FY 2000 Performance Report

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Occupational Safety and Health Review Commission

Annual Performance Report

Fiscal Year (FY) 2000

Report Overview

The Government Performance and Results Act (GPRA) of 1993 requires Federal agencies to submit a

program performance report to the President and Congress not later than March 31, 2000 for FY 1999

and no later than March 31 of each year thereafter. The Review Commission's Annual Program

Performance Report (APPR) for FY 2000 was prepared in accordance with guidance contained in OMB

Circular No. A-11, which explains the requirements of the GPRA. We submit this report in compliance

with statutory and regulatory requirements.

In September 1997, the Review Commission developed a Strategic Plan which built upon its progress

since 1994. The agency's Strategic Plan provided details on specific goals and objectives for fiscal years

1997 through 2002. The agency's FY 2000 Annual Performance Plan (APP) incorporated the goals and

objectives included in the 1997 Strategic Plan. This APPR reports on those goals and objectives

included in the 1997 Strategic Plan (1) and APP for FY 2000.

During FY 2000, the Review Commission met 80 percent of the FY 2000 goals set forth in its FY 2000

APP.(2) The agency performed well in the areas of conventional case settlement disposition, assignment

of cases to the E-Z Trial and Settlement Part programs, external communications, information

technology enhancements, employee and management development programs, and quality business

processing improvements. We did not meet our adjudication cycle time goals for cases that proceeded

to hearing at the trial level or were directed for review by the Commissioners. However, the Commission

resolved some of the oldest (and often most complex) cases on its docket, cases which had already far

surpassed the 325-day cycle time goal by the beginning of the fiscal year. We also missed, by a slight

margin, our goal of reducing the percent of settlements at the trial level that exceed the one year cycle

time.

There continue to be a variety of factors that affect our ability to meet our cycle time goals. These

include: (1) continued presence of a quorum or third member at the Commission level; (2) the

magnitude and nature of the cases received at the Review Commission; (3) the success of the parties'

settlement negotiations and the agency's settlement process initiatives (Settlement Part) in reducing the

number of hearings needed; and (4) the number, location, length and complexity of trials held. Although

these factors are largely outside the Review Commission's control, the Strategic Plan and the APP

acknowledge that the Review Commission is committed to working within such constraints to improve its

service to the public.

In order to mitigate the impact of these factors on the agency's performance, in FY 2001 the Review

Commission revised its FY 2001 Performance Plan. The revision was made based on performance data

for fiscal years 1999 and 2000 and to make it consistent with the revised Strategic Plan for fiscal years

2000-2005. The Revised Final Performance Plan reflects a change in the measurement of our Public

Service Goals (P1, P2, P4, P5, P6, P7). We changed our performance indicators from "reducing cycle

time" to "increasing the percent of cases" adjudicated by our administrative law judges and

Commissioners. We also put the adjudication of older and/or more complex cases on separate time

frames from the new or less complex cases. These changes were necessary because the profile of our

cases and the adjudication mix between the more complex cases and the less complex cases at the

trial and appellate levels were not conducive to a progressive reduction of cycle time, contrary to what

the Review Commission had predicted in 1997. (3) Moreover, because of the lack of a quorum and third

member at the Commission level during fiscal year 1998 and part of fiscal 1999, the age of pending
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cases continued to grow. This created a disincentive to resolve such old cases in order to meet the

cycle time goal. The revised final performance plan goals will more appropriately facilitate the Review

Commission's ability to carry out its statutory mandate and reflect its objective of disposing of all cases

in a timely manner.

While we did not meet all our FY 2000 APP goals, there was overall improvement in performance

compared to FY 1999. In fact, the agency met 80 percent of its goals in FY 2000 as compared to 68

percent in FY 1999.

A summary comparing the FY 2000 target level of performance for each performance indicator with the

actual level of performance follows this report overview. The report provides the background and the

1997 mission and vision statements of the Review Commission. Consistent with GPRA requirements,

we have also summarized the program evaluations completed during this fiscal year. The performance

report section is organized by strategic goal. An introductory section under each goal summarizes the

FY 2000 performance for that goal and defines the strategic objective and target.

A complete copy of the Review Commission's 1997 Strategic Plan and Revised Strategic Plan may be

obtained at our website, www.oshrc.gov.

