission will continue to handle an 

increasing number of complex dockets. It is imperative, therefore, that the Commission be 

able to preserve its ability to maintain its current FTEs, bolstered by strategic new growth,

to allow the Commission to fulfill its statutory and regulatory obligations and provide its 

expertise to the mailing community.

This additional workload will demand intensive analysis by the Commission, involve 

extensive public participation, and require a significant share of the Commission’s 

resources. In FY 2017, the 10-year anniversary of the PAEA’s enactment, the Commission 

began its critical review, mandated by law, of the Market Dominant system of regulating 

rates and classifications. As a result of the Commission’s findings following this review, the 

Commission will continue its rulemaking process in FY 2020 and FY 2021. This will entail 

extensive work and analysis by the Commission, involve significant public participation 

from postal stakeholders, and require a substantial share of the Commission’s resources. 

Moreover, if a final rule is implemented, the Commission will require significant staff 

attention and time to implement the new system.

The requested $19,200,000 places the Commission in a position where it will be able to 

fulfill its statutory obligations and appropriately regulate the Postal Service.

Increase in Unfunded Projects

However, even at this amount, the Commission will be hard pressed to complete the 

additional unfunded projects that are needed to fully address the issues facing the Postal 

Service. For example, the questions surrounding the Postal Service’s Universal Service 

Obligation (USO), including how to define and determine the costs of the USO, will entail

extensive resources and the hiring of additional staff beyond the 80 FTEs currently 

required. To explore these questions, the Commission would need to initiate a variety of 
15

important dockets and engage with postal stakeholders and the public. The USO inquiry is 

only one example of a vital project that the Commission has not had the resources to 

explore. Other examples include issues related to the Postal Service’s monopoly powers 

and ensuring fair competition.

The Commission also anticipates many new challenges as the President, Congress, the 

Postal Service, and interested stakeholders continue to explore the legal boundaries of the 

PAEA. For example, the Commission anticipates an increased workload based on the 

important work of the President’s Task Force report on the United States Postal System,

the 2018 Presidential Memorandum to modernize the system to reimburse postal 

operators for the delivery of goods, and any proposed legislation from Congress. The 

Commission anticipates that some of the President’s Task Force’s recommendations, if 

implemented, will directly impact the Commission and its work. Extensive engagement 

with Congress and the possibility of new Commission rulemakings related to the 

recommendations are anticipated throughout FY 2020 and FY 2021. These 

recommendations will create significant additional work for the Commission but they have 

not been accompanied by an increase in funding.

On August 23, 2018, the President issued to the Commission’s chairman, as well as other 

various components of the Executive Branch, a “Memorandum on Modernizing the 

Monetary Reimbursement Model for the Delivery of Goods through the International Postal 

System and Enhancing the Security and Safety of International Mail.” The report 

underscored the importance of the Commission’s regulatory oversight role to impose 

increased accountability on the Postal Service. The Commission also serves an important 

statutory role in making recommendations to the Secretary of State about U.S. Government 

positions at the Universal Postal Union, particularly in promoting greater transparency and 

accountability.

Early in FY 2019, the President also issued further direction for the Commission and the 

Postal Service to implement self-declared rates charged to foreign posts. As a result, the 

Commission will experience significant increased workload related to its regulatory 

oversight of international mail. Not only will it require more in-depth analysis of proposals 

concerning rates for letters, flats, and other Market Dominant products, but the 

Commission’s review of self-declared rates consistent with the President’s direction 

represents new ground. As a result, this process will involve a host of new issues and 

questions that will require significant staff and IT resources to complete. The international 

mail issues present the Commission with new and substantial work, yet this additional 

work has not been accompanied by an increase in funding.

Finally, the Commission expects to adjudicate an increasing number of contentious cases 

involving requests to expand the scope of Postal Service Competitive products offerings, 

either through the creation of new Competitive products or the transfer of existing Market 

Dominant products to the Competitive products list. The Commission may also undertake 

other special studies requested by the Postal Service, Congress, or as needed to complete 

its statutory responsibilities. 

The various unfunded projects and increased workload are in addition to the 

comprehensive oversight undertaken by the Commission in accordance with its statutory 
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responsibilities. As in previous years, the Commission will issue its primary regulatory 

document, the ACD, assessing the Postal Service’s compliance with ratemaking regulations 

and applicable laws. In this report, the Commission will review and determine whether 

Market Dominant rates are within the Consumer Price Index rate cap, whether workshare 

discounts meet the statutory requirements, whether Competitive products are subsidized 

by Market Dominant products, and whether Competitive products pay their attributable 

costs as well as an appropriate share of fixed postal costs. The report will also evaluate the 

Postal Service’s service performance. The Commission will also issue three additional 

reports: The Analysis of United States Postal Service Financial Results and 10-K Statements, 

Analysis of the Postal Services Program Performance Report and Performance Plan, and 

Annual Report to the President and Congress. 

