December 31, 2001
1. Introduction
2. Overview of the ESA Strategic Plan
2.1 Mission
2.2 Vision
2.3 ESA Strategic and Performance
Goals
2.4 ESA Organization
3. Strategic Goals and the FY 2002 Budget
3.1 DOL Strategic
Goal - A Secure Workforce
3.2 DOL Strategic
Goal - Quality Workplaces
4. FY 2002 Performance Goals and Indicators
4.1 ESA Budgeted Resources
by DOL Strategic Goal
4.2 Summary of ESA Performance
Goals
4.3 Performance Goals with Alignments
to DOL and ESA
5. Performance Measurement
5.1 Current Program
Information Systems
5.2 Data Challenges
5.3 Linking Costs
to Performance
6. Cross-Cutting Programs and Issues
7. Maintaining a Strategic Management Focus
7.1 Information Technology
7.2 Management Control
and Systems
7.3 Financial Management
7.4 Human Resources
7.5 E-Government Services
8. Conclusion
Appendix A: Acronyms
The Employment Standards Administration (ESA) is both a benefit delivery and
enforcement agency. ESA administers programs to implement over 100 laws to protect
the basic rights of workers, including: overseeing minimum wage, child labor,
and overtime pay standards; ensuring equal employment opportunities for employees
of Federal contractors; administering Federal workers' compensation benefits
programs; and protecting workers' rights as union members. Nearly every worker
in America is protected by laws and regulations administered by ESA programs.
The more than 4,000 employees who carry out ESA's mission are located in offices
throughout the country. We make every effort to make ESA programs as accessible
to the American worker as possible, whether through one of our many field offices,
toll-free telephone hotlines, the Internet, or some other means.
The Employment Standards Administration submitted a revised Strategic Plan,
fiscal years 1997 through 2002, to the U.S. Congress in September 1998. A Strategic
Plan covering fiscal years 1999 through 2004 was developed. Key elements of
the ESA Strategic Plan are included here and provide the foundation and context
for ESA's activities and the FY 2002 Annual Performance Plan.
ESA's Strategic Goals are to:
EMPLOYMENT STANDARDS ADMINISTRATION
Strategic Goals
Create better workplaces by increasing employer and
employee awareness of, commitment to, and involvement in assuring fair
wages and equal employment opportunity, minimizing the impact of work
related injuries, and safeguarding union democracy.
Secure public confidence through excellence in the
management and delivery of ESA's programs and services.
|
ESA's strategic goals support the Departmental goals which integrate the objectives
of all DOL agencies and programs to prepare and protect America's workers for
the challenges of the 21st Century. ESA's work is integral to the
Department's success in achieving the Departmental strategic goals for A Secure
Workforce and Quality Workplaces. The performance goals in ESA's Annual Performance
Plan support both the Departmental strategic and outcome goals and ESA strategic
goals. The Departmental Strategic and Outcome Goals are:
U.S. DOL STRATEGIC AND OUTCOME GOALS
Strategic Goal One: A Prepared Workforce - Enhance opportunities
for America's workforce
- Increase employment, earnings, and assistance
- Increase the number of youth making a successful transition to work
- Improve the effectiveness of information and analysis on the U.S.
economy
Strategic Goal Two: A Secure Workforce - Promote the economic
security of workers and families
- Increase compliance with worker protection laws
- Protect worker benefits
- Increase employment and earnings for retrained workers
Strategic Goal Three: Quality Workplaces - Foster quality
workplaces that are safe, healthy, and fair
- Reduce workplace injuries, illnesses, and fatalities
- Foster equal opportunity workplaces
- Increase availability and effectiveness of programs that support
a greater balance between work and family
- Reduce exploitation of child labor and address core international
labor standards issues
|
The mission of ESA is to enhance the welfare and protect
the rights of American workers.
|
As an enforcement and benefit delivery Agency, ESA is composed of four major
programs: the Wage and Hour Division (WHD); the Office of Federal Contract Compliance
Programs (OFCCP); the Office of Workers' Compensation Programs (OWCP); and the
Office of Labor- Management Standards (OLMS).
The Wage and Hour Division enhances the welfare and protects the rights
of the nation's workers through enforcement of several Acts: the Federal minimum
wage, overtime pay, recordkeeping, and child labor requirements of the Fair
Labor Standards Act; the Family and Medical Leave Act; the Migrant and Seasonal
Agricultural Worker Protection Act; the Employee Polygraph Protection Act; field
sanitation and housing standards in the Occupational Safety and Health Act;
and, a number of employment standards and worker protections provided in the
Immigration and Nationality Act. Additionally, the WHD administers and enforces
the prevailing wage requirements of the Davis-Bacon Act and the McNamara-O'Hara
Service Contract Act and other statutes applicable to Federal contracts for
construction and for the provision of goods and services.
The Office of Federal Contract Compliance Programs increases equal employment
opportunities (EEO) for employees of Federal contractors. Through Executive
Order 11246, the Rehabilitation Act of 1973, the Vietnam Era Veterans Readjustment
Assistance Act of 1974, the Immigration and Nationality Act, and the Americans
with Disabilities Act, OFCCP enforces equal opportunity and non-discrimination
standards for women, minorities, Vietnam era veterans, and persons with disabilities
employed by the more than 200,000 contractors that participate in the Federal
procurement process.
The Office of Workers' Compensation Programs mitigates the financial
burden on certain workers, or their dependents or survivors, resulting from
work-related injury, disease, or death, through the provision of wage replacement
and cash benefits, medical treatment, vocational rehabilitation, and other benefits.
The Federal Employees' Compensation Act (FECA) program provides income and medical
cost protection and return-to-work services to civilian employees of the Federal
Government injured at work, and to certain other designated groups. The Longshore
and Harbor Workers' Compensation Act (LHWCA) program provides similar protection
to private sector workers engaged in certain maritime and related employment.
The Energy Employees Occupational Illness Compensation Program Act (EEOICPA)
provides compensation and medical benefits to disabled nuclear weapons employees
or their survivors. The Black Lung Benefits program provides protection to the
nation's coal miners totally disabled by pneumoconiosis or to their survivors.
The Office of Labor-Management Standards promotes internal union democracy
and financial integrity and protects certain rights of union members in administering
and enforcing provisions of the Labor-Management Reporting and Disclosure Act
(LMRDA) and related laws. Under the LMRDA, OLMS resolves union member complaints
concerning union officer elections, union trusteeships, and other matters pertaining
to safeguards for union democracy; administers statutory safeguards for union
funds and assets; and makes reports required of labor unions and others available
for public disclosure. The Division of Statutory Programs assures that appropriate
arrangements are in place to protect the rights of affected mass transit workers
when federal funds are used to acquire, improve, or operate a transit system.
These statutory requirements are set forth in section 5333(b) of Title 49 U.S.
Code (formerly section 13(c) of the Federal Transit Act).
The vision of the ESA is to achieve universally applied fair practices
in the American workplace. |
ESA will work to protect the rights of American workers and achieve compliance
with the workplace laws it administers. We will work in partnership with leaders
in business, industry, unions, city, State and local governments, public and
non-profit interest groups, and other Federal agencies to encourage voluntary
compliance, to assure equitable and fair workplaces, and to increase the effectiveness
of our enforcement and outreach efforts. We will address customer and stakeholder
interests and concerns by emphasizing quality in program administration and
customer service, and will provide covered individuals who experience work-
related injuries the best and most cost-effective assistance and services possible.
ESA will also make effective, prudent use of available technology to accomplish
program work and advance the statutory mandates of our programs.
To support the Department's Strategic and Outcome goals and the Secretary's
priorities for the 21st Century workforce, ESA established two broad
strategic goals that encompass all of ESA's program responsibilities. Each of
the strategic goals is supported by performance goals to guide the development
of programs and activities for the Agency. Through the Departmental strategic
and outcome goals and ESA's strategic and performance goals, ESA staff and the
American public can see a direct link between ESA's mission and its activities.
ESA is focused on its vision of achieving universally applied fair practices
in the American workplace. To that end, each of ESA's four major Program Offices,
directed by legislative mandates, target resources to achieve the most effective
results for the available resources. Through the collective efforts of each
of ESA's four major Program Offices, workers and employers are better informed
of their rights and responsibilities. Better and more readily available information
generally results in behavior changes which improve compliance with the Fair
Labor Standards Act, Equal Opportunity laws, the safeguarding of union democracy
and the minimization of the impact of work-related injuries. For employers who
are not voluntarily complying, however, enforcement is the result. Either way,
change occurs in workplaces as a result of these efforts. Whether this workplace
change is driven by compliance assistance, partnership, education, recognition
or enforcement activities, the ultimate result is to create better workplaces,
ESA's first strategic goal.
ESA and its major Program Offices are responsible for the stewardship of resources,
trust funds, and the management of programs and services. To support the Program
Offices in achieving their goals, ESA's strategic planning establishes a management
framework which links the program, administrative and management operations
of the agency. This helps ensure that the Program Offices in ESA work together
to achieve the Agency's overall goals and that they are supported by the administrative
and management systems and operations necessary for their goal accomplishment.
Through effective management and integrated delivery of its various programs
and services, ESA will demonstrate a positive impact on the welfare and rights
of American workers which will secure public confidence, ESA's
second strategic goal.
The following strategic and performance goals demonstrate a unified purpose
and direction for all of the programs within ESA.
EMPLOYMENT STANDARDS ADMINISTRATION
STRATEGIC GOALS
Goal One: Create better workplaces by increasing employer and
employee awareness of, commitment to, and involvement in assuring fair
wages and equal employment opportunity, minimizing the impact of work-related
injuries, and safeguarding union democracy.
Goal Two: Secure public confidence through excellence in
the management and delivery of ESA's programs and services.
|
Associated with each of the above goals are specific programs designed to implement
key Departmental and ESA priorities including: compliance with labor standards
laws and regulations and union integrity standards; the provision of timely
benefits for covered miners, longshore workers, employees at nuclear weapons
production or testing facilities, and Federal employees; effective intervention
for injured Federal employees to enable them to recover to the full extent possible
and to ensure that benefit funding will be available as intended for eligible
employees; and increasing compliance of Federal contractors and subcontractors
with the equal employment opportunity and non-discrimination provisions of their
Federal contracts.
The Employment Standards Administration is the largest agency in the Department
of Labor. ESA is organized into four major components: the Wage and Hour Division,
the Office of Federal Contract Compliance Programs, the Office of Workers' Compensation
Programs, and the Office of Labor-Management Standards. An Assistant Secretary
heads ESA and each program is headed by a Deputy Assistant Secretary, Director,
or, in the case of the Wage and Hour Division, an Administrator. ESA's program
staff are located in regional, district, area, and field offices throughout
the country to ensure that the enforcement and benefit delivery programs are
accessible to the American public. The ESA organization chart follows:
The FY 2002 budget of the Employment Standards Administration directly supports
two of the Departmental strategic goals: A Secure Workforce and Quality Workplaces.
The discussion which follows aligns ESA's budgeted resources with the Departmental
strategic goals, describing the processes and resources to be used in Fiscal
Year 2002 in advancing these goals.
In support of the Departmental Secure Workforce strategic goal, ESA promotes
the economic security of workers and families. ESA is committed to protecting
workers' hours, wages, and other conditions when on the job; ensuring the fiscal
integrity of the workers' compensation benefit funds it administers; assisting
injured Federal workers to expeditiously receive the care and assistance needed
to return to work; and enforcing the standards for financial and democratic
integrity of labor unions, which represent workers. Employer compliance with
labor standards laws is both promoted and enforced by the Wage and Hour Division.
The financial integrity of four benefit funds is the responsibility of the Office
of Workers' Compensation Programs. The Office of Labor-Management Standards
administers and enforces standards for union democracy and financial integrity
and certifies protections for certain transportation workers.
$498.4 million1 is budgeted for administrative expenses for the
promotion of the economic security of workers and families in FY 2002. That
figure represents the total of $326.0 million in salaries and expenses, which
includes $36.7 million from Fair Share funds in the FECA Special Benefits Account
and $135.7 million in administrative expenses for the Energy Employees Occupational
Illness Compensation Program.
1 Includes Program Direction and Support overhead.
ESA is committed to fostering workplaces that allow equal opportunities for
all employees paid with Federal contracting funds, including women, people of
color, the disabled, and covered veterans. Nearly a quarter of the civilian
workforce-about 26 million workers-is employed by Federal contractors or subcontractors.
The ESA Office of Federal Contract Compliance Programs enforces the laws that
require Federal contractors to take affirmative action to promote an equal employment
opportunity workplace, and not discriminate. The laws are designed to advance
equal employment opportunities generated by Federal taxpayers' dollars so not
to perpetuate employment discrimination on the basis of race, gender, national
origin, religion, color, disability or status as a covered veteran. ESA's FY
2002 budget contains $80.4 million this goal.
This section presents several items of information focused on the FY 2002 Performance
Goals:
A summary of budgeted resources for each of the Departmental goals supported
by ESA.
A summary of ESA's Performance Goals arrayed by ESA's Strategic Goals.
Each of the FY 2002 Performance Goals and indicators is presented in tables
by ESA Strategic Goal with the alignment to the DOL goals. Each cluster of Performance
Goals is followed by the means and strategies that will be used
by ESA in achieving the goals. Means and strategies for sustained (continuing)
efforts are identified; no new initiatives are included for FY 2002.
The Performance Goal tables highlight the following:
DOL Strategic Goal -- The Departmental goal which ESA's performance
goal supports.
DOL Outcome Goal -- The Departmental outcome to be achieved relative
to the Departmental Strategic Goal.
ESA Strategic Goal -- The ESA Strategic Goal which ESA's performance
goal supports.
ESA Performance Goal -- The specific targets relative to the DOL and
ESA outcome goals, which will be accomplished in FY 2002. The FY 1999 - FY 2001
targets are included.
Supporting Budget Activity -- The program activity structure. Each budget
activity supporting the Performance Goal is identified. FY 1999 - FY 2001
Performance Goal Results -- A brief statement of the end of year performance
accomplished.
Indicator -- The measures that will be used to assess progress towards
performance goal accomplishment.
Data Source -- The measurement system(s) that will be used to collect
performance indicator data.
Baseline -- The baseline year and baseline level against which progress
will be evaluated.
Comment -- Issues related to goal accomplishment, measurement systems,
and strategies that provide a context or description of the performance goal
or indicator.
DOL STRATEGIC GOAL 2
A SECURE WORKFORCE
Promote the economic security of workers and families
Increase compliance with worker protection laws
Protect worker benefits
Total Budgeted Amount for this Goal in ESA2
FY 1999 - $297.1 million
FY 2000 - $314.1 million
FY 2001 - $318.4 million3
FY 2002 - $326.0 million4
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2 Includes Program Direction and Support overhead.
3 Includes $50.3 million in administrative expenses for the Energy
Employees Occupational Illness Program.
4 Includes $136.0 million in administrative expenses for the Energy
Employees Occupational Illness Program.
