February 4, 2002
Table of Contents
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 ESAs 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 officers, toll-free telephone hotlines, the Internet,
or some other means.
2. Overview of the ESA Strategic Plan
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 ESAs activities and the FY 2003 Annual Performance Plan.
ESAs Strategic Goals are as follows:
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.
|
ESAs strategic goals support the Departmental goals which integrate the
objectives of all DOL agencies and programs to prepare and protect Americas
workers for the challenges of the 21st Century. ESAs
work is integral to the Departments success in achieving the Departmental
strategic goals for A Secure Workforce and Quality Workplaces. The performance
goals in ESAs 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
|
2.1 Mission
The mission of ESA is to enhance the welfare and protect
the rights of American workers.
|
As a benefit delivery and enforcement 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-OHara
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 nations 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).
2.2 Vision
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.
2.3 ESA Strategic and Performance Goals
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 ESAs 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 ESAs 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 ESAs 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, ESAs 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, ESAs 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 Agencys 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, ESAs 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.
ESAs program staff are located in regional, district, area, and
field offices throughout the country to ensure that the benefit delivery and
enforcement programs are accessible to the American public. The ESA organization
chart follows:
The Employment and Standards Administrations (ESA) mission involves both
enforcement and benefit delivery and administering programs to implement laws
to protect the basic rights of workers, including minimum wage, child labor,
equal employment opportunities for employees of Federal contractors, workers
compensation benefits, as well as workers rights as union members. The
FY 2003 ESA budget directly supports two of the Department of Labors strategic
goals: A Secure Workforce to promote economic security for workers and
families and Quality Workplaces that allow equal opportunities for all employees
of companies that receive Federal contracting funds. The discussion which
follows aligns ESAs budgeted resources with the Departmental strategic
goals, describing the processes and resources to be used in Fiscal Year 2003
in advancing these goals and highlighting ESAs new initiatives.
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.
For the achievement of this goal, $480.0 million1 is budgeted for
administrative expenses for ESA in FY 2003. That figure includes a total
of $338.1 million in salaries and expenses and $37.0 million from FECA Fair
Share assessments. Also represented in this amount is $104.9 million for
administration of the Energy Employees Occupational Illness Compensation Program
Act.
1 Includes Program Direction
and Support overhead.
FY 2003 Initiatives to Increase Compliance with Worker Protection Laws
Office of Labor-Management Standards
- A staffing enhancement is requested to advance Labor-Management Reporting
and Disclosure Act (LMRDA) safeguards for union financial integrity. The
additional resources will be used primarily to increase the number of compliance
audits conducted, and related compliance assistance activities, under the
agency's two streamlined investigative audit programs: the Compliance Audit
Program (CAP) and the International Union Compliance Audit Program (I-CAP).
CAP and I-CAP have proven to be effective in detecting violations and
in achieving voluntary compliance, where appropriate. These programs
have also been effective in discovering criminal violations, particularly
union fund embezzlements, which then are investigated for referral to federal
prosecutors as warranted. Over time the resources dedicated to the compliance
audit programs are expected to yield an increase in the number of criminal
investigations conducted. The requested enhancement will be used to
secure better LMRDA reporting compliance by unions. Cumulatively, these efforts
will significantly enhance the impact of OLMS in its mission to protect union
financial integrity and enforce the LMRDA reporting provisions. ($3,361,000
and 40 FTE)
FY 2003 Initiatives to Protect Worker Benefits
Office of Workers' Compensation Programs - FECA Program
- Funding is requested to support an information technology (IT) electronic
forms availability initiative to bring the FECA program into compliance with
the Government Paperwork Elimination Act (GPEA). This initiative will
also generate improved customer-friendly services in the E-Government environment
and enhance operations efficiency and effectiveness in the FECA program. GPEA
requires all Federal Agencies to provide customers with the option of filing
forms electronically. To achieve compliance, FECA will have to fundamentally
change its business processes and the way it interacts with those members
of its broad customer base, consisting of claimants, Government Agencies,
employers, insurance organizations, medical providers, and other interested
parties, who use the electronic filing option. To address these changes,
FECA will build infrastructure changes and reengineer applications to receive
completed forms transmitted over the Internet. ($1,017,000 and 0 FTE)
- Funding is requested for a Medical Utilization review program. Health
services contract personnel will monitor the level and appropriateness of
medical services related to medical condition and work with OWCP staff to
institute guidelines to prevent recurrence of inappropriate practices. This
proposal will complement OWCP activities to improve medical case management,
improve the quality of decisions authorizing medical services, strengthen
monitoring of the medical provider community for treatment and billing practices,
and ensure the proper payment and appropriateness of care. The requested
resources will be applied, primarily, to review medical services provided
under the FECA, Black Lung Benefits Act, and Energy Employees Occupational
Illness Compensation Program Act. ($1,500,000 and 0 FTE)
Office of Workers' Compensation Programs - Longshore Program
- Funding is requested to support an information technology (IT) electronic
forms availability initiative to bring the Longshore program into compliance
with GPEA. This initiative will also generate improved customer-friendly
services in the E-Government environment and enhance operations efficiency
and effectiveness in the Longshore program. To address these changes,
Longshore will build infrastructure changes and reengineer applications to
receive completed forms transmitted over the Internet. ($272,000 and
0 FTE)
Office of Workers' Compensation Programs - Black Lung Program
- Funding is requested to support an information technology (IT) electronic
forms availability initiative to bring the Black Lung program into compliance
with GPEA. This initiative will also generate improved customer-friendly
services in the E-Government environment and enhance operations efficiency
and effectiveness in the Black Lung program. To address these changes,
Black Lung will build infrastructure changes and reengineer applications to
receive completed forms transmitted over the Internet. ($598,000 and
0 FTE)
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 budget request contains approximately $80.1 million1
for the administration of OFCCP.
1 Includes Program Direction
and Support overhead.
