FY2004 Performance and Accountability Report 

November 15, 2004 

U.S. OFFICE OF SPECIAL COUNSEL

1730 M Street, N.W., Suite 300 

Washington, D.C. 20036-4505

(www.osc.gov) 
FY 2004 Performance and Accountability Report 2

TABLE OF CONTENTS 

WWW.OSC.GOV 

 Page 

Part 1: Message from the Special Counsel 4 

Part 2: Management Discussion and Analysis 5 

I. Agency at a Glance ........................................................................................... 5

II. Statutory Background ........................................................................................ 5

III. The Mission of the U.S. Office of Special Counsel..................................................... 6

IV. Organizational Structure of OSC........................................................................... 7

V. Performance Goals and Results............................................................................. 9

VI. OSC's Systems, Controls, and Legal Compliance .....................................................11

VII. Future Effects of Known Demands, Risks, Uncertainties, Events, Conditions, and Trends....12

VIII. Comments on Final FY 2004 Financial Statements ....................................................13

Part 3: Performance Results 15 

Goal 1: Prohibited Personnel Practices ......................................................................... 17 

Goal 2: Hatch Act .................................................................................................. 30 

Goal 3: Whistleblower Disclosures ............................................................................. 36 

Goal 4: Outreach ................................................................................................... 41 

Goal 5: Human Resources ........................................................................................ 46 

Goal 6: Information Technology ................................................................................ 56 
FY 2004 Performance and Accountability Report 3

Page

Part 4: Financial Section 60

Independent Auditor’s Report .................................................................................... 61 

Independent Auditor’s Report on Compliance with Laws and Regulations ................................ 63 

Independent Auditor’s Report on Internal Control ............................................................. 65 

Financial Statements ................................................................................................ 67 

Supplemental Information ......................................................................................... 79 
 

FY 2004 Performance and Accountability Report 4

 A Message from the 

 Special Counsel 

It is my pleasure to present the Office of Special Counsel’s Performance and Accountability 

Report for Fiscal Year 2004. 

This agency has a proud history of serving the federal workforce and the public through its 

tenacious defense of the merit system principles that continue to safeguard the integrity of the 

executive branch agencies of the United States. 

Fiscal Year 2004 marked the first year the Office of Special Counsel was required to have a 

financial audit. I am happy to report the agency’s strong results, which include no reportable 

conditions and no material weaknesses. 

To all of those who rely on our counsel, our service, and our protection, be assured that we will 

continue striving for excellence. Thank you for your continued trust and confidence.

 Sincerely, 

 Scott J. Bloch

 Special Counsel 
Part 2: Management Discussion and Analysis 

FY 2004 Performance and Accountability Report 5

I. Agency at a Glance 

The U.S. Office of Special Counsel (OSC) is an independent federal investigative and 

prosecutorial agency. Its primary mission is to safeguard the merit system in federal 

employment, by protecting employees and applicants from prohibited personnel practices 

(PPPs), especially reprisal for whistleblowing. In addition, the agency operates a secure channel 

for federal whistleblower disclosures of violations of law, rule or regulation; gross 

mismanagement; gross waste of funds; abuse of authority; and substantial and specific danger to 

public health and safety. OSC also has jurisdiction under the Hatch Act to enforce restrictions 

on political activity by government employees. Finally, OSC enforces federal employment 

rights secured by the Uniformed Services Employment and Reemployment Rights Act 

(USERRA). 

OSC currently has approximately 105 FTE and eight career staff vacancies. 

II. Statutory Background 

OSC was first established on January 1, 1979. From then until 1989, it operated as an 

autonomous investigative and prosecutorial arm of the Merit Systems Protection Board (“the 

Board”). By law, OSC received and investigated complaints from current and former federal 

employees, and applicants for federal employment, alleging prohibited personnel practices by 

federal agencies; provided advice on restrictions imposed by the Hatch Act on political activity 

by covered federal, state, and local government employees; and received disclosures from federal 

whistleblowers (current and former employees, and applicants for employment) about 

wrongdoing in government agencies. The office also enforced restrictions against prohibited 

personnel practices and political activity by filing, where appropriate, petitions for corrective 

and/ or disciplinary action with the Board. 

In 1989, Congress enacted the Whistleblower Protection Act. The law made OSC an 

independent agency within the Executive Branch, with continued responsibility for the functions 

described above. It also enhanced protections against reprisal for employees who disclose 

wrongdoing in the federal government, and strengthened OSC’s ability to enforce those 

protections.

The Congress passed legislation in 1993 that significantly amended Hatch Act provisions 

applicable to federal and District of Columbia (D.C.) government employees, and enforced by 

OSC. Provisions of the act enforced by OSC with respect to certain state and local government 

employees were unaffected by the 1993 amendments. 

In 1994, the Uniformed Services Employment and Reemployment Rights Act became 

law. It defined employment-related rights of persons in connection with military service, 

prohibited discrimination against them because of that service, and gave OSC new authority to 

pursue remedies for violations by federal agencies. 
FY 2004 Performance and Accountability Report 6

OSC’s 1994 reauthorization act expanded protections for federal employees, and defined 

new responsibilities for OSC and other federal agencies. It provided that within 240 days after 

receiving a prohibited personnel practice complaint, OSC should determine whether there are 

reasonable grounds to believe that such a violation occurred, exists, or is to be taken. The act 

extended the protections of certain legal provisions enforced by OSC to approximately 60,000 

employees of what was then known as the Veterans Administration (now the Department of 

Veterans Affairs), and to employees of certain government corporations. It also broadened the 

scope of personnel actions covered under these provisions. Finally, the act made federal 

agencies responsible for informing their employees of available rights and remedies under the 

Whistleblower Protection Act, and directed agencies to consult with OSC in that process.

In November of 2001, Congress enacted the Aviation and Transportation Security Act, 

which created the Transportation Security Administration (TSA). Under the act, non-security 

screener employees of TSA could file allegations of reprisal for whistleblowing with OSC and 

the MSPB. The approximately 45,000 security screeners in TSA, however, could not pursue 

such complaints at OSC or the MSPB. 

OSC efforts led to the signing of a memorandum of understanding (MOU) with TSA in 

May of 2002, under which OSC would review whistleblower retaliation complaints from 

security screeners, and recommend corrective or disciplinary action to TSA when warranted. 

The MOU did not (and could not), however, provide for OSC enforcement action before the 

MSPB, or for individual right of action (IRA) appeals by security screeners to the MSPB. 

 

The Homeland Security Act of 2002 transferred employees of TSA, among other 

agencies, to the Department of Homeland Security on March 1, 2003. OSC’s position has been 

that under the Homeland Security Act, all TSA employees, including security screeners, are 

covered by the full range of WPA protections with respect to personnel actions taken on or after 

March 1, 2003. These protections include the rights to file complaints with OSC (which OSC 

can then enforce before the MSPB), and to file IRA appeals alleging whistleblower reprisal with 

the MSPB. 

III. The Mission of the U.S. Office of Special Counsel 

OSC’s mission is to protect current and former federal employees, and applicants for 

federal employment, especially whistleblowers, from prohibited employment practices; promote 

and enforce compliance by government employees with legal restrictions on political activity, 

and facilitate disclosures by federal whistleblowers about government wrongdoing. OSC carries 

out this mission by: 

• investigating complaints of prohibited personnel practices, especially reprisal for 

whistleblowing, and pursuing remedies for violations; 

• providing advisory opinions on, and enforcing Hatch Act restrictions on political 

activity; 
FY 2004 Performance and Accountability Report 7

• operating an independent and secure channel for disclosures of wrongdoing in federal 

agencies; 

• protecting reemployment and antidiscrimination rights of veterans under the 

USERRA; and 

• promoting greater understanding of the rights and responsibilities of federal 

employees under the laws enforced by OSC. 

IV. Organizational Structure of OSC 

OSC maintains its headquarters office in Washington, D.C. Two field offices are located 

in Dallas, Texas, and Oakland, California (known as the San Francisco Bay Area Field Office). 

Agency components during FY 2004 consisted of the Immediate Office of the Special 

Counsel; five operating divisions; and two administrative support branches: the Human and 

Administrative Resources Management Branch, and the Information Systems Branch. Functions 

and responsibilities of these units are as follows: 

Immediate Office of the Special Counsel. The Special Counsel and staff in this 

office are responsible for policymaking and overall management of OSC. They also 

manage the agency’s congressional liaison and public affairs activities, and its outreach 

program, which includes promotion of compliance by other federal agencies with the 

employee information requirement at 5 U.S.C. § 2302(c). 

Complaints and Disclosure Analysis Division. This division includes the two 

principal intake offices for new matters received by OSC – the Complaints Examining 

Unit and the Disclosure Unit. 

Complaints Examining Unit. This is the intake point for all complaints alleging 

prohibited personnel practices and other violations of civil service law, rule, or 

regulation within OSC’s jurisdiction. Attorneys and personnel management 

specialists conduct an initial review of complaints to determine if they are within 

OSC’s jurisdiction, and if so, whether further investigation is warranted. The unit 

refers all matters stating a potentially valid claim to the Investigation and Prosecution 

Divisions for further investigation. 

Disclosure Unit. This unit is responsible for receiving and reviewing disclosures 

received from federal whistleblowers. It advises the Special Counsel on the 

appropriate disposition of the information disclosed (including possible referral to the 

head of the agency involved for an investigation and report to OSC; referral to an 

agency Inspector General; or closure). The unit also reviews agency reports of 

investigation, to determine whether they appear to be reasonable and in compliance 

with statutory requirements before the Special Counsel sends them to the President 
FY 2004 Performance and Accountability Report 8

and appropriate congressional oversight committees. 