DOL STRATEGIC GOAL 3
QUALITY WORKPLACES
Foster qualite workplaces that are safe,healthy and fair
Foster equal opportunity workplaces
Total Budgeted Amount for this Goal in ESA2
FY 1999 - $67.9 million
FY 2000 - $76.3 million
FY 2001 - $79.1 million
FY 2002 - $80.4 million
|
A Summary of ESA Strategic Goal 1
Create better workplaces by increasing employer
and employee awareness of, commitment to, and involvement in assuring
fair wages and equal employment opportunity, minimizing the impact
of work-related injuries, and safeguarding union democracy.
ESA FY 2002 Performance Goals
|
1.1A
(p. 15) |
Covered American workplaces legally, fairly, and safely employ and
compensate their workers as indicated by:
1. Reducing employer violation recidivism. In FY 2002, establish baselines
for:
a. Percentage of reinvestigations without violations.
b. Percentage of reinvestigations with any violation.
c. Percentage of reinvestigations with identical
violations.
2. Increasing compliance in industries with chronic violations.
a. As indicated in the garment manufacturing
industry by:
FY 2002 Indicators
|
Baseline |
Target |
Increase by 2 percentage
points the number of manufacturers that monitor their contractor
shops for compliance in Southern California. |
41%
|
43%
|
Increase by 2 percent
the average number of monitoring components used by manufacturers
in monitoring their contractors for compliance in Southern California.
|
5.5 (of a total of 7)
|
5.6
|
Increase by 2 percentage
points the percentage of contractors in Southern California that
pay all employees on the payroll. |
63%
|
65%
|
Increase by 4 percentage
points the level of compliance of new contractors in New York
City through compliance education. |
51%
|
55%
|
Increase by 2 percentage points
the percentage of contractors in New York City that pay all employees
on the payroll. |
52%
|
54%
|
b. as indicated in the garment manufacturing
industry by:
FY 2002 Indicators
|
Baseline |
Target |
Increase by 6,000 the
number of employees of multi-establishment nursing home corporations
impacted by corporate proactive steps such as training and self-audit. |
48,000
|
54,000
|
Increase by5 percent
the number of employers (nursing homes) that were provided compliance
assistance information through seminars and other outreach efforts. |
2,437
|
2,559
|
Establish a baseline
of the number of employers in compliance with the recordkeeping
requirements of the Fair Labor Standards Act. |
TBD
|
TBD
|
c. as indicated in agricultural commodities
by:
In FY 2002, establish baselines of compliance with the Migrant and
Season Agricultural Worker Protection Act (MSPA) provisions of disclosure,
wages, housing and transportation and with the child labor provisions
of the Fair Labor Standards Act relative to selected agricultural
commodities in various locations in the U.S.
|
1.1B
(p. 22)
|
Union financial integrity and democracy and the transparency of union
operations are safeguarded, as indicated by:
- Improvement in the timely filing of union annual financial reports
that contain information sufficient for public disclosure. In FY 2002,
initiate a new electronic forms application and electronic submission
process and establish a baseline for timely filing under the new process.
- Extending Labor-Management Reporting and Disclosure Act (LMRDA)
protections for union financial integrity to a greater number of labor
organizations through the more effective use of investigative resources.
In FY 2002, establish a baseline of the percentage of investigative
resources applied to criminal investigations that result in convictions.
|
1.1C
(p. 26)
|
Minimize the human, social, and financial impact of work-related injuries
for workers and their families. In FY 2002:
- Decrease by 2% from the FY 2001 baseline the average number of production
days lost due to disability in the FECA program for United States
- Postal Service (USPS ) cases
- All other Government cases.
- Reduce by 2% over the baseline the average time required to resolve
disputed issues in Longshore and Harbor Worker's Compensation Program
contested cases.
- Increase by 2% over the FY 2001 established baseline the percentage
of Black Lung benefit claims for which, following an eligibility decision
by the district director, there are no requests for further action
from any party pending one year after receipt of the claim.
- For Initial Processing of claims for benefits in the Energy Program:
- 75% of claims of Department of Energy (DOE) employees, or of contractors
employed at DOE facilities, are processed within 120 days.
- 75% of claims of employees of Atomic Weapons Employers (AME) and
Beryllium Vendors are processed within 180 days.
- For processing of Requests for Hearings in the Energy Program:
- 75% of Final Decisions in Approved Claims or No-Contest Denials
are issued within 75 days from issuance of the Recommended Decision.
- 75% of Final Decisions in Reviews of the Written Record are issued
within 75 days of the Request for Review of Written Record.
- 75% of Final Decisions in Formal Hearings are issued within 250
days of the Request for Hearing.
- Through use of Periodic Roll Management, produce $122 million in
cumulative first-year savings (FY 1999 -2002) in the FECA program.
- Reduce the overall average medical service costs per case (adjusted
for inflation) in the FECA program by .5% versus the FY 2000 baseline.
|
1.1D
(p. 36) |
Federal contractors achieve equal opportunity workplaces as indicated
by:
- Improving the equal employment opportunity performance of federal
contractors and subcontractors within industries where data indicate
the likelihood of equal employment opportunity problems is greatest.
In FY 2002, contractors in SIC Group 50 and SIC Group 87 that participate
in specified ESA/OFCCP compliance assistance activities and are subsequently
evaluated will have:
- Better EEO performance in selection system evaluations as indicated
by less severe Case Management Systems (CMS) closure types than
contractors in SIC Groups 50 and 87 that did not participate in
specified ESA/OFCCP compliance assistance activities. In FY 2002,
ESA/OFCCP will improve by 1 percent the rate of compliance findings
over the baseline for SIC 50 and SIC 87.
- Better EEO performance in selection system evaluations as indicated
by less severe violations or deficiencies than contractors in SIC
Groups 50 and 87 that did not participate in specified DOL/OFCCP
compliance assistance activities. In FY 2002, ESA/OFCCP will reduce
by 1 percent the rate of findings of severe violations from the
baseline for SIC 50 and SIC 87.
- Better EEO performance in selection system evaluations as indicated
by evaluation type than contractors in SIC Groups 50 and 87 that
did not participate in specified DOL/OFCCP compliance assistance
activities. In FY 2002, ESA/OFCCP will increase by 1 percent the
rate of focused and offsite compliance evaluation types over the
baseline for SIC 50 and SIC 87.
- Improving the equal employment opportunity performance of federal
contractors and subcontractors that have had prior contact with DOL/OFCCP
through evaluations, outreach, or technical assistance. In FY 2002,
contractors and subcontractors that are selected for evaluation, outreach,
or compliance assistance activities will have:
- Better EEO performance in selection system evaluations as indicated
by less severe CMS closure types than contractors that did not have
prior contact with DOL/OFCCP. In FY 2002 DOL/OFCCP will improve
by 1 percent the rate of compliance findings over the baseline for
all supply and service closures.
- Better EEO performance in selection system evaluations as indicated
by less severe violations or deficiencies than contractors that
did not have prior contact with DOL/OFCCP. In FY 2002 DOL/OFCCP
will reduce by 1 percent the rate of findings of severe violations
from the baseline.
- Better EEO performance in selection system evaluations as indicated
by evaluation type than contractors that did not have prior contact
with DOL/OFCCP. In FY 2002 DOL/OFCCP will increase by 1 percent
the rate of focused and offsite compliance evaluation types over
the baseline.
|
A Summary of ESA Strategic Goal 2
Secure public confidence through excellence in
the management and delivery of ESA's programs and services
ESA FY 2002 Performance Goals
|
2.1A
(p. 41) |
ESA will assure the integrity and responsible stewardship of its financial
management systems, meeting all fund control requirements and using
generally accepted internal control management practices, and will achieve
the fullest utilization possible of authorized FTE.
In FY 2002, ESA will obligate no less than 99% of FY 2002 budget
authority for administrative expenses while not exceeding the amount
allocated for any activity. FTE utilization for ESA will be at least
97% of FTE ceiling with no single ESA activity exceeding their FTE
ceiling by more than 2%.
|
2.1B
(p. 44)
|
Develop modifications to the ESA IT infrastructure/architecture in
support of upcoming E-Government and mission-related applications and
services; begin modernization of ESA's office automation capabilities
leveraging commercial off-the-shelf (COTS) software in conformance with
the Department's IT architecture; continue centralization, expansion
and life-cycle replacement of ESA's IT infrastructure.
|
2.1C
(p. 47)
|
Continue implementation of mitigation action plan and identify and
put in place additional security controls as required by Federal laws,
regulations and guidelines or identified during audits or reviews; continue
implementation of ESA Computer Security Awareness and Training (CSAT)
Program; review and enhance ESA's infrastructure and related tools to
ensure ESA's IT environment is secure, including continued development
of ESA's alternate ("warm/hot") site and revision of the ESA
IT Contingency/Disaster Recovery Plan. Begin first phase of reviews/revisions
of system security plans and risk-based assessments of Major Applications
and the General Support System.
|
2.1D
(p. 50) |
ESA's Division of Human Resource Management (DHRM) provides effective
personnel management systems support to all ESA programs, including
direct support for the implementation of ESA's Workforce Planning and
Restructuring Plan, as indicated by:
In FY 2002, create and disseminate on a nationwide basis, prototype
rating/evaluation factors and KSAs (knowledges, skills and abilities)
for entry level up to the full performance level of the major occupational
position of OFCCP, the GS-360 Equal Opportunity Specialist.
|
ESA Strategic Goal l: Create better workplaces by increasing employer
and employee awareness of, commitment to, and involvement in assuring fair wages
and equal employment opportunity, minimizing the impact of work-related injuries,
and safeguarding union democracy.
ESA Performance Goal 1.1A
Covered American workplaces legally, fairly, and safely
employ and compensate their workers
|
ESA seeks to impact or change the behavior and practices of whole industries,
particularly those in which violations are most likely to occur the low-wage
industries. These industries are also most likely to employ vulnerable workers
who often won't complain about violations or are less informed about their workplace
rights.
The FY 2002 indicators for Performance Goal 1.1A follow.
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote
the economic security of workers and families |
DOL Outcome Goal |
2.1: |
Increase Compliance with Worker Protection
Laws |
ESA Strategic Goal |
1: |
Create better workplaces by increasing
employer and employee awareness of, commitment to, and involvement in assuring
fair wages and equal employment opportunity, minimizing the impact of work-related
injuries, and safeguarding union democracy. |
ESA Performance Goal
(DOL Strategic Plan
PG 2.1A)
|
1.1A |
FY 2002: Covered American workplaces legally, fairly, and safely employ
and compensage their workers as indicated by:
1. Reducing employer violation recidivism. In FY 2002, establish baselines
for:
- percentage of reinvestigations without violations.
- percentage of reinvestigations with any violations.
- percentage of reinvestigations with identical violations.
2. Increasing compliance in industries with chronic violations.
- as indicated in the garment manufacturing industry by:
FY 2002 Indicators |
Baseline |
Target |
Increase by 2 percentage points the number of manufacturers
that monitor their contractor shops for compliance in Southern California. |
41%
|
43%
|
Increase by 2 percent the average number of monitoring
components used by manufacturers in monitoring their contractors
for compliance in Southern California. |
5.5 (of a total of 7)
|
5.6
|
Increase by 2 percentage points the percentage of
contractors in Southern California that pay all employees on the
payroll. |
63%
|
65%
|
Increase by 4 percentage points the level of compliance
of new contractors in New York City through compliance education. |
51%
|
55%
|
Increase by 2 percentage points the percentage of
contractors in New York City that pay all employees on the payroll. |
52%
|
54%
|
FY 2002 Indicators |
Baseline |
Target |
Increase by 6,000 the number of employees of multi-establishment
nursing home corporations impacted by corporate proactive steps
such as training and self-audit.
|
8000
|
54,000
|
Increase by 5 percent the number of employers (nursing
homes) that were provided compliance assistance information through
seminars and other outreach efforts. |
2,437
|
2,559
|
Establish a baseline of the number of employers
in compliance with the recordkeeping requirements of the Fair
Labor Standards Act. |
TBD
|
TBD
|
-
as indicated in agricultural commodities by:
In FY 2002, establish baselines of compliance with the Migrant and
Season Agricultural Worker Protection Act (MSPA) provisions of disclosure,
wages, housing and transportation and with the child labor provisions
of the Fair Labor Standards Act relative to selected agricultural
commodities in various locations in the U.S.
FY 1999-2001: N/A
|
Supporting Budget Activity |
Wage and Hour Division: P&
F Schedule Activity #1
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 1999 - FY 2001: N/A.
|
Indicator
|
FY 2002:
1. Percentage of investigations without violations; percentage of reinvestigations
with repeat violations; and percentage of reinvestigations with recurring
violations.
2a. Trends in the percent of garment manufacturers that monitor their
contractor shops for compliance.
2b. Trends in the number of multi-establishment health care corporations
that take proactive steps to promote and achieve corporate-wide compliance.
2c. Baseline of compliance with certain MSPA provisions (i.e., disclosure,
wages, housing and transportation) and with the child labor provisions
of the FLSA relative to selected agricultural commodities in various locations
in the U.S.
FY 1999 - FY 2001: N/A.
|
Data Source |
FY 2002:
- Wage and Hour Investigator Support and Reporting Database (WHISARD)
for FY 2002.
- Wage and Hour Investigator Support and Reporting Database (WHISARD)
data for garment manufacturer investigations; WHD significant activity
reports on health care activities; WHISARD data and regional logs on
agricultural activities; statistically-valid investigation-based compliance
surveys in defined industries.
FY 1999 FY 2001: N/A.
|
Baseline |
FY 2002:
1. Baselines to be determined by the end of FY 2002.
2a. 1. 41%.
2a. 2. 5.5 (of a total of 7).
2a. 3. 63%.
2a. 4. 51%.
2a. 5. 52%.
2b. 1. 48,000 employees.
2b. 2. 2,437 employers.
2b. 3. Baselines to be determined by the end of FY 2002.
2c. Baselines to be determined by the end of FY 2002.
FY 1999 FY 2001: N/A.
|
Comment |
Consistent with the Secretary's goal to ensure that American workers
receive a fair day's wages for a fair day's work, ESA has developed two
distinct but related goals to help ensure that workers are paid and employed
in compliance with the minimum wage, overtime, and child labor requirements
of the Fair Labor Standards Act and the wage and working conditions requirements
of the Migrant and Seasonal Agricultural Worker Protection Act. The goals
are (1) to reduce employer recidivism, and (2) to increase compliance
in industries with chronic violations. Both goals recognize that the key
to ensuring workers' rights is to focus efforts on the industries and
employers with the most persistent and serious violations. A brief discussion
of each of the two goals follows.
- This new performance goal, which encompasses a previous industry-specific
goal relating to compliance of prior violators, allows the agency to
develop strategies and measure compliance among prior violators in a
broader and more complete way. Unlike the earlier goal, the agency will
be measuring recidivism rates across all industries, not just the identified
low-wage industries, and in both complaint and directed cases. This
goal also accounts for the agency's core work (70% of the agency's enforcement
resources are used to respond to complaints of noncompliance). ESA is
determining baselines in FY 2002. FY 2005 targets will be established
after the baselines are known.
