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Report to the: 

United States Government Accountability Office: 

GAO: 

U.S. Office of Special Counsel's Procedures for Assigning Incoming 
Cases to and within Organizational Units: 

OSC Case Assignment Procedures: 

GAO-07-263R: 

United States Government Accountability Office: 

Washington, DC 20548: 

January 12, 2007: 

The Honorable John Conyers, Jr. 
Chairman, Committee on the Judiciary: 
House of Representatives: 

The Honorable Barney Frank: 
House of Representatives: 

Subject: U.S. Office of Special Counsel's Procedures for Assigning 
Incoming Cases to and within Organizational Units: 

The U.S. Office of Special Counsel (OSC) is an independent federal 
investigative and prosecutorial agency. Its primary mission is to 
safeguard the merit system in federal employment by protecting 
employees and applicants for federal employment from prohibited 
personnel practices, especially reprisal from whistleblowing. 
Individuals who believe that a prohibited personnel practice, such as 
nepotism or obstruction of the right to compete for employment, has 
been committed may file complaints with OSC. In addition, the agency 
operates a secure channel for federal whistleblowing disclosures of 
violations of law, rule, or regulation; gross mismanagement; gross 
waste of funds; abuse of authority; and substantial and specific 
dangers to public health or safety. OSC also provides advisory opinions 
and enforces Hatch Act restrictions on political activities of 
individuals employed by the federal and District of Columbia 
governments as well as certain state and local government employees 
employed in connection with programs financed by federal funds. 
Additionally, the agency enforces the rights of federal employees and 
applicants for federal employment under the Uniformed Services 
Employment and Reemployment Rights Act (USERRA) of 1994. A Special 
Counsel, appointed by the President and confirmed by the Senate, heads 
the agency; the current Special Counsel took office in January 2004. 

OSC's handling of cases has been publicized in the media and you raised 
concerns about the assignment of two cases that involved alleged 
violations of the Hatch Act that OSC officials appeared to handle 
differently from other such cases. This report responds to your request 
to provide information on OSC's policies and procedures for assigning 
incoming cases to and within its organizational units. To meet this 
objective, we reviewed OSC's written policies and procedures for 
processing cases, which include procedures for assigning cases, and met 
with OSC officials knowledgeable about these procedures. We describe 
the assignment procedures for the four major types of cases but, 
because of long-standing GAO precedent and policy, we do not highlight 
specific cases. We conducted our review in Washington, D.C., from 
December 2005 to November 2006 in accordance with generally accepted 
government auditing standards. 

Results in Brief: 

Under OSC's procedures, the agency receives complaints, matters, 
disclosures, and requests for opinions through electronic media, by 
mail, or by fax. These generally come to the Document Control Branch 
before being sent to one of four units--Complaints Examining, 
Disclosure, Hatch Act, and USERRA--for further review and assignment. 
For complaints alleging prohibited personnel practices, the Document 
Control Branch typically screens the information to identify such 
information as type of complaint and complainant's name and opens a 
case file before forwarding the case to the Complaints Examining Unit. 
For disclosure matters that are filed electronically, the Document 
Control Branch is to open a case file in OSC's data tracking system but 
is to refer disclosure matters that are received via mail or fax to the 
Disclosure Unit before creating a case profile. For alleged violations 
of Hatch Act and requests for opinions on applicability of the act as 
well as USERRA complaints, OSC procedures call for the Document Control 
Branch to forward information directly to the respective unit chief who 
is responsible for reviewing the information, opening a case file, and 
assigning the case. The Special Counsel, as head of the agency, has 
authority and discretion to assign cases, but according to OSC, in most 
cases, the Special Counsel delegates this authority to unit chiefs, who 
are career staff. Within individual units, specific procedures for 
assigning cases to individuals vary. Generally, the unit chief makes an 
initial determination, among other things, as to whether OSC has 
jurisdiction over the complaint or disclosure and assigns those cases 
that fall within OSC's jurisdiction to a specific staff member or to a 
supporting division for review after considering such factors as the 
nature of the allegation and staff experience and workload. Cases that 
are outside of OSC's jurisdiction are to be closed with a letter of 
declination to the complainant. 