REPORT SUMMARY

PERFORMANCE TARGET MET/UNMET ACTUAL PERFORMANCE

P1 - CYCLE TIME FOR CONVENTIONAL TRIED CASES- issue

90% of decisions within 325 days

UNMET 58% of decisions issued within 325 days

P2 - CYCLE TIME FOR CONVENTIONAL SETTLEMENTS -settle

within 180 days

MET settled within 159 days

P3 -PERCENT SETTLEMENTS EXCEEDING 1 YEAR CYCLE

TIME --2%

UNMET 2.77% exceeded one year

P4 - COMMISSION REVIEW CYCLE TIME - issue 95% of decision

within 325 days

UNMET 31% of decisions issued within 325 days

P5 -CYCLE TIME FOR E-Z TRIAL - issue decisions within 160

DAYS

UNMET issued decisions within 176 days

P6 - PERCENT OF CASES DESIGNATED AS E-Z TRIAL -30% MET assigned 39%

P7 - NUMBER OF SETTLEMENT PART CASES - 20 MET assigned 42 cases

P8 - NUMBER OF CHANGES IN STRUCTURE/FORMAT - 1 MET 1 change

P9 - AVAILABILITY OF DECISIONS/PUBLICATIONS ON WEB MET increased the number of decisions and enhanced

website appearance and search capabilities

P10 - DEVELOP E-Z TRIAL TAPE -1 MET modified tape

P11 - NUMBER OF ISSUANCES AND UPDATES OF CD -ROMS1MET 2 CD-ROMS issued

P12 - ENHANCE COMMUNICATION ACTIVITIES WITH STATE

ADJUDICATORS

MET improved website links and held forum

P13 - NUMBER OF BIENNIAL REPORT - 1 MET 1 report

P14 - COMPLETION OF CASE MANAGEMENT/TRACKING -

pretest/pilot electronically stored legal documents

MET pretest completed and pilot initiated

P15 - COMPLETE WIDE AREA NETWORK /IMPROVE

REGIONAL COMMUNICATIONS

MET upgraded network and improved regional

communications

P16 - UPGRADE DESKTOP MEMORY MET IN FY 1999 completed in FY 1999

P17 - FINANCIAL MANAGEMENT INFORMATION SYSTEM -

Assess

MET assessed

P18 - DELIVER TRAINING - average 40 hours per employee MET employees received an average of 56.2 hours

training

P19 - REVISE PERFORMANCE PLANS, AS NEEDED MET revised plans as needed

P20 - PERCENT OF EMPLOYEES RECEIVE QUALITY TRAINING

- 20%

MET 41% of employees trained

P21- NUMBER OF BUSINESS IMPROVEMENT TEAMS -2 MET 2 teams
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Background of the Review Commission

The Review Commission is an independent, adjudicatory agency created by the Occupational Safety

and Health Act of 1970. Its sole statutory mandate is to serve as an administrative court providing just

and expeditious resolution of disputes involving the Occupational Safety and Health Administration

(OSHA), employers charged with violations of Federal safety and health standards, and employees

and/or their representatives. The Review Commission was created by Congress as an agency

completely independent of the Department of Labor to ensure that OSHA's enforcement actions are

carried out in accordance with the law and that all parties are treated consistent with due process

should a dispute arise.

Employers contesting citations are entitled to a hearing before the Review Commission's Administrative

Law Judges (ALJ). The Occupational Safety and Health Act and the Review Commission's Rules of

Procedure provide two levels of adjudication when an employer timely contests an OSHA citation for

alleged violations of the Act or failure to abate alleged violations. The first is a trial level which affords an

opportunity for a hearing before a Review Commission ALJ. The judge's decision becomes final unless

the Commission reviews the decision. The second level is a discretionary appellate review of the judge's

decision by the Commission's members. The Review Commission has three members, appointed by the

President and subject to Senate confirmation, who serve six year terms. Both before its judges and the

Commissioners, the Review Commission provides fair and impartial adjudication of cases concerning

the safety and health of employees' working conditions in the United States.

The principal (national) office of the Review Commission is located in Washington, D.C. There are also

regional offices in Atlanta and Denver where some of the Review Commission's ALJs and staff are

assigned.

1997 Mission Statement

The mission of the Occupational Safety and Health Review Commission is to provide fair and timely

adjudication of workplace safety and health disputes between the Department of Labor and employers.

In doing this, the Review Commission plays a vital role in encouraging safe and healthy workplaces for

American workers.

1997 Vision Statement

The Review Commission should be a world class judicial Commission -- one with an impeccable

reputation for objectivity, evenhandedness, promptness, and professionalism. It should be a model

federal agency with highly effective processes, a highly motivated and diverse workforce and modern

information management, communications, and financial management systems. Finally, the Review

Commission should be an agency that values and develops its people and constantly strives to improve

its performance, and its value and service to the American people.

Fiscal Year 2000 Performance Goals

In 1997, the Review Commission established goals to effectively accomplish its mission -- to provide fair

and timely adjudication of work place safety and health disputes between the Occupational Safety and

Health Administration and employers charged with violations of federal safety and health standards;

some cases also involve employees or their union representatives. We defined two broad external goals

to improve the agency's service to and its communication with its stakeholders and the public, and three

operational goals, critical to the overall mission performance of the agency.