- This new performance goal revises a previous agency goal relating
to identified low-wage industries, and incorporates indicators of the
number of employees paid or employed in compliance as well as
the number of employers in compliance. The previous binary employer-based
compliance measure did not distinguish, for example, between an employer
who had one employee or 100 employees employed in violation or between
violations that occur in a single period versus those that were ongoing
or pervasive. For each of the low-wage industries, the agency has developed,
based on its experience over the last several years, shorter-term objectives
(intermediate outcome indicators) or problems to work on that over time
will improve compliance for the entire industry. It is anticipated that
each year the shorter-term objectives will change so as to allow the
agency to work on several different problems in the intervening years
before the next industry-wide measurement is made. ESA's long range
goal is that by FY 2005, 70 percent of workers in garment manufacturing
will be paid in compliance with the minimum wage and overtime requirements,
and by FY 2005, 90 percent of workers in the long-term health care industry
will be paid in compliance with the minimum wage, overtime and child
labor requirements. In agricultural commodities, ESA's long range goal
is that by FY 2005, 85 percent of covered workers in agriculture will
be employed and paid in compliance with the wage provisions of the applicable
statutes and the child labor provisions of the Fair Labor Standards
Act, and 75 percent of agricultural employers will be in compliance
with the wage and non-wage provisions of the applicable statutes.
These long-range goals address difficult and long-standing problems,
and will not be resolved quickly or easily. ESA has established goals
for FY 2002 that represent key steps to improving compliance. ESA's FY
2002 goals were developed based on empirical evidence and experience in
these industries, but ESA recognizes that there are economic and other
forces beyond its control that may impact its ability to meet its long-range
goals. ESA will track progress with an eye towards these extrinsic factors
and will make adjustments to its long and short-range targets and strategies
as appropriate.
|
ESA Means and Strategies:
Operating Program: Wage and Hour Division
Sustained Efforts in FY 2002:
- ESA/WHD will continue initiatives to promote compliance with labor standards
by:
- building partnerships with other governmental, non-governmental, faith-based
and business organizations to promote compliance;
- continuing to make more effective and sustained interventions, including
education and outreach efforts, and better detection of violations; and,
- pursuing more timely litigation and prosecution of the more egregious
violators. (1.1A1, 1.1A2)
- ESA/WHD will continue the operational development of the Technology for
Excellent Customer Service (TECS) systems that will provide nationwide toll-free
access to:
- promptly identify and refer calls unrelated to ESA/WHD activities to
the appropriate agency;
- answer commonly asked questions quickly and accurately; and,
- eventually accept employee complaints alleging violations and refer
them electronically to the proper field office. (1.1A1, 1.1A2)
Significant New or Enhanced Efforts in FY 2002:
- ESA will implement a revised comprehensive compliance education program,
including technology-based compliance assistance. (1.1A1, 1.1A2)
- ESA will provide compliance assistance on all applicable statutes administered
by ESA/WHD during the conduct of an investigation; secure agreements for future
compliance and specific commitments for future compliance following an ESA/WHD
intervention; and obtain commitments for corporate-wide compliance by multi-establishment
employers through formal and informal agreements following a history of ESA/WHD
interventions. (1.1A1, 1.1A2)
- ESA will assess penalties, pursue litigation and prosecution, and publicize
the consequences of non-compliant behavior as may be appropriate for willful
and repeat violators. (1.1A1, 1.1A2)
- ESA will provide ongoing training to ESA/WHD investigative staff and conduct
reviews according to established accountability measures to ensure that proper
policies and procedures are followed during initial ESA/WHD interventions.
(1.1A1, 1.1A2)
- ESA will communicate to ESA/WHD investigative staff the relative impact
of the five intervention tools. (1.1A1)
ESA Strategic Goal 1: Create better workplaces by increasing employer
and employee awareness of, commitment to, and involvement in assuring fair wages
and equal employment opportunity, minimizing the impact of work-related injuries,
and safeguarding union democracy.
ESA Performance Goal 1.1B
Union financial integrity and democracy and the transparency
of union operations are safeguarded.
|
ESA safeguards union financial integrity and democracy, and the transparency
of union operations in administering its responsibilities under the Labor-Management
Reporting and Disclosure Act (LMRDA). The timeliness, accuracy, and completeness
of union financial reports filed with ESA are central to a key objective of
the LMRDA to promote and assist union democracy and financial integrity through
the public disclosure of reported information. Enforcement actions that result
from agency investigation of union funds embezzlement and other criminal violations
are of vital importance in protecting union assets and financial integrity for
the membership.
The FY 2002 indicators for Performance Goal 1.1B follow.
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote
the economic security of workers and families |
DOL Outcome Goal |
2.1: |
Increase Compliance with Worker Protection
Laws |
ESA Strategic Goal |
1: |
Create better workplaces by increasing
employer and employee awareness of, commitment to, and involvement in assuring
fair wages and equal employment opportunity, minimizing the impact of work-related
injuries, and safeguarding union democracy. |
ESA Performance Goal
(DOL Strategic Plan
PG 2.1B)
|
1.1B |
FY 2002: Union financial integrity and democracy and the transparency
of union operations are safeguarded, as indicated by:
- Improvement in the timely filing of union annual financial reports
that contain information sufficient for public disclosure. In FY 2002,
initiate a new electronic forms application and electronic submission
process and establish a baseline for timely filing under the new process.
- Extending Labor-Management Reporting and Disclosure Act (LMRDA) protections
for union financial integrity to a greater number of labor organizations
through the more effective use of investigative resources. In FY 2002,
establish a baseline of the percentage of investigative resources applied
to criminal investigations that result in convictions.
FY 1999-2001: N/A
|
Supporting Budget Activity |
Office of Labor-Management Standards:
P& F Schedule Activity #5
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 1999 - FY 2001: N/A.
|
Indicator
|
- Percentage of financial reports timely filed for public disclosure
availability.
- Percentage of investigative resources applied to criminal investigations
that result in convictions.
FY 1999 - FY 2001: N/A.
|
Data Source |
- Labor Organization Reporting System.
- OLMS Case Data System.
FY 1999 FY 2001: N/A.
|
Baseline |
- Timely filing of annual financial reports required of unions with
annual receipts over $200,000: 79% in FY 1997.
- To be established.
|
Comment |
- Union financial reports must meet certain standards of acceptability
before they may be filed for public disclosure access. The new electronic
forms and electronic submission system to be implemented in FY 2002
will improve the timeliness, sufficiency, and accuracy of filed reports
that enable union members and the public to better monitor union financial
activity. The new process, in combination with a continuing program
of compliance assistance and liaison, is expected to raise the percent
of timely and accurate filings to over 90% by FY 2005.
- This indicator is a measure of the effectiveness of ESA's use of investigative
resources. By allocating criminal investigative time to cases with the
most prosecutive potential and, where appropriate, redirecting criminal
investigative resources to union compliance audits, ESA seeks to maximize
its impact in extending LMRDA financial safeguards for union financial
integrity to the regulated community.
|
ESA Means and Strategies:
Operating Program: Office of Labor-Management Standards
Sustained Efforts in FY 2002:
- ESA will investigate complaints concerning union officer elections, supervise
remedial union officer elections, and conduct audits and civil and criminal
investigations to enforce the LMRDA standards for union democracy and financial
integrity. ESA will secure reports required from unions and others under the
LMRDA and make them available for public disclosure, including public disclosure
access via the Internet to a searchable database of information from union
financial reports. ESA will continue to perform all statutory responsibilities
to ensure union democracy and to strive for quality and efficiency in these
mission-critical endeavors. (1.1B)
- ESA will focus case targeting and management to promote effective use of
investigative resources. ESA will allocate criminal investigative time to
cases with the most prosecutive potential and, where appropriate, redirect
criminal investigative resources to union compliance audits. ESA will increase
the number of compliance audits that are conducted to discover and correct
violations of LMRDA fiduciary safeguards. Beginning in FY 2003, at least 1%
of labor organizations subject to the LMRDA will be audited each fiscal year.
(1.1B)
- ESA will continue to offer and conduct compliance assistance seminars throughout
the country to explain the requirements of the Labor-Management Reporting
and Disclosure Act (LMRDA). These seminars cover topics such as union reporting
and recordkeeping, financial safeguards for union funds, elections of union
officers, and training for union trustees on conducting audits in small unions.
These seminars may be sponsored by labor unions, labor education programs,
or other groups to provide training for their representatives or may be ESA-sponsored
and attended by any interested union officers and members. ESA will continue
to advertise upcoming compliance assistance seminars on its website and to
extend to interested organizations the opportunity to sponsor seminars in
the future. (1.1B)
- ESA will foster partnerships with international unions to promote voluntary
compliance with LMRDA standards by affiliates and will provide compliance
assistance to union officials. A program of compliance assistance contacts
will be continued that targets unions scheduled to elect officers in FY 2002
whose previous election was investigated by the agency. A program of contacts
at the field office level to obtain timely reports by unions with receipts
of more than $200,000 that were delinquent in the prior year will be continued.
A program of seminars for trustees of small unions will be continued to provide
assistance and training in use of the agency-developed guide for trustees
in conducting audits in small unions. ESA will provide outreach to union members
to promote the objectives of the LMRDA. ESA will also continue distribution
of a publication and program to advise new unions and new officers about their
responsibilities under the LMRDA. (1.1B)
- ESA will modify its agency-developed union trustee guide and workshop materials
for distribution to international unions and universities for their use in
providing training for union officials in auditing techniques and sound financial
practices. (1.1B)
Significant New or Enhanced Efforts in FY 2002:
- ESA will implement an electronic reporting format for labor organization
annual report forms LM-2, LM-3, and LM-4 and will initiate a system for their
public disclosure via the Internet. (1.1B)
- ESA will enhance a computerized desk audit system implemented in FY 1999
to review the completeness and accuracy of filed union annual financial reports.
The enhancement will enable agency staff to readily identify the most seriously
deficient reports for computerized desk audit and corrective action. (1.1B)
- ESA will initiate efforts to incorporate in the Internet-based public disclosure
system, union trusteeship reports and reports filed by employers, consultants,
union officers and employees, and surety companies under the LMRDA. (1.1B)
- ESA will modify its agency-developed union trustee guide and workshop materials
for distribution to international unions and universities for their use in
providing training for union officials in auditing techniques and sound financial
practices. (1.1B)
ESA Strategic Goal 1: Create better workplaces by increasing employer
and employee awareness of, commitment to, and involvement in assuring fair wages
and equal employment opportunity, minimizing the impact of work-related injuries,
and safeguarding union democracy.
ESA Performance Goal 1.1C
Minimize the Human, Social, and Financial Impact of
Work-Related Injuries
|
ESA's Office of Workers' Compensation Programs (OWCP) administers four primary
disability compensation programs that provide benefits to certain workers who
experience work-related injury or disease, and survivors of employees who die
from job-related injury or disease. OWCP places strategic emphasis on prompt
adjudication and payment of benefits; improved customer service; active claims
management aimed at reducing lost time due to disability and return to work
as soon as practicable; and responsible stewardship of managed public trust
funds.
OWCP is dedicated to maximizing these performance outcomes through a strengthened
customer support and services program. This strategy includes upgrade of OWCP's
telecommunications platform, central coordination of customer service policy
and goals, establishment of a Customer Bill of Rights, and continuous measurement
of access, responsiveness, courtesy, and customer service requirements.
The FY 2002 indicators for Performance Goal 1.1C follow.
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote
the economic security of workers and families |
DOL Outcome Goal |
2.2: |
Protect Worker Benefits |
ESA Strategic Goal |
1: |
Create better workplaces by increasing
employer and employee awareness of, commitment to, and involvement in assuring
fair wages and equal employment opportunity, minimizing the impact of work-related
injuries, and safeguarding union democracy. |
ESA Performance Goal
(DOL Strategic Plan
PG 2.2D)
|
1.1C |
FY 2002: Minimize the human, social, and financial impact of work-related
injuries for workers and their families. In FY 2002:
- Decrease by 2% from the FY 2001 baseline the average number of production
days lost due to disability in the FECA program for
- United States Postal Service (USPS ) cases
- All other Government cases.
- Reduce by 2% over the baseline the average time required to resolve
disputed issues in Longshore and Harbor Worker's Compensation Program
contested cases.
- Increase by 2% over the FY 2001 established baseline the percentage
of Black Lung benefit claims for which, following an eligibility decision
by the district director, there are no requests for further action from
any party pending one year after receipt of the claim.
- For Initial Processing of claims for benefits in the Energy Program:
- 75% of claims of Department of Energy (DOE) employees, or of contractors
employed at DOE facilities, are processed within 120 days.
- 75% of claims of employees of Atomic Weapons Employers (AME) and
Beryllium Vendors are processed within 180 days.
- For processing of Requests for Hearings in the Energy Program:
- 75% of Final Decisions in Approved Claims or No-Contest Denials
are issued within 75 days from issuance of the Recommended Decision.
- 75% of Final Decisions in Reviews of the Written Record are issued
within 75 days of the Request for Review of Written Record.
- 75% of Final Decisions in Formal Hearings are issued within 250
days of the Request for Hearing.
- Through use of Periodic Roll Management, produce $122 million in
cumulative first-year savings (FY 1999 -2002) in the FECA program.
- Reduce the overall average medical service costs per case (adjusted
for inflation) in the FECA program by .5% versus the FY 2000 baseline.
FY 1999:
- Reduce to 178 days (QCM cases only).
- Complete the process of defining a case resolution.
- Implement initial findings package designed to more effectively provide
all parties with information about decisions made on individual claims.
- N/A
- N/A
- $19 million in first-year savings.
- Save 19% versus amounts billed for FECA medical service subject to
fee schedules.
FY 2000:
- Reduce to 173 days (QCM cases only); establish baseline for all cases.
- Complete system programming for entering and generating goal-related
data and establish a baseline against which to measure performance.
- Finalize and implement new regulations. Develop materials to provide
all parties with information about the revised claims development and
adjudication process.
- N/A
- N/A
- Produce $66 million in cumulative first-year savings.
- Save an additional $5 million over FY 1999 compared to amounts charged
through full-year implementation of fee schedules for inpatient hospital
and pharmacy services.
FY 2001:
- 2% reduction from the FY 2000 baseline in the average number of production
days lost due to disability.
- Establish performance baseline and begin data collection for performance
tracking.
- Establish a baseline by the end of FY 2001.
- N/A
- N/A.
- Produce $95 million in cumulative first-year savings.
- Reduction of overall average medical costs will be measured against
a FY 2000 baseline.
|
Supporting Budget Activity |
Office of Workers' Compensation
Programs: P& F Schedule Activity #3
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 2001:
- The goal was not met. Complete 4th quarter results were
not available,
since the deadline for submission of continuation-of-pay period data
from the Federal agencies was October 31. Results from three quarters
of available data showed that thus far in FY 2001 the goal was not being
met. The FY 2000 baseline is 68.1 days, and the FY 2001 target was 66.7.
The overall government-wide average LPD for the first three quarters
was 75.2, a 10.4% increase.
This new goal consists of time lost during the initial 45-day, or continuation-of-pay
period, while the claim remains in the jurisdiction of the Federal agency
employer, and LPD in FECA cases within the first year of the beginning
of wage-loss benefits.