Background: 

OSC derives its authority under the following federal statutes: the 
Civil Service Reform Act of 1978,[Footnote 1] the Whistleblower 
Protection Act of 1989,[Footnote 2] the Hatch Act,[Footnote 3] the 
Office of Special Counsel Reauthorization Act of 1994,[Footnote 4] the 
USERRA Act of 1994,[Footnote 5] and the Veterans Benefits Improvement 
Act of 2004 (VBIA).[Footnote 6] See enclosure I for a description of 
the applicable provisions of the statutes. 

OSC carries out its mission pursuant to these statutes by conducting 
investigations of alleged prohibited personnel practices, attempting 
informal resolution through discussion with the agency (or by offering 
mediation), and when necessary, taking corrective or disciplinary 
action, or both, before the Merit Systems Protection Board 
(MSPB).[Footnote 7] OSC also handles whistleblower disclosures, 
investigates and prosecutes alleged Hatch Act violations and renders 
advisory opinions, and handles alleged USERRA violations including 
representing claimants before the MSPB. In fiscal year 2005, OSC 
reported receiving 1,771 prohibited personnel practice complaints, 485 
whistleblower disclosures, 245 Hatch Act complaints, 30 USERRA 
referrals from the Department of Labor, and 111 USERRA complaints under 
the VBIA demonstration project. 

OSC's current organizational structure includes the Immediate Office of 
the Special Counsel, five operating units/division--the Complaints 
Examining Unit, Hatch Act Unit, Disclosure Unit, USERRA/Special 
Projects Unit, and the Investigation and Prosecution Division--and four 
supporting offices--Alternative Dispute Resolution Program, Legal 
Counsel and Policy Division, Management and Budget Division, and 
Training Office. OSC maintains its headquarters office in Washington, 
D.C., and has four field offices located in Dallas, Oakland (the San 
Francisco Bay Area Field Office), Detroit (the Midwest Field Office), 
and Washington, D.C. Figure 1 outlines OSC's current organizational 
structure. 

Figure 1: OSC Organizational Chart: 

[See PDF for image] 

Source: OSC. 

[End of figure] 

OSC tracks its workload across different case types through its 
computerized system, known as "OSC 2000." This system is designed to 
capture and record data on all case types from the initial filing of 
the complaint, disclosure, or request for advisory opinion, until 
closure and archiving of the file. 

The current Special Counsel took office in January 2004 and announced a 
reorganization on January 6, 2005, which implemented recommendations 
from internal and external evaluations related to the agency's 
operations. The Special Counsel noted that the reorganization was 
intended to address the backlog of cases in all units and the 
cumbersome structure of three separate Investigative and Prosecution 
Divisions.[Footnote 8] Under the reorganization, the Special Counsel 
directed the heads of most units to draft standard operating 
procedures, which according to OSC officials are expected to be 
incorporated into the agency's formal directive system by the end of 
January 2007. 

OSC Units Have Procedures for Assigning Cases: 

OSC units have procedures for processing cases, which includes 
assigning complaints alleging violations of laws or disclosures of 
wrongdoing for review or investigation or both. These procedures cover 
matters received through the mail, by fax, and by electronic media and 
outline steps for preliminary screening, creating a case file in OSC 
2000, and initial review of cases. The Special Counsel, as head of the 
agency, has authority and discretion to assign cases, but according to 
OSC, in most cases, the Special Counsel delegates this authority to 
unit chiefs, who are career staff. In line with the reorganization as 
directed by the Special Counsel in January 2005, the Disclosure Unit, 
the Hatch Act Unit, and the Investigation and Prosecution Division 
developed new standard operating procedures that included steps on 
assigning cases. According to OSC officials, these new procedures are 
intended to provide guidance to staff on case processing procedures 
based on recommendations from internal and external evaluations of the 
agency's organization and operations. 