FY 2003 Initiatives to Foster Equal Opportunity Workplaces
Office of Federal Contract Compliance Programs
- This request funds contract staff to automate internal and external
processes within the provisions of the Freedom of Information Act (FOIA),
thereby allowing greater data access by compliance staff, managers and the
public. The proposal provides for agency compliance with the Government
Paperwork Elimination Act not later than October 2003. Funding will
provide for contract services to program, test, implement and maintain the
OFCCP FOIA database. Additionally, resources will be used for contracted
webmaster skills, and the development of a secure publicly available electronic
complaint form (CC-4). ($300,000 and 0 FTE)
IT CROSS-CUTS These initiatives apply to two of the Departments
Strategic Goals: A Secure Workforce and Quality Workplaces.
The following initiative is included in ESAs budget request:
- ESA programs share an IT platform which enables efficiencies in the
utilization of common IT capabilities, cost effectiveness, and the full utilization
of staff of both existing and future IT resources. This initiative requests
funds to procure desktop and mobile workstations to support implementation
of e-Gov initiatives, comply with Section 508 of the Rehabilitation Act, and
ensure that ESA maintains the ability to deliver existing services to its
customers. Funds are requested to begin replacement of equipment in ESAs
Office of Workers Compensation Programs, Office of Federal Contract
Compliance Programs, Office of Labor- Management Standards, and the Program
Direction and Support activity. (Funding for this initiative ($1,400,000
and 0 FTE) is contained in the ESA Program Direction and Support Activity).
Funding for the following ESA IT initiatives is included in the Departmental
Management budget request:
- To ensure that ESA will be able to leverage current and future commercial
off-the-shelf (COTS) capabilities and ensure that its IT environment remains
in conformance with the Departments architecture, ESA requires funds
to make the second payment on a licensing agreement for its office automation
suite. This agreement, with Microsoft, encompasses both office automation
software licenses as well as operating system maintenance. The first
payment on this license will be made in FY 2002. ($1,593,000 and 0 FTE,
all of which is included in the Departmental Management budget request.)
- During FY 2002, ESA will complete enhancement of its contingency/disaster
recovery planning and continue efforts to set up its alternative site. In
FY 2003, ESA requires funds to finalize work on the alternative site and to
test the validity of its contingency/disaster recovery plan. Changes
(to the plan and potentially the alternate site) necessitated by the testing
will also be undertaken. ESA also requires funds to continue implementation
of its IT security awareness training program, as well as to review existing
security technologies and implement, as appropriate, new technologies. Staff
are required to assist ESA Programs in the identification and mitigation of
vulnerabilities, perform risk assessments, and revise system security plans.
($1,725,000 and 0 FTE, all of which is included in the Departmental
Management budget request.)
- E-Gov initiatives will vastly change the way the government operates and
encompass virtually all business practices. For example, the Government
Paperwork Elimination Act (GPEA) requires Federal agencies, by October 21,
2003, to allow individuals or entities that deal with government agencies
the option to submit information or transact with an agency electronically,
where practicable, and to maintain records electronically, where practicable.
This Act specifically states that electronic records and their related electronic
signatures are not to be denied legal effect, validity, or enforceability
merely because they are in electronic form, and encourages Federal government
use of a range of electronic signature alternatives. In FY 2002, ESA will
undertake efforts to develop an e-Gov framework, including the development
of a proof of concept model. In FY 2003, ESA will take this proof of
concept and implement e-Gov activities, such as GPEA, ESA-wide. ($750,000
and 0 FTE, all of which is included in the Departmental Management budget
request.)
- The continued effective and efficient support and maintenance of current
IT services, and the need to obtain/retain trained contract staff to perform
network design, system design, and integration services to support ESAs
IT infrastructure is critical to the maintenance and enhancement of the infrastructure
an its ability to ensure that ESA is achieving Agency goals and objectives.
This request represents a request for contract staff to support ESAs
major applications and general support system. ($2,900,000 and 0 FTE,
all of which is included in the Departmental Management budget request.)
- In 1997, ESA developed a plan to streamline and enhance its IT architecture,
with the intent of reducing the costs associated with decentralized services,
increasing the efficiency and effectiveness of ESAs IT infrastructure,
and providing better security for ESA information and information systems.
As developed, the plan was to be carried out in several phases, including
centralization of all IT applications and databases, with redundant capabilities
developed at an alternative site. It also called for ESA to consolidate
the hardware associated with its applications and databases. ESA has
been successful in centralizing its applications and databases. In order
for this phase of the plan to be completed, it is now necessary for ESA to
purchase new server equipment; this purchase will allow ESA to consolidate
18 servers, located at 14 sites, into eight servers, located at two sites.
It will also allow ESA to provide the expanded capacity needed to run
centralized services for its Programs and will support ESA e-Gov efforts.
Server equipment currently supporting ESA databases and applications
is reaching capacity, as well as the end of its life cycle; this equipment
is no longer capable of providing the support demanded by the increased information
needs of ESAs internal and external customers. Additionally, by
making a one- time purchase of servers for ESAs infrastructure, ESA
will be able to set into place a consistent, unified strategy for the replacement
of hardware and software. ($4,437,000 and 0 FTE, all of which is included
in the Departmental Management budget request.)
This section presents several items of information focused on the FY 2003 Performance
Goals:
A summary of budgeted resources for each of the Departmental goals supported
by ESA.
A summary of ESAs Performance Goals arrayed by ESAs Strategic Goals.
Each of the FY 2003 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 and new initiatives are identified.
The Performance Goal tables highlight the following:
DOL Strategic Goal The Departmental goal which ESAs 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 ESAs performance
goal supports.
ESA Performance Goal The specific targets relative to the DOL
outcome goals, which will be accomplished in FY 2003. The FY 1999 - FY
2002 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
FY 2003 - $338.1 million5
|
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
FY 2003 - $80.1 million
|
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.
5 Includes $104.9 million in administrative expenses for the Energy
Employees Occupational Illness Program.
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 2003 Performance Goals
|
1.1A
(p. 18) |
Covered American workplaces legally, fairly, and safely employ and
compensate their workers as indicated by:
- Improving customer service by increasing the number of complaints
resolved within 90 days. In FY 2003 - Target TBD; baseline being
established in FY 2002
- Reducing employer recidivism. In FY 2003:
- Increase the number of reinvestigations without violations
target TBD; baseline being established in FY 2002
- Decrease by the number of reinvestigations with identical violations
target TBD; baseline being established in FY 2002
- Increasing compliance in industries with chronic violations.
