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Kenneth Zawodny, Jr.Associate Director, Retirement ServicesRetirement Services
FY 16-17: Agency Priority Goal
Retirement Services Case Processing
Priority Goal
Goal Overview
The Office of Personnel Management (OPM) is responsible for the administration of the Federal Retirement Program covering more than 2.7 million active employees and nearly 2.6 million annuitants. This responsibility is shared with agency partners who counsel their employees and administer the initial retirement application process, and submit the employee’s application, with all supporting documentation, to OPM’s Retirement Services. OPM remains committed to improving all areas of retirement case related production by refining and implementing Lean Six Sigma process improvement activities, providing needed training and development, and diverting resources to areas needing concentrated efforts. In order to make comprehensive improvements to retirement claims processing, OPM will continue to focus on the following four pillars: People; Productivity and Process Improvement; Partnerships with Agencies; and Partial, Progressive IT Improvements.
Reducing Federal retirement case processing supports OPM’s Strategic Goal 7 - ensuring that Federal retirees receive timely, appropriate, transparent, seamless, and accurate retirement benefits. This Agency Priority Goal is aligned with Strategy 7.03 - advancing the 21st Century customer-focused retirement processing system for claims adjudication in a timely and accurate manner.
One challenge that OPM faces is the unexpected surges in normal retirement and phase retirement applications. When agencies make Voluntary Early Retirement Authority (VERA) and Voluntary Separation Incentive Program (VSIP) offers, OPM may see a significant increase in retirement applications. OPM works closely with agencies to understand upcoming retirement offers; however, surges in retirement applications can occur outside of OPM’s control and predictions.
OPM must also continue to address the accuracy and completeness of claims received. To do this, OPM conducts agency audits and provides follow up training to identify and address barriers to timely processing. A high level snap shot of this information is posted to the OPM website on a monthly basis, and a detailed report is provided to the CHCOs for each agency. When the retirement claim submissions are accurate and complete, processing is much faster. However, when data elements are missing, OPM must request the documentation necessary to process the request—a significant time and labor burden which contributes to OPM’s inability to quickly process its current or new inventory.
Another challenge that the agency faces is the diversity of cases OPM receives, which often leads to complex claims adjudication. Court-ordered benefits claims, as an example, typically involve legal documentation from multiple attorneys. Civil Service Retirement System (CSRS) and Federal Employees Retirement System (FERS) may seem simple, with OPM's responsibility simply to multiply the high-three average salary by a percentage based upon years of service. The reality is that both CSRS and FERS are extraordinarily complicated structures with a multitude of complex provisions that apply under various circumstances.
Strategies
OPM’s Retirement Services Strategic Plan outlines four key pillars to improve claims processing, including people, productivity and process improvement, partnering with agencies, and partial, progressive information technology improvements. The four pillars have become the foundation of the agency’s daily operations, helping OPM honor Federal retirees, family members, and survivors by ensuring accurate and timely pensions. The four pillars are outlined in greater detail below:
1. People
- Maintain appropriate Legal Administrative Specialists staffing levels to back fill individuals who retire; and
- Maintain appropriate Customer Service Specialists staffing levels to back fill individuals who retire.
2. Productivity and Process Improvement
- Use internal 90 percent within 60 day reports to monitor workloads, identify challenges, and address claims processing issues;
- Continue to develop capabilities to receive electronic retirement applications;
- Implement Lean Six Sigma Process Improvement Plan; and
- Effective use of overtime.
3. Partnering with Agencies
- Work with OPM Human Resource Solutions to communicate Retirement Services strategies and updates in Chief Human Capital Officers Council meetings;
- Identify training needs for benefits officers and, based on the findings, provide job aids, on-line training modules, and workshops on the retirement application process;
- Maintain 90 percent or greater accuracy and completeness of incoming claims; and
- Provide continued feedback to agencies on claims deficiencies.
4. Partial, Progressive Information Technology Improvements
- Acquire, Customize, and integrate the Electronic Case Management System;
- Pursue long-term data flow strategy;
- Explore short-term strategy to leverage work agencies do now;
- Review and upgrade systems used by Legal Administrative Specialists;
- Develop capability to receive electronic retirement applications; and
- Implement the RS Strategic IT Vision through incremental and strategic automation of the process in areas such as retirement calculator.
Progress Update
- OPM’s claims processing accuracy rate was 95.7 percent as of July 2016, using a weighted average (FY 2016 target is 95 percent).
- In FY 2016, an average of 89.2 percent of retirement applications submissions that OPM received were considered complete. Data is posted on the OPM website: http://www.opm.gov/about-us/budget-performance/strategic-plans/agency-audit-monthly-update.pdf.
- In FY 2016, OPM processed 77 percent of pending claims within 60 days (target is 90 percent). The overall average processing time for retirement claims was 54.1 days, with an average of 45 days for claims processed in 60 days or less and 100 days for claims processed in more than 60 days.