Prohibited Personnel Practice Cases: The Complaints Examining Unit 
(CEU) receives and conducts preliminary inquiries into allegations of 
prohibited personnel practices. Complainants alleging prohibited 
personnel practices are required to complete and submit either an 
electronic or paper copy of OSC Form 11, "Complaint of Possible 
Prohibited Personnel Practice or Other Prohibited Activity." Procedures 
call for the Document Control Branch to receive electronic and paper 
filings of OSC Form 11 and to review the information to ensure that it 
is not a duplicate of a previously received complaint (i.e., electronic 
and paper copy of the same complaint). For new complaints, information 
is entered into OSC 2000 and assigned a case number, and the file 
containing the original documentation submitted by the complainant and 
an OSC-generated case profile is forwarded to the Chief, CEU, for 
review and further processing. OSC procedures for handling duplicate 
complaints require the Document Control Branch to update OSC 2000 using 
the "additional information" code, prepare an updated profile, attach 
it to the complaint, and send the file to the CEU. 

The CEU is to screen prohibited personnel practice complaints to 
determine first that jurisdictional requirements are met. For example, 
among other requirements, the complaint must concern a personnel action 
involving a covered agency and must involve a covered position. The 
unit chief determines the priority of the case, generally based on the 
seriousness of the allegation, and assigns the case to a team leader 
for further review. As a result of this review, those cases that are 
determined to have merit are then referred to the Investigation and 
Prosecution Division, which investigates and analyzes such cases to 
determine whether they warrant seeking corrective and disciplinary 
action. (See enc. II for a description of the priority system and enc. 
III on the procedures for assigning prohibited personnel practice 
complaints.) The unit chief indicated that the procedures for assigning 
cases have not changed substantially over the years. Moreover, OSC 
officials indicated that the unit was already implementing new 
procedures prior to the reorganization; therefore, major changes in 
operating procedures were not necessary as a result of the January 2005 
reorganization. 

Whistleblower Disclosure Cases: OSC's Disclosure Unit (DU) receives 
whistleblower disclosure claims. As described by law, these consist of 
(1) violations of law, rule, or regulation; (2) gross mismanagement; 
(3) gross waste of funds; (4) an abuse of authority; or (5) a 
substantial and specific danger to public health or safety. OSC reviews 
the information within 15 days and determines whether there is a 
substantial likelihood that the information discloses one or more of 
the above categories of wrongdoing.[Footnote 9] According to DU's 
standard operating procedures, disclosures may be filed electronically, 
by mail, or by fax using either correspondence or an OSC Form 12, 
"Disclosure of Information." Electronic versions of OSC Form 12 would 
go directly to the Document Control Branch where a case profile is to 
be prepared. Disclosures received by mail or by fax are to be referred 
by the Document Control Branch to the DU before any action is taken, 
such as creating a case profile in OSC 2000. 

Files received by the DU are reviewed by the unit chief to determine 
whether the allegations constitute disclosures under the applicable 
statutes and whether OSC has jurisdiction over the whistleblower, the 
agency, or both. The unit chief prepares a worksheet, including such 
case information as type of allegation, file number, and agency; this 
worksheet is updated as the case moves through the process. The unit 
chief also prepares a brief synopsis of the allegation and assigns a 
priority to the case; this information is entered into OSC 2000. The 
case priority depends on the nature of the allegation. For example, 
cases that appear to meet the definition of substantial likelihood that 
a violation has occurred and disclose substantial and specific dangers 
to public health or safety would be identified as Priority 1A. Others 
appearing to meet the substantial likelihood definition but not 
involving allegations of public health or safety dangers would be 
identified as Priority 1B. Both types of cases would be reviewed before 
other disclosure cases. After assigning a priority, the chief assigns 
the case to an attorney within the DU for further review, to contact 
the whistleblower, and make a recommendation regarding the substantial 
likelihood determination for the Special Counsel's consideration. (See 
enc. II for a description of the priority system for disclosure cases.) 