Investigation and Prosecution Divisions. These consist of three parallel units, 

staffed primarily by investigators and attorneys. Division I includes the Hatch Act Unit 

and the San Francisco Bay Area Field Office; Division II includes the Dallas Field 

Office; and Division III includes the Alternative Dispute Resolution Unit. 

Each division conducts field investigations of matters referred after preliminary 

inquiry by the Complaints Examining Unit. Division attorneys conduct a legal analysis 

after investigations are completed, to determine whether the evidence is sufficient to 

establish that a prohibited personnel practice (or other violation within OSC’s 

jurisdiction) has occurred. Investigators work with attorneys in evaluating whether a 

matter warrants corrective action, disciplinary action, or both. 

If meritorious cases cannot be resolved through negotiation with the agency involved, 

division attorneys represent the Special Counsel in any litigation before the Merit 

Systems Protection Board. They also represent the Special Counsel when OSC 

intervenes, or otherwise participates, in other proceedings before the Board. Finally, 

division investigators and attorneys also investigate alleged violations of the Hatch Act 

and the Uniformed Services Employment and Reemployment Rights Act. 

Alternative Dispute Resolution Unit. In selected cases referred by the Complaints 

Examining Unit for further investigation, the Alternative Dispute Resolution Unit 

contacts the complainant and the agency involved, and invites them to participate in 

OSC’s voluntary Mediation Program. If mediation resolves the complaint, the parties 

execute a written and binding settlement agreement; if not, the complaint is referred 

for further investigation. 

Hatch Act Unit. The unit issues advisory opinions to individuals seeking 

information about Hatch Act restrictions on political activity by federal, and certain 

state and local, government employees. The unit is also responsible for enforcing the 

act. It reviews complaints alleging a Hatch Act violation and, when warranted, 

investigates and prosecutes the matter (or refers the matter to an Investigation and 

Prosecution Division for further action). 

Legal Counsel and Policy Division. This unit provides general counsel and policy 

services to OSC, including legal advice and support on a wide range of issues; legal 

representation of OSC in litigation filed against the agency; policy planning and 

development; and management of the agency ethics, Freedom of Information/Privacy 

Act, and annual survey programs. 

Human and Administrative Resources Management Branch. This unit provides 

administrative and management support services to OSC, in furtherance of program, 

human capital, and budget decisions. Management services and administrative support 

are provided in connection with OSC human resource, financial management (including 
FY 2004 Performance and Accountability Report 9

payroll), space acquisition, and facilities management. 

Information Systems Branch. This unit is responsible for overall management and 

administration of OSC’s information technology resources, in support of agency program 

and administrative operations. The branch chief serves as the agency’s Chief Information 

Officer. 

V. Performance Goals and Results 

In January 2004, the Honorable Scott J. Bloch began his five-year term as the new 

Special Counsel. One of his top priorities is an agency-wide focus on backlog reduction, 

swifter resolution of cases, and raising the visibility and enforcement of employee rights. The 

Special Counsel immediately formed a Special Projects Unit (SPU) to begin to investigate the 

reasons for the backlog of cases and to find solutions to the problem. The SPU began working 

on PPPs and Hatch Act cases in April 2004. At the conclusion of the SPU’s work on PPPs, 

several procedures for the CEU were implemented that will help prevent backlogs in the 

future. Through the implementation of new procedures and filling vacant positions, it is 

anticipated that the backlogs in these units will be largely eliminated by the year’s end. 

Since January, each of the units has made significant progress in reducing the backlog 

of cases while giving full and fair resolution to claims. Efforts will be made to prevent 

recurrence of backlogs. However, to ensure each claim receives a full and fair resolution, the 

Special Counsel has insisted that the agency’s referrals to the investigation and prosecution 

divisions (IPD) remain at a high level and are even increased. During the SPU work on PPPs 

and Hatch Act cases, the referral rate increased 100% over historic levels. With the increased 

overall number of cases being worked, this has put a high burden on the IPDs, and will 

account for much of the IPD work in the coming fiscal year. OSC stands in a good position 

entering FY 2005 – with virtually no case backlogs but with a critical need to fill vacancies. 

With appropriate funding the Agency will be able to meet the challenge of ever increasing case 

numbers and prevent future backlogs. 

The efficiency of the agency’s handling of cases, particularly PPPs, is paramount to 

mission and goals. Along with the implementation of the SPU in 2004, the Special Counsel 

hired an independent organization to thoroughly assess the workforce, strategic alignment, 

efficiency, training needs, and strategic human capital management. A number of strategic 

decisions regarding personnel, agency alignment and policies may be implemented based in 

large measure on the analysis and recommendations contained in this assessment. 

The Special Counsel also set up an Employee Advisory Committee comprised of eight 

staff members, elected by their colleagues, who meet monthly to provide recommendations and 

feed-back to the Special Counsel and the agency. 

Also during this period, the Special Counsel has focused on raising the profile of the 
FY 2004 Performance and Accountability Report 10

Uniform Services Employment and Re-employment Rights Act (USERRA), so that returning 

reservists and veterans are aware of their rights and of the existence of OSC. Under this law, 

OSC enforces the rights of service members that have been discriminated against in the federal 

workforce. The Special Counsel is working with the House Veterans Affairs Committee on 

proposed legislation, and is drafting a revised Memorandum of Understanding with the 

Department of Labor, for the purpose of better enforcement of this important law. The Special 

Counsel has filed the first USERRA prosecution by OSC against a federal agency, with the 

Merit Systems Protection Board. 

OSC’s results in FY 2004 include: 

 

1. The creation of a new Special Projects Unit (SPU), which has made significant 

progress in backlog reduction efforts and putting in place procedures that will 

prevent future backlogs. 

2. OSC’s Outreach Program efforts have been successful in educating Federal 

agency managers and employees as to their responsibilities and rights and assisted 

Federal agencies in fulfilling their statutory obligation to consult with OSC in 

informing federal employees of their rights under the laws that OSC enforces. 

OSC formally launched its government-wide 2302(c) Certification Program in 

October 2002. Since that time, 47 agencies (including Cabinet-level agencies 

such as the Departments of Labor, Energy, State, Transportation, Education, 

Health and Human Services and Veterans Affairs) have registered for the 

program. 

3. OSC continued to investigate complaints of whistleblower reprisal by TSA 

screeners at the new Transportation Security Administration (TSA) under a 

Memorandum of Understanding with TSA. 

4. 1OSC’s Alternative Dispute Resolution (ADR) Specialist continues to achieve a 

very high (almost 80%) resolution rate for the cases in OSC’s ADR Program, 

including several high profile whistleblower reprisal cases.

5. An increased visibility and enforcement of USERRA. An MOU with Department 

of Labor is being revised and we are also working with House of Representatives 

on proposed pilot project for increased OSC investigation and involvement.

6. OSC continues to handle high-profile cases which received media attention, most 

of which resulted in corrective action. 

 However, following on these successes, OSC faces continued challenges. The most 

important of these is to address in a timely manner the record number of matters brought to OSC. 

This includes continued increasing numbers of: (1) PPP complaints; (2) whistleblower 

disclosures; (3) Hatch Act complaints; (4) requests for advisory opinions on the Hatch Act; (5) 

USERRA prosecutions; and (6) agency requests for 2302(c) certification. 
FY 2004 Performance and Accountability Report 11

 

VI. OSC's Systems, Controls, and Legal Compliance 

Management control activities carried out by OSC include periodic reviews of agency 

administrative and program elements to assure that obligations and costs comply with applicable 

laws; funds, property and other assets are safeguarded; revenues and expenditures are properly 

recorded and accounted for; and programs are efficiently and effectively carried out in 

accordance with law and management policy. During FY 2004, reviews were completed on the 

following agency administrative operations and/or issues: 

1. Information Security Program. OSC’s Chief Information Officer conducts an annual 

security review. The results of this review were summarized in the agency’s Federal 

Information Security Management Act Report, submitted to OMB in early October, 

2004. The review found no material weaknesses in the agency’s information 

technology policies, procedures, or practices. Further, there were no security incidents 

affecting critical agency information systems. 

2. Caseload management, data tracking system, and privacy protection. The Government 

Accountability Office (GAO) initiated a review of these case-related operations in May 

of 2002, and published its report in March of 2004. GAO recommended that the 

Special Counsel provide Congress with a detailed strategy designed to allow more 

consistent processing of cases within statutory time limits, and a reduction in the 

backlog of cases for which these limits have already passed. Both before and after 

issuance of the report, OSC attacked case backlog problems on tactical and strategic 

levels in FY 2004. 

Tactically, OSC did two things. First, a Special Projects Unit was formed to focus 

solely on reducing the various backlogs in the agency. This unit was (and continues to 

be) very successful in reducing backlogs of prohibited personnel practice cases and 

Disclosure Unit cases. Second, legal and investigatory resources from all parts of the 

agency were detailed to focus on the backlogs. The result of these intense efforts has 

been the near elimination of case processing backlogs. 

Strategically, OSC began work on two initiatives. First, a restructuring of the agency, 

on a procedural as well as structural level, is in process. The agency will be streamlined 

and oriented towards a more effective case-processing structure. Second, a legal review 

of how the agency interprets the various statutes under which it operates is also 

underway. 