- as indicated in the garment manufacturing industry by:
- Increase by 3 percentage points the percent of garment homeworker
cases in southern California conducted jointly with the State of
California.
- Increase by 2 percentage points the percentage of contractors
in southern California that pay all employees on the payroll.
- Increase by 2 percentage points the number of manufacturers that
monitor their contractor shops for compliance in southern California.
- Increase by 2 percentage points the percentage of contractors
that are subject to unannounced visits and payroll reviews in conjunction
with monitoring by manufacturers in southern California.
- Increase by 4 percentage points the level of compliance of new
contractors in New York City through compliance education.
- Increase by 5 percentage points the rate of compliance of those
New York City contractors engaged by manufacturers which were previously
in violation of the FLSA hot goods provision.
- Increase by 20% the number of New York City cases referred to
SOL, the U.S. Attorney, or the New York State Attorney Generals
Office for litigation.
- as indicated in the long-term health care industry by:
- Increase by 3% the rate of compliance of nursing homes with identified
staffing shortages (i.e. staffing less than the nationwide or State
average or homes cited for staffing shortages).
- Increase by 5% the number of employees in nursing homes provided
information about their rights and available remedies.
- Increase by 2% the number of reinvestigated nursing homes without
violations.
- Increase by 2% the percent of employees in the residential living
(group home) segment of health care industry paid in compliance
with the overtime requirements of the Fair Labor Standards Act.
- as indicated in agricultural commodities by:
- Targets TBD, baselines being established in FY 2002.
|
1.1B
(p. 26)
|
Advance safeguards for union financial integrity and democracy and
the transparency of union operations by:
- Improving timely filing of union annual financial reports that contain
information sufficient for public disclosure. In FY 2003, the timely
filing of union financial reports by unions with annualreceipts over
$200,000 will increase - target TBD, baseline established in FY 2002..
- Extending Labor-Management Reporting and Disclosure Act protections
for union financial integrity to a greater number of labor organizations
through the more effective use of investigative resources. In FY 2003
the percentage of investigative resources applied to criminal investigation
that result in convictions is increased - target TBD, baseline established
in FY 2002..
|
1.1C
(p. 30)
|
Minimize the human, social, and financial impact of work-related injuries
for workers and their families. In FY 2003:
- Decrease by 3% 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 5% over the FY 2001 established baseline the average time
required to resolve disputed issues in Longshore and Harbor Worker's
Compensation Program contested cases.
- Increase by 4% over the FY 2001 established baseline the percentage
of Black Lung benefit claims filed under the revised regulations 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:
- 80% of claims of Department of Energy (DOE) employees, or of contractors
employed at DOE facilities, are processed within 120 days.
- 80% 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:
- 80% of Final Decisions in Approved Claims or No-Contest Denials
are issued within 75 days from issuance of the Recommended Decision.
- 80% of Final Decisions in Reviews of the Written Record are issued
within 75 days of the Request for Review of Written Record.
- 80% of Final Decisions in Formal Hearings are issued within 250
days of the Request for Hearing.
- Through use of Periodic Roll Management, produce $145 million in
cumulative first-year savings (FY 1999 -2003) in the FECA program.
- Reduce the overall average medical service costs per case (adjusted
for inflation) in the FECA program by .75% versus the FY 2000 baseline.
|
1.1D
(p. 40) |
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 2003, 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
2003, ESA/OFCCP will improve by an additional one (1) percent the
rate of compliance findings over the baseline for SIC 50 and SIC
87, for a cumulative improvement of two (2) percent.
- 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 ESA/OFCCP
compliance assistance activities. In FY 2003, ESA/OFCCP will
reduce by an additional one (1) percent the rate of findings of
severe violations from the baseline for SIC 50 and SIC 87, for a
cumulative reduction of two (2) percent.
- 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 ESA/OFCCP compliance assistance
activities. In FY 2003, ESA/OFCCP will increase by an additional
one (1) percent the rate of compliance findings over the baseline
for SIC 50 and SIC 87, for a cumulative improvement of two (2) percent.
- Improving the equal employment opportunity performance of federal
contractors and subcontractors that have had prior contact with ESA/OFCCP
through evaluations, outreach, or technical assistance. In FY
2003, 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 ESA/OFCCP. In FY 2003, ESA/OFCCP will improve
by an additional one (1) percent the rate of compliance findings
over the baseline for all supply and service closures, for a cumulative
improvement of two (2) percent.
- Better EEO performance in selection system evaluations as indicated
by less severe violations or deficiencies than contractors that
did not have prior contact with ESA/OFCCP. In FY 2003, ESA/OFCCP
will reduce by an additional one (1) percent the rate of findings
of severe violations from the baseline, for a cumulative reduction
of two (2) percent.
- Better EEO performance in selection system evaluations as indicated
by evaluation type than contractors that did not have prior contact
with ESA/OFCCP. In FY 2003, ESA/OFCCP will increase by an
additional one (1) percent the rate of focused and offsite compliance
evaluation types over the baseline, for a cumulative improvement
of two (2) percent
|
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 2003 Performance Goals
|
2.1A
(p. 45) |
ESA will obligate no less than 99% of FY 2003 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. 48)
|
Continue to develop modifications to the ESA IT infrastructure/architecture
in support of e- Government and mission-related applications and services;
continue modernization of ESAs office automation capabilities
leveraging commercial off-the-shelf (COTS) software in conformance with
the Departments IT architecture; continue with the second phase
eof ESAs three-tiered strategy for replenishment of ESAs
It infrastructure and centralization of ESAs critical data; and
begin final phase of infrastructure replacement.
|
2.1C
(p. 52)
|
Review and enhance ESA infrastructure and related tools to ensure ESAs
IT environment is secure. Continue implement 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. Complete development of ESAs alternate
(warm/hot) site as the revisions being made to the ESA IT
Contingency/Disaster Recovery Plan (CDR). Test alternate site
and CDR Plan. Begin second phase review of General Support System
(GSS) and Major Application (MA) system security plans and risk assessments.
|
2.1D
(p. 55) |
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 2003: Create and disseminate on a nationwide basis, prototype
rating/evaluation factors and KSAs (knowledge, skills and abilities)
for entry level up to the full performance level of the major occupational
position of the Wage Hour Division, the GS-0249 Wage and Hour Compliance
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 wont complain about violations
or are less informed about their workplace rights.