Hatch Act Cases: The Hatch Act Unit handles requests for advisory 
opinions about applicability of the Hatch Act as well as complaints 
alleging violation of the act using OSC Form 13, "Complaint of Possible 
Prohibited Political Activity," although the use of the OSC Form 13 is 
not required to file a written complaint. Under the Hatch Act Unit's 
draft standard operating procedures, the unit chief assigns Hatch Act 
advisories to Hatch Act unit attorneys and law clerks. All Hatch Act 
complaints, according to these procedures, will be reviewed by the unit 
chief and he/she will assign a priority to cases before assigning them 
to unit attorneys and law clerks for a preliminary inquiry and 
recommendation. After the preliminary inquiry, several options are 
available, including closure, referral for investigation, or 
prosecution. If staffing within the Hatch Act Unit becomes an issue, 
the unit chief can refer complaints to the Investigation and 
Prosecution Division for preliminary inquiry, investigation, and 
prosecution. (See enc. II for a description of the priority system.) 

USERRA Cases: According to the USERRA Unit's standard operating 
procedures, the unit is responsible for receiving, investigating, 
resolving, and prosecuting all matters that directly concern or relate 
to federal employment issues affecting veterans and members of the 
Reserve and National Guard components of the Armed Forces. Under the 
directive implementing the January 2005 reorganization, the Special 
Counsel directed the head of the Special Projects Unit to establish a 
USERRA Unit, stating that OSC had in essence been assigned a special 
project under a demonstration project authorized by the VBIA where OSC 
would be handling a much larger number of cases under USERRA.[Footnote 
10] Complainants may file OSC Form 14, "Complaint of Possible Violation 
of USERRA," but the form is not required to file a complaint. According 
to the unit's procedures, the unit chief receives and reviews each 
claim and enters information into a case file in OSC 2000. The unit 
chief assigns the file to an investigator or attorney, depending on 
factors such as work load, the type of allegation, and the complexity 
of the case. 

Agency Comments: 

We provided a draft of this report to the Special Counsel for his 
review and comment. In responding, the Special Counsel noted and 
thanked GAO for taking the time to fully understand how OSC assigns and 
processes incoming cases within its organizational units. OSC's written 
response is included in enclosure IV. In addition, OSC provided 
technical comments which we have incorporated where appropriate. 

We will send copies of this report to the Special Counsel, Office of 
Special Counsel; interested congressional committees; and other 
interested parties. Copies will be made available to others upon 
request. This report will also be available at no charge on GAO's Web 
site at [Hyperlink, http://www.gao.gov]. 

If you or your staff have questions about this report, please contact 
me on (202) 512-9490 or by e-mail at stalcupg@gao.gov. Contact points 
for our Office of Congressional Relations and Public Affairs may be 
found on the last page of this report. Key contributors to this report 
were Belva Martin, Assistant Director; Sharon Hogan; Karin Fangman; 
David Fox; and Greg Wilmoth. 

Signed by: 

George H. Stalcup: 
Director, Strategic Issues: 

Enclosures: 

[End of section] 

Enclosure I: Statutes That Govern Office of Special Counsel (OSC) 
Authority: 

Statute: Civil Service Reform Act of 1978; 
Applicable provisions: OSC was created under the Reauthorization Plan 
Number 2 of 1978. The Reform Act established OSC as a part of the Merit 
Systems Protection Board (MSPB) and introduced statutory protection for 
whistleblowers. 

Statute: Whistleblower Protection Act of 1989; 
Applicable provisions: The act strengthens protection for 
whistleblowers and, thus, encourages whistleblowing. It also separated 
OSC from MSPB, establishing OSC as an independent federal investigative 
and prosecuting agency. 

Statute: Office of Special Counsel Reauthorization Act of 1994; 
Applicable provisions: The act gives OSC 240 days from the time it 
receives a complaint involving a prohibited personnel practice to 
determine whether there are reasonable grounds for believing that such 
a practice has been committed. If OSC is unable to process cases within 
this time, the agency is required to receive the complainant's consent 
to keep the case open. The act also makes federal agencies explicitly 
responsible for informing their employees of available rights and 
remedies under the Whistleblower Protection Act and related laws and 
directs that OSC play a consultant role in the process. 

