LEGEND
= Met
= Not Met
= No Data Available
= FY 2000
D = Deferred
P = Progress

FY 1999 Performance Report
Appendices

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U.S. Office of Personnel Management

Appendix B
Office of Merit Systems Oversight and Effectiveness (OMSOE)

FY 1999 Performance Report
Goal & Performance Indicators Checklist

OPM Strategic Goal I
Provide policy direction and leadership to recruit and retain the Federal workforce required for the 21st Century.

OMSOE -- Goal 1

Federal Human Resources Management (HRM) policies and programs are merit-based, mission-focused, and cost-effective.

OMSOE studies produce valuable information which contributes to policy or program proposals.

Special studies and reports of formal discussions included data, and other information, provided initial policy leadership and technical assistance for agencies, and established mechanisms for OPM's continued leadership and partnership with stakeholders in dealing with these issues. Program offices have already taken action in the areas of poor performers and openness in employment. We continue to work with agencies to encourage alignment of their human resources with their strategic plans. Studies include:

• Federal Human Resources Employment Trends: An Occupation in Transition (parts 1 & 2)
• Strategic Human Resources Management: Aligning Human Resources Management with Mission
• Poor Performers in Government: A Quest for the Truth
• Opportunities Lost: Openness in the Employment Process

Two Strategic Human Resources Management Roundtables convened and reported.

OMSOE--Goal 2

The Central Personnel Data File (CPDF) is modernized to acquire data electronically, to make the CPDF more accessible, and to use it to replace the employment history function now served by paper Official Personnel Folders (OPF's). FY 1999 Goal was to complete the modernization plan.

Develop technical requirements and quality control information. Progress on CPDF Modernization Plan.

A detailed project plan was developed in FY 1999, and pilot testing of secure data transfer via the Internet for one major agency was completed. Work to test alternative protocols with other agencies continues.

Develop design specifications for CPDF online info. retrieval system.

Although an FY 2000 indicator, initial work began in FY 1999. An issue paper was completed, and software alternatives are under consideration

Assessment of quality of CPDF historical dynamics records.

This FY 2000 indicator is no longer valid, as the project was superseded by the Human Resources Data Network (HRDN) project.

Develop quality control procedures for the CPDF Employment History File (EHF).

This FY 2000 indicator is no longer valid, as the project was superseded by the HRDN project.

Increase in HR Directors' satisfaction.

The responses to the FY 1999 HR Directors' Survey were not sufficient enough to make it a credible and reliable survey. We will look to future year's data to assess trends.

The HR Director's baseline satisfaction levels from the FY 1998 survey were as follows: leadership 54%, opportunity for involvement 63%.

OPM Strategic Goal II
Protect and promote the merit-based civil service and the employee earned benefit programs through an effective oversight and evaluation program.

OMSOE--Goal 3a

Agencies, Governmentwide, adhere to the merit system principles and the laws, rules, and regulations governing Federal human resources management.

Improved adherence to merit system principles and improved HRM effectiveness

The merit system remained strong in FY 1999 based on results of oversight reviews of 15 agencies, which included approximately 120 installations. These reviews uncovered only a few areas that required corrective actions by agencies. We also conducted a special study on strategic alignment of human resources with agency strategic plans (published in early FY2000). Information indicates moderate progress toward the integration of human resources in agency strategic plans.

HRM improvements and correction of abuses that result from oversight reviews.

In those few instances where reviews uncovered serious merit system abuses, agency reviews were not closed until the agency complied with all required actions which mandate improved adherence to Merit System Principles (MSPs). Examples of required actions include (1) installation removed an employee because nepotism was involved in the selection; (2) an installation had its authority to appoint temporarily rescinded by its higher headquarters at OPM's direction; (3) agency rescinded incentive awards because the awards were improperly granted; (4) agency restored reduction-in-force appeal rights to employees who were downgraded without being given those rights; and (5) agency removed non-veterans from positions that were restricted to veterans.

Agency satisfaction with evaluation is at least 4.25.

Satisfaction with agency wide evaluation work is 4.78 on a scale of 1 to 5; exceeding our goal of 4.25.

Agencies reviewed as scheduled.