Public Service Goal

To assure the ready availability of fair, user friendly and timely adjudication of all disputes brought

before the Commission and its judges and achieve a high level of readability and quality in Commission

legal decisions.

External Communications Goal

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

Information Technology Goal

To capitalize on recent investments in modern computer hardware and software to increase

organizational effectiveness, operate more efficiently and better serve internal and external customers.

Human Resource Management Goal

To build a highly motivated, diverse workplace by developing a first class human resource management

system, including highly effective affirmative action, recruitment, training, award, and performance

management processes.

Quality Improvement Goal

To develop and institutionalize a process for continuous quality improvement.

Performance Indicators

For each strategic goal and its related objectives, the Review Commission formulated numerical

performance measures and annual targets, whenever possible. A few measures are necessarily

qualitative in nature. Cycle times are the measurements for several objectives contained in our Public

Service Goal. The cycle times, number of cases assigned to E-Z Trial, number of cases assigned to

Settlement Part (SP), and number of settlements exceeding one year are tracked by our case

management/tracking system. In order to assure the quality of the data we review the information in the

case management/tracking system periodically. We conduct test runs of the data to ensure that

information is entered and updated ona timely basis. The appropriate management official analyzes the

data and ensures the accuracy of test runs and of the reports produced.

Program Evaluation

In FY 2000, the Review Commission contracted for the professional services of evaluators of alternative

dispute resolution programs to assess the effectiveness of the Review Commission's SP pilot. The SP

pilot was effective on February 19, 1999. (4)

The objective of the pilot was to encourage quicker settlement in large and complex cases. These

cases are likely to take more than two years to resolve under our conventional process.

The evaluation of the pilot focused on issues of implementation, settlement rate, time, participant

satisfaction and costs. Responses were received from internal stakeholders and external participants.

Archival data was also reviewed and analyzed. The evaluation yielded the following results:

the SP program is being implemented consistent with design (e.g., cases referred to it are

appropriate and complex)

the SP promotes settlement discussion and is likely to result in earlier settlements

the SP does not delay or obstruct settlements and is not burdensome (e.g., requiring the

presence of someone with full authority is practical/appropriate, the mandatory process is

appropriate)

the majority of the stakeholders are satisfied with SP (e.g., requirements of the program, fairness

of process, treatment of the parties, control of the case)

the SP cases take about the same time to process even though they are more complex

During the pilot period, more than 90 percent of cases that had come to final disposition were settled. In

cases that did not settle, the parties reported that the number of issues in contention had been reduced.

The evaluators noted however, that a longer study may be needed to measure the impact on judicial

workload, analyze settlement rates, and obtain a cost baseline.

On September 25, 2000, the Commissioners unanimously voted to make the SP pilot project permanent.

Ongoing evaluations of the project will take place periodically.
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Fiscal Year 2000 Performance Report

Public Service Goal

To assure the ready availability of fair, user friendly and timely adjudication of all disputes

brought before the Commission and its judges and achieve a high level of eadability and quality

in Commission legal decisions.

Summary of FY 2000 Actual Performance: The Review Commission met four of the

eight performance targets set for this goal.

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

Definition: We plan to reduce the cycle time for conventionally heard ALJ cases to less than a year as

measured by the number of days from assignment to a judge to the date a decision is filed with the

Executive Secretary. Because some very complex cases will necessarily take more than one year, the

goal is to close 90 percent of conventionally tried cases within 325 days.

FY 2000 Target: Complete 90 percent of cases within 325 days from the date of assignment to a judge,

down from 350 days in FY 1999.

TARGET MET OR EXCEEDED: No.

Discussion: Fifty-eight percent of conventionally tried cases closed within 325 days. The average cycle

time for these cases was 315 days, a reduction from 357 days in FY 1999.

Ninety-three percent of the cases that exceeded the target were complex cases. (5)

Seven percent of the cases that did not meet the 325 cycle time were delayed from being adjudicated

because they were scheduled to be adjudicated in remote locations, such as the Pacific Islands, where

cases are grouped and held in abeyance to conserve judicial resources. The average cycle time for all

of these cases was 488 days. The proper adjudication of all the issues in these cases could not be

handled within the projected 325 days.

Because the profile of our cases requires the adjudication of both complex cases and the less complex

cases, we have changed our FY 2001 performance targets for this goal to account for the adjudication

of more complex cases on a separate time frame from the less complex cases.

FY 1997 1998 1999 2000

Cycle time in days Goal 90% in

400

days or less

90% in

375

days or less

90% in

350

days or less

90% in

325

days or less

Cases meeting cycle time goal Actual 62 79 83 55

Percent meeting cycle time goal Actual 79% 59% 67% 58%

Average cycle time for cases issued Actual 325 days 393 days 357 days 315 days

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

Definition: We plan to maintain the average cycle time for conventional ALJ cases disposed of without a

hearing to less than 180 days. Cycle time is the number of days from the date of docketing to the date

the decision is filed with the Executive Secretary for cases closed during the fiscal year.