Increase in Litigation-Related Workload

Over the past several years, the Commission has faced an increase in challenges to its 

decisions, due in part to a rapidly changing—and increasingly competitive—postal 

environment. Challenges to Commission decisions, both by the Postal Service and its 

competitors, have caused additional strains on the Commission’s resources. See USPS v. 

Postal Regulatory Commission, D.C. Cir. No. 16-1412 (April 6, 2018); USPS v. Postal 

Regulatory Commission, D.C. Cir. No. 16-1284 (April 6, 2018); UPS v. Postal Regulatory 

Commission, No. 16-1354 (May 22 20, 2018); and UPS v. Postal Regulatory Commission, No. 

1019-1026 (pending, oral argument held January 13, 2020). Additionally, consumer-led 

lawsuits have increased and demonstrate that as the Postal Service’s financial conditions 

worsens, consumers are paying more attention and exercising their rights to challenge 

Postal Service decisions. See Carlson v. Postal Regulatory Commission, D.C. Cir. No. 18-1328 

(Sept. 13, 2019). Under the Court’s decision in Carlson, the Commission is now required to 

consider an exhaustive list of statutory objectives and factors in each individual rate case 

submitted by the Postal Service. Although these objectives and factors were considered by 

the Commission previously, the Court’s decision now specifically requires the Commission 

to extensively consider and evaluate them within the context of each rate case, including 

addressing specific comments filed by any commenters. This decision will increase the 

workhours necessary for the Commission to meet its statutory obligation as now defined 

by the Court. Given the trend, these types of challenges are expected to continue.

Information Technology

CAP Goal #1: Modernize IT to Increase Productivity and Security

In addition to personnel challenges, the Commission is facing significant challenges in IT 

due to deferred investments, cybersecurity threats, and aging systems. With the requested 

budget amount of $19,200,000, as authorized by OMB in Directive M-17-28, the 

Commission seeks to maintain and optimize its IT infrastructure and strengthen its 

cybersecurity posture with funds dedicated to IT maintenance and improvements as 

described below. The Commission seeks to transform the Commission’s enterprise 

infrastructure, strengthen its cybersecurity posture, build a modern IT workforce by 

implementing cloud-computing solutions, and leverage shared IT services. The requested 
17

funding will allow the Commission to align with CAP Goal #1, “Modernize IT to increase 

productivity and security.”

The IT budgetary resources will be used to address critical systems requirements, to 

improve continuity operations, and to allow for required exfiltration, penetration, and 

phishing tests; and for the transition to Enterprise Infrastructure Solutions (EIS), the 

required annual security assessment of IT systems, the move to cloud-based services for 

Commission applications, IT contract support, records management, and the required 

annual OIG evaluation of Federal Information Security Management Act (FISMA)

compliance. The budget also must include funds necessary for the annual maintenance and 

monthly recurring charges for IT systems, including Managed Trusted Internet Protocol 

System (MTIPS) and dual-factor authentication. 

Critical Systems Requirements

The Commission’s docket system is reaching the end of its life and is in immediate need of 

overhaul. In FY 2019, the Commission continued work on developing a cloud-based 

electronic document management system, which will provide internal and external 

customers with access to the Commission dockets system (the primary repository of 

Commission records) and replace the current aging system. This effort also aligns with the 

goals in the Passback Guidance concerning M-19-21, Transition to Electronic Records.

Without the full funding request, the Commission is facing the potential failure of its 

dockets system. The Commission and the Postal Service, stakeholders, and the public rely 

on the Commission’s docket system to function efficiently and effectively.

Cybersecurity Needs

The Commission deferred much-needed IT expenditures for many years, and was finally 

able to begin modest investments in its IT infrastructure and make progress toward 

achieving FISMA compliance and greater cybersecurity in the window between FY 2014 

and the FY 2018 reduction. However, the IT modernization plans are severely impacted by 

the current budget climate, and the Commission currently operates “At-Risk,” as defined by 

the Department of Homeland Security. This type of cyber-risk is not acceptable to the 

Commission. 