Statute: Hatch Act; 
Applicable provisions: The act limits the political activities of 
federal employees, employees of the District of Columbia government, 
and certain employees of state and local governments who work in 
connection with programs, such as public health, housing, urban 
renewal, and area redevelopment programs, financed in whole or in part 
by federal loans or grants. The Hatch Act Reform Amendments of 1993 
(Pub. L. No. 103-94) allow most employees of the federal government and 
District of Columbia government to take a more active part in political 
management or in political campaigns outside of the workplace, but 
their activities are still restricted. 

Statute: Uniformed Services Employment and Reemployment Rights Act of 
1994; 
Applicable provisions: The act prohibits discrimination against persons 
because of their service in the Armed Forces Reserve, the National 
Guard, or other uniformed services. The act also protects the 
reemployment rights and benefits of persons who were absent due to 
military service or training. OSC is not authorized to handle a 
Uniformed Services Employment and Reemployment Rights Act (USERRA) 
claim before a claimant obtains assistance from Department of Labor's 
Veterans' Employment and Training Service (VETS). Upon the claimant's 
request, VETS refers the matter to OSC, which is authorized to initiate 
an action on behalf of a federal employee before the MSPB to enforce 
the act's provisions. OSC may appeal an MSPB decision on behalf of the 
employee before the U.S. Court of Appeals for the Federal Circuit. 

Statute: Veterans Benefits Improvement Act of 2004; 
Applicable provisions: Pursuant to a demonstration project established 
by the act, OSC has the authority to receive and investigate federal 
sector USERRA claims brought by persons whose social security numbers 
end in an odd- numbered digit. Such claims would not go through VETS. 
Under the demonstration project, OSC will also receive and investigate 
all federal sector USERRA claims containing a related prohibited 
personnel practice allegation over which OSC has jurisdiction 
regardless of the person's social security number. OSC is administering 
the demonstration project, which began on February 8, 2005, and ends on 
September 30, 2007. 

Source: GAO. 

[End of table] 

[End of section] 

Enclosure II: Priority Procedures for Prohibited Personnel Practice 
Cases, Whistleblower Disclosures, and Hatch Act Cases: 

The U.S. Office of Special Counsel (OSC) has a priority system for 
processing prohibited personnel practice cases, whistleblower 
disclosures, and Hatch Act complaints to allow more important cases to 
be handled more expeditiously. 

Priority System for Prohibited Personnel Practice Cases: 

In November 2001, OSC issued a policy directive that adopted a priority 
case processing system that classifies all its prohibited personnel 
practice cases into one of three categories. Under this approach, cases 
are investigated and analyzed for a determination of violation based on 
the category to which they have been assigned, while also taking into 
consideration the statutory time limits that apply to all cases. 
Category 1 prohibited personnel practice cases consist of the most 
serious personnel actions, involving employees who are removed, 
suspended for more than 14 days, geographically reassigned, or reduced 
in grade, or more than one of the above. Category 2 cases are less 
severe, including cases where suspensions are 14 days or fewer, 
performance appraisal ratings are below "fully successful," and denials 
of within-pay grade increases are being challenged. Category 3 cases 
involve the least serious adverse personnel actions, such as lower 
performance ratings that are still "fully successful," nongeographical 
reassignments or details, failure to promote, reprimands, and 
nonselections. For category 3 cases, investigators may use streamlined 
procedures that may require less time and staff resources to complete 
and may thus be investigated before some other cases. According to OSC 
officials, cases may be moved from one category to another as evidence 
is gathered supporting or refuting the allegation and a priority 
designation may be cancelled and the timing and level of resources to 
be dedicated to the case may be reevaluated on a case-by-case basis. 

In addition, within each of these categories, prohibited personnel 
practice cases may be designated "priority"--meaning they will receive 
the most prompt attention--based on the following factors: (1) meet 
OSC's criteria for seeking a stay of the personnel action or already 
have a stay in effect; (2) be a case in which OSC believes, on the 
basis of the evidence, that there is a substantial likelihood that the 
complaint is meritorious and in which OSC will seek corrective or 
disciplinary action; or (3) there is a public interest in prompt 
resolution of the case. Within each category, whistleblower reprisal 
complaints are given top priority. 