FY 2000 Target: Maintain the cycle time of 180 days
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TARGET MET OR EXCEEDED: Yes.

Discussion: We substantially exceeded our goal, achieving an average cycle time for conventional ALJ

case settlements of 159 days from the date of docketing to closure.

FY 1997 1998 1999 2000

Cycle time in days Goal 180 180 180 180

Actual 151 158 155 159

Number of cases settled Actual 1,307 1,607 1,494 1,657

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

Definition: We plan to virtually eliminate cases that take more than one year to settle. Cycle time is

measured from the date of notice of docketing to the date the decision is filed. We will track the

percentage of cases closed without a hearing for which cycle time exceeds one year.

FY 2000 Target: No more than 2 percent of the cases closed without a hearing take more than

one year from docketing, down from 3 percent in FY 1999.

TARGET MET OR EXCEEDED: No.

Discussion: For FY 2000, 2.77 percent of settled cases were open longer than a year.We failed to meet

this target by 14 cases. In terms of number of cases, this is a small margin. The performance goal was

set at an approximate level and the deviation from that level is slight. There was no effect on overall

program or activity performance. In fact, when we discount the cases that originated from remote

locations and the cases that were stayed from processing pending ongoing federal criminal proceedings,

we meet our goal of 2%. It should also be noted that we had a considerable increase in the number of

cases that settled this year. There was a 19 percent increase in cases that settled in FY 2000 compared

to FY 1999.

FY 1997 1998 1999 2000

Percent exceeding

one year

Goal 10% 5% 3% 2%

Actual 5% 4% 3% 2.77%

Number of cases

settled in one year

Actual 1,681 2,125 2,023 2,416

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

Definition: The Commission plans to reduce the cycle time to less than a year for most cases reviewed

at the Commission level, measured as the number of days from direction for review by a Commissioner

to the date a decision is issued. Because a few cases involve extremely complex issues and staff effort

beyond what is reasonable to expect in a one year period, the goals are set for 95 percent of all cases

closed in each fiscal year.

FY 2000 Target: Issue decision within 325 days for most cases (95 percent), down from 350 days

in FY 1999.

TARGET MET OR EXCEEDED: No.

Discussion: Thirty-one percent of decisions were issued within 325 days of the case being directed for

review. These cycle time numbers do not reflect the Commission's commitment during fiscal year 2000

to resolve some of the oldest (and often most complex) cases on its docket, cases which had already far

surpassed the 325-day cycle time goal by the beginning of the fiscal year. Indeed, an examination of the
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cases issued in FY 2000 in excess of the 325-day cycle time goal highlights our successful undertaking

to retire the oldest cases on the Commission's docket. For example, the Commission issued Kaspar

Wire Works and twoManganas Painting cases during the fiscal year and, shortly thereafter, in October

of 2000, the Commission issued A.J. McNulty, two A.E. Staley Manufacturing cases, New York State

Electric & Gas, and five BeverlyEnterprises cases. Each of these cases had been pending before the

Review Commission for more than four years. It should be noted that although the decisions in the latter

nine cases were issued in FY 2001, significant work had been done preparing these cases in FY 2000.

In summary, between July and October of 2000, the Commission issued twelve cases with a cumulative

age at the Commission level of 57 years.

One of the reasons the Commission did not meet its goal is because of Commission vacancies,

especially in FY 1998 and early FY 1999. During that time, new cases came in, but very few decisions

were issued. In fact, at the beginning of FY 2000, more than 50 cases were older than two years, and a

large percentage of these cases were older than four years. The issuance of 36 cases in FY 2000

reflects an effort to balance decision making between prompt disposition of the new cases and the

resolution of the older cases that could not have been issued within the FY 2000 goal of 325 days. We

have changed our FY 2001 performance targets for this goal to reflect our strategy of balancing the

disposition of new and older cases.

FY 1997 1998 1999 2000

Cycle time in days Goal 95% in

400

days

or less

95% in

375 days or less

95% in

350 days or less

95% in

325 days or less

Cases meeting cycle time goal Actual 23 11 20 11

Percent meeting cycle time goal Actual 46% 85% 47% 31%

Total cases issued Actual 50 13 43 36

Average cycle time days Actual 465 days 262 days 447 days 566 days

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

Definition: The Commission wants to maintain the recently improved cycle times for less complex cases

processed under the E-Z Trial program. Cycle time is measured as the average time elapsed from the

date of docketing of the case to the date the decision is filed with the Executive Secretary, for all heard

E-Z Trial cases closed during the fiscal year.

FY 2000 Target: Maintain cycle time to 160 days for all years covered by the Strategic Plan.