Great strides were made in recent years toward hardening Commission systems and 

increasing Commission monitoring capabilities by implementing Continuous Diagnostic 

and Mitigation (CDM) as a shared service through the Department of Homeland Security 

(which also aligns with CAP Goal #5: Sharing quality services), despite the budgetary 

constraints. However, the Commission reached a point where further investments were 

placed on hold. In FY 2021, if funded as requested by the Commission, the Commission will 

implement the next phase of CDM and continue ongoing critical projects to ensure the 

security of Commission data and systems in the face of increased cybersecurity threats by 

obtaining up-to-date technology that ensures cyber-threats are systematically and 

effectively identified, evaluated, and mitigated. 

The Commission operates a small IT team to handle all information technology needs for 

the Commission. This small and hard-working team provides all IT support for the 

Commission staff and for the public-facing web applications. However, there is a growing 
18

skills gap in modern, up-to-date cybersecurity. This skills gap has been highlighted as the 

Commission implemented the first phase of CDM, and the Commission has realized the 

need to recruit a skilled cybersecurity professional to ensure that the Commission 

competently utilizes the CDM dashboard and other cyber information to monitor and 

mitigate threats. The Commission requires a cybersecurity specialist to establish and 

manage a cybersecurity program for the Commission, provide continuous monitoring and 

risk remediation of our IT assets, and safeguard the Commission’s IT Infrastructure, 

applications, and data.

Modernization Initiatives

CAP Goal #2: Leveraging Data as a Strategic Asset

The Commission also intends to continue with other modernization initiatives that support 

CAP Goal #2 “Leveraging data as a strategic asset.” The Commission recognizes that data 

contained in its docketing system is a primary strategic asset, and values the openness and 

transparency that this system affords to the general public. To ensure that this asset is 

available to all, the Commission needs to implement a suitable replacement to its aging 

dockets system, enhance its website to ensure compliance with the law, as well as conduct 

network exfiltration, phishing, and penetration testing as required by FISMA.

In FY 2020 and FY 2021, the Commission will finalize the implementation of an electronic 

document management system, in line with the priorities in the Passback Guidance. This 

system will provide compliance with OMB/National Archives and Records Administration 

(NARA) Records Management directives and improve the safeguards and security of 

Commission records, while providing a system for modern data governance. As stated 

above, funding is necessary for this new electronic document management system as the 

Commission’s current dockets system is reaching the end of its life and subject to failure.

As part of this modernization initiative, the Commission plans to move the remaining 

majority of IT services and applications to the cloud in FY 2020-2021 by implementing 

Office 365 (including email) and moving continuity/disaster recovery systems to a 

Microsoft Azure cloud-based repository.

Enterprise Infrastructure Solutions Transition

The Commission also plans to begin implementation of its selected solutions for the 

upcoming telecommunication contract transition from Networx to EIS, and will finalize its 

implementation plan in early FY 2020. In FY 2020 and FY 2021, the Commission will work 

with GSA on the transition activities to ensure that the Commission has a compliant and upto-date telecommunication infrastructure by the EIS transition deadline. This is a major 

project for the Commission IT staff and will require dedicated resources to complete. 

An expected and necessary result of implementing these increased capabilities is the ongoing budgetary impact of annual licensing, service, and maintenance fees. The cost of 

these annual recurring fees is high. For example, MTIPS alone results in a monthly 

recurring cost of approximately $10,000 ($120,000 per fiscal year)—which is 0.8 percent 

of the entire Commission budget for this one mandated service. The Commission is seeking 

to alleviate some of this budgetary burden in its transition to EIS. This transition, however, 
19

also requires a one-time implementation cost before the return on investment can be 

realized. 

Conclusion

The Commission is comprised of a small team of hard-working highly qualified personnel 

responsible for the oversight of the Postal Service and its $71.3 billion in annual revenues. 

The President is recommending an appropriation of $19,200,000 in order to fulfill the 

Commission’s mission to function as Congress intended and enable it to address challenges 

presented by past budgetary constraints and personnel and IT challenges.

If funded below the President’s recommendation of $19,200,000, the Commission will be 

hampered in its efforts to timely execute the Commission’s workload, resulting in an

inability to provide adequate regulatory oversight for postal matters. The Commission’s 

budget represents a tiny fraction of the massive operating revenue of the Postal Service, 

and strong oversight of this changing industry is needed now more than ever. A 

Commission that lacks the funds to function as intended by Congress would likely facilitate

a further degradation in certain Postal Service operations and potentially fail to curb 

possible abuse of the Postal Service’s market power.
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Obligation by Object Classification

($ In Thousands)

Object 

Classification

FY 2019 

Appropriation

(74 FTEs)

FY 2020 

Appropriation

(71 FTEs)

