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Railroad Retirement Board Strategic Plan 2006-2011 |
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Exhibit 3: Performance Goals, Indicators, Measures |
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Strategic Plan in PDF
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Strategic Goal I: Provide Excellent Customer Service
| Strategic Objective 1-A: Pay benefits accurately and timely |
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1 |
Achieve a railroad retirement benefit payment
accuracy rate of at least 99%. |
Percent accuracy rate |
Initial recurring payments:
99.62% |
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Sample post recurring payments: 99.89% |
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2 |
Achieve a railroad unemployment/sickness
insurance benefit payment accuracy rate of
at least 99%. |
Percent accuracy rate |
Unemployment: 98.73% |
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Sickness: 99.94% |
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3 |
Achieve a railroad retirement case accuracy rate
of at least 94%. |
Percent of case accuracy |
Initial cases: 95.5% |
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Post cases: 95.8% |
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4 |
Achieve a railroad unemployment/sickness insurance case accuracy rate
of at least 98%. |
Percent of case accuracy |
Unemployment: 98.01% |
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Sickness: 99.51% |
| 5 |
Railroad retirement employee or spouse receives
initial annuity payment, or a decision, within 35 days of annuity beginning
date, if advanced filed. |
Percent completed within 30 adjudicative processing
days |
93.1% |
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6 |
Railroad retirement employee or spouse receives
initial annuity payment, or notice of denial, within 65 days of the date the
application was filed, if not advanced filed. |
Percent completed within 60 adjudicative processing
days |
97.3% |
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7 |
Survivor annuitant not already receiving a
benefit receives initial payment, a decision, or notice of transfer to SSA
within 65 days of the annuity beginning date, or date filed (whichever is
later). |
Percent completed within 60 processing days |
92.8% |
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8 |
Survivor annuitant receiving benefits as spouse
receives payment as survivor, notice of denial, or notice of application
transfer to SSA, within 35 days of RRB receipt of the notice of employee's
death. |
Percent completed within 30 processing days |
94.6% |
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9 |
Applicant for any railroad retirement death
benefit receives payment, or notice of denial, within 65 days of date
filed. |
Percent completed within 60 processing days |
96. 9% |
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10 |
Unemployed railroad worker receives
unemployment insurance claim form, or notice of denial, within 15 days of
the date application filed. |
Percent completed within 10 processing days |
99.8% |
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11 |
Railroad employee unable to work due to
temporary illness or injury, receives sickness insurance claim form, or
notice of denial, within 15 days of the date application filed. |
Percent completed within 10 processing days |
99.6% |
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12 |
Railroad
employee, unemployed or unable to work due to temporary illness or injury,
receives a payment for unemployment or sickness insurance benefits, or a
decision, within 15 days of claim receipt. |
Percent completed within 10 processing days |
99.8 % |
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13 |
Disabled applicant or family member receives notice of decision to pay or
deny within 105 days of the date application for disability is filed. |
Percent completed within 100 processing days |
67.9% |
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14 |
Disabled applicant receives payment within 25
days of decision or earliest payment date (whichever is later). |
Percent completed within 20 processing days |
94.9% |
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15 |
Reduce the number of days elapsed between the
date the appeal is filed and a decision is rendered.
(Target levels are established annually; the target for
fiscal year 2005 was 200 days.) |
Average elapsed days |
207 |
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Strategic Objective 1-B: Provide
relevant, timely, and accurate information
which is easy to understand. |
| 1 |
Achieve quality and accuracy of correspondence,
publications, and voice communications.
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Surveys
and reviews; number of valid challenges
to published data |
The final report on a widow(er)s survey was completed in August 2005.
The RRB’s score of 90 was the highest of Federal agencies.
There were no challenges to published data in fiscal year 2005. |
| Strategic Objective 1-C: Provide a range of choices in service delivery
methods |
| 1 |
Offer electronic options to our customers,
allowing them alternative ways to perform
primary services via the Internet or interactive
voice response systems. |
Number of services available through electronic media |
14 services were available. |
| Strategic Objective 1-D: Ensure efficient and effective business
interactions with covered railroad employers |
| 1 |
Improve
timeliness and efficiency in posting service and compensation data to agency
records. |
Percent of service and compensation records posted by April 15 |
95.0% |
| 2 |
Improve
accuracy in posting service and compensation data to agency records. |
Percent of service and compensation records posted accurately |
99.0% |
| 3 |
Covered
employer annual reports of employees filed electronically, or on magnetic
media. |
Percent of employee records filed electronically, or on magnetic media |
98. 0% (of employees) |
| 4 |
Enable
employers to use the Internet to conduct business with the RRB, in support
of the Government Paperwork Elimination Act. |
Percent of employers who use Internet-based services and number of services
available through electronic media |
55% 4
Internet services available |
Strategic Goal II: Serve as Responsible Stewards for Our Customers' Trust Funds and Agency Resources
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Strategic Objective II-A: Ensure
that trust fund assets are projected, collected,
recorded and reported appropriately. |
| 1 |
Debts will
be collected through billing, offset, reclamation, referral to outside
collection programs and a variety of other collection efforts. |
Percentage
of funds collected to total debts outstanding |
66% |
| 2 |
Release
quarterly and annual notices accurately and timely to employers regarding
their experience rating based contributions. |
Yes/No |
Yes |
| 3 |
Complete
compensation reconciliations at least 1 year before the statute of
limitations expires. (Compensation reconciliations involve a
comparison of compensation reported by railroad employers to the RRB for
benefit calculation purposes with compensation reported to the IRS for tax
purposes.) |
Percent
completed at least 1 year before the statute of limitations expires |
100% of the
2002 reconciliations were completed by 12/17/04. |
| 4 |
Perform
monthly reasonableness tests comparing railroad retirement taxes deposited
electronically, which represent over 99 percent of all railroad retirement
taxes, against tax receipts transferred to the RRB trust funds by the
Department of the Treasury (Treasury) to provide reasonable assurance the
RRB trust funds are receiving appropriate tax funds. |
Reasonableness
test performed and anomalies reconciled
with Treasury (Yes/No) |
Yes |
| 5 |
Prepare
annual Performance and Accountability Reports (including audited financial
statements and other financial and performance reports) by the required due
dates. |
Yes/No
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Yes.