3. Overall Agency Assessment (Procedural, Structural, and Legal). As an aid in 

addressing the strategic initiatives described in number 2 above, OSC contracted with a 

management consulting firm to perform an agency-wide assessment. This assessment 

was delivered to OSC in September 2004. It addressed the procedural, structural, and 
FY 2004 Performance and Accountability Report 12

legal issues at the heart of the agency, and made recommendations for change in each 

area. These recommendations are being incorporated into the restructuring of the 

agency and the redesign of its processes and procedures. 

4. Financial Management. OSC for the first time is undergoing a financial audit. This 

audit addresses accounting and procurement procedures and operations, almost all of 

which are accomplished by the Bureau of Public Debt (BPD) in the Department of the 

Treasury under an interagency outsourcing agreement. 

OSC financial management activities in FY 2004, including purchasing, payments, 

accounting, budget and travel services, were administered by BPD. OSC personnel and payroll 

data entry transactions were processed by the Department of Agriculture’s (USDA’s) National 

Finance Center (NFC). These operations were administered under cross-servicing agreements 

with the Departments of the Treasury and Agriculture. For information on any significant 

management control issues related to services provided under these agreements, OSC relies on 

information received from BPD and NFC, and any audits or other reviews issued by the Treasury 

and USDA OIGs and Offices of the Chief Financial Officer (OCFO), and by GAO. 

VII. Future Effects of Known Demands, Risks, Uncertainties, 

Events, Conditions, and Trends 

There are several trends contributing to the increasing caseload of OSC: 

1. Following the events of September 11, 2001, OSC has received a sharply 

increased number of whistleblower disclosures related to national security, public 

safety, and national defense; 

2. The President’s Management Agenda and Congressional focus on performance, 

results and efficiency have encouraged federal workers to report disclosures of 

waste and fraud; 

3. An increased number of high profile cases brought to OSC, such as those cases 

concerning faulty welding on U.S. aircraft carriers which led to OSC’s fourth 

Public Servant Award; 

4. In light of the record deployment and mobilization of reserve forces to fight the 

Global War on Terrorism, OSC recognizes that in the next year, and perhaps 

beyond, the agency will likely see more USERRA cases than in any of the 

previous years, as demobilizations continue; 

5. OSC’s government-wide education through the 2302(c) certification program has 

increased awareness of this office and its function among federal employees and 

applicants; 
FY 2004 Performance and Accountability Report 13

6. Increased public interest in elections since the 2000 Presidential election; 

7. High interest in Hatch Act prosecutions; and 

8. Significant improvement of OSC’s web site has increased awareness of the office 

and its functions among federal employees and applicants. 

The effect of these trends is that caseloads will continue increasing. OSC must therefore 

continue selecting personnel with relevant skills who can contribute quickly when they come 

into the agency. 

The Special Counsel is placing high priority on the USERRA cases. Thus, USERRA complaints 

will continue to be handled by OSC’s Special Project Unit (SPU) and to be assigned jointly for 

investigation and prosecution to the USERRA Coordinator and one other experienced attorney. 

There are several litigation related financial risks, as depicted in the agency general counsel audit 

letter. There are currently nine cases in various stages of filing against OSC. OSC is contesting 

each vigorously. The agency general counsel has concluded that the chance of an unfavorable 

outcome is remote in each case. 

VIII. Comments on Final FY 2004 Financial Statements 

• A new development is that OSC has implemented an Asset Capitalization Policy for 

assets with initial purchase price over $50,000. The agency’s phone system falls under 

this policy, and has been capitalized in the amount of $108,650. Net book value is 

$89,527. 

• An ongoing trend is that salaries, benefits, rent and utility payments tend to take 

precedence over major productivity-enhancing Information Technology projects. 

Salaries, benefits, rent and utility payments are over 85% of the agency’s expenditures. 

So any increases such as pay raises or rent increases have an impact on the agency’s 

ability to fund the IT projects. OSC continues to find ways to implement IT 

enhancements at low costs. However, in the near future, investments in certain systems 

must be made, for projects such as the agency’s planned Document Management System. 

• OSC, like all other federal government agencies, has been asked to implement a 

comprehensive Continuity of Operations Plan (COOP) to safeguard vital records and 

databases, establish an alternate operating site, and validate capability through tests, 

training, and exercises. OSC’s COOP plan will be very limited in scope, since it was 

unfunded in FY 2004 and is unfunded in FY 2005. 
FY 2004 Performance and Accountability Report 14

• Limitations of the Financial Statements: The principal financial statements have been 

prepared to report the financial position and results of operations of OSC, pursuant to the 

requirements of 31 U.S.C. 3515 (b). 

The statements have been prepared from the books and records of the Review 

Commission in accordance with generally accepted accounting principles (GAAP) for 

Federal entities and formats prescribed by the Office of Management and Budget (OMB). 

The statements are in addition to the financial reports used to monitor and control 

budgetary resources which are prepared from the same books and records. These 

statements should be read with the realization that they are for a component of the United 

States Government, a sovereign entity. 
Part 3: Performance Results 

FY 2004 Performance and Accountability Report 15

Goal 1: Prohibited Personnel Practices 

Goal 2: Hatch Act 

Goal 3: Whistleblower Disclosures 

Goal 4: Outreach 

Goal 5: Human Resources 

Goal 6: Information Technology 
FY 2004 Performance and Accountability Report 16

Note about Performance Section: 

 In June 2003, President George W. Bush nominated Scott J. Bloch for the position of 

Special Counsel, U.S. Office of Special Counsel. The U.S. Senate confirmed him on December 

9, 2003 and he was sworn in for a five-year term on January 5, 2004. 

Upon taking office, Special Counsel Bloch announced the priority for the agency to resolve and 

reduce the chronic number of older cases in a backlog. Mr. Bloch set up a new Special Projects 

Unit (SPU) to address the backlog of cases and the entire agency was involved in the reduction 

effort. In addition, new procedures were set up for quality review and streamlining of efforts, 

new staff hired, and staff are working on permanent solutions to give timely and fair resolution 

to all claims. 

Because of the full attention given to the successful backlog reduction efforts in much of 

FY 2004, OSC may not have fulfilled many of the performance goals in this report, set by the 

previous Special Counsel, or they are pending review by the new Special Counsel and senior 

staff, or are no longer applicable. 
FY 2004 Performance and Accountability Report 

Goal 1: Prohibited Personnel Practices 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

1. Quality standards review. 

Conduct quality review of sampling of closed FY 04 PPP, HA and DU complaint files, under established standards, no later than 7/30/04. Direct improvements based on reviews. 

Measure results and compare to baselines established by quality reviews of FY 02, FY 03 and FY 04 cases. Incorporate compliance with directed improvements into employees’ performance plans no later than 9/30/04. 

Set targets for improvement in areas where deficiencies occur. 

Determine whether results of annual review of closed case files by OSC staff justifies the expenditure of resources used in conducting the review. If case-sampling method is considered accurate measure of quality, and appropriate allocation of resources, revise quality measurement review standards as appropriate. 

New Special Counsel began quality review with the Complaints Examining Unit (CEU) which is complete. CEU is the screening “intake” unit for prohibited personnel practices complaints (PPPs). CEU implemented new procedure for case referrals to IPDs and a new procedure to streamline the referral memo. Devised new OSC Complaint Form 11. Devised new CEU investigative standard so more cases will be referred for further investigation. 

• New CEU discovery 

process for complaint filing. 

First quality standards review conducted on random sample of case files. Results sent to senior management for review. Further action awaiting review of review program and process by new Special Counsel. 

Standards incorporated new or revised policy procedural issuances (

directives and manuals

Employees required to adhere to standards in and procedural issuanc

Standards distilled in program review guide

Quality review procesdeveloped. 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

2. Improve quality and 

productivity through increased teamwork. 

Continue to identify changes to enhance investigator/attorney consultation, sharing of best practices, productivity, and overall quality of investigations and legal analyses. 

Consider options, including but not limited to, workforce restructuring consistent with the initiatives to reduce managers and organizational layers, speed decision-making, and re-direct positions to front-line staff. 

Division Directors set goals for attorneys and investigators (in general, completing 24 cases and 12 cases, respectively, per year) and communicated goals to staff. Establish a Special Projects Unit (SPU) to evaluate policies and procedures by working cases. Upon completion of SPU, task the SPU with drafting proposals that will make the handling of PPPs more efficient and within statutory deadlines. Engage an outside thirdparty assessment team to evaluate all policies and procedures within the agency in light of the chronic backlog problems. The assessment team is to investigate and report on all deficiencies in agency alignment, personnel, training and procedures.Encourage CEU and IPD 

Caseload completion goal met or exceeded. Encouraged employees to review Significant CaseActivity Reports of otherIPD divisions to determine if cases can be processed more efficiently by consulting with other Division attorneys or investigators with similar cases. New Special Counsel established a SPU in March 2004 to eliminate the historic backlog of cases in Agency. SPU project resolved 288 PPP cases with a referral rate of 28% further investigation by the IPDs.Assessment team evaluated Agency for several months (April 04-Aug 04) and issued a report with recommendations that was shared with all staff. Required employees assigned research projects to check Intranet to 

Reduced managerial staff by not filling Supervisory Investigator vacancy created by incumbent’s retirement. Position to be allocated to nonsupervisory work on program (case-related) matters. Team Leaders initiated monthly meetings to share best practices, discuss legal and administrative issues, and increase quality and productivity of IPD work. Associate Special Counsels (ASCs) continued to attend selected investigator/attorney interviews and listen to interview tapes to monitor quality and provide feedback on interviewing skills. 

Restructuring implemin FY 2001. 