- The goal was met. A performance baseline of 242 days was established
and performance data tracking is underway.
- The goal was met. A performance baseline of 66.5% of claims filed
was established. Staff training was completed and the new findings package
has been in use since the August 9th Court ruling upholding
the new regulations and lifting the stay on adjudication.
- N/A.
- N/A.
- This goal was exceeded. PRM produced an additional $31 million in
first-year savings in FY 2001, bringing cumulative total first-year
savings to $103 million.
- The goal was not met. Average cost per case for Psychiatric services
were reduced by nearly 3% over FY 2000; for Physical Therapy services,
however, average cost increased by 4.5% (adjusted for inflation).
- For Psychiatric cases, the decline in average case costs was due,
in part, to application of stricter guidelines over approval of
services in the FECA district offices;
- Despite an increase in average costs for Physical Therapy cases,
Focus Reviews conducted in late FY 2001 demonstrated the potential
for savings in this service category: 121 of 842 high-cost cases
were identified for adjustment of service limits.
FY 2000:
- This goal was exceeded. Average lost production days (LPD) measured
for Quality Case Management cases in FY 2000 was 164 days. This represented
a shortening of the average time away from work of 25 days when compared
to the FY 1997 baseline year. The reduction also equated to a $17.7
million savings in compensation costs.
- This goal was substantially met. System programming was completed
and data collected started. However, goal refinement at mid-year required
extending the data collection period to a full year to ensure an inclusive
baseline. The target for establishing a baseline was extended to May
2001.
- This goal was substantially met.
- N/A.
- N/A
- This goal was exceeded. Cumulative first-year savings for FY 1999-2000
were $72 million. PRM productivity remained higher than expected. One-half
of all reviews in FY 2000 resulted in either an adjustment to continuing
benefit amounts or a termination of benefits.
- This goal was exceeded. The FECA program saved $34.5 million (61%
over target) using fee schedules for Inpatient and Pharmacy services.
The result was due, in large part, to a 37% increase in charges for
these services. This was consistent with the 32% overall increase in
charges subject to fee schedules (including Outpatient Hospital and
Physician charges) in FY 2000.
FY 1999:
- This goal was exceeded. Average lost production days for cases measured
in FY 1999 was 173 days against a target of 178 days. This was nearly
a 9% reduction compared to the FY 1997 baseline. The 16-day reduction
compared to the FY 1997 baseline represented a savings in compensation
benefits of $9.6 million for the cases measured.
- By September 30, a definition of "case resolution" was developed
and distributed to program district directors and OWCP regional directors.
- The program implemented part of its revised initial findings package
in July 1999. The remainder of the findings package was awaiting finalization
of the new regulations.
- N/A
- N/A
- The goal was exceeded. PRM case review actions produced an additional
$20.8 million in FECA compensation benefit savings.
Both the original and revised goals were exceeded. The original goal
was to save $10.67 million against amounts billed for inpatient hospital
and pharmacy services subject to new fee schedules, and through specialized
review for improper billings for physician/professional services.
The new fee (which became effective January 1999) alone exceeded the
target by 54%, and produced $16.5 million in savings. Implementation
of medicalbill review was delayed and the full complement of Medical
Coding Specialists was not brought on board and trained until September
1999. No savings resulted from bill review.
|
Indicator
|
- Average number of days lost due to workplace injuries per employed
Federal civilian worker. The measurement consists of time lost during
the initial 45-day, continuation-of-pay period while the claim remains
in the jurisdiction of the Federal agency employer, plus LPD within
the first year of the beginning of wage-loss benefits under the FECA
following COP.
- The average number of days elapsed between the date a dispute is received
in a Longshore case from any party and the date that the dispute is
resolved.
- Percentage of claims filed which are subject to the new Black Lung
regulations on which no requests for further proceedings (reconsideration,
modification, informal conference, formal hearing) are pending one year
after receipt of the claim by the program.
- The percent of claims processed by the Energy Employees Compensation
Program, which reach initial completion within the relevant timeframe
measured in calendar days from the date of receipt of the claim by the
program to the status date indicating completion of initial processing.
Completion of initial processing includes: 1) Issuance of Recommended
Acceptance in Radiation Exposure Compensation Act (RECA) claims; 2)
Issuance of Recommended Denials; 3) Issuance of Form EE15 in non-RECA
accepted claims; or 3) Referral of a claim to the National Institutes
for Safety and Health.
- The percent of all final Decisions issued within the relevant timeframe
as measured in calendar days from the date of:
- The issuance of the Recommended Decision to the Final Decision
in Approved Claims or no-Contests Denials;
- The receipt of the request for Review of the Written Record to
the date of the Final Decision; or
- The receipt of Request for Hearing to the date of issuance of
the Final Decision.
- The fiscal year amount of total periodic payment (compensation benefit)
reductions in PRM universe cases.
- Overall average medical cost per case, after adjustment for inflation,
for all cases receiving medical services.
|
Data Source |
1.Federal Employees' Compensation Act (FECA) data systems; Federal agency
payroll offices; Office of Personnel Management employment statistics
2. Longshore Case Management System.
3. Black Lung Automated Support Package.
4. - 5. Energy Program Case Management System
6. Periodic Roll Management System; FECA Automated Compensation Payment
System.
7. FECA Medical Bill Pay System.
|
Baseline |
-
Interim baseline for Quality Case Management (QCM) cases only:
FY 1997 actual 189 workdays. FY 2000 baseline: 68.1 workdays.
FY 2001 actual results will serve as new baselines: preliminary results
are 119 days for USPS, and 54.1 days for All Other Agencies.
-
An average of 232 days elapsed nationwide between the dispute receipt
date and the dispute resolution date.
-
FY 2001: 66.5% of Black Lung benefit claims, following an eligibility
decision by the district direct, had no requests for further action
from any party pending one year after receipt of the claim; developed
using data collected over the past decade from claims subject to the
old regulations.
-
This is a new measure for FY 2002. While target levels have been
established, the actual performance results in FY 2002 will serve
as the baseline for this measure.
-
This is a new measure for FY 2002. While target levels have been
established, the actual performance results in FY 2002 will serve
as the baseline for this measure.
-
For all cases with benefit actions in the measurement year, the
periodic payment amount paid at time of their entry into the PRM universe,
compared to the periodic payment amount after benefit reduction. The
methodology for measuring savings from compensation benefit adjustments
and terminations was revised in FY 2000 to coincide with PRM's integration
into permanent operations.
PRM savings for performance reporting were previously derived by comparing
total FECA program benefit reductions in all cases, including PRM
cases, in the measurement year, to total reductions produced in the
baseline year but not counting PRM case reductions.
-
Overall Average Medical Cost Baseline: Average annual cost per case
in FY 2000 for all cases receiving medical services
|
Comment |
-
LPD is one of several goals within the joint, OSHA/ESA Federal Employees
Health and Safety Initiative to increase Federal workplace safety
rates and speed recovery and return to work. In light of widespread
public health incidents subsequent to the anthrax events involving
postal workers, and because USPS is excluded from OSHA's Federal safety
initiative since it is regulated as a private sector entity, this
goal has been bifurcated to measure LPD for USPS cases for all other
Federal agencies separately. Post September 11, 2001, impacts on the
USPS, including overall reductions in mail volume, resulted in higher
LPD during FY 2001, and that trend is expected to be difficult to
reverse. Accordingly, we believe FY 2001 is a more appropriate baseline
against which to measure future performance. (FY 2001 actual results
will serve as new baselines: preliminary results are 117.1 days for
USPS and 56.4 days for All Other Agencies. Determination of final
results is awaiting publication by the Office of Personnel Management
of 4th Quarter FY 2001 Federal employment data.)
-
Reducing the average time required to resolve disputed issues reflects
increased cooperation among the parties and increased voluntary compliance
with Longshore statutes and procedures.
-
This performance target will capture the results of program efforts
to reduce utilization of the extended hearings and appeals processes
by raising the quality of medical evidence and clarity of decisions
in the initial stages of the decision making process under the revised
regulations.
-
OWCP transfers non-Special Exposure Cohort (SEC) cancer claims to
the National Institute for Occupational Safety and Health NIOSH to
document radiation exposure histories and dosage levels. Upon completion
of the dose reconstruction, OWCP continues adjudication of the claim.
"Completion of initial processing" indicates a point common
to all claim categories at which the Energy program has made a determination
of covered employment and covered illness. For claims other than non-SEC
cancers, this determination results in a decision to award or deny
claims. Beyond completion of initial processing, additional decision
points reside with the claimant or NIOSH prerequisite to issuance
of a formal Recommended Decision.
-
These performance indicators remain provisional while the recently
implemented Energy program completes a process of understanding the
volume and nature of potential workloads, assessing work flow and
resource requirements, testing work processes, and determining optimal
output performance standards. Timeframes include decision points/actions
by the claimant (e.g., "no contest denials" cannot be completed
until the claimant's 60-day response period has passed).
- Periodic Roll Management has proven highly successful in identifying
potential for return to work and resolving cases leading to greater
savings in benefit compensation (an additional $317 million between
1992 and 1998). In FY 1999, Congress appropriated resources to fully
staff all offices and integrate PRM into FECA program operations. This
is accelerating savings in Federal workers' compensation costs, and
increasing the potential for returning workers to employment after recovery
from an injury.
Note: decisions on cases under PRM review often result in adjustment
or termination of benefits. On a case-by-case basis, and beginning
with the first payment cycle after the benefit action, savings are
scored for the remainder of the measurement (fiscal) year, producing
the first-year savings for the case. First-year savings for all cases
in the measurement year are then combined producing the total first-year
savings. The cumulative sum of first-year savings is matched against
the goal as stated for each measurement year.
- The FECA program uses Fee Schedules to set payment levels for standard
categories of billed medical services. A special automated bill review,
the Corrective Coding Initiative (CCI) identifies medical providers'
duplicate and abusive billing practices, and facilitates evaluation
and resolution of questionable bills before payment is authorized. Focus
Reviews identify proper treatment or payments for selected medical services
provided and matched to medical condition. These mechanisms, along with
procedural changes and other quality controls, will result in overall
reduction of program medical costs.
ESA will pursue its goal to reduce the average cost of Total Medical
Services .5% in FY 2002, but has postponed its goal to reduce average
costs for Physical Therapy, although review of those services will
continue. Analysis of FY 2001 results how that until additional resources
are available for Utilization Review, ESA will not be able to make
significant progress to reduce average Physical Therapy service costs.
|
ESA Means and Strategies:
Operating Program: Office of Workers' Compensation Programs
Sustained Efforts in FY 2002:
- ESA's Quality Case Management strategy employs creative methods and services
to assist recovery and return to work, including early case management by
nurses who coordinate medical treatment and reemployment. Further, the non-adversarial
nature of the FECA program allows ESA to work with Federal agencies and employee
unions to facilitate the return to work process. (1.1C1, 1.1C7)
- ESA will facilitate returns to work through better oversight of medical
treatment:
- Continue the Quality Case Management Program, in which new injury cases
receive early intervention from nurses allowing case management to begin
at a point when it can be much more effective.
- Actively manage disability cases in the early Continuation of Pay (COP)
period.
- Improve access to expert medical evaluation.
- Communicate more effectively with medical providers, through better
technology and interaction between treating physicians and nurse case
managers.
- Screen cases for appropriateness of medical and pharmacological treatment,
identifying outliers for directed review. (1.C1, 1.1C7)
- ESA will conduct a formal evaluation for the effectiveness of FECA's Early
Nurse Intervention program to support Quality Case Management objectives and
support achievement of return-to-work goals. (1.1C1)
- Through OWCP's work with OSHA, ESA will assist Federal agencies to reduce
injuries, improve timely filing of injury reports, and assist injured workers
to obtain benefits and return to work. Specific actions include conducting
periodic conferences, technical assistance or informational meetings with
the agencies, expanding electronic filing of claims documents, and widening
access to OWCP case data and other program information through the Internet
and other automated applications. (1.1C1)
- ESA will continue to provide public recognition of Federal agency performance
to reduce Lost Production Days and improve the timeliness of filing Notices
of Injury. (1.1C1)
- Using the FECA future benefit liability model developed in FY 1999, ESA
will share forecasting information in conjunction with its work with Federal
employing agencies to reduce lost production days. (1.1C1)
- ESA will complete the transition to an efficient paperless office by imaging
all incoming mail for new and old cases, and implementing ADP redesign. (1.1C1,
1.1C6, 1.1C7)
- ESA will continue multiple broad-based strategies to improve customer services,
gauge customer needs, and measure customer satisfaction in the FECA program.
These include:
- A multi-faceted Communications Redesign initiative, including upgrade
of telecommunications hardware and operation of a central call center,
and improvement of national and district automated call intake systems;
- Focus groups held with Federal agency representatives to assess agency
assistance requirements and improve agency assistance programs;
- A call-back survey of claimant callers to our district offices, and
development of other surveys for various customer groups;
- Development of performance standards to ensure a high level of caller
access to telephone services, prompt and accurate responses, professional
handling, and high quality. Communications Specialists in each office
as local change agents and an advisory group for National policy. (1.1C1,
1.1C6, 1.1C7)
- ESA will use mediation skills, outreach, and other communication tools to
work closely with parties to contested cases under the Longshore program as
a means for reaching quicker resolution of disputed issues in those cases.
(1.1C2)
- ESA will continue to use outreach and technical assistance activities with
all Black Lung program stakeholder communities to promote an atmosphere of
understanding and constructive cooperation in support of fewer challenges
to program adjudication decisions. ESA will also work with Black Lung's authorized
diagnostic provider community to emphasize the need for complete and accurate
medical reports that satisfy program requirements and further support fewer
challenges to program adjudication decisions.(1.1C3)
- ESA will continue building new and improved automated data processing tools
to support the timeliness and quality of Federal employee compensation case
handling, case management, and return to work. (1.1C1, 1.1C6, 1.1C7)
- ESA will continue to improve overall management of the Federal Employees'
Compensation Fund by expanding quality review of medical servicing and medical
bill payment processes. This will include centralized prior authorization
of requests for medical treatment, focus reviews to ensure that proper treatment
regimens are followed, bill review to identify duplication or other improper
practices, and reevaluation and development of new treatment guidelines. (1.1C7)
- ESA will continue to improve fiscal integrity by using fee schedules to
reduce medical, pharmacy and hospital service costs under FECA. (1.1C7)
- The Periodic Roll Management system will continue to review long-term cases
on the disability roll and reevaluate case status for change in medical condition
and potential for return to work. (1.1C6, 1.1C7)
Significant New or Enhanced Efforts in FY 2002:
- ESA will continue to develop new and improved ADP tools to support the timeliness
and quality of Energy Employees Illness Compensation Program Act (EEOICPA)
decisions, benefit delivery, and case management. (1.1C4, 1.1C5)
- ESA will seek to improve financial performance and ensure proper medical
care for injured workers by developing improved processing of Prior Authorizations
before surgery and other medical procedure and pursuing the development of
Medical Utilization Review (UR). Through UR, FECA will monitor the level and
appropriateness of medical services as related to medical condition. (1.1C7)
ESA Performance Goal 1.1D
Federal contractors achieve equal opportunity workplaces
|
Federal contractors and subcontractors must not discriminate and must promote
equal employment opportunity in the workplace. These requirements, which are
a part of nearly all Federal contracts, are an integral part of the Federal
procurement process. They are based on the principle that employment opportunities
generated by Federal dollars should be available on an equitable and fair basis
for all Americans. While ESA is responsible for enforcing these requirements,
protection of civil rights and assurances of quality workplaces should not be
solely dependent on finding violations. Creating and effectively delivering
high quality compliance assistance is also a strong deterrent to discrimination.