The FY 2003 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 2003: Covered American workplaces legally, fairly, and
safely employ and compensate their workers as indicated by:
- Improving customer service by increasing the number of complaints
resolved within 90 days. In FY 2003 - target TBD; baseline
being established in FY 2002
- Reducing employer recidivism. In FY 2003: Increase
the number of reinvestigations without violations target TBD;
baseline being established in FY 2002 Decrease the number of
reinvestigations with identical violations target TBD; baseline
being established in FY 2002 3
- Increasing compliance in industries with chronic violations.
a. as indicated in the garment manufacturing
industry by:
- Increase by 3 percentage points the percent of garment homeworker
cases in southern California conducted jointly with the State
of California.
- Increase by 2 percentage points the percentage of contractors
in southern California that pay all employees on the payroll.
- Increase by 2 percentage points the number of manufacturers
that monitor their contractor shops for compliance in southern
California.
- Increase by 2 percentage points the percentage of contractors
that are subject to unannounced visits and payroll reviews in
conjunction with monitoring by manufacturers in southern California.
- Increase by 4 percentage points the level of compliance of new
contractors in New York City through compliance education.
- Increase by 5 percentage points the rate of compliance of those
New York City contractors engaged by manufacturers which were
previously in violation of the FLSA hot goods provision.
- Increase by 20% the number of New York City cases referred to
SOL, the U.S. Attorney, or the New York State Attorney Generals
Office for litigation.
b. as indicated in the long-term health care
industry by:
- Increase by 3% the rate of compliance of nursing homes with
identified staffing shortages (i.e. staffing less than the nationwide
or State average or homes cited for staffing shortages).
- Increase by 5% the number of employees in nursing homes provided
information about their rights and available remedies.
- Increase by 2% the number of reinvestigated nursing homes without
violations.
- Increase by 2% the percent of employees in the residential living
(group home) segment of health care industry paid in compliance
with the overtime requirements of the Fair Labor Standards Act.
c. as indicated in agricultural commodities
by:
- Targets TBD, baselines being established in FY 2002.
FY 2002: Establish baselines for
1a
percentage of reinvestigations without violations.
1b.
percentage of reinvestigations with any violation.
1c.
percentage of reinvestigations with identical violations.
2a.
Increase by 2 percentage points the number of manufacturers that monitor
their contractor shops for compliance in Southern California.
Increase by 2 percent the average number of monitoring components used
by manufacturers in monitoring their contractors for compliance in Southern
California.
Increase by 2 percentage points the percentage of contractors in Southern
California that pay all employees on the payroll.
Increase by 4 percentage points the level of compliance of new contractors
in New York City through compliance education.
Increase by 2 percentage points the percentage of contractors in New
York City that pay all employees on the payroll.
2b.
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.
Increase by 5 percent the number of employers (nursing homes) that were
provided compliance assistance information through seminars and other
outreach efforts.
Establish a baseline of the number of employers in compliance with the
recordkeeping requirements of the Fair Labor Standards Act.
2c.
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-FY 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 2003: Number of complaints resolved within 90 days; Trends in compliance/violation
rates by industry (NAICS Code), location, prior contact with DOL and
nature of contact such as compliance education or previous investigation;
Changes in results of investigations in targeted industries; Trends
in numbers of cases referred for litigation; Changes in 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 parts of the country.
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.
3. 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 |
1 and 2. Wage and Hour Investigator Support and Reporting Database
(WHISARD).
3. WHISARD data; WH significant activity reports;
regional logs and reports on local initiatives; and statistically-valid
investigation-based compliance surveys.
FY 2002:
1. Wage and Hour Investigator Support and Reporting
Database (WHISARD)
2. 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 |
1. Baseline to be determined in
FY 2002
2. Baselines to be determined in
FY 2002
3.a.1 Baseline to be determined in FY 2002
3.a.2 63%
3.a.3 41%
3.a.4 Baseline to be determined in FY 2002
3.a.5 51%
3.a.6 Baseline to be determined in FY 2002
3.a.7 Baseline to be determined in FY 2002
3.b.1 41%
3.b.2 340 employees
3.b.3 41%
3.b.4 81%
3.c. Baselines to be determined in FY 2002
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 Secretarys goal to ensure that American
workers receive a fair days wages for a fair days work,
DOL has developed three 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 improve
customer service by resolving complaints in a more timely manner, (2)
to reduce employer recidivism, and (3) to increase compliance in industries
with chronic violations. All three 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, and to
resolve issues as expeditiously as possible.
These goals address difficult and long-standing problems, and will
not be resolved quickly or easily. DOL has established goals for
FY 2003 that represent key steps to improving customer service and compliance.
DOLs FY 2003 goals were developed based on empirical evidence
and experience in these industries, but DOL recognizes that there are
economic and other forces beyond its control that may impact its ability
to meet its long-range goals. DOL 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 Programs:
Wage and Hour Division
Sustained Efforts in FY 2003:
- ESA will establish complaint intake procedures to ensure the adequate
screening of complaints. (1.1A1) ESA offices will conduct
regular reviews of complaint inventories using established accountability
measures and management reports to ensure that timeliness measures are
being met. (1.1A1)
- ESA will establish streamlined procedures where necessary to ensure
early:
- contact with complainants;
- development of case facts;
- identification of appropriate investigative tool; and,
- identification of potential litigation cases. (1.1A1)
- ESA will:
- provide compliance assistance on all applicable statutes administered
by ESA during the conduct of an investigation;
secure agreements for future compliance and specific commitments for
future compliance following a ESA intervention; and,
obtain commitments for corporate-wide compliance by multi-establishment
employers through formal and informal agreements following a history
of ESA interventions.