Directive issued on authentication, organiand maintenance of rein complaint and investigation files afte2001 case file protocotest. 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

Team Leaders and Supervisors to meet on a regular basis to share best practices, determine if overlapping work is being done by different divisions, and brainstorm for ideas to increase productivity and overall quality of investigations and legal analyses. 

determine if research has already been done or is in the process of being done. This action is pending the results of IOSC’s evaluation and implementation of outside assessment recommendations. Meetings discontinued as of April 2004 due to backlog reduction efforts and pending SPU’s report on improvements for case processing. 

Best practices continue to be shared between divisions through informal discussions and consultations. 

3. Develop and communicate 

consistent agency policies. 

Continue to communicate agency policies to all relevant staff as developed. 

Convene Intranet Task Group on at least an annual basis to identify content enhancements to OSC Intranet, make recommendations, and implement Intranet content improvements. 

Continued to communicate agency policies to all relevant staff as developed. Formal Intranet Task Group not convened, but assigned staff updated Intranet as needed to keep program staffs updated on agency policies and novel legal 

Continued to communicate agency policies to all relevant staff as developed (e.g., manual updates). 

Agency intranet and/oshared network drives to communicate new arevised policies and procedures to staff on consistent basis; (e.g.directives, manuals, pstatements, legal analymodel correspondence complainants, style 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

Retrain staff on important policies annually. 

Conduct survey of staff knowledge of important OSC policies and procedures to determine if strategies to communicate policies and procedures are effective, by 6/30/04. If there are deficiencies in staff understanding of these polices, develop strategies to correct them. 

issues. Staff has been re-trained by Division directors and supervisors on important policies. Staff survey of knowledge of OSC policies and procedures is pending IOSC and SPU review and/or revision of existing policies and procedures. In general the new policies will “power down” activity and decentralize review procedures to lower level workers to eliminate bureaucratic delays. 

guidance, interagency memoranda; forms); pstatements posted on wsite. Training conferences / sessions conducted by IPD, along with periomeetings for division employees. Bi-weekly meetings of program staff and management (includinSpecial Counsel) held ensure consistency and effectiveness of prograadministrative policies procedures. 

Hatch Act training proto IPD employees. 

4. Case priority system/ 

resource allocation. 

Continue to implement policy for case handling by priority (according to particular types of PPP complaints and complexity level, including 

Goals set for number of cases processed by investigators and attorneys (see above), while continuing to use the priority system as an integral tool to reduce the backlog. 

Priority case-handling policy continued for PPP cases. New evaluation of case priority system not performed pending SPU and outside third-party assessment team evaluation 

Priority case-handling policy continued for PPP cases. Informal goals set for numbers of cases processed by investigators and attorneys, while 

Directive on IPD case priority and resource allocation issued. Automated case allocasystem implemented. Employees required to 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

consideration of resource allocation). Set targets for FY 05 productivity within individual case categories according to productivity reported in first 3 quarters of FY 04. 

Evaluate and report on effectiveness of case priority system, using productivity reports from FY 02 and FY 03. Make modifications to case priority system based on evaluation report. 

of case-handling processes and procedures. New procedures may be developed in early FY 2005. Division directors measure productivity and review progress against targets and staff resources on a continuing basis. 

continuing to use the priority system as an integral tool to reduce the backlog. 85% of the PPP complaints received processed within 240-day timetable established by Congress – 13.33% improvement over prior year. 

adhere to case priority resource allocation dir

CEU testing applicatiutility of IPD case priand resource allocatioprocedures. 

5. Identify and Implement 

Case Processing Improvements.

Increase frequency of smaller informal staff gatherings in CEU to discuss case processing and garner staff input for improvements 

Identify practices with significant differences for quality and/or productivity between IPDs. Determine best practices to be used consistently by all IPDs. Maintain current work product samples on Intranet, including legal research, preliminary determination letters, final closure letters, PPP Reports, litigation documents, CEU referral and closure memoranda, CEU referral and closure letters. Require staff to post all approved work product in 

IPD Directors have attempted to discuss practices to improve consistency of the three IPDs. Ongoing review and discussion with Special Counsel underway. Re-educated employees regarding Awards Program that provides for incentives for suggestions that increase case processing efficiency. An attorney is assigned to ensure that current work product samples are included on the intranet and 

“Open Forum” lunches discontinued because newly established monthly Team Leader meetings provided productive forum for exchange of ideas and best practices. 

Directive issued on capriority and resource allocation gave IPDs guidance and discretiotake identified actions reduce duplication, elunnecessary steps, and appropriately allocate resources. Training conferences fIPDs and all supervisoincluded exchange of bpractices and ideas for improvement of case wquality and quantity. Employees required to 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

selected categories. Assign staff to monitor whether work product being posted. Hold employees accountable for failure to post work product. Increase consultation between supervisors and attorneys and investigators to improve correspondence with complainants to clearly explain reasoning in cases where OSC concludes that there exist no reasonable grounds to believe that a civil service law, rule, or regulation has been violated or a PPP has been committed, including eliminating “legalese” to the extent possible, enhancing persuasiveness of letters, and ensuring letters have tone appropriate to audience. Encourage OSC attorneys and investigators to hold telephone conferences with complainants in appropriate 

collects approve work product from staff for posting to the Intranet. Division Directors and supervisors consult regularly with attorneys and investigators regarding ways to improve correspondence. Attorneys and investigators hold telephone conferences when appropriate. 

adhere to policy and procedural issuances. 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

cases, prior to sending out preliminary conclusion letters. 

6. ADR. Offer mediation 

option in appropriate cases, and track results. 

Increase mediation offers to 35%. Increase goal for complainant acceptance rate to 75-85%. Increase Agency acceptance rate to 60-70%. Increase the number of 

The ADR Unit exceeded the mediation offer goal by increasing mediation offers from 31% of CEU-referred cases in FY ‘03 to 40% in FY ‘04. Broadening the criteria for offering mediation to parties had an adverse affect on complainant and agency 

ADR option offered in 100% of mediationappropriate cases and results tracked. ADR program met or exceeded all goals set for FY 2003. Targets set for FY 2004. 

ADR offered in 100% mediation-appropriate 

Mediation offers: 32% CEU-referred compla(goal - 20%). Acceptance rates: 78% complainants (goal - 666% of agencies (goal 

1 Among the factors determining “mediation-appropriate” cases are the complexity of the issues, the nature of the personnel action, and the relief 2 Resolution rate including disputes that settled or did not proceed in further in OSC complaint process because of ADR program in another agenc
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

mediations conducted to 20-25 mediations. Increase the resolution rate goal to 65-85%. 

acceptance rates. Nevertheless, the 68% complainant acceptance rate came within reach of the 75-85% goal. Similarly, the agency acceptance rate of 55% came within reach of the goal . The number of mediations conducted (21) 

met the target. The resolution rate goal was exceeded in FY ‘04 with an 86% rate. 

60%). Mediations held: 20 c(goal 26). Resolution rate: 65% 

40%).2

7. Early settlement. 

Continue to adhere to OSC’s policy of early settlement of meritorious cases; monitor settlement of such cases. 

Develop “best practice” guidelines for identifying cases for early settlement, and for negotiating settlements with agencies and complainants; post guidance on Intranet and hold Division meetings to encourage implementation of the guidance. 

Division Directors and supervisors guide staff on a case by case basis as to whether early settlement is appropriate and should be attempted. Division Directors and supervisors also review draft settlement agreements prior to implementation of those agreements. 

Early settlement of meritorious cases policy continued. (see Goal 9 results) Settlements monitored as needed to ensure agency implementation. 

Early settlement of meritorious cases policontinued (see Goal 9 results). Settlements monitored needed to ensure agenimplementation. 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

8. Case-tracking capability. 

Continue to modify and enhance capability of case tracking system as needed. 

Continue to hold users’ group meetings. 

Continued to hold OSC 2000 users’ group meetings to exchange ideas and seek feedback from users, and to make changes as necessary to the system; submitted report to Deputy Special Counsel on changes made to systems. 

ISB implemented OSC 2000 changes as needed to monitor new case actions and priorities. Periodic OSC 2000 users’ group meetings held. Report submitted to Deputy Special Counsel on OSC 2000 changes made/projected prior to 7/30/03. 

ISB implemented autocase priority and resoallocation system and changes needed to ensthat case tracking systmonitor and track new actions and priorities. ISB held bi-monthly O2000 users’ group meto exchange ideas. Litigation tracking sydeveloped and piloted
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

9. Favorable Actions

Obtain voluntary corrective action; prosecute MSPB cases where voluntary action not forthcoming; and obtain disciplinary action where appropriate. 

Maintain policies in full force; continue to track results. Continue to obtain voluntary corrective and disciplinary actions when appropriate. MSPB cases filed when voluntary action was not taken. 

68 favorable actions (including nine stays of personnel actions and ten disciplinary actions) obtained in 67 matters. 

One complaint was filed with the MSPB and two USERRA complaints were filed.

Continued to obtain voluntary corrective and disciplinary actions when appropriate. MSPB cases filed when voluntary action was not taken. 115 favorable actions (including 12 disciplinary actions, and seven stays of personnel actions) obtained in 83 PPP matters. Complaints involving allegations of reprisal for whistleblowing accounted for 75 of the 83 matters. Two complaints seeking disciplinary action filed with MSPB. Suspension (45 days) obtained in settlement of complaint filed with MSPB in prior year, charging personnel director with commission of a PPP. 

126 favorable actions, 

including 13 disciplinactions, by agencies (7matters involved allegreprisal for whistleblo

1 disciplinary action complaint (alleging refor whistleblowing) filwith MSPB. 