The Fiscal Year 2004 Performance and Accountability Report was released on
11/10/04. |
| 6 |
Take prompt
corrective action on audit recommendations. |
Percent of
audit recommendations implemented by target date |
88.4% |
| Strategic Objective II-B: Ensure the integrity of benefit programs. |
| 1 |
Achieve a return of at least $3.60 for each
dollar spent on program integrity activities.
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Amount of savings and recoveries per dollar spent |
$5.11: $1.00 |
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1 |
Continue human capital planning by ensuring
there is a cadre of highly skilled employees available for key positions
through structured planning and training activities. |
Measure for fiscal year 2006 and later: Structured
human capital planning activities are continuing
(Yes/No) |
New goal for
fiscal year 2006. |
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2 |
Annually assess/update all computer security,
disaster recovery, and business resumption plans for the agency. |
Yes/No |
Yes. The agency has completed a Business Impact
Analysis and a Business Continuity Plan. |
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3 |
Develop and implement new procedures for
responding to and reporting computer security incidents. |
Yes/No |
Yes. The Intrusion Detection System (IDS) was
installed on 11/19/04, and was placed in operation on 2/12/05. The IDS
tuning phase was completed by 6/30/05. Computer security incident
procedures are in place and reports of incidents are documented. |
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4 |
Assess computer security training requirements
and implement an ongoing training program for agency staff. |
Yes/No |
Yes. The agency has established two training tracks.
Track one provides technical expertise and functional skills for IT
technical staff, and track two focuses on knowledge of security assessments,
planning, policy development and safeguard controls. All employees
requiring IT security education participate in track two; however, technical
employees use both tracks. |
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5 |
Implement a methodology to successfully
estimate, track and monitor total costs and time schedules for information
technology investments through the project life cycle, incorporating both
web and mainframe investments. |
Yes/No |
The pilot portion of this multi-phase project was
completed at the end of fiscal year 2005. All projects are now being
entered and tracked in MS Project. |
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6 |
Assemble and publicize an annual inventory of RRB commercial activities on the RRB Website. |
Yes/No |
Yes |
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7 |
Complete public-private competitions on the
activities listed on the Federal Activities Inventory Reform (FAIR) Act
inventory so as to meet legal requirements and any prescribed targets or
goals. |
Yes/No |
New indicator
for fiscal year 2006 |
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8 |
Meet government percentage goal for use of
performance-based contracting techniques for eligible service contract
funds. |
Yes/No |
Yes |
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9 |
Support government-wide procurement
E-Government initiatives using the point of entry vehicle of
www.FedBizOpps.gov for all eligible actions. |
Yes/No |
Yes |
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10 |
Complete migration from the agency’s current
mainframe database management system (IDMS) to DB2, and initiate efforts to
optimize the performance of those databases and further reduce data
redundancy. Meet target dates for the migration. (Yes/No) |
Yes/No |
New indicator
for fiscal year 2007 |
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Strategic Objective II-D: Effectively
carry out the responsibilities of the Railroad
Retirement Board under the Railroad Retirement
and Survivors’ Improvement Act of
2001 with respect to the activities of the
National Railroad Retirement Investment
Trust. |
| 1 |
Review monthly reports submitted by the
Trust. |
Yes/No |
Yes |
| 2 |
Review annual management reports submitted
by the Trust. |
Yes/No
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Yes |
| 3 |
Review annual audit reports of the Trust’s
financial statements. |
Yes/No |
Yes |
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1 |
Actual results for fiscal year 2005 represent
status as of 9/30/05 unless otherwise noted.
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2 |
The payment accuracy rate is the percentage of
dollars paid correctly as a result of adjudication actions performed. The
case accuracy rate represents the percentage of cases that do not contain a
material payment error. Accuracy rates reflect only those errors that are
detected as a result of reviewing a sample of award actions performed during
the fiscal year being studied. (A material error is (1) an incorrect payment
of $5.00 or more at the point the error is identified, (2) an incorrect
payment of less than $5.00 totaling 1 percent or more of the monthly rate,
or (3) any situation in which a non-entitled benefit is paid.
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3 |
In audit report 05-05, dated May 17, 2005, the
Office of Inspector General found problems with the performance data for
these indicators. One significant problem has been resolved, allowing us to
report performance for fiscal year 2005. However, there are still some
system limitations that prevent inclusion of all internal processing time in
the performance data. We are addressing these issues.
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4 |
Measure does not include the time for customer
receipt from the U.S. Treasury or Postal Service.
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5 |
We have recently become aware of measurement
and reporting inconsistencies which resulted in a net understatement of
actual performance. These inconsistencies have been corrected effective with
April 2005 data. Therefore, this report is for the last 6 months of fiscal
year 2005.
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6 |
This indicator includes both retirement and
survivor disability payments. The retirement payments are impacted by the
system limitations identified in footnote 3 above. The timeliness of the
retirement payments is measured by adjudicative processing days, while the
timeliness of the survivor payments is measured by the total processing
days. When the system limitations for retirement cases are corrected, this
inconsistency will be eliminated. |
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