- assess penalties, pursue litigation and prosecution, and publicize
the consequences of non-compliant behavior as may be appropriate for
willful and repeat violators.
- provide ongoing training to its investigative staff and conduct
reviews according to established accountability measures to ensure
that proper policies and procedures are followed during initial ESA
interventions. (1.1A2)
- ESA will establish liaisons on the State and Federal level to coordinate
and facilitate joint homework investigations; will conduct joint training
with the State of California to facilitate communication and jointly working
on homework cases; and will conduct a garment enforcement sweep with the
State of California with emphasis on homeworkers. (1.1A3)
- ESA will work to identify potential sources of non-compliance in the
garment industry by:
- meeting with organizations and businesses to discuss practices of
paying workers off the payroll and the impact on minimum
wage and overtime compliance;
- asking employers at all final conferences whether they have knowledge
of competitors paying less than minimum wage;
- asking all homeworkers who they have worked for before as a homeworker;
and,
- reading classified ads and listening to radio ads seeking homeworkers.
ESA will follow-up on the above information by conducting a directed program
based on leads from these sources. (1.1A3)
- ESA will conduct face-to-face contacts with contractors and manufacturers
in Southern California, providing them with compliance assistance. (1.1A3)
- ESA will work with manufacturers who monitor their contractors to identify
and correct off the payroll situations, and will meet with known monitoring
companies in Southern California to discuss and train staff in ways to
detect and correct situations where workers are off the payroll. (1.1A3)
- ESA will work with members of the Korean Manufacturers Associations
to implement monitoring; will conduct monitoring training sessions for
manufacturers, including some in Korean and have those attending submit
their first monitoring report to ESA for review and suggested corrective
action; and will emphasize in contacts with manufacturers the value and
importance of monitoring and effective monitoring. (1.1A3)
- ESA will conduct diamond approach investigations of manufacturers
with repeat violations. (1.1A3)
- ESA will use the Southern California survey information in monitoring
classes, training sessions, face to face and telephone contacts with manufacturers,
and meetings with monitoring companies, emphasizing effective monitoring
and these components specifically as potential predictors of better compliance.
(1.1A3)
- ESA will provide compliance assistance to new contractors, including
partnering with the New York State Apparel Industry Task Force, and will
conduct payroll audits of newly registered contractors. (1.1A3)
- ESA will encourage/ensure that contractors producing for manufacturers
that are members of NYC-Apparel Industry Compliance Partnership (AICP)
will participate in the AICPs training program. (1.1A3)
- ESA will target manufacturers with a history of hot goods
violations for investigation, and will provide training to manufacturers
and their contractors when hot goods violations are found.
(1.1A3)
- ESA will request manufacturers to institute a compliance monitoring
program of their contractors. (1.1A3)
- ESA will target enforcement on repeat violators, and will consider litigation
for repeat violators. (1.1A3)
- ESA will partner with OIG, AUSA, and the NYS Attorney General to explore
areas of common interest for potential criminal investigations. (1.1A3)
- ESA will work more closely with RSOL to identify potential litigation
cases early in the investigative process. (1.1A3)
- ESA will develop a compliance assistance program geared to problems
common in nursing homes with staffing shortages and implement the program
in district offices where violations continue to be prevalent. (1.1A3)
- Where compliance rates continue to be low and identified violations
are those with a high correlation to staffing shortages, ESA will pilot
an employer consultation program with the assistance of local and national
health care associations. (1.1A3)
- Fact sheets on meal breaks, child labor requirements, hours worked,
and bonuses will be developed and distributed through industry trade magazines,
the Internet and association seminars. ESA will work with industry
representatives to ensure that the fact sheets are clear, concise and
geared towards the health care industry. (1.1A3)
- ESA will complete the employee rights card for employees that provides
basic information on employee rights. The card will be distributed
to employees through employee advocacy organizations, community groups,
community colleges that offer courses and training to certified nurses
assistants, and State licensing agencies. The card will also be
made available to employees during the course of investigations. (1.1A3)
- ESA will provide compliance assistance on all common compliance problems
in nursing homes during the conduct of an investigation. (1.1A3)
- ESA will secure agreements for future compliance and specific commitments
for future compliance following an ESA intervention. (1.1A3)
- ESA will obtain commitments for corporate-wide compliance by multi-establishment
employers through formal and informal agreements following a history of
ESA interventions. (1.1A3)
- ESA will maintain an enforcement presence among prior violators, and
will assess penalties, pursue litigation and prosecution, and publicize
the consequences of non-compliant behavior as may be appropriate for willful
and repeat violators. (1.1A3)
- ESA will conduct full investigations of alleged overtime, minimum wage
and child labor violations. (This excludes last paycheck conciliations.)
(1.1A3)
- ESA will re-emphasize its compliance assistance program to highlight
problems common in residential care and in geographic areas where residential
care violations appear more common. (1.1A3)
- ESA will work with State licensing agencies to pilot the dissemination
of compliance materials to newly licensed residential care facilities.
(1.1A3)
- ESA will work with local and national health care associations to develop
and pilot a consultation program for small and new residential group homes.
(1.1A3)
- ESA will continue the operational development of the Technology for
Excellent Customer Service (TECS) systems that will provide nationwide
toll-free access to: 1) promptly identify and refer calls unrelated
to ESA activities to the appropriate agency; 2) answer commonly asked
questions quickly and accurately; and, 3) eventually accept employee complaints
alleging violations and refer them electronically to the proper field
office. (1.1A1,2,3)
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 1.1B:
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 2003 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 2003: Advance safeguards for union financial integrity
and democracy and the transparency of union operations by:
- Improving timely filing of union financial reports that contain
information sufficient for public disclosure. In FY 2003,
timely filing of union annual financial reports by unions with annual
receipts over $200,00 will increase target TBD, baseline established
in FY 2002.
- 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 2003, the percentage of investigative resources applied
to criminal investigation that result in convictions is increased
target TBD, baseline established in FY 2002.