Interactive web applications, town hall meetings, and relevant outreach and
public education on discrimination issues also help contractors achieve equal
opportunity workplaces.
The 2002 indicators for Performance Goal 1.1D follow.
DOL Strategic Goal
|
3:
|
Quality Workplaces Foster quality
workplaces that are safe, healthy, and fair |
DOL Outcome Goal |
3.2: |
Foster Equal Opportunity Workplaces |
ESA Strategic Goal |
1: |
Create better workplaces by increasing
employer and employee awareness of, commitment to, and involvement in assuring
fair wages and equal employment opportunity, minimizing the impact of work-related
injuries, and safeguarding union democracy. |
ESA Performance Goal
(DOL Strategic Plan
PG 3.2A)
|
1.1D |
FY 2002: Federal contractors achieve equal opportunity workplaces
as indicated by:
1. Improving the equal employment opportunity performance of federal
contractors and subcontractors within industries where data indicate the
likelihood of equal employment opportunity problems is greatest. In FY
2002, contractors in SIC Group 50 and SIC Group 87 that participate in
specified ESA/OFCCP compliance assistance activities and are subsequently
evaluated will have:
- Better EEO performance in selection system evaluations as indicated
by less severe Case Management Systems (CMS) closure types than contractors
in SIC Groups 50 and 87 that did not participate in specified ESA/OFCCP
compliance assistance activities. In FY 2002, ESA/OFCCP will improve
by 1 percent the rate of compliance findings over the baseline for SIC
50 and SIC 87.
- Better EEO performance in selection system evaluations as indicated
by less severe violations or deficiencies than contractors in SIC Groups
50 and 87 that did not participate in specified DOL/OFCCP compliance
assistance activities. In FY 2002, ESA/OFCCP will reduce by 1 percent
the rate of findings of severe violations from the baseline for SIC
50 and SIC 87.
- Better EEO performance in selection system evaluations as indicated
by evaluation type than contractors in SIC Groups 50 and 87 that did
not participate in specified DOL/OFCCP compliance assistance activities.
In FY 2002, ESA/OFCCP will increase by 1 percent the rate of focused
and offsite compliance evaluation types over the baseline for SIC 50
and SIC 87.
2. Improving the equal employment opportunity performance of federal
contractors and subcontractors that have had prior contact with DOL/OFCCP
through evaluations, outreach, or technical assistance. In FY 2002, contractors
and subcontractors that are selected for evaluation, outreach, or compliance
assistance activities will have:
- Better EEO performance in selection system evaluations as indicated
by less severe CMS closure types than contractors that did not have
prior contact with DOL/OFCCP. In FY 2002 DOL/OFCCP will improve by 1
percent the rate of compliance findings over the baseline for all supply
and service closures.
- Better EEO performance in selection system evaluations as indicated
by less severe violations or deficiencies than contractors that did
not have prior contact with DOL/OFCCP. In FY 2002 DOL/OFCCP will reduce
by 1 percent the rate of findings of severe violations from the baseline.
- Better EEO performance in selection system evaluations as indicated
by evaluation type than contractors that did not have prior contact
with DOL/OFCCP. In FY 2002 DOL/OFCCP will increase by 1 percent the
rate of focused and offsite compliance evaluation types over the baseline.
|
Supporting Budget Activity |
Office of Federal Contract Compliance
Programs: P& F Schedule #2
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 2001: The goal was not achieved. For the first indicator, two industries
were identified where the data indicate the likelihood of equal employment
opportunity problems is greatest, and baselines indicating the extent
of problems previously found were established. With regard to the second
indicator, OFCCP established a baseline for Federal contractors and subcontractors
that had failed previous compliance evaluations, but not for those contacted
only through outreach or technical assistance. OFCCP did not develop a
separate baseline for compensation discrimination, but included this issue
in the baselines created for the preceding two indicators.
FY 1999 - FY 2000: N/A.
|
Indicator
|
Trends/changes in compliance and violation rates and EEO-1 data.
Trends/changes in data gathered from evaluations and from Federal contractors.
Trends/changes in data gathered from customer satisfaction surveys.
|
Data Source |
EEO-1 data file; Case Management System; Federal contractors' data; customer
satisfaction survey; compliance evaluations of scheduled contractors and
of those within certain industries; Compliance Assistance Project reports.
|
Baseline |
FY 2001: (1)
- The baseline for SIC 50 is a 50.9 percent rate of compliance findings
and the baseline for SIC 87 is a 49.6 percent rate of compliance findings.
- The baseline for violation severity is 7.69 percent for SIC 50 and
9.02
percent for SIC 87.
- The baseline for focused and offsite evaluations is 36.5 percent for
SIC 50 and 27.8 percent for SIC 87.
(2)
- The baseline for compliance for all supply and service closures is
52.9 percent.
- The baseline for violation severity is 9.8 percent
- The baseline for focused and offsite evaluation types is 34.1 percent.
FY 1999 - FY 2001: N/A.
|
Comment |
Through compliance assistance and other contacts,
such as compliance evaluations, ESA plans to educate members of the two
targeted industries on compliance techniques, reducing the proportion and
severity of noncompliance determinations and raising performance to the
average universe rate within a 3 to 4 year evaluation period. The compliance
assistance effort will provide information and assistance to the contractor
community on meeting equal employment opportunity requirements outside the
formal evaluation process. The compliance assistance tools used to accomplish
this objective include: Contractor Informational Packets distributed at
the initiation of each compliance evaluation; contractor seminars held in
each of the Regions; compliance assistance information posted on the ESA/OFCCP
web site: http://www2.dol.gov/esa/ofcp_org.htm;
and assistance available to any contractor upon request, either within or
outside the evaluation process. In late FY 2001, ESA initiated an evaluation
project to study the relative effectiveness of various types of compliance
assistance. The information gathered from this project should help guide
future compliance assistance efforts. Should ESA/OFCCP's compliance assistance
activities prove as effective as anticipated, ESA plans to expand this performance
goal by selecting additional industries from its contractor universe in
FY 2002 for measurement in FY 2003, following the same approach used to
identify industries in FY 2001. |
Operating Program: Office of Federal Contract Compliance Programs
Sustained Efforts in FY 2002:
- ESA will expand its compliance assistance plan and efforts and continue
its fair and balanced enforcement program with the tiered compliance evaluation
strategy. Each contractor and subcontractor selected for evaluation will receive
compliance assistance after the action is scheduled. In addition, targeted
contractors and subcontractors will receive compliance assistance outside
the evaluation process. (1.1D)
- ESA will continue to conduct compliance evaluations and complaint investigations
under all DOL authorities, including Executive Order 11246, Section 503 of
the Rehabilitation Act and 38 U.S.C. 4212 of the Vietnam Era Veterans Readjustment
Assistance Act (VEVRAA). In this manner, ESA will enhance its compliance evaluations
for supply and service contractors and subcontractors, individuals with disabilities,
and special and disabled veterans. (1.1D)
- ESA will utilize performance measurements and indicators to enable it to
focus compliance and technical assistance efforts to meet the goal established
in FY 2002. ESA/OFCCP's Strategic Formulation Team and Executive staff will
monitor program efforts. (1.1D)
- ESA will continue to utilize data submitted by Federal contractors on personnel
activity and other required reports. Electronic submission of data is offered
as a way to reduce contractor burden, and efforts will continue to facilitate
this process. Preparation and submission of this data advances self-audits
by Federal contractors. Additionally, electronic analysis of contractor-submitted
data expedites the entire ESA/OFCCP evaluation process, thereby increasing
the efficiency and effectiveness of the compliance assistance, outreach, and
technical assistance programs. (1.1D)
- ESA will continue promotion of industry best practices in EEO and anti-discrimination
programs by acknowledging employer efforts with the Exemplary Voluntary Efforts
Award, the Secretary's Opportunity Award, the Exemplary Public Interest Contribution
Award, and the Outstanding Partnership and Liaison Award. (1.1D)
- ESA will enhance customer service through interactive and personal public
education and compliance assistance training for federal contractor and partnership
groups. (1.1D) ESA will continue to disseminate model employer recruitment
practices and will assist contractors in identifying resources for recruiting
qualified individuals with disabilities, protected veterans, women, and minorities.
Such resources may include, but not be limited to, the nationwide network
of One-Stop Centers established by the Workforce Investment Act. (1.1D)
- ESA will continue regional outreach, education and compliance assistance
to Federal contractors and subcontractors on nondiscrimination and equal employment
opportunity. (1.1D)
Significant New or Enhanced Efforts in FY 2002:
- ESA will examine new methods for increased utilization of technology to
enhance program quality, availability, and interaction with stakeholders,
i.e., websites with sample contractor data for timely self-audits. (1.1D)
ESA Strategic Goal 2: Secure public confidence through excellence in
the management and delivery of ESA's programs and services.
ESA Performance Goals 2.1A - 2.1D
Assure the integrity and responsible stewardship of
ESA financial management, information technology and human resources
|
To align management systems and organizational initiatives with the Strategic
Plan, to support ESA's four major Program Offices in the accomplishment of their
goals, and to achieve organizational excellence, ESA has developed goals in
three key administrative management areas: financial management, information
technology, and human resources.
The FY 2002 indicators for performance Goals 2.1A 2.1D follow.
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote the economic security of workers and
families
|
3:
|
Quality Workplaces Foster quality
workplaces that are safe, healthy, and fair |
DOL Outcome Goal |
2.1: |
Increase Compliance with Worker Protection Laws |
2.2: |
Protect Worker Benefits |
3.2: |
Foster Equal Opportunity Workplaces |
ESA Strategic Goal |
2: |
Secure public confidence through
excellence in the management and delivery
of ESA's programs and services. |
ESA Performance Goal |
2.1A |
FY 2002: ESA will assure the integrity and responsible stewardship
of its financial management systems, meeting all fund control requirements
and using generally accepted internal control management practices, and
will achieve the fullest utilization possible of authorized FTE.
FY 2002:
ESA will obligate no less than 99% of FY 2002 budget authority while
not exceeding the amount allocated for any activity (per the final end-of-fiscal
year accounting reports). FTE utilization for ESA will be at least 95%
of authorized FTE ceiling.
FY 1999-2001: N/A.
|
Supporting Budget Activity |
Wage and Hour Division: P&F
Schedule Activity #1
Office of Federal Contract Compliance Programs: P& F Schedule #2
Office of Workers Compensation Programs: P&F Schedule #3
Office of Labor Management Standards P&F Schedule #5
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 1999 - FY 2001: N/A.
|
Indicator
|
Final fiscal year budget reports by activity that reflect the actual
obligations per the SF-133. Final fiscal year staffing and FTE Utilization
Reports by activity.
|
Data Source |
SF-133 end-of fiscal year reports; DOLAR$ Accounting Reports, People
Power Staffing and FTE Utilization Reports.
|
Baseline |
FY 2000: ESA obligated 99.8% of budgeted authority with one activity
(PDS) exceeding its allocation by approximately four tenths of one percent
(.4%).
FTE utilization was 95% of FTE ceiling with no activity exceeding its
FTE ceiling.
|
Comment |
The fund control portion of this goal is applicable
to general and trust fund appropriated amounts for ESA's five activities
- the Wage and Hour Division; Office of Federal Contract Compliance Programs;
Office of Workers' Compensation Programs; Program Direction and Support;
and the Office of Labor-Management Standards. Within the Office of Workers'
Compensation Programs, this goal applies to the Federal Employees' Compensation
Program; the Longshore and Harbor Workers' Compensation Program (general
and trust fund); and the Disabled Coal Mine Workers' Compensation Program
(Black Lung). It does not include any of the no-year accounts such as the
FECA Fair Share funding in the Special Benefits account or the Energy Employees'
Occupational Illness Compensation Program. It also does not include funding
deriving from any of the non-trust fund offsetting collections such as the
H-1B User Fees, Civil Money Penalties, or the reimbursable agreement with
the Social Security Administration which transferred the administrative
management of Part B claims from SSA to DOL/OWCP. The FTE utilization portion
of this goal applies to all accounts. |
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote the economic security of workers and
families
|
3:
|
Quality Workplaces Foster quality
workplaces that are safe, healthy, and fair |
DOL Outcome Goal |
2.1: |
Increase Compliance with Worker Protection Laws |
2.2: |
Protect Worker Benefits |
3.2: |
Foster Equal Opportunity Workplaces |
ESA Strategic Goal |
2: |
Secure public confidence through
excellence in the management and delivery
of ESA's programs and services. |
ESA Performance Goal |
2.1B |
FY 2002: Develop modifications to the ESA IT infrastructure/architecture
in support of upcoming E-Government and mission-related applications and
services; begin modernization of ESA's office automation capabilities
leveraging commercial off-the-shelf (COTS) software in conformance with
the Department's IT architecture; continue centralization, expansion and
life-cycle replacement of ESA's IT infrastructure.
FY 1999:
Expand web capabilities to support increased public information via
Internet in support of Agency public awareness and outreach efforts.
FY 2000:
Expand WAN to provide increased performance and scalability of access
to ESA Information Systems for Regional staff; upgrade remote access
to provide more services to flexiplace workers; and develop a "warm/hot"
site capability for ESA IT applications and service.
FY 2001:
Provide hardware and software design and maintenance support to ESA's
IT infrastructure and support Program-related IT needs; define, design
and begin implementation of modifications to ESA's IT architecture to
support the development of external web-based Agency applications; expand
the ESA WAN and deploy technologies to efficiently use telecommunications
capabilities to provide increased performance and scalability of access
to ESA Information Systems for ESA field staff; enhance the capabilities
of the "warm/hot" site; and provide continuing support for
ESA's mission critical IT systems through the negotiation, purchase
and installation of a new Database Management System licensing agreement.
|
Supporting Budget Activity |
Wage and Hour Division: P&F
Schedule Activity #1
Office of Federal Contract Compliance Programs: P& F Schedule #2
Office of Workers Compensation Programs: P&F Schedule #3
Office of Labor Management Standards P&F Schedule #5
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 2001: The goal was met. ESA completed all work associated with this
goal. During the year, ESA developed requirements for current and planned
database/application needs and used those requirements to identify potential
products that would allow ESA to continue seamless operation of its application
infrastructure, as well as guide ESA systems and operations towards a
target architecture compatible with ESA's business process re-engineering
and Government Paperwork Elimination Act (GPEA)-related activities.
Potential products were evaluated, vendors provided presentations on
their products, and a new database licensing agreement was procured. Work
on migration planning was also undertaken.