Completed our scheduled reviews of a total of 15 agencies: Federal Communication Commission, Energy, Health and Human Services, Navy, Dept. of Transportation, National Labor Relations Board, Office of Personnel Management, Commodity Futures Trading Commission, Export/Import Bank, Farm Credit Bureau, Federal Labor Relations Authority, National Capital Planning Commission, National Gallery of Art, Pension Benefit Guarantee Corporation, and the Smithsonian Institution.

Improvement in the % of employees responding favorably to the Merit System Principle Questionnaire (MSPQ)

I: Merit Systems Principles (MSP) Questionnaire results for FY 1997- FY 1999 by MSP. Data are percent favorable responses. The MSPQ is given late in the prior Fiscal year and used as the baseline for reviews conducted in the following year. Results are considered stable if within 5%.

Note: The FY 2000 MSPQ was completely revised during FY99. The new version will be used to support the next 4-5 year cycle of oversight reviews. The new MSPQ may also be used to track Governmentwide trends in MSPQ perception in support of other OPM goals. Results of this survey will be reported in the FY 2000 performance report.

• An upward trend (MSP 6).
• Stable trends for MSPs 1, 3, 4, 5, & 7
• Downward trends for MSPs 2, 8 & 9

Downward trends occurred at a time of tremendous Governmentwide downsizing, including Reductions in Force, and during the public coverage of a couple of highly visible incidents of improper actions related to whistle blowing. Perception of these underlying values are influenced by many factors and may take longer to improve.

5 & 10 year efficiency and productivity trends for personnel office operations are monitored and charted.

We conducted a special study of the Federal HR workforce. Agencies and OPM will use this information to assist the smaller HR workforce in defining and performing the new roles required in the more flexible and decentralized Federal human resources environment.

OMSOE--Goal 3b

HRM practices in non-title 5 agencies adhere to the merit system principles.

Non-title 5 agencies adhere to merit system principles

Results indicated positive adherence to the MSP's in the permanent demonstration projects. We continue to work with agencies with active demonstration projects to ensure successful adherence to MSP's in the implementation of their alternative personnel systems. Reviews of agencies with interchange agreements showed that one agency had a solid merit system, but had potential vulnerabilities that could occur during operation. We recommended they develop an internal accountability system. Another agency had such poor record keeping that we could not verify that it was operating a merit system.

Merit principle abuses are corrected

No major merit system violations were found in one review and we reported inadequate record keeping in another agency to Employment Service so they can determine whether to renew the interchange agreement with that agency.

Agency satisfaction with OMSOE evaluations is 4.25

We are not doing these evaluations on time-limited interchange agreement agencies because we do very limited reviews of them. The evaluations for demonstration projects is done as part of the broader agency-focused review. Overall results for agency reviews were reported under goal 3A.

Agencies reviewed as scheduled

Oversight of these agencies is a very small and developing workload. There are a total of 9 interchange agreements, 5 permanent and 4 time-limited. We reviewed 2 agencies with time-limited interchange agreements in FY 1999.

Developing work with demonstration projects is conducted as appropriate as part of the broader agency-focused reviews of title 5 agencies.

OMSOE--Goal 4

Agency systems assure accountability for the merit system principles and the laws, rules, and regulations governing Federal human resources management

Internal accountability systems established or improved

Progress was made in the Accountability Program with the publication of guidance materials and the special study on Strategic HRM. In addition, we worked very closely with the Department of Interior to develop their new system.

Inter-agency projects produce accountability models and measures

Documents and tools produced through partnership with Interagency Advisory Group accountability subgroup contain benchmark models and measures. Internal Accountability-At-A-Glance document created to track agency progress.

Evaluations of accountability systems in key agencies according to the Program Coverage Guide

Results indicate incremental progress toward developing formal accountability systems.

Increase in HR Directors' satisfaction and in HR Specialists' satisfaction.

Satisfaction ratings by Human Resource specialists in FY 1999 are reported here. The responses to the FY 1999 HR Directors' Survey were not sufficient enough to make it a credible and reliable survey. We will look to future year's data to assess trends.