- OPM continued to expand access for agency human resources and payroll offices to the Retirement Data Repository via Data Viewer. The Data Viewer enhances productivity and reduces errors by aggregating information from multiple systems and enabling users to see retirement-related data submitted via data feeds and imaged documents based on the users’ defined roles and responsibilities in the system. OPM continued to add increased user access to the Data Viewer by working with agencies and payroll providers. At the end of September 2016, approximately 600 users and over 30 agencies were using the Retirement Data Viewer. These agencies primarily represent the executive branch customers of the Defense Finance and Accounting Service and the Interior Business Center.
- Retirement Services conducted two Federal Erroneous Retirement Coverage Corrections Act (FERCCA) workshops in early August, at OPM headquarters in DC. The target audience for the workshops was benefits or staffing human resource specialists who work with retirement coverage determinations or issues. The first day of the workshops included a review of the basic retirement coverage rules and the steps to take in processing an error decision. Day two of the workshops guided attendees through the process of putting together a complete decision package for employees who need to make a FERCCA election as well as the correction process once the employee makes an election.
- OPM hosted a webcast on Special Benefits Provisions for Senior Officials and Congressional employees. The webcast included topics such as background information and service credit deposits, with the main focus on the special elections that senior officials are entitled to when they became subject to Social Security coverage. The target audience for the website was benefits officers, individuals who fall in the staff categories, and staffing human resource specialists who work with retirement coverage determinations or issues.
- OPM also hosted a webcast on FERS Revised Annuity Employee (RAE) and FERS Further Revised Annuity Employee (FRAE). The webcast included background information and coverage determinations. The target audience for the webcast was benefits officers, individuals who are covered under these benefits, and staffing human resource specialists who work with retirement coverage determinations or issues.
- OPM placed a system for tracking court ordered benefits into production in June 2016. The agency loaded data from the previous system into the new system and is currently doing data cleanup, which is necessary to ensure accurate reporting of processing times and workload. OPM has mapped out the work flows for measuring processing times and will be now testing those workflows with real data. The agency is preparing to train the users in September/October.
Next Steps
- Develop a Court Ordered Benefits Case Reporting System (FY 2017 Q1). OPM completed its user training, but is currently awaiting data from the system so that the agency can test the processing time calculations. There has been a delay in obtaining the data as OPM’s IT shop was focused on its end of fiscal year priorities and reports during September and October. OPM anticipates receiving the data by 11/15. Upon receipt the agency will commence testing of the processing times.
- Finish modifications on the reporting system used to track Court Ordered Benefits Claims to ensure accurate data collection and reporting.
- Determine reporting business processes.
- Develop a pilot reporting system.
- Test pilot system.
- Implement system.
- Work with Agency Benefits Officers to improve submissions from agencies (FY 2016 – FY 2017):
- Perform on-going audits of submissions by agencies.
- Provide monthly feedback to agencies and to alert agencies of trends and improvement opportunities.
- Develop and deliver job aids, on-line training modules, and workshops on the retirement application process.
- Hold Benefits Officers seminars covering benefits initiatives, shared best practices, and crosscutting issues in retirement, insurance, and the Thrift Savings Plan administration. The Fall Festival of Training will be held in Pittsburgh, PA. This training event will feature six workshops a day and daily buses to the Retirement Operations Center in Boyers, PA for tours of that facility. Registration can be found at the following link: https://registration.golearnportal.org/events/Fall_Festival_2016.
- Support the processing of 90 percent of pending claims within 60 days (FY 2016 – FY 2017).
- Integrate process improvements through Lean Six Sigma.
- Explore additional opportunities for process improvements.
- Enhance reporting tools to monitor and manage Retirement Services workloads.
- Implement initiatives from the IT Plan.
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Performance Indicators
Percent of retirement claims processed within 60 days
Ratio of complete retirement submissions received from agencies
Average number of days to process court-ordered benefit cases
Contributing Programs & Other Factors
Retirement Services with support from the Chief Information Officer and Congressional, Legislative and Intergovernmental Affairs.
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Strategic Goals
Strategic Goal:
SG7 Improved Retirement Benefit Service
Statement:
Ensure that Federal retirees receive timely, appropriate, transparent, seamless, and accurate retirement benefits.
Strategic Objectives
Statement:
Increase the percentage of all retirement data from agencies according to the required standard.
Increase the percentage of retirement applications prepared through information systems that meet established standards and have been certified by OPM.
Description:
- Establishing shared responsibility among OPM offices and agencies to ensure consistent information, tools, and counseling to employees.
- Establishing government-wide data elements and standards spanning the employee life-cycle for management and receipt of timely and accurate employee data required for retirement.
- Establishing and enforcing standards for information systems used for management of retirement counseling and application preparation, and application transmittal.
- Promulgating policy harmonization and standards across Government and issue requirement for all agencies and payroll centers to provide data in an appropriate format.