In preparation for business re-engineered systems and operations, and
to ensure that ESA is continually meeting the needs of its internal and
external customers, ESA evaluated its existing infrastructure and identified
new products and services, some of which were purchased and implemented,
such as telecommunications upgrades and enhancements. Other new products/services/enhancements
were planned for during FY 2001, but will be carried out in FYs 2002 and
2003. Because of the successful prototyping of one new technology, which
minimizes bandwidth use for client-server applications, ESA was able to
implement the Department's Automated Time and Attendance System nationwide.
Work continued on preparation of ESA's alternative "warm/hot"
site with the purchase, installation and operation of equipment, which
allows for some redundancy of data processing. In addition, telecommunications
capabilities were purchased to allow alternate remote access processing.
ESA also hired personnel to modify and enhance its IT contingency and
disaster recovery plans. Throughout the year, ESA continued to build on
its FY 1999 goal of increasing access to public information via the Internet.
Changes were made to all ESA Programmatic web sites to provide additional
guidance, forms and proposed legislative requirements. In addition, a
new series of web pages related to the Energy Employees Occupational Illness
Compensation Program was added.
FY 2000:
The goal was met. ESA completed both phases of its plan to increase
the performance and scalability of its infrastructure, as well as the
development of an alternative site which will ensure that IT support
of critical business processes will continue in spite of an external
or internal disruption. In addition, ESA developed, and successfully
prototyped, a new technology which will minimize bandwidth use for client-server
applications. This will allow ESA to rollout the Department's Automated
Time and Attendance System to its field offices in FY 2001.
Work continued on increasing and expanding ESA's web presence during
the quarter. The Division of Statutory Services within the Office of
Labor-Management Standards developed a web presence which provides ESA
customers with documents related to Mass Transit Employee Protections.
The Federal Employees' Compensation Program website was revised to add
an electronic version of a handbook on injury compensation for Federal
employees and begin adding Volume 49 of the Employees' Compensation
Appeals Board (ECAB) decisions to its Resource Library.
FY 1999:
This goal was met. Using elaws, an interactive Departmental
Internet system that provides advice and information on specific laws
or regulations based on a user's particular situation, added access
to Fair Labor Standards Act information to help employers and employees
understand. FLSA requirements. Expanded ESA Internet site to include
a section on the Freedom of Information Act (FOIA), which includes information
on how to make a FOIA request and Reading Room material. Created a series
of web pages related to Labor Departments in the States, which include
a listing of each State's main office, minimum wage rates, and State
laws affecting the employment of minors.
Deployed several major program-related critical application upgrades,
including 100% field investigator access to WHISARD, Wage and Hour's
client server investigation system. Completed initiative to provide
network connectivity to all ESA offices (all ESA offices 100% connected
to the ESA network) which will be the basis for increased Internet and
Intranet access. Finalized plans for implementation of architecture
necessary to support expanded web-based Agency applications and expansion
of the ESA Wide Area Network. Increased Internet access in field offices
and ensured Agency-wide access to DOL Lifelong Learning initiative.
|
Indicator
|
Successful implementation and operation of an increased number of E-Gov
services provided to the public, businesses and other government agencies
and the ongoing availability of those services. Increased functionality
of E-Gov services and capabilities.
Successful implementation and operation of an increased number of administrative
and program-specific applications and services, operating at a centralized
level, provided to the ESA field office employees and the ongoing availability
of those applications and services. An increase in the amount of mission-related
data housed on the ESA infrastructure. Migration of the Division of Coal
Mine Workers' (DCMWC) General Support System into the primary ESA IT Infrastructure
and modernized office automation environment
|
Data Source |
Collection of applications and services housed on the ESA Internet, which
provide E-Gov capabilities to the public, businesses and other government
agencies.
Collection of applications and services provided to the ESA employees
and data server disk space utilization reports.
Project management plans and related status documents.
|
Baseline |
In FY 1999, ESA provided e-mail, limited Intranet
and Internet services (informational only), approximately one (1) program-specific
application per program (WH, OFCCP, OLMS), and no administrative applications
to the ESA field office employees. ESA currently supports two General Support
Systems. |
Comment |
ESA will continue to identify and expand opportunities,
such as the increasing capabilities of the Internet, to improve delivery
of program services to ESA internal and external customers. ESA will also
continue to ensure that its' IT infrastructure operate in an efficient and
effective manner and is capable of supporting service delivery through continued,
planned renovation and expansion. |
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote the economic security of workers and
families
|
3:
|
Quality Workplaces Foster quality
workplaces that are safe, healthy, and fair |
DOL Outcome Goal |
2.1: |
Increase Compliance with Worker Protection Laws |
2.2: |
Protect Worker Benefits |
3.2: |
Foster Equal Opportunity Workplaces |
ESA Strategic Goal |
2: |
Secure public confidence through
excellence in the management and delivery
of ESA's programs and services. |
ESA Performance Goal |
2.1C |
FY 2002: Continue implementation of mitigation action plan and identify
and put in place additional security controls as required by Federal laws,
regulations and guidelines or identified during audits or reviews; continue
implementation of ESA Computer Security Awareness and Training (CSAT)
Program; review and enhance ESA's infrastructure and related tools to
ensure ESA's IT environment is secure, including continued development
of ESA's alternate ("warm/hot") site and revision of the ESA
IT Contingency/Disaster Recovery Plan. Begin first phase of reviews/revisions
of system security plans and risk-based assessments of Major Applications
and the General Support System.
FY 1999:
Complete ESA IT Security plan and begin implementation of
additional controls and measures in accordance with OMB Circular A
130.
FY 2000:
Perform vulnerability assessment as required by PDD 63 Critical Infrastructure
Plan and revise ESA's IT Disaster Recovery Plan.
FY 2001:
Develop and implement an action plan to mitigate vulnerabilities identified
in risk assessments conducted in FY 2000. Update ESA's system security
and contingency/disaster recovery plans as necessary; develop and begin
implementation of a comprehensive agency-wide Computer Security Awareness
and Training Program; and, review and enhance ESA's infrastructure and
related tools to ensure ESA's Information Technology (IT) environment
is secure.
|
Supporting Budget Activity |
Wage and Hour Division: P&F
Schedule Activity #1
Office of Federal Contract Compliance Programs: P& F Schedule #2
Office of Workers Compensation Programs: P&F Schedule #3
Office of Labor Management Standards P&F Schedule #5
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 2001: This goal was met. This goal was to be measured by the number
of Internet-based self-services provided to ESA's customers as well as
by the increase in the number of administrative and program-specific applications
and services provided to ESA's internal customers.
In terms of Internet services, ESA made changes in every Program area's
web-presence as well as adding a whole new series of web pages related
to the new Energy Program. Those pages included draft forms, links to
other government agencies with information and resources needed by Energy
Program customers, and a "Travel Resource Center" which informs
customers where they can go during a particular period to file their claims.
Elsewhere within the Office of Workers' Compensation Programs, OWCP updated
its main web pages to
provide information on events surrounding the September 11 attacks, added
forms, regulations and contact information for the Federal Employee Safety
and Health Initiative, including statistical information on the Initiative;
and added forms and the Longshore Procedure.
FY 2000:
The goal was accomplished. Vulnerability assessments were completed
(and submitted to the Office of the Chief Information Officer) for all
major and general systems as well as system security plans. This included
a vulnerability assessment and system security plan for the ESA general
support system (LAN/WAN).
In addition to system security, ESA began the first in a series of
improvements to its computer rooms. Revised physical security controls
were implemented in both the National Office and Philadelphia, and preparations
were made for the installation of similar controls in the Chicago regional
office. Additionally, ESA developed and implemented a Computer
Room Access Policy. Other ESA IT policies and procedures are also being
reviewed and revised, as necessary, to ensure that security is appropriately
addressed at all levels of ESA IT operations.
ESA began to address disaster recovery and, developed an alternative
site to ensure that IT support can be provided to critical mission functions
in the event of an external or internal disruption. ESA's Disaster Recovery
Plan was not revised, however. ESA is participating in Department-wide
efforts to define a DOL-wide disaster recovery framework and has not
revised its Plan pending the completion of this effort. The Plan will
be revised in FY 2001, dependent on the completion of the DOL-wide effort.
FY 1999:
Goal was met. Security Plan was submitted for review by Office of the
Chief Information Officer and Office of the Inspector General staffs.
Their recommendations are incorporated into the Plan. Additional safeguards
were put into place during the year including: update of the change
management control process; development and implementation of procedures
for authorizing user accounts; inventories of IT hardware, software,
LANs and WANs, as well as Critical Physical Assets were completed; and,
in-depth contingency plans were developed to ensure business continuity.
Planning for ESA's vulnerability assessment was also completed.
|
Indicator
|
Increase in the number of vulnerabilities mitigated and decrease in the
number of vulnerabilities identified in new audits or reviews.
Completion of FY 2002 CSAT training activities by the scheduled deadline.
Completion of two risk-based re-assessments and revision of two system
security plans.
Completion of initial revision of the ESA IT Contingency/Disaster Recovery
Plan, including inventories.
|
Data Source |
ESA IT Security Plans.
ESA Risk-Based Assessments.
ESA IT Security Program Plan.
OIG and Independent Audit Review documentation.
ESA Plans of Action and Mitigation.
Training and Personnel Records.
Project management plans and related status documents.
ESA Incident Report Logs. |
Baseline |
FY 2000 ESA IT Security Plans and Risk Assessments.
FY 2001 ESA IT Security Program Plan.
FY 2001 Plans of Action and Mitigation |
Comment |
Because information technology plays a significant
role in the efficient delivery of mission-critical services, it is critical
to safeguard ESA information and information systems. Based on risk assessments,
audits, and internal and independent reviews, ESA will continue to mitigate
identified vulnerabilities.
In addition, ESA will continue to ensure that its system security plans
and its contingency/disaster recovery plan are kept current and that continues
to prepare the alternate site for operation in the event of a disaster.
Because end-users often serve as the first line of security, ESA will implement
a comprehensive, agency-wide Computer Security Awareness and Training Program
to ensure that all ESA users understand their roles and responsibilities
in ensuring the confidentiality, integrity and availability of ESA information
and information resources. |
DOL Strategic Goal
|
2:
|
A Secure Workforce Promote the economic security of workers and
families
|
3:
|
Quality Workplaces Foster quality
workplaces that are safe, healthy, and fair |
DOL Outcome Goal |
2.1: |
Increase Compliance with Worker Protection Laws |
2.2: |
Protect Worker Benefits |
3.2: |
Foster Equal Opportunity Workplaces |
ESA Strategic Goal |
2: |
Secure public confidence through
excellence in the management and delivery
of ESA's programs and services. |
ESA Performance Goal |
2.1D |
FY 2002: ESA's Division of Human Resource Management (DHRM)
provides effective personnel management systems support to all ESA
programs, including direct support for the implementation of ESA's
Workforce Planning and Restructuring Plan, as indicated by:
In FY 2002, create and disseminate on a nationwide basis, prototype
rating/evaluation factors and KSAs (knowledges, skills and abilities)
for entry level up to the full performance level of the major occupational
position of OFCCP, the GS-360 Equal Opportunity Specialist.
FY 1999 - FY 2001: N/A.
|
Supporting Budget Activity |
Wage and Hour Division: P&F
Schedule Activity #1
Office of Federal Contract Compliance Programs: P&F Schedule #2
Office of Workers Compensation Programs: P&F Schedule #3
Office of Labor Management Standards P&F Schedule #5
Program Direction and Support: P&F Schedule Activity #4 |
Performance Results |
FY 1999 - FY 2001: N/A. |
Indicator
|
Prototype rating/evaluation factors and KSAs
are developed and delivered. |
Data Source |
Records of task accomplishments related to development
of rating/evaluation factors and KSAs. |
Baseline |
As of FY 2001, there are no standardized "prototype"
rating/evaluation factors or KSAs in use within ESA. |
Comment |
There are four major occupational series, one
within each program, which collectively represent almost three fourths of
ESA's entire workforce. To date ESA has never attempted to create standardized
"prototype" rating/evaluation factors and/or KSAs for these positions. |
ESA's Means and Strategies:
Operating Programs:
Wage and Hour Division
Office of Federal Contract Compliance Programs
Office of Workers' Compensation Programs
Office of Labor-Management Standards
Program Direction and Support
Sustained Efforts in FY 2002:
- ESA will continue to strengthen and modernize its financial systems to keep
pace with new and emerging financial requirements; and maintain a strong and
positive working relationship among ESA's financial community and with the
DOL Office of the Chief Financial Officer (OCFO) and the Office of the Assistant
Secretary for Administration and Management, Office of Budget (OASAM-OB),
to address any internal control and weaknesses identified. (2.1A)
- ESA will continue to work with the OCFO in maintaining a system to allocate
program costs at the Departmental Outcome Goal level. (2.1A)
- ESA will continue to improve financial system compliance and overall financial
management by working collaboratively with ESA Program Offices, the OCFO and
the OIG in implementing new financial standards and requirements. Additionally,
ESA will proactively maintain a system of accountability reviews throughout
ESA both administratively and programmatically and also maintain a tracking
and reporting system to correct both internal control problems and compliance
issues with financial laws and regulations that may be identified in audits
and management accountability reviews. (2.1A)
- ESA will provide analysis and work with the programs and OB upon enactment
of an appropriation to ensure that the apportionment request and related exhibits
reflect a realistic object class distribution of funds and a realistic and
affordable FTE ceiling. (2.1A)
- In collaboration with ESA's five activities, ESA will prepare financial
forecasts each month (following the first quarter of a new fiscal year) that
will track each program's actual and anticipated obligations compared to the
total availability per the apportionment request. The comparison of actual
obligations will also apply to the object class distribution as portrayed
in the apportionment request. (2.1A)
- ESA will, if necessary, prepare analysis and work with the programs and
OB late in the third quarter or early fourth quarter of each fiscal year to
determine if object class adjustments are needed to reflect revised estimates
of obligations by object class. If necessary, an object class adjustment request
will be prepared in DFM and forwarded to the Department for consideration.