FY 2021 President's 

Recommendation

(80 FTEs)

Personnel 

Compensation $ 12,272 $ 12,707 $ 14,455 

Other Personnel 

Compensation $ 91 $ 230 $ 270 

Subtotal $ 12,363 $ 12,937 $ 14,725 

Supplies $ 1 $ 42 $ 80 

Office Furniture & 

Equipment $ - $ 1 $ 1 

Office Equipment 

Rental & Repair $ - $ 1 $ 1 

Contractual Services $ - $ 315 $ 332 

Consulting Services $ 6 $ 325 $ 710 

Advertising $ 1 $ - $ 1 

Building Repairs & 

Alterations $ - $ 1 $ 5 

Subtotal $ 8 $ 685 $ 1,130 

Travel $ 1 $ 6 $ 17 

Training $ 1 $ 23 $ 140 

Printing and 

Reproduction $ 161 $ 157 $ 150 

Lease $ 1,899 $ 2,213 $ 2,146 

Miscellaneous, 

Subscriptions $ - $ - $ 86 

Communications $ - $ 260 $ 224 

Information 

Technology $ 767 $ 334 $ 582 

Subtotal $ 2,829 $ 2,993 $ 3,345 

Total Obligations $ 15,200 $ 16,615 $ 19,200 
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Office of the Inspector General 

Resources

The Commission's Office of the Inspector General was established in June 2007 as required 

by an amendment to the Inspector General Act of 1978 included in the PAEA. The 

Commission’s Inspector General has a dual reporting responsibility to both commissioners 

and Congress.

The role of the OIG is to detect and deter fraud, waste, abuse, and mismanagement within 

Commission programs, as well as to promote efficient and effective use of Commission 

resources. To accomplish this, the OIG conducts, supervises, and coordinates independent 

audits, inspections, evaluations, and other reviews in accordance with applicable law. The 

OIG communicates the results of these assessments to commissioners, Commission 

management, Congress, other oversight entities as appropriate, and to the public. 

Generally, the OIG communicates these results in formal reports that contain findings and 

recommendations aimed at correcting any deficiencies identified and at promoting 

efficiency and effectiveness in Commission programs and operations.

The OIG maintains a hotline to allow employees and the public to anonymously report 

allegations of fraud, waste, abuse, and mismanagement.

The IG requested $529,000 for the office’s personnel, travel, and training costs as well as 

the Commission contribution to the Council of Inspectors General on Integrity and 

Efficiency (CIGIE). The request includes $5,000 to satisfy training requirements and

anticipated CIGIE dues.
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Proposed Appropriations Language

Postal Regulatory Commission

Salaries and Expenses 

(including transfer of funds)

For necessary expenses of the Postal Regulatory Commission in carrying out the

provisions of the Postal Accountability and Enhancement Act (Public Law 109‐435),

$ 1 9 , 2 0 0 , 0 0 0 ,

4 to be derived by transfer from the Postal Service Fund and expended as

authorized by section 603(a)of such Act.

 

4 Pursuant to 39 U.S.C. § 2009, “The President shall include [the Commission’s appropriation 

request], with his recommendations but without revision, in the budget transmitted to Congress 

under section 1105 of title 31.” To accommodate OMB’s request in the context of developing the 

Administration’s budget, the Commission transmits the President’s appropriation recommendation 

of $19,200,000.
23

Strategic Goals, Work Plans, and 

Performance Objectives

Postal Service Accountability

STRATEGIC GOAL 1 - DELIVER ACCURATE AND OBJECTIVE ANALYSES AND 

DECISIONS TO ENSURE TRANSPARENCY AND ACCOUNTABILITY OF THE 

POSTAL SERVICE.

 Strategic Objective 1.1. Thoroughly and accurately analyze and apply statutes, 

regulations, and Commission precedent.

 Strategic Objective 1.2. Ensure transparent, accurate, and informative Postal 

Service reporting for evaluation of lawful compliance of rates and service 

performance.

 Strategic Objective 1.3. Responsibly, transparently, and efficiently lead the review 

of the existing statutory system for regulating rates and classes for Market 

Dominant products, as well as consider, and, if necessary, implement modifications 

or an alternative system.

FY 2021 Work Plan Strategies

• Analyze, develop, and implement public policy as it relates to postal matters.

• Execute a visible and effective advisory role with regard to measureable and 

dynamic Postal Service and mail delivery service performance.

• Consult on, revise, and augment performance standards and goals for Market 

Dominant products.

• Assess and refine the rules, regulations, and systems established for publication of 

relevant Postal Service data.