• Human Resource specialists who report working in the area of accountability: In 1998 we only had data available for HR Specialists overall.
• Satisfaction ratings for Information sharing: 66%
  Technical Assistance: 69%
  MSP Video: 59%
  Accountability System Development Guide: 63%
  Strategic HR Management: 60%

We will monitor and work to improve satisfaction as we continue to promote HRM accountability. Of note, the satisfaction levels as measured by the FY 1998 customer survey for HR Director's were 60% for leadership and 61% for opportunity and involvement.

OMSOE--Goal 5

The Federal workforce understands and is guided by the merit system principles.

Increase understanding of principles as measured by MSPQ questions 27 & 28

Combined results indicate awareness of the MSPs and Prohibited Personnel Practices (PPPs) are stable. % favorable ratings are:

1997: 43%

1998: 39%

1999: 43%

Agencies adopt programs and practices that promote the merit system principles

Results from oversight reviews indicate that the merit system culture is alive and well in the Federal government. We will continue to work to maintain and improve the culture for merit even as delegation of and flexibilities for human resources management increase.

Educational materials are used by agencies to increase awareness of principles

MSP video training module incorporated in USDA Graduate School and Management Development Center Curriculums. Prior to GPO listing the materials in their catalog, we received 150 requests from Government agencies and other organizations.

The award winning video on the merit principles: "Encounter on Roosevelt Island: A Conversation about the Merit Principles" and its accompanying wallet card and training module were completed and distributed.

OMSOE -- Goal 6

Delegated examining is conducted in accordance with merit system laws, regulations, and principles (See also Employment Service Goal 14.)

Reviews conducted as scheduled.

We scheduled a minimum of 18 reviews for FY 1999. 50 were completed. This is due in large part to the number of reviews conducted within the Department of Health and Human Services.

Violations are corrected

Reviews indicate agencies are for the most part conducting delegated examining work within the merit system principles. Only two serious abuses resulted in temporary withdrawal of local examining authority by agency headquarters. Both installations had pervasive errors in the examining process (e.g., improper qualification determinations, errors in assigned ratings). Because the errors were so pervasive, the general integrity of the examining unit was compromised. In addition, in both cases it was clear that the examining unit staff needed significant training. To accomplish this, OPM asked the higher agency authority to remove the examining authority during the training period.

OMSOE -- Goal 7

The Department of Justice's requests for assistance under the Voting Rights Act are fully supported.

Department of Justice requirements are met

Department of Justice requested a specific number of observers for five language-based (Native American-- Choctaw, Keresan, Navajo, Towa, Zuni; Chinese--Cantonese and Mandarin; and Spanish) and race-based elections. Specifically, we met the requirements 100% by providing 480 Observers for elections in Arizona, California, Mississippi, New Jersey, New Mexico, New York, and Utah. In addition, through the use of the Voters Rights toll-free number, examiner-only coverage was provided for 53 elections in Alabama, Georgia, Louisiana, Mississippi, New York, South Carolina, Texas, and Utah.

Skilled observers are provided for exercises

In addition to the skilled language observers already on the Intermittent Voter Rights rolls, 9 Choctaw Indians were recruited and trained for work in Mississippi; 11 additional Spanish-speaking observers were also added to the rolls for work in New Jersey. Extensive training was provided on the Voting Rights exercise responsibilities

High quality election day reports, accurate voter lists, resolution of voting problems and timely voter list maintenance

High quality observer reports completed and accepted by Department of Justice. Federally registered voter lists are maintained on a continuing basis.

OMSOE -- Goal 8

Classification appeals, Fair Labor Standards Act (FLSA.) claims, and the mobility provisions of the Intergovernmental Personnel Act (IPA) are properly administered.

Correct, consistent and timely decisions as tracked by Claims and Appeals Tracking System

Perception of timeliness is measured by assessment forms sent to each appellant or claimant and agency when a decision is issued. On a scale of 1-4, with 4 being highest, agencies rated us 3.5 on timeliness whereas appellants scored us 2.4. We believe the appellants rating is low because by the time they appeal to OPM, they have appealed to their agency. After waiting 60 days for the agency's response, if they did not get the answer that they wanted, they appeal to OPM for a quick decision. Therefore, the timeliness on the entire appeal process is an issue with the appellant.

Correctness and consistency are monitored by 100 percent review of decisions by the program manager and by the number of reconsiderations submitted by agencies and appellants. This year only two of 131 decisions were reconsiderations of previous cases.