- Continuing agency audits to improve quality of retirement submissions.
- Engaging employees across the employee life cycle in preparation for retirement.
Statement:
Exceed established targets on processing retirement and survivor claims accurately as published in the Annual Performance Report.
Improve the level of customer satisfaction as measured by customers satisfied with overall retirement services.
Exceed the targets established to reduce improper payments in the retirement program as outlined in the annual Agency Financial Report.
Description:
- Investing in information technology tools and solutions such as the development of a full case management and workflow capability to facilitate payment of accurate and timely benefits payments.
- Using performance measures to ensure quality customer service.
- Strengthening quality assurance processes, policies, and procedures.
- Ensuring continued focus on addressing and reducing improper payments.
- Using all tools available including the CARE Team, the LAS survey and the Customer Service Survey to identify customer service trends and prioritize areas where change is needed
- Delivering optimal customer service experiences by improving processes.
- Implementing best practices for receipt and use of electronic data.
- Issuing data standards for agencies and payroll providers and investing in the capability to receive data in appropriate standards.
- Issuing data standards for electronic application.
Statement:
Train and certify agency benefit/retirement officers who have not been trained on retirement services
Description:
- Developing an agency benefit officers’ service delivery model emphasizing shared responsibility for benefits/retirement among employees, OPM and agencies.
- Defining standards for agency benefit officers, measuring their results, and recognizing them for exceptional customer service.
- Develop training certification for agency benefit/retirement officers on retirement services.
Agency Priority Goals
Statement:
Reduce Federal retirement processing time by making comprehensive improvements and move toward electronic processing of all retirement applications. Starting July 1, 2014, process 90 percent of cases in 60 days or less. By the end of FY 2015, increase the use of services on-line by 25 percent (from a baseline of 367,000 annuitants), and increase the percentage of complete cases received from agencies to 95 percent or greater (from a baseline of 89 percent) with the long term goal of 100 percent of cases received as complete.In addition, by FY 2015, OPM will develop capabilities to receive electronic retirement applications.
Description:
The Office of Personnel Management (OPM) is responsible for the administration of the Federal Retirement Program covering over 2.7 million active employees and nearly 2.6 million annuitants. This responsibility is shared with agency partners who counsel their employees and administer the initial retirement application process, and submit the employee’s application, with all supporting documentation, to OPM’s Retirement Services. OPM remains committed to improving all areas of retirement case related production by refining and implementing Lean Six Sigma activities, providing needed training and development, and diverting resources to areas needing concentrated efforts. In order to make comprehensive improvements to retirement claims processing, OPM will continue to focus on the following four pillars: People; Productivity and Process Improvement; Partnerships with Agencies; and Partial, Progressive IT Improvements.
Strategic Objectives
Strategic Objective:
Statement:
Exceed established targets on processing retirement and survivor claims accurately as published in the Annual Performance Report.
Improve the level of customer satisfaction as measured by customers satisfied with overall retirement services.
Exceed the targets established to reduce improper payments in the retirement program as outlined in the annual Agency Financial Report.
Description:
- Investing in information technology tools and solutions such as the development of a full case management and workflow capability to facilitate payment of accurate and timely benefits payments.
- Using performance measures to ensure quality customer service.
- Strengthening quality assurance processes, policies, and procedures.
- Ensuring continued focus on addressing and reducing improper payments.
- Using all tools available including the CARE Team, the LAS survey and the Customer Service Survey to identify customer service trends and prioritize areas where change is needed
- Delivering optimal customer service experiences by improving processes.
- Implementing best practices for receipt and use of electronic data.
- Issuing data standards for agencies and payroll providers and investing in the capability to receive data in appropriate standards.
- Issuing data standards for electronic application.
Agency Priority Goals
Statement: Reduce Federal retirement processing time by making comprehensive improvements and move toward electronic processing of all retirement applications. Starting July 1, 2014, process 90 percent of cases in 60 days or less. By the end of FY 2015, increase the use of services on-line by 25 percent (from a baseline of 367,000 annuitants), and increase the percentage of complete cases received from agencies to 95 percent or greater (from a baseline of 89 percent) with the long term goal of 100 percent of cases received as complete.In addition, by FY 2015, OPM will develop capabilities to receive electronic retirement applications.
Description: The Office of Personnel Management (OPM) is responsible for the administration of the Federal Retirement Program covering over 2.7 million active employees and nearly 2.6 million annuitants. This responsibility is shared with agency partners who counsel their employees and administer the initial retirement application process, and submit the employee’s application, with all supporting documentation, to OPM’s Retirement Services. OPM remains committed to improving all areas of retirement case related production by refining and implementing Lean Six Sigma activities, providing needed training and development, and diverting resources to areas needing concentrated efforts. In order to make comprehensive improvements to retirement claims processing, OPM will continue to focus on the following four pillars: People; Productivity and Process Improvement; Partnerships with Agencies; and Partial, Progressive IT Improvements.