FY 2002:
- Initiate a new electronic forms application and electronic submission
process and establish a baseline for timely filing under the new union
financial filing process.
- Establish a baseline of the percentage of investigative resources
applied to criminal investigations that result in convictions.
FY 1999 - FY 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 |
- To be established in FY 2002.
- To be established in FY 2002.
|
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.
- 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 2003:
-
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 via the Internet using a searchable
database of information from union financial reports. ESA will administer
and electronic reporting process initiated in FY 2002. 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 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 2003 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)
Significant New or Enhanced Efforts in FY 2003:
-
ESA will further 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 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 explore means to enhance union transparency, increase
information available to union members, and better inform union members
of their rights. (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 OWCPs 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 2003 indicators for this Performance Goal 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 2003: Minimize the human, social, and financial
impact of work- related injuries for workers and their families. In
FY 2003:
- Decrease by 3% 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 5% over the FY 2001 established baseline the average time
required to resolve disputed issues in Longshore and Harbor Workers
Compensation Program contested cases.
- Increase by 4% over the FY 2001 established baseline the percentage
of Black Lung benefit claims filed under the revised regulations 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:
- 80% of claims of Department of Energy (DOE) employees, or of
contractors employed at DOE facilities, are processed within 120
days.
- 80% 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:
- 80% of Final Decisions in Approved Claims or No-Contest Denials
are issued within 75 days from issuance of the Recommended Decision.
- 80% of Final Decisions in Reviews of the Written Record are
issued within 75 days of the Request for Review of Written Record.
- 80% of Final Decisions in Formal Hearings are issued within
250 days of the Request for Hearing.
- Through use of Periodic Roll Management, produce $145 million in
cumulative first-year savings (FY 1999 -2003) in the FECA program.
- Reduce the overall average medical service costs per case (adjusted
for inflation) in the FECA program by .75% versus the FY 2000 baseline.
FY 2002:
- 2% reduction from FY 2001 baseline.
- Reduce by 2% over the FY 2001 baseline.
- Increase by 2% over FY 2001 baseline
- 75% of DOE claims processed with 120 days; 75% of AME and Beryllium
Vendors claims processed within 180 days.
- 75% of Final Decisions in Approved Claims or No-Contest Denials
issued within 75 days from issuance of Recommended Decision; 75% of
Final Decisions in Review of the Written Record issued with 75 days
of the Request for Review; and 75% of Final Decisions in Formal Hearings
issued within 250 days of the Request for Hearing.
- Produce $122 million in cumulative first-year savings.
- Reduce the overall average medical service costs per case in the
FECA program by .5% versus the FY 2000 baseline.
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.
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 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.
|
Supporting Budget Activity |
Office of Workers Compensation
Programs: P&F Schedule Activity #3Program 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.
- NA
- NA.
- 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 medical bill 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- FECA 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 |
- Federal Employees Compensation Act (FECA) data systems; Federal
agency payroll offices; Office of Personnel Management employment
statistics
- Longshore Case Management System.
- Black Lung Automated Support Package.
- Energy Program Case Management System
- Energy Program Case Management System
- Periodic Roll Management System; FECA Automated Compensation Payment
System.
- FECA Medical Bill Pay System.
|
Baseline |
- Interim baseline for Quality Case Management (QCM) cases only: FY
1997 actual 189 workdays. FY 2000 baseline: 68.1workdays.
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 director, 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 PRMs
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 OSHAs
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 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 claimants 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 in FY 2003, but has postponed its goal to reduce average
costs for specific medical service types, although review of selected
service categories will continue. ESA has proposed additional
funding in its FY 2003 budget request to establish a Medical Utilization
Review program. Until those resources are available, ESA will
not be able to make significant progress to reduce average service
costs.
|
ESA Means and Strategies:
Operating Program:
Office of Workers Compensation Programs
Sustained Efforts in FY 2003:
-
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 assess implementing recommendations stemming from
the FY 2002 evaluation study of FECA's Early Nurse Intervention program.
The studys objective is to evaluate the Nurse programs
support of FECAs Quality Case Management and 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 continue to improve mail intake and document imaging
processes and increasing paperless operations. (1.1C1, 1.1C6, 1.1C7)
-
ESA will reach the implementation phases of its automated
system redesign project; redesign features will improve system administration
and management, integrate to a common platform, centralize databases, improve
communications and information access for program customers, modernize medical
bill processing, improve security, and simplify claims work processes. (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;
-
Measurement of district office performance against nationwide
standards to ensure a high level of caller access to telephone services,
prompt and accurate responses, professional handling, and high quality.
(1.1C1, 1.1C6, 1.1C7)
-
ESA will continue to use mediation skills, outreach,
telephonic intervention 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 pursuing the redesign and modernization of medical bill payment processes.
Quality review 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 2003:
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 procedures and 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 FY 2003 indicators for this Performance Goal 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)
|
1.1A |
FY 2003: 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 2003, 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 2003, ESA/OFCCP will improve by an additional one (1) percent
the rate of compliance findings over the baseline for SIC 50 and
SIC 87, for a cumulative improvement of two (2) percent.
- 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 ESA/OFCCP
compliance assistance activities. In FY 2003, ESA/OFCCP
will reduce by an additional one (1) percent the rate of findings
of severe violations from the baseline for SIC 50 and SIC 87,
for a cumulative reduction of two (2) percent.
- 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 ESA/OFCCP compliance assistance
activities. In FY 2003, ESA/OFCCP will increase by an additional
one (1) percent the rate of compliance findings over the baseline
for SIC 50 and SIC 87, for a cumulative improvement of two (2)
percent.
- Improving the equal employment opportunity performance of federal
contractors and subcontractors that have had prior contact with ESA/OFCCP
through evaluations, outreach, or technical assistance. In FY
2003, 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 ESA/OFCCP. In FY 2003, ESA/OFCCP will improve
by an additional one (1) percent the rate of compliance findings
over the baseline for all supply and service closures, for a cumulative
improvement of two (2) percent.