Publication of Digest

Digests 1 through 23 (covering 1981 through 1999) are posted on the OPM website and have been submitted to the Classification Programs Division for inclusion on the January 2000 Human Resources Compact Disk (HRCD) as individual issues and individual articles.

Digest 22 was published in FY 1999, and Digest 23 was ready for publication in the first month of FY 2000. Publication of the Digest provides examples of OPM's application of classification standards and assists personnelists to better apply the standards, and provide information for appellants.

Publication of FLSA decisions on OPM's website

All FLSA claims decisions issued since October 1996 are posted on OPM's website.

Interagency Personnel Act (IPA) delegations are properly exercised

Reviews in three technical/medical/ scientific organizations with large IPA programs indicated programs were functioning properly with only a few minor problems such as insufficient training/ orientation for incoming IPA's. Participation in IPA programs increased to 2,022 in FY 1999, from 1,564 in FY 1995. Roughly 75% of participants in each year were non-Federal employees working for Federal agencies, 25% were Federal employees working in non-Federal agencies.

OPM Strategic Goal III
Provide advice and assistance to help Federal agencies improve their human resources management programs to effectively operate within the economy, demographics and environment of the 21st Century.

OMSOE -- Goal 9

Personnel demonstration projects and alternative personnel systems are successfully implemented. (See ES Goal 18, WCPS Goal 13, and OWR Goal 13 ).

Number of demonstration projects and alternative personnel systems (APS) approved for publication and the number of projects implemented

Demonstration activity remains at a high level. In addition, work on new and existing HR innovation in the form of legislation for agency-specific alterna1tive personnel systems is increasing (e.g., Federal Bureau of Investigation, Bureau of Indian Affairs, Treasury, and the Internal Revenue Service). Inquiries about demos/APS or other Human Resource innovations were initiated by several Federal, State, local and international organizations.

New Human Resources Management laws, regulations, or lessons learned from demonstration projects

See report under Goal 1. Technical assistance or informational presentations made to stakeholders and clients and at the American Compensation Association, OPM's Strategic Compensation conference, OPM's performance management conference, and the annual meeting of the American Evaluation Association. Older demonstration projects have led OPM to propose a number of governmentwide changes which are being discussed with stakeholders.

Increase in HR Directors' and Specialists' Satisfaction

The primary emphasis of this goal is technical assistance so results from HR specialists, particularly those involved with HR innovation are reported here. The response to the FY 1999 HR Directors' Survey was not sufficient enough to make it a credible and reliable survey. We will look to future year's data to assess trends.

Results reflect interaction with several OPM program areas as well as OMSOE staff.

HR Specialists who report working in the area of HR innovation: (not available in 98) report satisfactory ratings.

Information sharing: 57%

Technical Assistance: 47%

HR Flexibilities and demo guidance materials: 70%

We will investigate these results and work to improve satisfaction under the auspices of the new Center for HR Innovation. Of note, the satisfaction levels, as measured by the FY 1998 customer survey for HR Directors was 36% for leadership and 41% for opportunity and involvement.

OPM Strategic Goal IV
Deliver high-quality, cost effective human resource services to Federal agencies, employees, annuitants and the public.

OMSOE -- Goal 10

The workforce information needs of OPM, other central management agencies, the Congress, the White House, and the public are met.

Accurate and timely Central Personnel Data File and other workforce information systems

Most recent GAO report says about 1/3 of the data elements are 100% accurate; remaining 2/3 are 99% accurate.

Records of at least 97% of employees per major agency are correct on core elements

Most recent GAO report says about 1/3 of the data elements are 100% accurate; remaining 2/3 are 99% accurate.

User satisfaction with OPM's record keeping requirements, workforce information and data services

Satisfaction ratings by HR specialists overall in FY 1999(not an FY 1998 survey question):

Guide to Personnel recordkeeping: 80%

Guide to Processing Personnel Actions: 82%

Guide to Personnel Data Standards: 71%

Three operating manuals updated and put on website. ListServe communications expanded to over 600 subscribers, twice what was estimated.

Growing interest in data publications on OPM's website

All publications are now on the web, averaging nearly 12,000 "hits" per week.

OTHER Initiatives

"Equal Pay Self-Audit Guide" completed and baseline data from all agencies collected.

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