3 Actions taken to directly benefit the complaining employee; actions to punish, by disciplinary or other corrective action, the supervisor(s) involv

systemic actions, such as training or educational programs, to prevent future questionable personnel actions. The term encompasses actions taken b

request by the Special Counsel for corrective action; (2) at the request of OSC as settlement of a prohibited personnel practice complaint before rec

Special Counsel for corrective action; or (3) with knowledge of a pending OSC investigation, when the actions taken satisfactorily resolve matters u

4 One additional corrective action obtained pursuant to referral of USERRA matter by Department of Labor. 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

10. Case-tracking capability. Continue to 

ensure that OSC 2000 has the capability to monitor and track all voluntary corrective actions obtained, all MSPB petitions filed, and all disciplinary actions obtained. 

Continue to hold OSC 2000 users’ group meetings to exchange ideas. 

Ensure that OSC 2000 is able to capture litigation data from all programs, and enhance userfriendliness of litigation data entry system. 

Litigation case tracking system implemented. Continued to convene bimonthly meetings of OSC 2000 users group. Submitted report of changes accomplished. 

Further management evaluation determined tracking “reasonable grounds” determinationot needed / useful. 
U.S. Office of Special Counsel ( Goal 1 ) 

ANNUAL RESULTS: STRATEGIC GOAL 1 (PROHIBITED PERSONNEL PRACTICES) 

To fulfill congressional intent that OSC use its investigative and prosecutorial authority to protect the merit system and federal emplo

practices (PPPs), especially retaliation for whistleblowing 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

11. Improve quality of correspondence with complainants. Continue 

use of standard on quality of written correspondence quality in annual quality review process. Review sampling of closed PPP FY 03 complaint files under established standards. Measure results and compare to baselines established by FY 02 and FY 03 reviews. Incorporate compliance with directed improvements into employees’ performance plans. 

Incorporate guidance developed in FY 03 into the FY 04 annual quality standards review. 

Because annual reviews of closed cases have been held in abeyance, this strategy has not been implemented. 

See Goal 1. Division management continued to review written work-product and to provide guidance as needed improvement of quality of written work. 

Model correspondencsamples circulated anposted on agency intrand/or shared networdrives. Substantive letters revby a supervisor or ASCorrespondence qualistandard incorporated program review guide
FY 2004 Performance and Accountability Report 

Goal 2: Hatch Act 
U.S. Office of Special Counsel ( Goal 2 ) 

ANNUAL RESULTS: STRATEGIC GOAL 2 (HATCH ACT) 

To fulfill congressional intent that federal and covered state and local employees comply with the Hatch Act’s (HA’s) restrictions when 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

1. Advisory Opinions. Use 

tracking report to establish a timeliness baseline for setting a timeliness response time target. (Note: due to staff constraints and increasing intake, specific targets may be unrealistic.) 

Pursue additional FTEs for the Unit. 

Determined unnecessary

with current staffing levels. 

Developed computerized system to organize data entries into report for use in tracking average response times. 

Completed by end of 2002 (or start of FY 2

2. Information 

Dissemination. Work 

with Outreach Director to enlist the assistance of identified federal agencies in disseminating Hatch Act information to state and local agencies receiving federal grants. 

Continue to assist federal agencies with Hatch Act training by continuing to participate in outreach programs. 

Continued to conduct Hatch Act outreach programs especially at federal agencies that disburse large numbers of grants to state and local agencies. 

Conducted 43 Hatch Act outreach programs for federal agencies. 

Conducted one Hatch Act outreach program for state and local government employees. Created PowerPoint presentation for use in training state and local government employees. 

Working with outreacspecialist, developed fact sheet for state anemployees, disseminafact sheet to targeted and local groups and associations, and placsheet on OSC web sitWrote article on HA National League of Cnewsletter. Worked with NationaOrganization of Counnewsletter article aboHA. Addressed annual conference of Nation
U.S. Office of Special Counsel ( Goal 2 ) 

ANNUAL RESULTS: STRATEGIC GOAL 2 (HATCH ACT) 

To fulfill congressional intent that federal and covered state and local employees comply with the Hatch Act’s (HA’s) restrictions when 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

Association of SecretState on HA. Featured HA news on web site banner 

3. Publication of Advisory 

Opinions. Review 

current postings of selected Hatch Act advisory opinions on OSC web-site, and revise and update as necessary. 

Continued to revise website text, as needed. Issued 8 Hatch related press releases in FY 2004. Reviewed and revised postings as needed. Reviewed postings to 

appropriate revisions when necessary; 39 Hadvisory opinions posinclude seven posted 2002. Created internal indexsystem for HA advisoopinions, integrated wWord, to facilitate inas opinion is written. 

 4. and 5. Quality and timeliness in investigations. 

Continue to conduct review of sampling of closed HA complaint files, under established quality standards. Measure results from work of experienced attorneys and compare earlier review results (to be conducted in FY 03). Direct improvements based on reviews. Incorporate compliance with directed 

Develop strategy for measuring quality, using the quality standards finalized in FY03. 

Implement case priority system by the beginning of the fiscal year. 

Establish a Special Projects Unit to evaluate all policies and procedures by actually working Hatch Act cases. Upon completion of the 

Based on the recommendations of the assessment team and SPU work, new policies and procedures for case backlog reduction are being developed with senior staff. 

Finalized quality standards, and developed proposed case priority system. Case processing improvements identified in meetings with staff. Review on hold pending evaluation of PPP program and process.

Began drafting writtequality and timeliness standards as basis for quality review of HA matters. 
U.S. Office of Special Counsel ( Goal 2 ) 

ANNUAL RESULTS: STRATEGIC GOAL 2 (HATCH ACT) 

To fulfill congressional intent that federal and covered state and local employees comply with the Hatch Act’s (HA’s) restrictions when 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

improvements into employees’ performance plans. Improve productivity through teamwork. Continue to meet with staff to discuss case processing and gather staff input for improvements. Implement case priority system by the beginning of the FY and measure backlog reduction results in each case category. Baseline productivity reported for FY 04 will be used to set targets for backlog reduction within individual case categories at the beginning FY 05. However, due to staff constraints and increasing intake, specific targets may be unrealistic. 

SPU, task the SPU with drafting proposals that will make the handling of PPPs more efficient. 
U.S. Office of Special Counsel ( Goal 2 ) 

ANNUAL RESULTS: STRATEGIC GOAL 2 (HATCH ACT) 

To fulfill congressional intent that federal and covered state and local employees comply with the Hatch Act’s (HA’s) restrictions when 

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

6 and 7. Enforcement Issue 

warning letters or seek appropriate penalties where Hatch Act violation revealed. 

Maintain policy in full force; track results.

In FY 2004, we issued 24 “cure” letters askingindividuals to come into compliance with the Hatch Act. Issued 93 “warning” letters advising individuals not to engage in prohibited political activity again. 

Policy remained in full force.Results tracked on OSC2000. 

OSC reports created warning letters, cure and actions taken in response to such lette(e.g., withdrawal frorace). 

FY 2004 Performance and Accountability Report 
U.S. Office of Special Counsel ( Goal 2 ) 

Other FY 2004 Results

• Hatch Act (HA) Unit attorneys (three full-time, and one detailee) – 

o issued approximately 3,830 opinions in response to telephone, written and email inquiries, compared to 3,284 opinions in FY 2003

o resolved 281 complaints (249 new complaints filed); and o Issued 93 warning letters (compliance achieved by corrective actions including withdrawal of 16 individuals from partisan political 

others from HA-covered employment, and seven other corrective actions). 

o Conducted 43 outreach session on Hatch Act. 

• OSC filed seven complaints seeking disciplinary action for HA violations with the MSPB. • MSPB issued favorable decisions in four HA cases (including cases filed before FY 2003). 

• Many cases handled by HA unit generated significant media interest and public awareness. 

FY 2004 Performance and Accountability Report 
FY 2004 Performance and Accountability Report 

Goal 3: Whistleblower Disclosures 
U.S. Office of Special Counsel ( Goal 3 ) 

ANNUAL RESULTS: STRATEGIC GOAL 3 (WHISTLEBLOWER DISCLOSURES)

To fulfill congressional intent that OSC promote the public interest in the disclosure of violations of law, rule or regulation, gr

mismanagement, abuse of authority, or substantial and specific dangers to the public health and safety, by serving as a secure chann

employees and applicants (“whistleblowers”) to blow the whistle in accordance with 5 U.S.C. § 1213.

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

1, 4, and 7. Quality standards review. Conduct quality 

review of FY 04 cases, no later than 6/30/04. 

Direct improvements based on reviews of FY 02, FY 03, and FY 04 cases. Revise elements of employee performance plans, if necessary. If determination is that annual quality reviews as carried out in IPD and CEU are not appropriate quality measure, devise new strategies for measuring quality of Disclosure Unit work. 

(Based on strategy 1, 5, 7, 9): Implemented “3B” pilot program to resolve older cases within DU unit. Successful closure of 380 cases. Staff drafted quality measurement s standards but not implemented. Project put on hold pending Special Counsel review of SPU report on recommendations for revising policies and procedures and to draft procedures to comply with statutory deadlines. Retain an independent organization to assess policies and procedures and human capital management issues within the DU. 

Review on hold pending evaluation of PPP program and process. 