• Prepare analytical framework.

FY 2021 Work Plan

• Review and evaluate Postal Service financial data.

• Enforce compliance determinations.

• Review and evaluate Postal Service international data and proposals for the UPU.

Public Access and Participation

STRATEGIC GOAL 2 - ACTIVELY ENGAGE WITH CONGRESS AND 

STAKEHOLDERS IN SUPPORT OF A DYNAMIC POSTAL SYSTEM.

 Strategic Objective 2.1. Continue to strengthen proactive and responsive 

communication to foster a collaborative relationship with Congress.

 Strategic Objective 2.2. Foster constructive communications with the Postal 

Service and stakeholders to streamline the regulatory process. 
24

 Strategic Objective 2.3. Clearly communicate complex analyses and decisions to 

address the needs of diverse stakeholders. 

FY 2021 Work Plan Strategies

• Effectively communicate the outcome of Commission work to Congress in a timely 

fashion.

• Update the strategic communication plan to facilitate targeted congressional 

outreach.

• Participate in hearings on postal regulatory related matters.

• Facilitate efficient and effective Commission regulatory process and clearly 

articulate Commission expectations and timelines.

• Strengthen open communications with stakeholders.

FY 2021 Work Plan 

• Maintain and update comprehensive strategy for outreach to the public and media. 

Implement consistent messaging, updating, and branding for public documents and 

the Commission’s website.

• Continue to enhance government relations through proactive outreach and 

relationship building with Congress and the Executive Branch, and Federal, state, 

and local governments. 

• Maintain a timely system to track, analyze, and respond to public and consumer 

inquiries and correspondence, including “informal complaints.”

• Identify legislative and public affairs priorities. Develop Commission Annual Report. 

Integration and Support

STRATEGIC GOAL 3 - PROVIDE AN OPTIMAL INTERNAL INFRASTRUCTURE 

TO SUPPORT MANAGEMENT OF PRIORITIES, WORKLOAD, AND EMERGING 

REQUIREMENTS.

 Strategic Objective 3.1. Optimize support infrastructure to manage and advance 

system capability, requirements, and security.

 Strategic Objective 3.2. Prioritize and manage workload to increase capacity 

and agility. 

 Strategic Objective 3.3. Collaboratively work across functions to maintain open 

internal communication and address emerging requirements. 

STRATEGIC GOAL 4 - RECRUIT, DEVELOP, AND RETAIN A DIVERSE, HIGHPERFORMING WORKFORCE.

 Strategic Objective 4.1. Exercise Commission flexibilities to attract and retain a 

diverse, high-performing workforce.

 Strategic Objective 4.2. Maintain fair and impartial human capital management. 

 Strategic Objective 4.3. Continue to enhance the Commission’s commitment to 

being an employer of choice.
25

FY 2021 Work Plan Strategies for Strategic Goals 3 and 4

 Optimize IT capabilities.

 Strengthen and modernize the records management program.

 Streamline and standardize procurement policies and processes.

 Maintain ongoing communication of priorities among commissioners and senior 

staff.

 Collaborate to develop and effectively communicate administrative guidance and 

investment priorities.

 Attract and hire qualified and diverse candidates consistent with Federal laws.

 Strengthen relationships with affinity groups to ensure diverse outreach efforts.

 Maintain a Human Capital Plan.

 Maintain the Commission’s strong commitment to equal employment opportunity.

 Involve employees and participants as agents of diversity, inclusion, and mutual 

respect.

 Continue refining administrative and HR analytics to inform decision-making.

FY 2021 Work Plan for Strategic Goals 3 and 4

 Develop and maintain the Commission’s annual budget and fiscal processes based 

on Administration guidance. 

 Assess all IT security policies, practices, and enforcement procedures to ensure 

functionality and security of electronic communication systems such as website, 

dockets, Local Area Network, webcasts, email, Voice-Over-Internet Protocol 

telephony, etc. 

 Execute FY 2021 IT project plan.

 Ensure that Commission records are properly maintained in accordance with 

policies and procedures. 

 Continue to improve the records management program at the Commission. Review 

and modify, as necessary, records schedules and policies to meet records 

management directives and to simplify Commission workflow processes. Implement 

necessary technology to maintain a modern records management system, including 

management of all electronic records.

 Ensure the website – both internal and external – is current, accessible, and useful 

to stakeholders.

 Continue to maintain financial controls to ensure adequate fiscal responsibility.

 Ensure equipment and facilities are sufficient, safe, and secure.

Enforce up-to-date IT security requirements.