Priority System for Whistleblower Disclosure Cases: 

We have reported that OSC has used a priority system for Disclosure 
Unit cases since 2002. These cases are classified into three major 
categories, including two subcategories: 

* Priority 1 cases are those that appear to be referrals to the head of 
the agency. Within Priority 1, there are two subcategories: Priority 1A 
matters are disclosures of substantial and specific dangers to public 
health or safety that appear to be referrals and Priority 1B are 
disclosures of violations of the law, rule, or regulation; gross 
mismanagement; a gross waste of funds; and an abuse of authority that 
appear to be referrals. Upon receipt of Priority 1A and 1B matters, the 
attorney assigned must immediately review the file and contact the 
whistleblower within 2 business days of receipt. 

* Priority 2 cases are those that appear to be referrals to the Office 
of Inspector General. These cases include all disclosures of violations 
of law, rule, or regulation; gross mismanagement; a gross waste of 
funds; and an abuse of authority that appear to be referrals to the 
Inspector General. Generally, OSC refers disclosures involving 
substantial and specific dangers to public health or safety directly to 
the head of the agency, and not the Inspector General. Therefore, there 
is no need for a separate subcategory for public health and safety 
allegations under this priority. Upon receipt of Priority 2 matters, 
the attorney assigned must immediately review the file and contact the 
whistleblower within 3 business days of receipt. 

* Priority 3 cases are those that appear to be closures and are 
reviewed last. Within this priority, there are also two subcategories, 
3A and 3B. Disclosures that are classified as 3A are of a substantial 
and specific danger to public health or safety that appear to be 
closures. The 3B disclosures are disclosures of violations of a law, 
rule, or regulation; gross mismanagement; a gross waste of funds; and 
an abuse of authority that appear to be closures. Upon receipt of 
Priority 3A and 3B matters, the attorney assigned must immediately 
review the file and contact the whistleblower within 4 business days of 
receipt. 

Priority System for Hatch Act Cases: 

Pursuant to the January 2005 draft standard operating procedures, the 
priority system for Hatch Act complaints primarily involves first 
processing those complaints that demonstrate that a serious and 
existing violation has occurred, which may require corrective or 
disciplinary action or is in the public's interest to quickly resolve. 
Hatch Act complaints are designated as Category I, II, or III. 
According to OSC, significant congressional, executive branch, or media 
interest may affect the level at which a case is categorized. Moreover, 
within a category, cases receiving such interest would be assigned 
greater priority. Category I complaints are designated high priority 
and involve the most serious violations, where the subject is presently 
engaged in the prohibited activity or where there is evidence that the 
violation was knowing and willful. Examples of Category I complaints 
include misuse of official authority/coercion cases, candidacy cases, 
and solicitation cases. 

Category II complaints are of a midlevel priority and involve past 
serious violations, less serious ongoing violations, and less serious 
violations where there is evidence that the violation is knowing and 
willful. Examples of less serious violations include (1) posting or 
displaying partisan posters and photographs, (2) use of official title 
while engaged in political activity, and (3) writing a speech for a 
candidate while on duty. 

Category III or low-level priority complaints consist of complaints 
involving no apparent Hatch Act prohibited activity, or past violations 
which do not appear to be knowing and willful. 

[End of section] 

Enclosure III: Procedures for Assigning a Prohibited Personnel Practice 
Complaint: 

[See PDF for Image] 

Source: GAO. 

Note: 

CEU: Complaints Examining Unit: 

DCB: Document Control Branch: 

HR: Human Resource: 

IPD: Investigation and Prosecution Division: 

OSC: Office of Special Counsel: 

OSC 2000: OSC Data Tracking System: 

PPP: Prohibited Personnel Practice: 

[End of Figure] 

[End of section] 

Enclosure IV: Comments from the Office of Special Counsel: 

U.S. Office Of Special Counsel: 
1730 M Street, N.W, Suite 300: 
Washington, D.C. 20036-4505: 
www.osc.gov: 

The Special Counsel: 

December 11, 2006: 

The Honorable David M. Walker: 
Comptroller General of the United States: 
General Accountability Office: 
441 G Street, N. W. 
Washington, D.C. 20548: 

Re: Response to GAO Draft Report #GAO-07-263R: 

Dear Mr. Walker: 

Thank you for the opportunity to formally respond in writing to the 
Government Accountability Office (GAO) draft Report (#GAO-07-263R), 
dated December 7, 2006, on U.S. Office of Special Counsels Procedures 
for Assigning Incoming Cases to and Within Organizational Units. 