TARGET MET OR EXCEEDED: No.

Discussion: We did not meet our goal. Each trial is independent of the others and the facts and

circumstances of each case require adjustment to litigation cycle times. However, of the 35 cases heard

in FY 2000, the ALJs decided 97 percent of the cases within 56 days from the close of the hearing.

FY 1997 1998 1999 2000

Cycle time in days Goal 160 160 160 160

Actual 168 162 166 176

Number of cases heard Actual 29 27 31 35

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

Definition: The Review Commission hopes to continue to expand the use of the E-Z Trial process to a

higher proportion of the Review Commission's cases.

FY 2000 Target: Assign 30 percent of new cases to E-Z Trial.
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TARGET MET OR EXCEEDED: Yes.

Discussion: The Review Commission assigned 39 percent of all cases to the E-Z Trial process.

FY 1997 1998 1999 2000

Percent of cases designated Goal 20% 25% 30% 30%

Actual 25% 28% 31% 39%

Number of cases docketed Actual 2,067 2,141 2,324 2,407

Number of cases designated as E-Z trial Actual 524 611 733 934

P7. Public Service Indicator #7: Number of significant cases where settlement judges are

appointed and the percentage where settlement conferences are held.

We revised the target for this objective in March of 1999.

Definition: The agency drafted procedural changes in FY 1998 to require our Chief Judge to appoint

settlement judges for cases involving more than $200,000 in proposed penalties and in other cases

where he deems it appropriate, under the Settlement Part pilot. The measure is defined as the number

of cases during the year for which a settlement judge was appointed.

FY 2000 Target: Appoint settlement judges for 20 cases which have proposed penalties of $200,000 or

for other cases the Chief ALJ deems appropriate.

TARGET MET OR EXCEEDED: Yes.

Discussion: We substantially exceeded our goal. There were 42 cases in which a settlement judge was

assigned a settlement conference under the Settlement Part pilot in FY 2000. In September 2000, the

Review Commission voted unanimously to extend and make permanent Settlement Part procedures,

after an evaluation of the program revealed user satisfaction with the program.

FY 1997 1998 1999 2000

Number of cases using settlement procedures Goal N/A N/A 10 20

Actual N/A N/A 32 42

P8. Number of major changes implemented in structure and format standards for decisions and

other legal documents.

Definition: Three major sets of documents are to be redesigned throughout a three-year period: (1)

Commission decisions, (2) judges' decisions and (3) legal documents, such as notices, orders and other

legal documents. The redesign of one set of documents is planned for each fiscal year to improve

quality and enhance operational efficiency.

FY 2000 Target: Redesign legal documents such as notices, orders and other legal documents.

TARGET MET OR EXCEEDED: Yes.

Discussion: In FY 2000, the Review Commission's briefing notices were redesigned to provide plain

language instructions to the parties who file briefs at the Commission-level. The revised notice of

instructions assists the parties and helps the agency maintain a more efficient and accurate briefing

process. The instructions clarify the following procedures: publication of Commission's briefing rules,

sequence for filing briefs, due dates, where to file, filing letters instead of briefs, page limits, format,

table of contents, format, copies, fastening the pages, extensions of time, filing dates and filing by fax.

FY 1997 1998 1999 2000

Number of documents to redesign Goal 0 1 1 1

Actual 0 1 1 1
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External Communications Goal

To significantly enhance the efficiency and effectiveness of communications between the

Commission and the public, its customers and other stakeholders.

Summary of FY 2000 Actual Performance: The Review Commission met all of

the performance targets set for this goal.

P9. External Communications Indicator #1: The extent to which Commission decisions and other

publications and case information are made available electronically through the agency's world

wide website.

Definition: This effort involves three distinct phases in which: (1) the website is established and recent

and new decisions and procedural guides and publications are made available (50%); (2) a more

complete listing and copies of earlier decisions are added (20%); and (3) docket information on open

cases is made available (30%). We eliminated #3 because of a lack of interest by our customers.

FY 2000 Target: Continue to maintain the website and produce a more complete listing and copies of

earlier decisions so that Review Commission decisions, rules, press releases, guides, and other

information are readily available electronically to the public. Future work will involve adding Commission

decisions from the early 1990's and enhancing the appearance and usefulness of the site.

TARGET MET OR EXCEEDED: Yes.

Discussion: The remaining 30 percent of the goal was originally dedicated to the development of a

listing of docket information for open cases. However, this effort was eliminated in FY 1999 due to a

lack of customer/stakeholder interest. In FY 2000, based on stakeholder interest, we substituted the

docket information listing goal with the goal of enhancing our website to update its appearance and its

ease of use. In FY 2000, we enhanced the appearance of our website and included a search engine to

provide keyword searching capabilities. We also continued to update the decision listing by adding

recent Review Commission decisions and decisions dating back to 1993.