Drafting begun on qustandards. 
U.S. Office of Special Counsel ( Goal 3 ) 

ANNUAL RESULTS: STRATEGIC GOAL 3 (WHISTLEBLOWER DISCLOSURES)

To fulfill congressional intent that OSC promote the public interest in the disclosure of violations of law, rule or regulation, gr

mismanagement, abuse of authority, or substantial and specific dangers to the public health and safety, by serving as a secure chann

employees and applicants (“whistleblowers”) to blow the whistle in accordance with 5 U.S.C. § 1213.

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

2. Disclosure priority system. 

Continue to implement policy for case handling by priority (according to particular types of disclosure matter and complexity level, including consideration of resource allocation). 

Work to meet productivity targets by end of FY. 

Set productivity targets for FY 2004. 

At beginning of FY 2004, measure FY 2003 productivity and set targets for increased productivity within individual categories according to baseline productivity reported in FY 2002 and FY 2003 productivity reports. 

Generally 100.25/person/year or between 9-10 cases per staff attorney per month (based on a work year, not calendar year). 

Evaluate whether realistic backlog reduction targets can be established, given the very tight 15-day statutory requirement for case processing and the unknown number complaints received 

Target Implemented modifications designed in FY 2002 to the disclosure case priority report in the case tracking system to include number of cases in each priority category. Continued to implement case priority policy. Assigned staff to monitor on quarterly basis whether appropriate progress is being made to meet productivity targets. 

This is currently under review. 

Priority system proved effective in tracking cases, but high intake and lack of adequate staff resources prevented setting realistic backlog reduction targets in any individual category. 

Draft Disclosure Manincludes written standand procedures for disclosure handling by priority, formalizing improving procedures and priorities applied personnel. Implemented and conto test effectiveness opriority case tracking system. 
U.S. Office of Special Counsel ( Goal 3 ) 

ANNUAL RESULTS: STRATEGIC GOAL 3 (WHISTLEBLOWER DISCLOSURES)

To fulfill congressional intent that OSC promote the public interest in the disclosure of violations of law, rule or regulation, gr

mismanagement, abuse of authority, or substantial and specific dangers to the public health and safety, by serving as a secure chann

employees and applicants (“whistleblowers”) to blow the whistle in accordance with 5 U.S.C. § 1213.

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

annually and the staff shortages. 

3. Disclosure manual. 

Continue to revise and update Disclosure Manual to include new policies and procedures. 

Revise and update Disclosure Manual and post on Intranet. 

This is on hold pending backlog reduction process and reassessment of DU procedures. 

Disclosure Unit training manual, substantive memoranda, and sample correspondence placed on shared network drive. 

Completed initial draDisclosure Manual, updating and adding policies and procedurincluding case prioritsystem and including for referral of matterCEU to disclosure. 

4. Education of Federal Agency Staff. 

Determine if training of staffs of additional agencies is warranted, or if turnover in agency staffs warrants retraining in some agencies. 

Develop informational materials for use by agency OIG and OGC staffs on §1213, and place materials on the OSC web page.

DU Chief has regular conferences with staff of various OIGs, OGCs and other agency staff attorneys to discuss DU policies. Informational material not developed, pending IOSC approval of assessment team legal and procedural review. 

Disseminated information during contacts with agencies and Offices of Inspector General on disclosure matters. 

Information on agencinvestigation and repobligations under §12disseminated in trainisessions/meetings wi(approx.) Offices of Inspector General on President’s Council oIntegrity and Efficien
U.S. Office of Special Counsel ( Goal 3 ) 

ANNUAL RESULTS: STRATEGIC GOAL 3 (WHISTLEBLOWER DISCLOSURES)

To fulfill congressional intent that OSC promote the public interest in the disclosure of violations of law, rule or regulation, gr

mismanagement, abuse of authority, or substantial and specific dangers to the public health and safety, by serving as a secure chann

employees and applicants (“whistleblowers”) to blow the whistle in accordance with 5 U.S.C. § 1213.

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

5. Agency deadlines. 

Continue to track agency deadlines through automated notification system. 

Evaluate effectiveness of automated notification system in improving agency compliance with DU deadlines. 

Implement new system no later than 1/30/03. 

Modified automatic notification system for tracking agency reports. 

Done. Tested automatic syst

tracking OSC actions agencies fail to conduinvestigation and repback to OSC within statutory time limits (modifications to incrsystems effectiveness made based on test re

6. Publicize agency findings. 

Issue press releases on a caseby-case basis when agency findings are transmitted to Congress and the President. 

Press releases issued at the discretion of the Special Counsel. 

No press releases on DU cases issued in FY 04. 

Done. Continued policy of i

press releases on a cacase basis when agenfindings are transmittthe President and CoBasic list of interestegroups and associatioreceipt of press releause and expanded as based on press releasSystem to track frequmedia reporting of agfindings not completeto lack of staff resour
FY 2004 Performance and Accountability Report 

Goal 4: Outreach 
U.S. Office of Special Counsel ( Goal 4 )

ANNUAL RESULTS: STRATEGIC GOAL 4 (OUTREACH)

To raise government employees’ and managers’ awareness of their rights and responsibilities under chapters 12 an

FY 2004 Performance Goal FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Resu

FY 2004 Performance and Accountability Report 1. 2302(c) Certification Program. Continue 

implementation of agency certification program designed during FY 02. 

Using results from OPM survey and list of agencies participating in 2302(c) program, develop strategy to encourage compliance with 5 U.S.C. § 2302(c) (congressionally mandated training requirement) among agencies that are not yet in compliance. Facilitate implementation of agency-wide education programs on Title 5, Chapters 12 and 23 rights and remedies. 

Continue to encourage 

compliance with 5 U.S.C. § 2302(c). 

Continued to promote section 2302(c) certification program among the federal community and increase number of registered agencies to 30. Goal was to register ten new agencies and certify nine. 

Assigned Outreach director and staff attorney to monitor progress of agencies registered with program and assist agencies in completing program. Goals were exceeded. Certified 34 new agencies and registered 29. Total agencies now certified is 45. Solicited participation of new agencies by issuing invitations to at least 10 unregistered agencies. Continued to have OPM include OSC-related questions in OPM’s FY 04 annual survey of federal employees. 

Done in FY 2001. Certified 8 additional agencies under §2302(c) certification program. Registered 18 additional agencies for §2302(c) certification program participation. 

Done in FY 2001. 

Designed and imple§ 2302(c) certificatiprogram, using OPM pilot. Initiated contacts wlarge agencies to intand solicit participa2302(c) program. 

4 agencies certified 2302(c) program; 8 registered for progrparticipation. 

3. Systemic Training. 

Continue policy of including systemic training as part of OSC’s corrective and disciplinary action settlements. 

Implement guidelines for including systemic training in corrective and disciplinary action settlements developed in FY 03, through training of OSC staff. 

Three settlement agreements included systemic training provisions. Developed and implemented guidelines with criteria for appropriate 

11 corrective actions included agency agreement to train employees on rights and remedies enforced by OSC. 

40 corrective actionincluded agency agrto train employees oand remedies enforcOSC. 
U.S. Office of Special Counsel ( Goal 4 )

ANNUAL RESULTS: STRATEGIC GOAL 4 (OUTREACH)

To raise government employees’ and managers’ awareness of their rights and responsibilities under chapters 12 an

FY 2004 Performance Goal FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Resu

FY 2004 Performance and Accountability Report 

Measure the effectiveness of the policy and guidelines by determining the increase in the number of systemic corrective actions. 

inclusion of systemic training in corrective action settlements, considering type of case, settlement terms, whether PPP is isolated incident, and other factors. Assigned staff to monitor corrective action settlements on a quarterly basis and report on whether guidelines are being appropriately complied with. Assign staff to monitor corrective action settlements on a quarterly basis and report on whether guidelines were appropriately complied with when corrective action settlements were obtained. 

2 and 4. Education/Training Materials. Continue to 

maintain and enhance training and education materials for use by OSC, employing agencies, and other trainers. 

Continue to publicize the use of OPM ComputerMaintain and enhance OSC web site; consistent with the President’s initiative on e- government, make as many outreach and educational materials as feasible available on OSC’s web- site. Cooperated with OPM to implement CBT program if OPM has program available in FY 2004. Publicized the use of OPM CBT program to agencies as part of the 2302(c) Certification Program if available. Hatch Act Unit developed and published (on OSC web site) government-wide guidance on use of e-mail use and political activity. Hatch Act unit created PowerPoint presentation for use in training state and local government employees. Issued: (a) new “Whistleblower Ret

poster; (b) new “Hafor State and Local Employees” fact sh(c) § 2302(c) CertifProgram brochure. Assisted OPM with development of webtraining on § 2302(c
U.S. Office of Special Counsel ( Goal 4 )

ANNUAL RESULTS: STRATEGIC GOAL 4 (OUTREACH)

To raise government employees’ and managers’ awareness of their rights and responsibilities under chapters 12 an

FY 2004 Performance Goal FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Resu

FY 2004 Performance and Accountability Report 

Based Training (CBT) program. 

Created link to OPM CBT module from OSC website if available. Continued to develop training materials for a few agencies where OSC has limited jurisdiction. Post training materials on OSC website. Continued to review and enhance website contents. 

Continued to design training materials for agencies where OSC has limited jurisdiction and post on OSC’s website. 

Revised and updated Web site on continuing basis. Web site recorded 453,623 user sessions and 8,067,166 successful hits. 

2 and 5. Outreach/Training. 

Continue to convene or participate in forums for practitioners and agency representatives, in conjunction with other federal agencies, unions, federal management associations, and private training sources to enhance awareness of employee rights and responsibilities. 

Analyze data, make recommendations for improvements to evaluation forms and presentations; implement recommendations. 

OSC staff spoke or participated in 81 outreach events. Conducted formal analysis of evaluation forms and develop recommendations for improvement of forms and presentations, as indicated. Continued to provide raining by OSC employees 

Provided OSC speakers for 72 events, including widely attended events such as the Judge Advocate General Annual Conference, the Office of Government Ethics Regional Symposium, the Federal Dispute Resolution Conference, and the new Inspectors General orientation. 

Provided OSC spea103 presentations at events. Speaker evaluations reviewed and recommendations implemented as nee
U.S. Office of Special Counsel ( Goal 4 )

ANNUAL RESULTS: STRATEGIC GOAL 4 (OUTREACH)

To raise government employees’ and managers’ awareness of their rights and responsibilities under chapters 12 an

FY 2004 Performance Goal FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Resu

FY 2004 Performance and Accountability Report 

Systematically collect data on effectiveness of forums by emphasizing the importance of participants’ completion of evaluation forms. Evaluate skills of presenters and provide training as indicated. 

when requested by agencies or agency components, when budget and other program activities allow. 

Evaluation data collected prior to departure of Outreach Director in the summer of 2003. 

6. Press Releases. Issue 

press releases when OSC obtains stays, corrective or disciplinary actions, through settlements or litigation; files a complaint before the MSPB in a significant PPP or Hatch Act matter; transmits a disclosure report to Congress and the President; or in other situations in which issuance of a press release would further OSC’s mission. 

Issued 19 press releases 24 press releases on 

significant case and other developments (e.g., case 

settlements, litigation outcomes, and other OSC developments) issued and posted on agency Web site. 

30 press releases is
FY 2004 Performance and Accountability Report 

Goal 5: Human Resources 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 1. Information and 

Feedback. Continue to 

include information to new employees in orientation packet. 

Continue post-hire follow-up with new employees. Continue to conduct exit interviews, using standard form, to elicit information from departing employees about their experiences with OSC, including suggestions for enhancing OSC’s operations and internal policies, with emphasis on feedback on the unit from which they are separating. Continue to summarize exit interview responses and provide feedback to Special Counsel and Deputy Special Counsel. 

Implement 4-months after appointment orientation session for new employees. 

Continue to provide information and training to employees and conduct exit interviews, and then channel feedback to the Special Counsel. 

Procedure implemented to get feedback from new employees 4-months after their initial appointment. 

Exit interview process (questionnaire provided to all separating employees) continued. Feedback provided to Special Counsel and Deputy Special Counsel. 

Continued to provide information to new employees and continconduct exit interviewFeedback was providSpecial Counsel and Special Counsel. 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 2. Awards. Continue to 

use awards and employee recognition policy to provide greater flexibility for rewarding performance and special acts/service. 

Review awards program requirements to determine how documentation may be streamlined. 

Implement revised awards policy after assessing awards system following FY 03 awards. 

Awards policy reviewed following FY 03 and it was determined that there was inadequate funding budgeted to allow managers the flexibility to fully implement the award program and the type of awards that are outlined in our policy; e.g. on-the-spot cash awards, special act awards, etc. OSC needs to request and budget for additional funds for awards in FY 05. 

Employee recognition chapter of agency personnel manual revised and to be implemented in FY 2004 (to include provision reducing documentation required to support awards). 

Initiated re-draft of rincentive awards and employee recognition to add new flexibiliti

3. Recruitment. Enhance 

hiring and retention strategies by providing information on employee benefits such as retention bonuses, recruitment bonuses, relocation allowances, and tuition loan reimbursement. 

Encourage and publicize work-family initiatives. Develop automated databases for distributing vacancy announcements to enhance the diversity of OSC’s workforce. 

Finalize recruitment, retention, relocation bonus policies, and tuition loan reimbursement. 

Recruitment: OSC operates under standard salary and bonus options available to all federal agencies. Retention: Agency has no completed policy. We operate under standard salary and bonus options available to all federal agencies. We will analyze our retention during FY 2005 to determine whether OSC needs to adopt a specific policy. Relocation bonus policies: Agency relies on guidance in 41 CFR 302 to determine when relocation expenses 

Retention and recruitment 

bonuses and tuition loan reimbursement policies developed and under legal review (implementation planned in FY 2004). Continued targeted recruitment of law clerks/legal interns. Several law clerks converted to permanent status as attorneys after passing the bar.) Flexible workplace policy implemented as pilot program (organizational 

Developed polices foflexible workplace prretention and recruitmbonuses, relocation allowance, and studenrepayment program. Presented informatiofairs and local colleguniversities to recruit entry-level positions. Reviewed recruitmenprocedures for attornother positions in the excepted service to determine how procebe streamlined. 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

Consider feasibility of offering recruitment incentives to current employees. 

are to be paid by OSC. A more detailed OSC specific policy will be written in FY 2005. Tuition Reimbursement: New agency policy completed on new student loan policy. Final adjustments are being made to it, and it should be approved in first quarter of FY 2005. 

impact to be assessed in FY 2004). Continued use of comprehensive recruitment mailing list data base developed in FY 2001. 

4. Retain Workforce. 

Continue to make work environment more challenging and rewarding. 

Increase number of upward mobility/trainee positions. Implement recommendations from FY 03 survey to make work more challenging and rewarding for program staff. Identify developmental and career-enhancing assignments and devise method for distributing them equitably. 

Assist supervisors in ensuring that formal written training plans are established for all trainees in upward mobility program. 

Establish and fill one entry level program position using upward mobility program, career intern program, or outstanding scholar program. 

Formal written training plans were developed for all trainees in upward mobility programs. One career Federal intern was hired. 

An employee/supervisor satisfaction survey was completed which included information on a telework pilot program. Overall response was very positive. 

Appropriate training (formal and informal) provided to employees. All employees surveyed to obtain feedback on agency performance management system, including about actions affecting performance – e.g., fairness 

of rewards system, challenge of assignments given. (Most managers, supervisors, and employees who responded indicated that the system met their needs.) 

Provided career development and enhancement opportufor staff by delegating opportunities to partiin agency planning prenhancing institutionknowledge and capaccareer staff. Filled two upward mopositions. Continued use of parappointments, employee/family frienpolicies, alternative wschedules, awards anbonuses to retain quastaff. 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

Provided orientation employees on agency mission and administactivities. Continued to offer employees access to tand retirement planniclasses through the SAgency Council. Offered employees acpreventive health servSurveyed IPD staff devaluation of FY 200reorganization, and rto management on reImplemented staff suggestion box progrand reported to staff suggestions implemen
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

5. Training conferences.

Plan and hold at least two division teambuilding/training conferences. 

Conduct at least one staff conference or retreat. 

A senior staff conference was held at the Airlie Conference facility and an “all hands” conference was held at an off-site location with the new Special Counsel. The purpose of both was strategic planning, team building and leadership development. 

OSC unable to conduct agency-wide training conference due to lack of funds. 

Initiated planning for 2002 all-staff confere(deferred to FY 2003 budgetary reasons). Held management/supervisstaff teambuilding/traconference. Held two division-witraining conferences. 

6. Competency 

acquisition. Continue 

to provide training to address needed competencies. 

Develop a training plan of the three occupations analyzed in FY 03 using information from analysis. 

Conduct a job analysis for human resources specialist and investigator positions. 

Complete training program for CEU staff. 

An outside consulting firm is being considered for conducting an audit of several agency positions to include the Human Resources specialist position. Audit to be conducted in FY 05. 

After consultation with Complaints Examining Unit (CEU) head on competencybuilding for staff through agency-developed training, delivered course on Senior Executive Service staffing to new and current CEU staff. 

Managers and supervidentified individual competency needs anfunds permitted, empattended formal trainaddress identified nee

7. Consistency in policies 

and procedures. 

Continue to hold monthly meetings of senior program staff. NEW IN FY 2004 

Continue to hold regular meetings of senior program staff. 

A senior staff meeting is held each Tuesday to discuss significant agency activities, to include policy and procedural changes. 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

8. ADR. Continue to 

communicate to OSC employees the benefits of ADR for internal conflict resolution. 

Include alternative dispute resolution program discussion in agency-wide conference and in 4-month follow-up orientation. 

No ADR discussions held in FY 04. 

Informed new employees about available ADR strategies (as well as EEO and administrative grievance procedures). 

Placed ADR informaOSC Intranet, and continued to provide employees with inforabout ADR processe(Also placed agency grievance procedure Intranet, and provideemployees with inforabout the process.) 

9. Identify leadership 

needs. Continually 

evaluate current inventory of leadership available and identify expected replacement needs for the future. 

Continue to gather data on projected retirements. 

Complete workload analysis and provide to Special Counsel. 

Full-time Equivalents (FTE) workload data provided to Special Counsel on a routine basis. Director of Human Resources retired on September 30, 2004. 

Data gathered for workforce analysis to be conducted in FY 2004. 

Continued to gather dprojected retirements how vacancies would filled. 

10. Executive and 

Supervisory Development Opportunities. Develop 

managerial/supervisory training; prepare development plans for current managers and 

Coordinate at least one seminar for managers and supervisors to update skills. 

No specific supervisory/training seminars held in FY 2004 because of budget constraints. 

Handbook not developed due to other priorities. 

Presented internal leadership developmeseminars for managersupervisors (topic: occupational health asafety). Supervisory/Manager
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

supervisors and for employees interested in becoming first-time managers, supervisors or team leaders. Identify training courses for OSC employees who have expressed an interest in becoming first-time supervisors or team leaders. 