As your report notes, OSC has numerous statutory responsibilities. Our 
primary mission is to safeguard the merit system in federal employment 
by protecting employees and applicants for federal employment from 
prohibited personnel practices, especially reprisal from 
whistleblowing. In addition, the agency operates a secure channel for 
federal whistleblowing disclosures of violations of law, rule or 
regulation; gross mismanagement; gross waste of funds; abuse of 
authority; and substantial and specific dangers to public health or 
safety. OSC also provides advisory opinions and enforces Hatch Act 
restrictions on political activities of individuals employed by the 
federal and District of Columbia governments as well as certain state 
and local government employees employed in connection with programs 
financed by federal funds. Additionally, the agency enforces the rights 
of federal employees and applicants for federal employment under the 
Uniformed Services Employment and Reemployment Rights Act (USERRA) of 
1994. 

Because of OSC's numerous responsibilities outlined above, OSC has 
various and varied policies and procedures on handling incoming cases 
within its organizational units. These policies and procedures ensure 
that cases are processed in the most efficient and timely manner, and 
enable me and my staff to be more responsive to our customers. 

I commend your staff for taking the time necessary to fully understand 
how OSC assigns and processes incoming cases within its organizational 
units. GAO's understanding of how my authority has been delegated to my 
career staff regarding assigning and processing cases is important for 
our customers to understand. 

Again, thank you for taking the time to fully understand our policies 
and procedures, and also for giving me the opportunity to respond to 
this draft Report. 

Sincerely, 

Signed by: 

Scott J. Bloch: 

[End of Section] 

FOOTNOTES 

[1] Pub. L. No. 95-454. 

[2] Pub. L. No. 101-12. 

[3] The provisions commonly referred to as the Hatch Act are found 
under chapter 15 and subchapter III of chapter 73 of title 5. 

[4] Pub. L. No. 103-424. 

[5] Pub. L. No. 103-353. 

[6] Pub. L. No. 108-454. 

[7] MSPB is an independent, quasi-judicial agency in the executive 
branch that serves as the guardian of federal merit systems. 

[8] For a discussion of OSC case backlog, see GAO, U.S. Office of 
Special Counsel: Strategy for Reducing Persistent Backlog of Cases 
Should Be Provided to Congress, GAO-04-36 (Washington, D.C.: Mar. 8, 
2004). 

[9] OSC defines substantial likelihood as the determination that the 
agency is more likely than not to find the allegation substantiated at 
the conclusion of its investigation. 

[10] Under USERRA, OSC is not authorized to receive claims directly 
from federal sector claimants. Instead, claimants file with the 
Department of Labor's Veterans' Employment and Training Service (VETS), 
which attempts to resolve the claim. If VETS efforts do not resolve the 
claim, the individual can have the case referred to OSC for possible 
prosecution before MSPB. However, under the VBIA demonstration project, 
OSC shares the responsibility with VETS to receive and resolve federal 
sector USERRA claims. The demonstration project began on February 8, 
2005, and ends on September 30, 2007. 

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Automated answering system: (800) 424-5454 or (202) 512-7470: 

Congressional Relations: 

Gloria Jarmon, Managing Director, JarmonG@gao.gov (202) 512-4400 U.S. 
Government Accountability Office, 441 G Street NW, Room 7125 
Washington, D.C. 20548: 

Public Affairs: 

Paul Anderson, Managing Director, AndersonP1@gao.gov (202) 512-4800 
U.S. Government Accountability Office, 441 G Street NW, Room 7149 
Washington, D.C. 20548: