Recommendations for Executive Action

1. Status: Open

   Priority recommendation

   Comments: OPM partially concurred with the recommendation. OPM stated that it has established initial high-level funding estimates for each of its five key IT initiatives. OPM cited that its ability to implement the modernization plan depends on the availability of funding and coordination with the agency's top leadership. In December 2019, OPM stated that it was evaluating what corrective actions it plans to take. In April 2020, GAO contacted OPM about the status of this recommendation and we are awaiting a response.

   Recommendation: The Associate Director of OPM's Retirement Services, working in coordination with the Chief Information Officer, should develop, document, and implement a Retirement Services IT modernization plan for initial project phases that is consistent with key aspects of IT project management, such as determining objectives, costs, and time frames for each initial phase. (Recommendation 1)

   Agency Affected: Office of Personnel Management

2. Status: Open

   Comments: OPM partially concurred with the recommendation and responded that it measures overtime spending, reviews daily work level in each work unit, and assesses employee productivity in these units. Collecting and reviewing such operational-level data contributes to monitoring efforts; however the recommendation emphasizes the importance of using performance information to better manage operations to align with organizational goals. In April 2020, GAO contacted OPM about the status of this recommendation and we are awaiting a response.

   Recommendation: The Associate Director of OPM's Retirement Services should adopt management practices to enhance the use of performance information on processing timeliness to inform how OPM manages operations, identifies problem areas, and allocates resources. For example, OPM could enhance use of performance measures at the operational level or establish a timeliness performance goal for reviewing disability retirement eligibility. (Recommendation 2)

   Agency Affected: Office of Personnel Management

3. Status: Open

   Comments: OPM partially concurred with the recommendation. OPM agreed to add an explanation about disability retirement eligibility determinations to its public reports. OPM disagreed that reporting data on the range of processing times would be beneficial because, according to OPM, it provides processing information through other means, such as through applicants' online accounts and agency benefit officers. OPM also acknowledged that it already collects and shares such data. In April 2020, GAO contacted OPM about the status of this recommendation and we are awaiting a response.

   Recommendation: The Associate Director of OPM's Retirement Services should provide explanatory information, such as the range of processing times and the exclusion of disability retirement eligibility determinations, as part of the performance measure on processing timeliness. (Recommendation 3)

   Agency Affected: Office of Personnel Management

4. Status: Open

   Comments: OPM partially concurred with the recommendation. OPM stated that a new case management system could provide better productivity and staffing data with which to assess effectiveness, but is dependent on funding and IT support. In April 2020, GAO contacted OPM about the status of this recommendation and we are awaiting a response.

   Recommendation: The Associate Director of OPM's Retirement Services should develop and implement policies and procedures for assessing strategies intended to improve processing times, including collecting and improving data needed to support those strategies, such as collecting better productivity data or staffing data and linking them to processing outcomes. (Recommendation 4)

   Agency Affected: Office of Personnel Management

5. Status: Open

   Comments: OPM concurred with the recommendation. In April 2020, GAO contacted OPM about the status of this recommendation and we are awaiting a response.

   Recommendation: The Associate Director of OPM's Retirement Services should examine its process for assessing its assistance to agencies on retirement applications. For example, OPM could incorporate into its assessment process more agency feedback or documentation of assessment results, which could improve its partnership with agencies to strengthen the assistance provided. (Recommendation 5)

   Agency Affected: Office of Personnel Management

6. Status: Open

   Comments: OPM partially concurred with the recommendation. OPM stated that it will explore using MS Excel spreadsheets and incorporating clearer descriptions of errors and data trends. OPM also stated that collecting disability application error information is not an inexpensive or simple process change. In April 2020, GAO contacted OPM about the status of this recommendation and we are awaiting a response.

   Recommendation: The Associate Director of OPM's Retirement Services should work with agencies to determine if there are cost-effective ways to make the retirement application error report that it sends to agencies more user-friendly. For example, explore whether there are cost-effective ways to provide the error report in a format that could be manipulated (e.g., Excel spreadsheet), or to include additional information, such as incorporating disability retirement applications or providing clearer descriptions of errors or trend data, some of which OPM already collects. (Recommendation 6)

   Agency Affected: Office of Personnel Management

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