(2.1A)
- ESA will, through the People Power budget control/approval process, ensure
that approvals for new positions are consistent with FTE and position ceilings
by activity and by location (at the Regional/National Office level). ESA will
coordinate with the ESA Programs and with DHRM to ensure that the number of
available, approved positions is periodically updated and consistent with
the FTE and position ceilings. (The number of available, approved positions
will always be higher than the FTE or position ceiling, but should not be
excessively higher (i.e. more than 10%)). (2.1A)
- ESA will utilize the staffing and FTE utilization report capabilities of
People Power to provide the programs and the Assistant Secretary reports on
staffing levels and FTE utilization. Severe under- or overstaffing issues
will be brought to the attention of the Assistant Secretary through the budget
forecast meetings or other means. (2.1A)
- ESA will continue efforts begun in FY 2001 to enhance and support its Information
Technology Systems, which provide services to 5,000 ESA employees and an ever-growing
user base of external customers. Sustained operations of the mission-critical
and administrative systems are crucial in support of the Agency and Program-specific
mission, goals and strategies. (2.1B)
- ESA will continue to expand services and capabilities of its IT infrastructure/architecture
to allow increasing demand and innovative approaches of the Programs to deliver
services to its internal and external customers. This will include implementation
of changes to the ESA IT Infrastructure/architecture to support E-GOV activities.(2.1B)
- ESA will continue to implement new, and enhance existing safeguards that
protect ESA's information and information systems. Additional policies and
procedures, risk mitigation plans and hardware, software and physical controls
will be evaluated, and where feasible, implemented. (2.1C)
- ESA will continue efforts to revise its' contingency/disaster recovery plans
and to prepare an alternate operations site. (2.1C)
- In support of the "recruitment and retention" initiatives of
the ESA Workforce Planning and Restructuring Plan, beginning with OFCCP in
FY 2002 and continuing with the Wage Hour Division in FY 2003, ESA will work
with each of its four program offices to develop standardized "prototype"
rating/evaluation factors and KSAs (knowledges, skills and abilities) for
entry level up to the full performance level for each of the four major
occupational positions within ESA. (2.1D)
- The creation and dissemination of these factors and KSAs will expedite the
process of posting vacancy announcements and certifying eligible candidates,
and will also promote nationwide consistency of the hiring process within
ESA. Effective recruitment and placement of front-line personnel into ESA's
key professional positions will contribute to an increase in overall productivity
resulting in an increase in the number of beneficiaries served and in the
number of compliance assistance activities completed. (2.1D)
- ESA will continue to participate in the Department's People Power Project
in the development, design and implementation of further enhancements for
a fully integrated on-line system in the budget, training and payroll functions.
The system will ultimately incorporate the recruitment process, labor relations,
health/safety, payroll, time and labor, benefits administrations, and succession
and career planning. ESA will participate in the
planning and requirements sessions to provide input in the development of
the future applications how they should operate and how they can best
serve the system's clients: the administrative communities that will utilize
this Departmental system and their employees. (2.1D)
The Employment Standards Administration recognizes the need for an Information
Technology (IT) infrastructure that meets its daily operational requirements
and satisfies the data collection, validation, analysis, and information dissemination
that is central to GPRA.
We have made significant progress in improving our performance measurement
and continue to refine those systems. For example, in FY 2000, OWCP established
a new case tracking database to measure reduction of lost production days for
serious injuries and greatly expanded this database to support the goal of measuring
lost days in all federal employee injuries.
ESA has several performance measurement systems in place that provide reliable
data that are used to: 1) establish baseline performance, 2) evaluate current
performance, and 3) set goals for future performance. These include the following:
- Because there is no unbiased database on labor standards violations or compliance,
Wage and Hour faces a major challenge in determining industry-wide levels
of compliance and measuring changes in that compliance. To meet this challenge,
Wage and Hour's Investigative Support and Reporting Database (WHISARD) system
records data about the results of investigations and provides information
about levels of compliance.
To determine the impact of its efforts, Wage and Hour has developed a statistically
sound method for establishing baselines and measuring compliance that uses
investigation-based compliance surveys of targeted industries and areas.
WHISARD provides the capability to electronically (1) track these surveys
or other strategic initiatives and (2) report their findings. Data on the
outcomes of repeat investigations will also be used to evaluate the relative
effectiveness, or return on investment, of the various types of interventions.
- The Office of Federal Contract Compliance Programs' performance reports
are derived from data contained within the Case Management System (CMS) and
extracted from CMS using automated programs. CMS data are input by front-line
staff responsible for initial production, then administered and reviewed by
program managers who oversee those employees or administrative units. Performance
data within CMS is compiled via automated processes and is continuously accessible
on a real time basis to field and national office management via the Executive
Information System. OFCCP staff reviews results continuously. Through software
and hardware enhancements, field mangers are now able to access CMS data to
tract the accomplishments of individual organizational units.
- As it formulated new strategies for the FECA program, OWCP developed increasingly
sophisticated databases detailing the case histories of injured federal workers.
These systems allow tracking of the goal of reducing lost production days,
but also permit precise evaluation of various program initiatives such as
the impact of alternative return to work techniques on various groupings of
employees or injury categories.
The FEC automated system is undergoing a complete redesign covering every
major DFEC operation. The redesign will replace a patchwork of loosely-linked
programs, each with its own database and rules, and provide a single ADP
system that will make data accessible to all users. This redesign will allow
FEC claims staff to work more efficiently while providing improved customer
service to injured workers, medical providers, and employing Federal agencies.
- The Labor Organization Reporting System documents report filing by labor
organizations under the Labor-Management Reporting and Disclosure Act (LMRDA)
and related laws. Data in the system is used in monitoring compliance with
reporting requirements and administering public disclosure responsibilities.
The OLMS Case Data System documents case status activity and results. Both
systems are used for overall LMRDA program administration and enforcement.
ESA has developed measurement systems to track performance against the goals
and objectives in the Strategic and Annual Performance Plans, and will be responsible
for ensuring that the measures meet appropriate statistical requirements (i.e.
the measures are reliable and valid.) By the beginning of FY 1999, ESA had developed
measurement systems for strategic and performance planning purposes, including
defining measures and establishing baselines. As appropriate, we continue to
refine those measures.
Each of ESA's Program Offices maintains controls over its data to ensure quality.
All ESA data currently meets the requirements established by the most recent
OMB A-11 guidance. Each major program area in ESA collects and tracks data with
the method that best serves the unique program requirements.
The Wage and Hour Division (WHD) has an ongoing contract with the University
of Tennessee to provide technical assistance in the design and conduct of compliance
surveys. Extensive steps are routinely taken to ensure the integrity of Wage
and Hour Division compliance estimates. This is achieved through the maintenance
of high standards of data collection, editing, processing, and analysis. Procedures
have been developed with the assistance and guidance of survey and statistical
experts from the University of Tennessee and the Bureau of Labor Statistics.
WHD utilizes a management consulting firm to assist in the assessment and identification
of performance goals and indicators that more fully communicate WHD's mission
and impact and acknowledge core compliance work, i.e., the complaint-based intervention,
without abandoning performance indicators aimed at low-wage workers.
The Office of Workers' Compensation Programs' performance reports are based
upon data derived from standard reports, data collections processes, or using
automated data extraction programs (or a contractor's report of customer survey
results). Program managers directly responsible for initial production review
this data. The performance data is then compiled in a separate operation in
the Division of Planning, Policy and Standards, and then distributed widely
to field managers and national office reviewers. Performance results undergo
continual scrutiny as they are reviewed and published numerous times during
each fiscal year for various internal and external reporting purposes. Senior
managers then review final performance reports for issuance in formal reporting.
In the Office of Labor Management Standards the reported data regarding timely
report filing by labor organizations derives from the newly implemented labor
organization report system (e.LORS) that supports agency administration of the
LMRDA reporting program. e.LORS documents the receipt and processing of filed
labor organization reports and other information required to administer the
LMRDA program. The e.LORS data is closely monitored and reported on a regular
basis for purposes of program administration and management, which ensures completeness
and accuracy in reported performance results.
In addition to the above data reviews in each of the major program areas in
ESA, the Assistant Secretary monitors performance against each of the performance
goals on a quarterly basis. This provides another management review which includes
the opportunity to regularly track performance and evaluate the effectiveness
of the supporting strategies to maintain a focus on goal achievement.
The Office of Inspector General conducts audits under the Chief Financial Officer's
Act and GPRA to verify measured values of actual performance by all agencies
of the Department. This strategy includes conducting, at various points during
the course of the fiscal year, quality reviews of databases that capture performance
data, and inspections of regional, area, and field offices to ensure the integrity
and completeness of reported data.
ESA's Program Offices include the integration of customer service concerns
into their day-to-day operations. ESA customers' feedback is instructive in
measuring how well services are provided, identifying how services might be
better delivered, and determining whether ESA's program goals effectively address
customers' needs. ESA Program Offices, as part of their service delivery initiatives,
conduct customer surveys, using appropriate sampling techniques, to obtain feedback
at a reasonable cost. Thus, the quality of ESA employees' interaction with their
customers is an important element in measuring program success. As a result,
any assessment of ESA programs must focus not only on performance results data,
but also address how well customers' needs are being met. The reliability, responsiveness,
and the soundness of technical assistance provided will be measured, for example,
as ESA employees process and pay claims for workers' compensation programs,
respond to worker complaints, assist employers in meeting workplace standards,
issue "plain English" regulations, or provide technical assistance.
Customer surveys are used by ESA's programs to survey their customers' expectations
and experiences and analyze the effectiveness of their programs.
GAO and the Congress have expressed a continuing interest in the need for Federal
agencies to apply cost accounting standards to program performance. Early on,
ESA participated in a Departmental work group effort to implement the accounting
provisions of GPRA and the Federal Financial Management Improvement Act (FFMIA).
The Department has had a cost accounting system in place that meets the Federal
Accounting Standards Advisory Board's Managerial Cost Accounting standard and
is phasing in expanded program agency use of the system. The Department and
ESA have been reporting costs associated with the Departmental Strategic and
Outcome Goals since FY 1999. Each year, ESA has reported the costs associated
with the ESA performance goals that support the Departmental Strategic and Outcome
goals.
The accomplishment of the performance goals outlined in ESA's FY 2002 Annual
Performance Plan requires coordination and integration of programs and activities
not only within ESA but also among other DOL, Federal government, and State
and local government agencies. ESA participates in DOL crosscutting budget initiatives.
ESA's coordinated efforts are centered on the Departmental Strategic Goal 2:
A Secure Workforce. In accomplishing these Departmental goals ESA will also
accomplish its crosscutting strategic goals to:
EMPLOYMENT STANDARDS ADMINISTRATION
Strategic Goals
Create better workplaces by increasing employer and employee
awareness of, commitment to, and involvement in assuring fair wages
and equal employment opportunity, minimizing the impact of work-related
injuries, and safeguarding union democracy; and
Secure public confidence through excellence in the management
and delivery of ESA's programs and services.
|
ESA places a high priority on ensuring that the agency operates its programs
in a coordinated, efficient, and effective way. ESA's efforts in this sphere
are key to accomplishing the FY 1999 - 2004 strategic goals, the FY 2002 Performance
Goals, and to supporting the complementary goals and strategies of its many
partners.
An important ESA objective is to ensure that cross-cutting efforts lead to
program goals that are complementary, not redundant. This is accomplished through
collaboration with other DOL agencies and helps to identify issues and problems
that must be addressed. The collaboration leads to the development of mutual
strategies for attaining goals and other appropriate measures that can be used
to gauge program success.
Because it is the Departmental Strategic and Outcome goals that all DOL Agencies
have in common, this section is presented by the two DOL Strategic and three
DOL Outcome goals supported by ESA's four major Program Offices.
DOL Strategic Goal 2 A Secure Workforce
Outcome goal: Protect worker benefits
The ESA/OWCP Federal Employees' Compensation Act (FECA) program involves every
Federal agency in the filing and management of injury compensation claims, providing
services to injured workers, and assisting in the effective administration of
the FECA program. For example, the FECA program coordinates with the Office
of Personnel Management on matters of benefit elections, and in some specialized
claims, with State and local police agencies on matters of entitlement and benefits.
Federal agencies that undertake special initiatives related to management of
their injured employees' claims work closely with FECA program offices at the
national and regional levels to evaluate best practices. Other efforts improve
communication and cooperation to reduce lost productivity due to workplace injuries.
Through FECA's Agency Query System (AQS), the Department provides secure, on-line
information to enable agencies to provide better service to their injured employees
and assist in FECA claims processing and case management. In new injury cases,
the Department assigns nurses to coordinate among injured workers, agencies,
and medical providers to resolve issues and facilitate recovery and return to
work.
ESA/OWCP is working with all Federal agencies to improve timeliness of injury
claims submissions in part through expansion of electronic for claims
submission and to increase re-employment opportunities, and has established
ongoing measures of agency performance, which are posted on the Internet.
ESA/OWCP and OSHA work with Federal agencies to reduce new workplace accident/illness
rates, speed the timeliness of reporting new injuries to the Department of Labor,
and reduce lost production days rates. ESA/OWCP continues to work with Federal
agencies by intervening in lost time cases, providing case management, and tracking
disability time lost during the Continuation of Pay period immediately following
an injury. ESA/OWCP measures agencies' performance against the Lost Production
Days goal on its website, http.//www.dol-esa.gov/fesii. ESA/OWCP tracks and
posts agency (and sub-agency) performance in terms of timely injury notice submission.
ESA/OWCP works in tandem with OSHA and the Office of Disability Employment Policy
to help agencies reduce accidents/illnesses and speed return to work.
ESA/OWCP has primary responsibility under the Energy Employees Occupational
Illness Compensation Program Act (EEOICPA), issuing compensation and medical
benefits to eligible applicants, but must also coordinate with three other Federal
departments to ensure the successful administration of this program. The Department
of Energy's Office of Worker Advocacy assists workers in filing state workers'
compensation claims and providing exposure histories at Federal facilities where
covered workers were employed; the Department of Health and Human Services is
responsible for establishing guidelines and conducting reconstruction of radiation
exposures which may be related to a worker's cancer; and the Justice Department
is obligated to notify uranium workers eligible for benefits under the Radiation
Exposure Compensation Act that they may also receive compensation under the
energy workers' program. Under a memorandum of understanding with the Social
Security Administration (SSA), ESA/OWCP's Division of Coal Mine Workers' Compensation
administers and monitors benefit payments and provides claims maintenance services
for claims previously approved by SSA.
ESA's strategic planning includes a management framework for linking the program,
administrative and management operations of the agency's four major programs.
Performance goals in these areas appear in the ESA FY 1999 FY 2004 Strategic
Plan and in this FY 2002 Annual Performance Plan.
During FY 1999, the Department developed a new, enhanced Strategic Information
Technology Plan covering FY 2000 FY 2004 as required by the Information
Technology Management Reform Act (ITMRA). The Plan supports DOL business and
performance planning needs and establishes a framework to align information
technology resources with the Department's missions, goals, and objectives.
In addition to defining IT strategic focus areas and implementation strategies,
the Plan identifies the need for complete, accurate and timely management information
at the Program level needed to support the Department's implementation of GPRA
and related program measurement and evaluation activities. ESA participated
in a Department-wide effort to develop the Department's IT Plan and used that
participation to assure consistency with ESA's GPRA and IT planning.
Programmatic, as well as legislative requirements, will require ESA to continue
enhancing and expanding its Information Technology (IT) environment to ensure
the efficient delivery of ESA mission-critical services. Whenever practical,
ESA Programs will share IT resources to increase efficiency and minimize costs.
Enhanced and expanded technology allows better delivery of services to the employers
and employees served by ESA Programs. employees, nationwide, will have the tools
and technology to effectively carry out the goals of their Programs. For example,
cooperative efforts are enhanced as investigators and compliance officers are
able to access the latest databases for information while on-site with an employer.
This ready access enables staff to quickly access or provide other information
while conducting an investigation or compliance visit. Such timely information
will also help employers meet the requirements of the laws and regulations that
ESA enforces.
In FY 2002, ESA will build on existing efforts to extend capabilities and services
to front-line workers. This will include deployment of more administrative and
Program-specific applications. ESA will also continue its efforts to utilize
the Internet and web-based technologies to increase services to its customers.