FY 1997 1998 1999 2000

Percent complete Goal 0 50% 70% 100%

Actual 0 50% 70% 100%

P10. E-Z Trial video developed.

Definition: The Review Commission plans to complete this project in FY 1998

FY 2000 Target: The FY 1998 target was to develop a video tape of an E-Z Trial. The tape was to be

modified in FY 2000.

TARGET MET OR EXCEEDED: Yes.

Discussion: The goal of developing an E-Z Trial video tape was scheduled to be completed in FY 1998.

It was actually completed in FY 1999. The introductory part of the tape was modified in FY 2000. The

tape continues to be sent to small employers, upon request. This tape, along with a "Guide to E-Z Trial,"

explains the process to aid employers in bringing cases before the Review Commission. This goal has

been eliminated in our FY 2001 APP.

FY 1997 1998 1999 2000

Number of E-Z Trial Videos Goal 0 1 0 0

Actual 0 0 1 modified tape
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P11. External Communications Indicator #3: Number of issuances (and updates) of CD-ROM's

providing Commission decisions made available to the public through the Superintendent of

Documents.

Definition: Publish Review Commission and ALJ decisions on CD-ROM for use by litigants, libraries and

other interested parties. The first edition will be published in 1998, and updated versions will be issued

each year thereafter.

FY 2000 Target: Update the CD-ROM to include the most recent decisions.

TARGET MET OR EXCEEDED: Yes.

Discussion: We exceeded our goal and published two CD-ROMs, one in April and another in August

2000.

FY 1997 1998 1999 2000

Number of CD-ROMs Goal 0 1 1 1

Actual 0 0 1 2

P12. External Communications Indicator #4: Extent to which communication enhancing activities

are completed to aid state adjudicators.

Definition: The Commission will facilitate a national conference of adjudicators in FY 1998 and hopes to

hold such conferences periodically thereafter. We will also attempt to create a mechanism by which

officials from one jurisdiction can get safety and health decisions and other useful information from all

other jurisdictions. The bulk of this effort will occur in FY 1998, but the availability of state decisions and

procedural data in electronic media will occur in FY 1999, with continuing activities in subsequent years.

FY 2000 Target: Develop better mechanisms for communications to aid state adjudicators who resolve

occupational safety and health cases. For FY 2000, the performance target is to have an ongoing

communications system in place incorporating our website and some more formal organization of

adjudicators. The focus of the second part of this target was modified in FY 1999 so that the Review

Commission would serve in a liaison role coordinating activities and information with appropriate federal

and state adjudicators.

TARGET MET OR EXCEEDED: Yes

Discussion: The Review Commission completed updating the links on its website to the appropriate

state websites. We also hosted a meeting for the exchange of information among appropriate federal

and state adjudicators and interested professionals in the state and federal health and safety

communities. The website links enable users to obtain state decisions maintained on the various state

websites. The theme of the one-day meeting, planned for in FY 2000, but held in October 2000,

was"Adjudicating Issues of Safety and Health in the Work Place? Is There an Alternative? What Role

Can ADR Play in the Safety and Health Adjudicatory Arena?" Distinguished members of the bar, federal

and state adjudicators and ADR practitioners

attended the forum and shared practices, lessons learned, and strategies for developing effective

means of resolving disputes and evaluating dispute resolution processes.

FY 1997 1998 1999 2000

Percent complete Goal N/A 50% 80% 100%

Actual N/A 50% 70% 100%

P13. External Communications Indicator #5: Biennial reports for the Commission issued as

planned.

Definition: The Review Commission plans to produce a highly professional biennial report for fiscal years

1996 and 1997 and for every two-year period thereafter as an element of the Review Commission's
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evaluation strategy. The report will include the results of financial statement audits for applicable years.

FY 2000 Target: Publish Biennial Commission report for fiscal years 1998 and 1999.

TARGET MET OR EXCEEDED: Yes.

Discussion: The Review Commission published a comprehensive Biennial Report summarizing and

evaluating its activities and achievements for fiscal years 1998 and 1999.

FY 1997 1998 1999 2000

Number of Biennial Reports Goal 0 1 0 1

Actual 0 0 1 1

Information Technology Goal

To capitalize on recent investments in modern computer hardware and software to increase

organizational effectiveness, operate more efficiently and better serve internal and external

customers.

Summary of FY 2000 Actual Performance: The Review Commission met all of

the performance targets set for this goal.

Information Technology Indicators

P14. Information Technology Indicator #1: Completion of case management/tracking system.

Definition: This measurement is defined as the percent of total effort completed. We will: (1) enhance

internal communications of case information (20%); (2) ensure better management and evaluation

reports (30%); (3) provide links to electronically stored legal documents (20%); and (3) enhance

automation of business processes (30% spread over three years).