Develop criteria for participation in developmental program. 

Handbook deferred to 2003. 

11. Evaluate workforce. 

Continually evaluate deployment of workforce to maximize use of human capital. Evaluate efficiency of other OSC Divisions, soliciting suggestions from staff for ideas to improve quality and productivity. Re-survey IPD staffs and compare results with FY 02 survey. 

IPD Division Directors to prepare report analyzing productivity and survey results with recommendations. 

An outside assessment team from Military Professional Resources, Inc. (MPRI) was tasked by the Special Counsel to conduct an independent organizational assessment of the agency during the period April – July 2004. The results were provided to the staff to review and evaluate for future implementation as part of the agency reorganization plan. 

Conducted a survey ostaff as part of evaluareorganization, and prepared a written reanalyzing the producand survey results. 

12. Manage Fiscal 

Resources. Continue to 

Conduct comparison pricing in the federal sector for 

No cost comparison done for budgeting and 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

compete contracts for services among both private and federal sector providers. NEW FOR FY 2004 

budget and accounting services. 

accounting services in FY 04. 

13. GPRA task assignment. 

Assign specific tasks identified in the annual plan to individuals and include tasks in individual performance standards; appraise performance on assignments. 

Continue to assign specific tasks identified in the annual plan to individuals and include tasks in individual performance standards; appraise performance on assignments. 

New Special Counsel and senior staff are reviewing and revising the plan, where needed, for FY 2005, and will assign the tasks as appropriate. 

14. Communicate Plan to 

Staff. Continue 

providing copies of the strategic and annual plans to all staff and to new employees. Continue to hold meetings with staff to communicate the goals and objectives in the plans. 

Provide agency’s strategic and performance plan to newly appointed employees and make available on the agency’s internal Intranet. Remind managers and supervisors at the beginning of the fiscal year of employee concerns related to how their work aligns with the strategic plan. 

Program Managers to hold meetings with staff to discuss how their performance plans are integrated with the agency’s strategic and annual plans. 

A senior staff conference was held at the Airlie Conference facility and an “all hands” conference was held at an off-site location with the new Special Counsel. The purpose of both was strategic planning, team building and leadership development. 
U.S. Office of Special Counsel ( Goal 5 )

ANNUAL RESULTS: STRATEGIC GOAL 5 (HUMAN RESOURCES) 

To maintain a highly skilled, well-trained, customer-oriented workforce to carry out the agency’s missio

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Result

FY 2004 Performance and Accountability Report 

15. Coordinate and monitor 

implementation. Continue practice of assigning responsibility for planning and monitoring performance under plan. 

Assign responsibility for coordinating strategic planning and monitoring implementation. Monitor progress against annual plan on a quarterly basis and report to Special Counsel or designee. 

New Special Counsel and senior staff are reviewing and revising the performance plan, where needed, for FY 2005, and will assign the tasks as appropriate.
FY 2004 Performance and Accountability Report 

Goal 6: Information Technology 
U.S. Office of Special Counsel ( Goal 6 ) 

ANNUAL RESULTS: STRATEGIC GOAL 6 (INFORMATION TECHNOLOGY] 

To integrate current information technology into OSC business processes, in order to improve organizational performance and to co

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Results 

FY 2004 Performance and Accountability Report 

1. Continue to upgrade 

hardware and software as needed. 

Expand the use of video conferencing to improve scope of access and reduce costs. If not completed in FY 03, convert to new phone/voice-mail system, with upgraded voice/data links. If completed in FY 03, monitor implementation of new system. If Document Management System implemented in FY 03, provide training on new system and monitor operation. If not implemented, continue to work on implementation. Implement Personnel Digital Assistants if funds available. 

Replace all Pentium III desktops with Pentium IV convertible PCs and Centrino laptops. Convert CVS database and OSC2000 Reporting applications to Visual Studio.net and Crystal Reports. Replace the Executone phone and voice mail systems with Nortel VoIP phone and voice mail systems. Develop a migration plan and set up a pilot system for Document Management System. Outfit all senior management staff with Blackberry handhelds. 

Hardware: As PCs reached 

the end of their life cycle, replaced with laptops and docking stations to support telecommuting. 

Software: Converted OSC 

2000 applications to .Net. Migrated more than 50% of users to Windows XP. Procured additional software necessary to increase user capacity for telecommuting. 

Phone System: Converted to 

new phone/voice-mail system, with upgraded voice/data links. 

Document Management System: Developed plans, 

procured one server for it; benchmarked a document management system at DOJ. 

Personal Digital Assistant (PDA): Integrated PDA into 

the agency’s enterprise architecture. 

Standardized on new flexible workstation architecture. Rolled out six pilot workstations based on the new architecture. Upgraded remote access server and procured additional laptops to support telecommuting. Replaced 50% of network printers. Procured high capacity tape backup drives to accommodate added storage capacity. Maintained 100% effective deployment rate on all equipment purchases. Achieved 100% system uptime for agency enterprise network. Maintained compliance with § 508 and government-wide 

Procured new file serAll PCs upgraded to Pentium III 800 MHz better; upgraded e-mdatabase servers. Deployed H.320 and video conferencing syto improve communicwith agency’s field ofand customers. Instaperformed in-house, over $4300. Maintained close to 1effective deployment all equipment purchaAchieved almost 100system uptime for ageenterprise network; 1uptime for all compusystems; and 99.85% uptime for internet seMaintained complian§ 508 and all governmwide security require
U.S. Office of Special Counsel ( Goal 6 ) 

ANNUAL RESULTS: STRATEGIC GOAL 6 (INFORMATION TECHNOLOGY] 

To integrate current information technology into OSC business processes, in order to improve organizational performance and to co

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Results 

FY 2004 Performance and Accountability Report 

security requirements. 

2. OSC 2000/Case-Tracking 

Capability. ISB to ensure 

that OSC 2000 casetracking system has the capability to monitor and track data relevant to measure baselines, and progress towards meeting objectives. 

Continue to modify system to meet needs of program staff. Continue to convene bimonthly meetings of OSC 2000 users group, to report progress and seek feedback from internal customers. Prepare a report on changes implemented by 7/30/04. Continue to maintain and update OSC web page and 

Hold project meetings to keep track of progress and to ensure the project is on track. 

Convened task group including all program components to ensure litigation case tracking system can capture all program data. Determined how to make system more user-friendly. 

Made over 100 enhancements to OSC 2000 case tracking system, including case priority code tracking and enhanced reporting programs. Integrated e-filing system with the case tracking system. Continued to convene bimonthly meetings of OSC 2000 users group. Submitted report on changes accomplished. 

Continued to convene monthly meetings of 2000 users group; sureport of changes accomplished. Made almost 100 enhancements to OSC case tracking system including provisions tcase priority codes anenhance reporting proDeveloped litigation aFOIA tracking system
U.S. Office of Special Counsel ( Goal 6 ) 

ANNUAL RESULTS: STRATEGIC GOAL 6 (INFORMATION TECHNOLOGY] 

To integrate current information technology into OSC business processes, in order to improve organizational performance and to co

FY 2004 Performance Goals FY 2004 Targets FY 2004 Results FY 2003 Results FY 2002 Results 

FY 2004 Performance and Accountability Report 

Intranet to ensure fast, efficient dissemination of OSC policies and procedures, both internally and externally, as appropriate. 

3. Electronic Filing. 

Continue to monitor and support implementation of electronic filing system.

Monitor the system performance and review end user feedbacks. 

Monitored implementation of electronic filing application. 

Developed Electronic Filing System implemented at start of FY 2004. Moved e-filing systems to a secured subnet. 

Based on written planinfrastructure for elecfiling of complaints adisclosures, FOIA reand OSC customer su(procure servers; instapplication software) place, with planned implementation by O2003. 

4. IT Security Study. 

Conduct annual information technology security and vulnerability assessment studies, in accordance with government-wide standards. 

Conduct annual vulnerability assessment study upon successful completion of installing an AC unit in the 3rd floor 

telephone closet, and review and update system disaster recovery plan. 

Continued to monitor security strategies. No security study conducted because we didn’t secure the telephone closet in FY 2003, but we did secure it at the end of FY 04. Next study will be conducted in FY 2005. 

Implemented recommendations outlined in FY 2002 assessment report. 

Completed external contractor’s independreview of IT security
Part 4: Financial Section 

OFFICE OF SPECIAL COUNSEL 

INDEPENDENT AUDITOR’S REPORTS AND

FINANCIAL STATEMENTS 

September 30, 2004 

TABLE OF CONTENTS

PAGE 

Independent Auditor’s Report ............................................................................................... 1

Independent Auditor’s Report on Compliance with Laws and Regulations .......................... 3 

Independent Auditor’s Report on Internal Control................................................................. 5 

Financial Statements............................................................................................................... 7 

Supplemental Information..................................................................................................... 20 

 

FY 2004 Performance and Accountability Report 60






OFFICE OF SPECIAL COUNSEL 

FINANCIAL STATEMENTS 

September 30, 2004 

TABLE OF CONTENTS

 PAGE 

Balance Sheet ........................................................................................................................... 8 

Statement of Net Cost .............................................................................................................. 9 

Statement of Changes in Net Position.......................................................................................10 

Statement of Budgetary Resources ...........................................................................................11 

Statement of Financing ............................................................................................................12 

Notes to Financial Statements...................................................................................................13 

Supplemental Information: 

 Required Supplementary Information................................................................................... 20 

 • Trading Partner Information ......................................................................................... 21 

 

FY 2004 Performance and Accountability Report 67