For example, the Internet can be used to provide up-to-date information to all
ESA customers that have access to the Internet. Services such as outreach and
education help desks, and customer self-service centers can be provided through
this technology. This technology can also be used to collect data from ESA customers,
reducing the burden of having customers fill out and mail in paper forms. During
FY 2002, ESA will define, design and begin implementation of modification to
its infrastructure/architecture in order to support the development of E-GOV.
Finally, ESA will continue centralization efforts, which are aimed at decreasing
costs and increasing the efficiency of the ESA IT Infrastructure.
Because information technology plays a significant role in the efficient delivery
of mission-critical services, it is critical to safeguard for ESA information
and information systems. ESA will continue to evaluate and enhance its' IT infrastructure/architecture
to ensure the security of Agency information/information systems. Based on risk-based
assessments, audits, and internal and independent reviews, ESA will continue
to mitigate vulnerabilities and weaknesses. In addition, ESA will continue to
ensure that its system security plans and its contingency/disaster recovery
plan are kept current, and will continue develop of an alternate operations
site to be used in the event of a disaster.
Because end-users often serve as the first-line of security, ESA will continue
implementation of a comprehensive, agency-wide Computer Security Awareness and
Training Program to ensure that all ESA users understand their roles and responsibilities
in ensuring the confidentiality, integrity and availability of ESA information
and information resources.
The Department maintains a pro-active management system that is responsive
to audit recommendations identified by the General Accounting Office (GAO) and
the Department's Office of the Inspector General (OIG). The OFCO, DOL Agencies,
the OIG and the GAO continue to jointly maintain a system for tracking audit
recommendations to resolution and closure. This system provides source data
from periodic reports to the Department's senior management on the status of
corrective actions responsive to audit recommendations, and serves the Department
well in maintaining a results-oriented approach to audit resolution. The Department's
Management Control Policy Board, consisting of senior mangers from each Agency
of the Department, including the OIG, will continue to identify material weaknesses
that need to be corrected and reported to the President and the Congress as
prescribed in the Federal Managers' Financial Integrity Act.
None of the Department or ESA's programs are the subject of management weaknesses
reported in the current GAO high risk audit series.
ESA ensures the adequacy of management controls by combining elements of internal
systemic checks and centralized oversight. The Program offices conduct schedules
of internal review which include systems of annual planning, management reports,
case quality analyses, surveys, and formalized accountability reviews designed
to ensure that programs are achieving planned results and to identify and rectify
the causes of any failures. The focus of these activities also includes proper
use of resources and prevention of waste, fraud and mismanagement. The results
of the individual Program surveys and reviews are tracked by the Division of
Financial Management with particular respect to the provisions of OMB Circular
No. A-123, Management Accountability and Control. The objective is to ensure
that the system of management controls is working effectively in each of the
Programs to achieve the intended results to protect resources from waste,
fraud and mismanagement; to conform to laws and regulations; and to obtain information
for decision-making.
ESA is committed to obtaining and maintaining a clean audit opinion in the
Department's Annual Financial Statement Audit. Such an opinion will demonstrate
that ESA's financial systems are free from any material non-conformance with
applicable laws, regulations or accounting policy and procedure standards. ESA
is also committed to maintaining a strong system of financial internal control
to evaluate and identify policies and procedures that need to be strengthened
to ensure financial system integrity and reliability. This will be accomplished
by working collaboratively with the OCFO and the OIG to implement new financial
standards and requirements; by proactively maintaining a system of accountability
reviews throughout ESA both administratively and programmatically; and by maintaining
a tracking and reporting system to correct both internal control problems and
compliance issues with financial laws and regulations that may be identified
in audits and management reviews. By correcting these problems as they are being
identified, our financial management can be continually enhanced.
The Federal Financial Management Improvement Act (FFMIA) requires federal agencies
to report to Congress whether financial management systems substantially comply
with the Federal financial management systems requirements, applicable Federal
accounting standards, and the United States Government Standard General Ledger
(SGL) at the transaction level. Several years ago the OIG identified compliance
issues relating to two ESA financial systems. The Civil Money Penalty (CMP)
system and the Backwage Collection and Disbursement System (BCDS) were determined
not to be in substantial compliance with FFMIA in that the systems did not process
financial information effectively and efficiently and did not provide complete,
timely, reliable and consistent information. ESA developed specific action plans
to bring these systems
into compliance and specific actions were implemented. The OIG has issued findings
that as of FY 2001 these systems were found to be in substantial compliance.
A management control process is in use within ESA to monitor internal controls
to ensure that ESA systems will continue to meet all FFMIA requirements in the
future.
ESA will ensure strong fund control by working with ESA programs and providing
funding analysis to assist in program apportionment requests, related budget
exhibits and object class distributions. In addition, ESA will prepare monthly
financial forecasts showing the actual and anticipated obligations against apportioned
funding levels and reviewing actual object class expenses against planned object
class distribution. Additional analysis will be done during the third and fourth
quarters of each fiscal year to ensure funding objectives are being met and
if necessary appropriate adjustments can be made timely to reflect revised estimates.
ESA will ensure strong FTE ceiling management by working with ESA programs
and providing analysis to assist programs in establishing realistic and affordable
FTE ceilings. In addition, ESA will use, on a monthly basis, the control and
approval processes provided by the People Power system to ensure that approval
of new positions are consistent with ESA's FTE plan. In addition, ESA will use
the staffing and FTE utilization reports afforded by People Power to work with
the Programs to address severe under or overstaffing issues.
The Government Management Reform Act (GMRA) and the Government Performance
and Results Act (GPRA) require the implementation of managerial cost accounting
and performance reporting. ESA continues to work collaboratively with Departmental
Offices to develop systems and management processes within ESA to more accurately
track program costs against program activities.
A key focus of ESA's human resource strategy is to support the major Program
Offices as they work to achieve their Strategic and Performance Goals. Technology
and new systems enhance the capability of the Program Offices to more effectively
serve American employers and workers. ESA recognizes that process improvements,
the increased use of information technology, and staff training all offer viable
opportunities to improve service delivery and accomplish ESA's strategic goals
and outcomes. But most importantly, ESA recognizes that the achievement of improved
service is dependent on the presence of a highly skilled, motivated, and diverse
workforce, deployed where the greatest public good can be achieved. With this
in mind, ESA began its workforce planning and restructuring efforts several
years ago. Initial efforts were concentrated on flattening the ESA hierarchy
by reducing the number of ESA programs' regional offices, and great strides
were made in this regard. Additionally, for the past several years ESA has sought
to allocate as much of its workforce as possible into the "front line".
Currently, approximately three-fourths (73%) of ESA's workforce is employed
in one of four occupational series: GS-0249 Wage and Hour Compliance Specialists
W&H), GS-0991 Compensation Specialists (OWCP), GS-0360 Equal Employment
Opportunity Specialists (OFCCP), and GS-1801 Investigators (OLMS). These four
series represent the key positions that provide ESA's benefit delivery services
and worker protections to America's working men and women. As of FY 2001, approximately
95% of ESA's employees within these four occupational series were
employed in an ESA regional or local office, where the greatest opportunity
for public interaction exists.
Having substantially achieved the efficient deployment of its resources, ESA
is now directing its workforce planning and restructuring strategy towards developing
succession plans, attracting, recruiting, and retaining talented job seekers,
and retraining existing staff to fill in the skills gaps that will arise from
attrition. ESA's workforce planning and restructuring plan includes multiple
strategies to meet its objectives. For example, as ESA has developed its plan
it has identified
areas that lend themselves to shared approaches and cost efficiencies. One such
effort is the development by the Division of Human Resources (DHRM) of standardized,
"prototype" rating/evaluation factors and KSAs (knowledges, skills,
and abilities) for the major occupational positions of all four ESA programs.
The creation and dissemination of these factors and KSAs, which has never before
been attempted, will expedite the process of posting vacancy announcements and
certifying eligible candidates, and will also promote nationwide consistency
of the hiring process within ESA. Effective recruitment and placement of front-line
personnel into ESA's key professional positions will contribute to an increase
in overall productivity resulting in an increase in the number of beneficiaries
served and in the number of compliance assistance activities completed.
In addition, DHRM participates in the Department's People Power Project in
the development, design and implementation of further enhancements for a fully
integrated on-line system in the budget, training and payroll functions. The
system will incorporate the recruitment process, labor relations, health/safety,
payroll, time and labor, benefits administrations, and succession and career
planning. DHRM will participate in the planning and requirements sessions to
provide input in the development of the future applications how they
should operate and how they can best serve the system's clients: the administrative
communities that will utilize this Departmental system and their employees.
With regard to E-Government services and information, all ESA programs have
existing strategies that utilize the Internet and other information technology
advancements in order to enhance the delivery of information and services to
the public, and additional electronic applications are in the planning or early
implementation stages. All ESA programs have regularly updated websites that
provide general information about the mission and organization of the program,
downloadable, printable versions of popular forms, and links to statutory, regulatory,
and customer assistance material. Additionally, all ESA web pages can be accessed
through FirstGov - the first-ever government website to provide the public with
easy, one-stop access to all online U.S. Federal Government resources.
ESA contributes to the Department's elaws (Employment Laws Assistance for Workers
and Small Businesses) system, an interactive, internet based system designed
to help employers and employees understand and comply with numerous employment
laws enforced by DOL. Some of the statutes and regulations enforced by programs
within ESA require that notices be posted in the workplace. ESA provides electronic
copies of the required posters from its website, some of which are available
in languages other than English.
In accordance with the Electronic Freedom of Information Act Amendments of
1996, ESA provides documents and information to the public on its website making
them readily accessible and downloadable via electronic format. ESA will continue
implementation of its Technology for Excellent Customer Service (TECS) system
that will provide nationwide toll-free access to (1) promptly identify and refer
calls to the appropriate agency; (2) answer commonly asked questions quickly
and accurately; and (3) eventually accept complaints alleging overtime and minimum
wage violations and refer them electronically to the proper field office. ESA
recently began providing the public with links to a continually updated database
containing the prevailing wage rates to be paid on federally funded or assisted
construction projects in every US county and territory.
ESA has begun implementation of a computer-based labor union reporting and
public disclosure program, including a system for the electronic submission
of union annual financial reports, an Internet-based public disclosure system,
and a computerized desk audit system to detect reporting deficiencies and permit
better targeting of reporting enforcement efforts. ESA will
further develop the Internet-based public disclosure system to incorporate union
trusteeship reports and reports filed by employers, consultants, union officers
and employees, and surety companies.
ESA is in the final stages of completion of installation of imaging systems
which will allow for the conversion of paper case files on injury compensation
claims to an imaged format. Greater automation of routine workload tasks will
speed injury claims filing and adjudication, support earlier delivery of services,
and support earlier resolution of disability and return to work.
Additionally, electronic access to claims information will enable employing
agencies to better assist their injured employees and manage their workers'
compensation programs. ESA plans to expand the electronic filing of claims documents,
and widening access to case data and other program information through the Internet
and other automated applications. ESA is improving its existing Interactive
Voice Response system to provide information on injury claims more rapidly.
ESA's recently developed Equal Opportunity Survey utilizes electronic submission
methods to relay compliance related data by Federal contractors to ESA and to
allow for electronic analysis of that data, thereby increasing compliance monitoring
efficiency and effectiveness.
One of the primary aims of our strategic planning is to advance ESA's major
program components toward achieving an integrated Department, one in which DOL's
agencies work together to achieve common goals that benefit and protect American
workers and their families and prepare them for the 21st Century
Workforce. ESA continues to improve program performance through a focus on the
outcomes of our work. In addition, this plan describes ESA's role in several
cross-cutting initiatives designed to capitalize on the commonalties and linkages
between DOL and other Fedeal agencies.
ESA's FY 2002 Annual Performance Plan aligns budgeted resources with both the
Department and strategic and outcome goals and ESA strategic and performance
goals and presents the programs, activities, and achievements that ESA will
work to accomplish in FY 2002, the means by which its performance will be evaluated,
and the standards to which it will be held accountable by the Department, the
Congress and the American public.
ADP - Automated Data Processing
APP - Annual Performance Plan
AQS - Agency Query System
ASP - Assistant Secretary for Policy
AWE - Atomic Weapons Employers
BCDS - Backwage Collection and Disbursement System
BL - Black Lung
BLDTF - Black Lung Disability Trust Fund
BLS - Bureau of Labor Statistics
CCI - Correct Coding Initiative
CFO - Chief Financial Officer
CFR - Code of Federal Regulations
CMP - Civil Money Penalties
CMS - Case Management System
COP - Continuation of Pay
COTS - Commercial off the Shelf
DFEC - Division of Federal Employees' Compensation
DHRM - Division of Human Resources Management
DLHWC - Division of Longshore and Harbor Workers' Compensation
DOL - Department of Labor
DOLAR$ - Department of Labor Accounting and Related Systems
DOT - Department of Transportation
ECAB - Employees' Compensation Appeals Board
EEO - Equal Employment Opportunity
EEOICPA - Energy Employees Occupational Illness Compensation Program Act
elaws - Employment Laws Assistance for Workers and Small Businesses
ESA - Employment Standards Administration
ETA - Employment and Training Administration
FEC - Federal Employees' Compensation
FECA - Federal Employees' Compensation Act
FFMIA - Federal Financial Management Improvement Act
FLSA - Fair Labor Standards Act
FOIA - Freedom of Information Act
FTE - Full Time Equivalent
FY - Fiscal Year
GAO - General Accounting Office
GMRA - Government Management Reform Act
GPEA - Government Paperwork Elimination Act
GPRA - Government Performance and Results Act
GSS - General Support System
I-CAP - International Compliance Audit Program
IT - Information Technology
KSAs - Knowledge, Skills and Abilities
LAN - Local Area Network
LHWCA - Longshore and Harbor Workers’ Compensation Act
LMRDA - Labor-Management Reporting and Disclosure Act
LS - Longshore
NAIC - Northern American Industry Classification
NCS - National Compensation Survey
NO - National Office
OASAM - Office of the Assistant Secretary for Administration
OASIS - OWCP Automated System for Imaging Services
OB - Office of Budget
OCFO - Office of the Chief Financial Officer
OES - Occupational Employment Statistics
OFCCP - Office of Federal Contract Compliance Programs
OIG - Office of the Inspector General
OLMS - Office of Labor-Management Standards
OMB - Office of Management and Budget
OSHA - Occupational Safety and Health Administration
OWCP - Office of Workers' Compensation Programs
P&F - Program and Financing
PDS - Program Direction and Support
PKI - Private Key Infrastructure
PRM - Periodic Roll Management
QCM - Quality Case Management
SEC - Special Exposure Cohort
SIC - Standard Industrial Classification
SGL - Standard General Ledger
SSA - Social Security Administration
TBD - To Be Determined
TECS - Technology for Excellent Customer Services
VEVRAA - Vietnam Era Veterans Readjustment Assistance Act
WAN - Wide Area Network
WHD - Wage and Hour Division
WHISARD - Wage Hour Investigator Support and Reporting Database
WHMIS - Wage Hour Management Information System
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