FY 2000 Target: Complete thelinkage of electronically stored legal documents to other case information.

TARGET MET OR EXCEEDED: Yes.

Discussion: In fiscal year 1999, we assessed our ability to have parties electronically file legal

documents with the Review Commission. We developed an action plan to pretest the electronic filing of

Commission-level legal documents. In FY 2000, we pretested and initiated a pilot to electronically file

legal documents for cases that have been directed for review at the Commission level. Parties were

invited to participate in the project in order to determine if there was interest in electronic filing and to

determine some of the ramifications of such filing. The pilot continues into FY 2001.

FY 1997 1998 1999 2000

Percent Complete Goal 10% 60% 90% 100%

Actual 10% 60% 80% 100%

P15. Information Technology Indicator #2: Complete a wide area network and improve

communications with regional offices.

Definition: The Review Commission will upgrade its wide area network to include file servers in each

region and strengthen data transfer. A portion of this effort will be completed in fiscal year 1997 and the

remainder in fiscal year 1998, and we will assess our needs again in fiscal year 1999.

FY 2000 Target: The activities for this target were identified as "unknown" in the FY 2000 APP.

However, after we assessed our FY 1997 - 1998 efforts to strengthen and migrate to a client/server

environment, the agency developed and implemented a plan to make our wide area network more
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effective and efficient in FY 2000.

TARGET MET OR EXCEEDED: Yes.

Discussion: Based on our FY 1999 assessment of our network and communication needs, we enabled

our employees to have access to the Internet through our Exchange Server. In addition, we upgraded

our network cabling to increase the speed of electronic transmissions. We also upgraded our network

hub to provide more efficient network traffic control and data storage and security. We equipped the

regional offices with the ability to have full access to the Internet and available research tools, as well

as e-mail.

FY 1997 1998 1999 2000

Percent complete Goal 30% 100% Assess Plan to upgrade

Actual 30% 100% Assess Upgrade

P17.(6) Information Technology Indicator #4: Level of completion of integrated financial

management information system.

Definition: This measurement is defined as the percent of total effort completed in a given fiscal year.

The broad design and input screen for this system were completed in FY 1997. We estimate that this

comprises 25 percent of the effort. Initial programming was completed and the baseline system became

operational in 1998 (65% of effort). The system will record transactions, and automate paperwork and

approvals for procurement and payment processes. Additional enhancements will be added in FY 1999

and these segments comprise 10 percent of total effort.

FY 2000 Target: Assess how well the system is working, use the system to reduce paperwork, and

automate finance and procurement functions, and develop additional systems modules.

TARGET MET OR EXCEEDED: Yes.

Discussion:An assessment of the financial management system was conducted to determine the

continued use of modules. The electronic purchase requests and the credit card modules will continue to

be used. We will make additional modifications, as needed in FY 2001.

FY 1997 1998 1999 2000

Percent complete Goal 25% 90% 100% Assess

Actual 25% 90% 100% Assess

Human Resource Management Goal

To build a highly motivated diverse workplace by developing a first class human resource

management system, including highly effective affirmative action, recruitment, training, award,

and performance management processes.

Summary of FY 2000 Actual Performance: The Review Commission met all of

the performance targets set for this goal.

P18. Human Resource Management Indicator #1: Delivery of needed training measured in hours.

Definition: The Commission will identify annual and long-term training priorities and development needs

for each employee and meet these needs by annually providing a target number of hours of formal or

on-the-job training. Achievement of training goals will be included in both employees' and supervisors'

performance appraisals.

FY 2000 Target: Provide an average of 40 hours of training per employee.
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TARGET MET OR EXCEEDED: Yes.

Discussion: The Review Commission participated in the Office of Personnel Management Individual

Learning Account Pilot. This allowed employees to plan and use 40 hours of official time to develop and

enhance their technical skills to assist them in performing their jobs and improve career-long learning.

Employees received an average of 56.2 hours of training. Sixty-six employees (93%) received over 40

hours of training.

P19. Human Resource Management Indicator #2: Percentage of employee performance plans

redesigned to include Strategic Plan objectives and annual performance goals.

Definition: Performance plans will be revised for all employees rated, by linking employee performance

standards to the strategic plan goals and objectives, and to internal performance indicators linked to our

annual performance objectives.

FY 2000 Target: Revise all performance plans for all employees rated to incorporate strategic goal

expectations.

TARGET MET OR EXCEEDED: Yes.

Discussion: Performance plans were revised, as needed. Eight performance plans for the administrative

staff were revised.

Quality Improvement Goal

To develop and institutionalize a process for continuous quality improvement.

Summary of FY 2000 Actual Performance: The Review Commission met all of

the performance targets set for this goal.

P20. Quality Improvement Indicator #1: Percentage of staff provided quality management and

quality team leader training.

Definition: The agency hopes to facilitate process redesign and to improve service to the public by

reevaluating key processes using the concepts of quality management. To do this, it must have a

trained cadre of staff who are familiar with quality management and customer service concepts. Our

target is to train at least 20 percent of the staff each year to enable them to lead and participate in

quality improvement teams.

FY 2000 Target: Provide quality management and team leader training to 20 percent of the staff.

TARGET MET OR EXCEEDED: Yes.

Discussion: We trained 40 percent of the employees in FY 2000. A total of 68 employees have received

quality management or team leader training. We revised this target in our FY 2001 APP to complete

training of all employees by FY 2001, rather than 2002.

FY 1997 1998 1999 2000

Percent complete Goal 0% 30% 50% 70%

Actual 0% 24% 59% 91%

P21. Quality Improvement Indicator #2: Number of teams appointed for key business processes

evaluated and reengineered to achieve improved performance.

Definition: The agency needs to reevaluate all key business processes in order to streamline operations,

and improve quality and performance. To do this it will appoint process improvement teams. This

measure counts the number of teams that complete work each year with significant process
FY 2000 Performance Report

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improvements adopted.

FY 2000 Target: Establish two process improvement teams to make useful suggestions for improving

processes that affect regional operations and one other process.

TARGET MET OR EXCEEDED: Yes.

Discussion: Two key business process teams were appointed to review our business processes to

improve quality and performance. Their recommendations were adopted by the Chairman. In FY 2000,

we established a Briefing Notice Team and a Procurement Team. The Briefing Notice Team redesigned

the Commission's briefing notices to provide plain language instructions to the parties who file briefs at

the Commission-level. The revised notice of instructions provides a concise guide to filing briefs with the

Commission. The Procurement Team reevaluated our procurement processes and streamlined

operations while adhering closely to federal acquisition regulations and financial guidelines. The team

also revised Review Commission directives and guidance documents to reflect the procedural and policy

changes.

FY 1997 1998 2000 2000

Teams appointed Goal 1 2 2 2

Actual 1 2 2 2

1. In FY 2000, the Review Commission reassessed the environment within which it operates, including

legal mandates, available technology and economic factors. We received comments from stakeholders,

managers, employees, and congressional staffs about the agency's Strategic Plan. We used this

information to identify new strategies and areas needing improvements. In September 2000, the Review

Commission revised its Strategic Plan for fiscal years 2000-2005, consistent with GPRA and OMB

requirements. The performance indicators noted in this report refer to the vision, mission and

performance goals, objectives and indicators that were identified in our 1997 Strategic Plan for FY 2000.

2. Some performance indicators found in the FY 2000 APP have performance goals for FY 1998 and

1999. We addressed them in this report either because they were completed in FY 2000 (e.g., P10,

P15) or for information purposes only (P16).

3. The 1997 Strategic Plan and the FY 2000 annual plan identified that 10 percent of cases would be

"complex." In fact, the Review Commission realized a 23 percent increase in large or complex cases

between FY 1998 and 1999. Although we experienced a decrease in large cases in FY 2000, many of

the cases disposed of in FY 2000 at the ALJ level were complex cases.

4. The SP provides a more structured and formal setting in the preliminary stages of cases to promote

the expedited resolution of disputes and to reduce litigation costs. It requires employers who receive job

safety or health citations that include proposed penalties of $200,000 or more (or cases deemed

appropriate by the Chief Judge) to participate in formal settlement talks at which a Review Commission

ALJ presides. If settlement efforts fail, a different ALJ hears the case. To enhance the chances of

success, settlement conferences must be attended by officials with the authority to settle. Information

and documents shared during such negotiations are confidential and protected from later disclosure

unless all parties agree. When employers contest workplace safety citations, they are not required to

correct allegedly unsafe conditions until the Review Commission issues a final decision; thus, settlement

often brings swifter correction of potential workplace hazards.

5. Complex cases contains one or more of the following characteristics: intricacies of the law; number of

parties; volume of documents, including transcripts; large number of witnesses (including expert

witnesses in such fields as engineering, architecture, construction, soil, physics, epidemiology,

pathology, neurology and infectious diseases); length of the trial; the large amounts of money involved;

number of alleged violations, items (including distinct and separate items), and affirmative defenses;

technical, novel, difficult or new standards raised; type of cases, such as those involving air pollution,

asbestos, lead poisoning, tuberculosis, and ergonomics; or extensive pre-trial discovery, including large

numbers of interrogatories, conferences, and motions.
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6. Performance Goal P16. - Information Technology Indicator #3: Extent to which memory and processor

for desktop computers are upgraded based on need - was completed in FY 1999. However, the goal

remained in the FY 2000 APP. This goal has been eliminated in our FY 2001 APP.

Last Updated: March 27, 2003

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