- Better EEO performance in selection system evaluations as indicated
by less severe violations or deficiencies than contractors that
did not have prior contact with ESA/OFCCP. In FY 2003, ESA/OFCCP
will reduce by an additional one (1) percent the rate of findings
of severe violations from the baseline, for a cumulative reduction
of two (2) percent.
- Better EEO performance in selection system evaluations as indicated
by evaluation type than contractors that did not have prior contact
with ESA/OFCCP. In FY 2003, ESA/OFCCP will increase by an
additional one (1) percent the rate of focused and offsite compliance
evaluation types over the baseline, for a cumulative improvement
of two (2) percent.
FY 2002:
- Improve by one (1) percent the rate of compliance findings over
the baseline for SIC 50 and SIC 87; reduce by one (1) percent the
rate of findings of severe violations from the baseline for SIC 50
and SIC 87; and increase by one (1) percent the rate of focused and
offsite compliance evaluation types over the baseline for SIC 50 and
SIC 87.
- Improve by one (1) percent the rate of compliance findings over
the baseline for all supply and service closures; reduce by one (1)
percent the rate of findings of severe violations from the baseline;
and ESA/OFCCP will increase by one (1) percent the rate of focused
and offsite compliance evaluation types over the baseline.
FY 2001:
Identify those industries where data indicate the likelihood of equal
employment opportunity problems is greatest and establish baselines;
establish baselines for improving the equal employment opportunity performance
of federal contractors and subcontractors that have had prior contact
with OFCCP through evaluations, outreach or technical assistance; and
establish baselines for reducing compensation discrimination by federal
contractors and subcontractors.
FY 1999 FY 2000: N/A.
|
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.
|
Comment |
Through compliance assistance and other contacts,
such as compliance evaluations, ESA/OFCCP 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/OFCCPs 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. |
Office of Federal Contract Compliance Programs
Sustained Efforts in FY 2003:
-
ESA will continue to expand its compliance assistance plan
efforts and continue its fair and balanced enforcement program with the
tiered compliance evaluation strategy. For all contractors and subcontractors
selected for compliance evaluations (including compliance checks, off-site
review of records, focused reviews, full compliance evaluations and complaint
investigations), ESA/OFCCP will provide compliance assistance before, during
and after the particular evaluation event. 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 ESA 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/OFCCP 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/OFCCPs Strategic Formulation
Team and Executive staff will monitor program efforts. (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 Secretarys Opportunity
Award, the Exemplary Public Interest Contribution Award, and the Industry
Liaison Group Award. (1.1D)
-
ESA will enhance customer service through interactive and
personal public education and technical assistance training for stakeholder
organizations. (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)
-
The effectiveness of the various components of existing
compliance assistance materials will be evaluated, and changes or modifications
to compliance assistance materials will be made as required to increase
effectiveness or to reflect special needs or issues for an industry. (1.1D)
Significant New or Enhanced Efforts in FY 2003:
- ESA/OFCCP will examine new methods for increased utilization of technology
to enhance program quality, availability and interaction with federal contractor
community. (1.1D)
- ESA/OFCCP will provide targeted industries and other Federal contractors
with compliance assistance. (1.1D)
- Effectiveness of compliance assistance will be measured by comparing
compliance evaluation outcomes between those industry establishments that
received assistance and those that did not. (1.1D)
ESA Strategic Goal 2: Secure public confidence through excellence
in the management and delivery of ESAs programs and services.
ESA Performance Goals 2.1A - 2.1D
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 ESAs 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 2003 indicators for this Performance Goal 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 2003: 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 2003, ESA will obligate no less than 99% of FY 2003 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%.
FY 1999 - 2001: N/A.
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.
|
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 budget 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 2003: Continue to
develop modifications to the ESA IT infrastructure/architecture in support
of e-Government and mission- related applications and services; continue
modernization of ESAs office automation capabilities leveraging
commercial off-the-shelf (COTS) software in conformance with the Departments
IT architecture; continue with the second phase eof ESAs three-tiered
strategy for replenishment of ESAs It infrastructure and centralization
of ESAs critical data; and begin final phase of infrastructure replacement.
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.
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 ESAs office automation
capabilities leveraging commercial off-the-shelf (COTS) software in
conformance with the Departments IT architecture; continue centralization,
expansion and life-cycle replacement of ESA's IT infrastructure.
|
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 ESAs
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 Departments
Automated Time and Attendance System nationwide.
Work continued on preparation of ESAs 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 Departments Automated Time and Attendance System to its field
offices in FY 2001.
Work continued on increasing and expanding ESAs 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 users 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, 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 States 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 Hours
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.
Purchase and installation of hardware ad software necessary for the
continued viability of ESAs LAN/WAN with minimal disruption to
users, applications and services.
Purchase and deployment of new microcomputers to target population.
|
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 ESA employees and
data server disk space utilization reports.
Project management plans and related documents.
|
Baseline |
In FY 2001, ESA provided e-mail, Internet/Intranet services and two
DOL administrative applications to ESA employees in addition to the
11 mission- related applications supported by the ESA environment.
In FY 2001, ESA maintained nearly 18 servers in 14 locations.
|
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 operates 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 2003: Review and enhance ESA infrastructure and related tools to
ensure ESAs IT environment is secure. Continue implement 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. Complete development
of ESAs alternate (warm/hot) site as the revisions being
made to the ESA IT Contingency/Disaster Recovery Plan (CDR). Test
alternate site and CDR Plan. Begin second phase review of General
Support System (GSS) and Major Application (MA) system security plans
and risk assessments.
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 ESAs 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.
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 ESAs 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.
|
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. ESA developed and then revised a Security Program
Plan (SPP) to address vulnerabilities and risks associated with ESA general
support systems and major applications. ESA also prepared a separate
mitigation plan which was provided to the Department for inclusion in
the Departments GISRA submission to OMB. Actions were taken
on many of the vulnerabilities/risks identified; ESA is in the process
of updating its SPP to close out those mitigations that have been completed,
as well as to incorporate new vulnerabilities and risks identified in
FY 2001.
ESA planned for and began revision of security plans for the various
system and applications to ensure that they accurately and currently reflect
the state of security for each system/application, and hired a contingency/disaster
recovery contingency/disaster recovery plan.
Mandatory computer security awareness was completed for all ESA employees
and contractors, nationwide.
A review of ESAs infrastructure was completed, and several tools/products
were identified that could enhance or supplement existing infrastructure
security protections. Using funds form the DOL IT Investment Crosscut
Fund, ESA purchased the identified products and began integration of the
tools into the infrastructure.
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. ESAs 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 the number of vulnerabilities identified in new audits
or reviews.
Completion of FY 2003 SAT training activities by the scheduled deadline.
Completion of four risk-based re-assessments and revision of four system
security plans.
Completion of initial review of the ESA IT contingency/Disaster Recovery
Plan, including inventories.
Purchase and installation of final 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; Purchase
records; Project management plans and related status documents; and ESA
Incident Report Logs. |
Baseline |
FY 2002 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 ESA continues to prepare the alternate site
for operation in the event o f 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 2003: 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 2003: 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 the Wage Hour Division, the GS-0249 Wage and Hour Compliance
Specialist.
FY 1999 - FY 2001:N/A.
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.
|
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 |
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. |
ESAs 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 2003:
- 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 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
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 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 complete 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
systems 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 Hours 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.
- In the Office of Labor Management Standards the reported data regarding
timely report filing by labor organizations derives from the recently 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 OLMS case data system documents case status activity
and results. Data from both systems are closely monitored and reported
on a regular basis for purposes of program administration and management,
which ensures completeness and accuracy in reported performance results.
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 ESAs 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
WHDs 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 contractors 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 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 Officers
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.
ESAs 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 ESAs 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 ESAs
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 Boards (FASAB) 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 ESAs FY 2003
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. ESAs 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. ESAs efforts in
this sphere are key to accomplishing the FY 1999 - 2004 strategic goals, the
FY 2003 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, the following ESA cross cutting initiatives are presented by
the applicable DOL Strategic and Outcome goal.
DOL Strategic Goal 2 A Secure Workforce
Outcome goal: Protect worker benefits
The ESA 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
also improve communication and cooperation. 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. ESA has
been using, and plans to expand, its Internet site to post agency performance
results related to these activities.
ESA/OWCP and OSHA are working 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 will
continue 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. OWCP measures agencies' performance
against the Lost Production Days goal on its website, http.//www.dol-esa.gov/fesii.
OWCP tracks and posts agency (and sub-agency) performance in terms of
timely injury notice submission. ESA/OWCP works in tandem with OSHA 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.
ESAs strategic planning includes a management framework for linking
the program, administrative and management operations of the agencys four
major programs. Performance goals in these areas appear in the ESA FY
1999 FY 2004 Strategic Plan and in this FY 2003 Annual Performance Plan.
Programmatic, as well as legislative requirements, will require ESA to continue
enhancing and expanding its Information Technology (IT) environment to ensure
the efficient and secure delivery of 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. ESA employees, nationwide,
will have the tools and technology to effectively carry out the goals of their
Programs.
In FY 2003, ESA will continue activities associated with a plan, developed
and implemented in FY 1997, to streamline and enhance the ESA architecture;
this will continue to ensure compliance with the DOL architecture. The
intent of this plan is to reduce the costs associated with decentralized services,
increasing the efficiency and effectiveness of ESAs IT infrastructure,
and providing better security for ESA information and information systems. The
final step in this plan is the consolidation of numerous servers, housed at
multiple ESA sites, into a limited number of servers available at ESAs
central processing site as well as redundant capabilities at its alternate processing
site. Additionally, ESA will begin replacement of microcomputers as part
of a multi-year life cycle replacement strategy.
Finally, ESA will continue its efforts to utilize the Internet and web-based
technologies to increase services to its customers. In FY 2002, ESA will
undertake efforts to develop a technical framework for E-Gov activities, developing
a proof of concept model. In FY 2003, ESA will take this proof of concept
and implement E-Gov activities ESA-wide. Modifications to ESAs IT
web architecture will be necessary to support this implementation; ESAs
existing web platform has limited capacity and cannot support the architecture
that ESA has targeted for E- Gov activities. ESAs programs will
also undertake activities to re-engineer business processes and revise existing
systems, or develop new systems, to meet the needs of the re-engineered business
processes.
Because information technology plays a significant role in the delivery of
mission-critical services, it is critical to safeguard ESA information and information
systems. In accordance with ESAs Security Program Plan, ESA will
finalize work on its alternate processing site and test the validity of its
contingency/disaster recovery plan. ESA will also continue its IT security
awareness training, as well as reviewing existing security technologies, and
implementing, as appropriate, new technologies. Finally, risk assessments
will continue to be performed, and security plans updated as scheduled in ESAs
Security Program Plan.
The Department maintains a pro-active management system that is responsive
to audit recommendations identified by the General Accounting Office (GAO) and
the Departments 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 Departments 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 Departments 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 ESAs 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
Departments Annual Financial Statement Audit. Such an opinion will
demonstrate that ESAs 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 ESAs 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 ESAs 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 systems 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 Departments 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 has begun 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 is implementing a computer-based labor union reporting and public disclosure
program in FY 2002, 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. In FY 2003, 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.
One of the primary aims of our strategic planning is to advance ESAs
major program components toward achieving an integrated Department, one in which
DOLs 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
ESAs role in several cross-cutting initiatives designed to capitalize
on the commonalties and linkages between DOL and other Federal agencies.
ESAs FY 2003 Annual Performance Plan aligns budgeted resources with
both the Departmental strategic and outcome goals and ESAs strategic and
performance goals and presents the programs, activities, and achievements that
ESA will work to accomplish in FY 2003, 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
AICP Apparel Industry Compliance Partnership
APP Annual Performance Plan
AQS Agency Query System
ASP Assistant Secretary for Policy
AUSA Assistant United States Attorney
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
CSAT Computer Security Awareness and Training
COTS Commercial off the Shelf
DBA Davis-Bacon Act
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
EEOICPA Energy Employees Occupational Illness Compensation Program Act
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
OSEC Office of the Secretary
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 TEA 21 Transportation Equity Act for the 21st
Century
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
| |
|