The Office of Personnel Management (OPM): An Overview
The Office of Personnel Management (OPM):
July 20, 2021
An Overview
Taylor N. Riccard
The Office of Personnel Management (OPM) is authorized by statute to perform various duties
Analyst in Government
and functions that are related to human resources management and personnel policies for the
Organization and
federal government. The antecedent of OPM may be traced to the enactment of the Civil Service
Management
Act of 1883, known as the Pendleton Act, which statutorily established some underlying aspects
of today’s federal personnel system. The act also established the Civil Service Commis sion
(CSC), which was originally intended to insulate the hiring and management of federal
employees from partisan political influence. The CSC continued with much the same role until
1978, when Congress passed the Civil Service Reform Act and replaced the CSC with OPM.
OPM identifies a number of areas central to its work that are referred to as “key functions,” including human capital
management, administration of federal employee benefit programs, and the vetting of job candidates.
OPM’s funding is included in the annual Financial Services and General Government Appropriations Act. For FY2021,
OPM’s operating budget—including discretionary appropriations, mandatory administrative authorities, revolving fund
activities, advance and reimbursements, and Office of Inspector General (OIG) discretionary appropriations—was $1.05
billion, and the agency had 2,737.9 full-time-equivalent employees.
This report discusses OPM’s establishment, statutory authority, mission, key functions, organization, budget, and
performance. It also identifies potential politicization of the civil service and the reorganization and modernization of OPM
as issues for congressional oversight. It raises several questions under each issue for Congress to consider. It also discusses
the recommendations published in the National Academy of Public Administration’s (NAPA) report “Elevating Human
Capital: Reframing the U.S. Office of Personnel Management’s Leadership Imperative,” which was published in 2021
pursuant to a statutory mandate.
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Contents
Establishment of OPM ..................................................................................................... 1
Statutory Authority.......................................................................................................... 1
Mission, Key Functions, and Organization .......................................................................... 2
OPM’s Operating Budget ................................................................................................. 6
Performance ................................................................................................................... 8
Issues for Congressional Oversight .................................................................................... 9
Selected Oversight Issues............................................................................................ 9
NAPA Recommendations for OPM ............................................................................ 12
Figures
Figure 1. Organization Chart for OPM (January 2021) .......................................................... 5
Tables
Table 1. OPM Operating Budget, by Fund, FY2020-FY2022 ................................................. 7
Contacts
Author Information ....................................................................................................... 13
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The Office of Personnel Management (OPM): An Overview
Establishment of OPM
The creation of the Office of Personnel Management (OPM) may be traced to the enactment of
the Civil Service Act of 1883, known as the Pendleton Act,1 which established in statute some
underlying aspects of today’s federal personnel system. Prior to the Pendleton Act, according to
OPM’s description of the system before 1883, “[f]ederal employment was largely based on
political affiliation or personal connections, a system known as the ‘spoils system,’ rather than
applicants’ knowledge, skil s, and abilities.”2 The Pendleton Act and the resulting merit system,
OPM says, “ushered in a new era and created a competitive civil service, which emphasized an
applicant’s relative level of qualifications for the position being sought, after fair and open
competition.”3 The act established the Civil Service Commission, which was intended to insulate
the hiring and management of federal employees from partisan political influence.4 The
commission continued with much the same role until the enactment of the Civil Service Reform
Act of 1978 (CSRA), which created OPM.5 The CSRA authorized significant leadership roles in
federal human resources management and personnel policy for OPM.6 By consolidating human
resources leadership within OPM, Congress intended for the agency “to concentrate on planning
and administering an effective government-wide program of personnel management.”7
Statutory Authority
General y, the statutory provisions governing OPM are located in Title 5 of the United States
Code and, in particular, in Chapter 11. Section 1103(a) of Title 5 vests the OPM director with
fulfil ing various functions, including “executing, administering, and enforcing (A) the civil
service rules and regulations … and the laws governing the civil service; and (B) the other
activities of the Office including retirement and classification activities; except with respect to
functions for which the Merit Systems Protection Board or the Special Counsel is primarily
responsible.”8
In addition, the OPM director is responsible for “aiding the President … in preparing such civil
service rules as the President prescribes, and otherwise advising the President on actions which
may be taken to promote an efficient civil service and a systematic application of the merit
system principles, including recommending policies relating to the selection, promotion, transfer,
performance, pay, conditions of service, tenure, and separation of employees.”9
1 P.L. 16; Civil Service Act of 1883; January 16, 1883 (22 Stat. 403). T his law is discussed for historical context in
CRS Report RL30795, General Managem ent Laws: A Com pendium , by Clinton T . Brass et al. (available to
congressional clients upon request), in the section titled “ T itle 5, Part III—Employees,” by Barbara Schwemle.
2 OPM, Annual Performance Report: Fiscal Year 2020, January 2021, https://www.opm.gov/about-us/budget-
performance/performance/2020-annual-performance-report.pdf.
3 OPM, Annual Performance Report: Fiscal Year 2020.
4 See CRS Report RL30795, General Management Laws: A Compendium , by Clinton T . Brass et al. (available to
congressional clients upon request), in the section titled “ T itle 5, Part II—Civil Service Functions and
Responsibilities,” by Barbara Schwemle, p. 248.
5 Ibid., p. 245. See also “ Reorganization Plan No. 2 of 1978,” May 23, 1978 (92 Stat. 3783).
6 Ibid., p. 248.
7 Ibid.
8 5 U.S.C. §1103(a).
9 5 U.S.C. §1103(a).
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The Office of Personnel Management (OPM): An Overview
Under Section 1103(a), the director’s responsibilities also include, among others, securing
accuracy, uniformity, and justice in OPM’s functions; appointing individuals to be employed;
directing and supervising employees; distributing business among employees and organizational
units; directing internal management; and directing the preparation of requests for appropriations
and the use and expenditure of funds.10
The agency’s website explains that “the Office of the Director provides guidance, leadership and
direction necessary to fulfil the agency’s mission and make the Federal Government the model
employer in the United States.”11
Section 1303 of P.L. 107-296, enacted on November 25, 2002, established the Chief Human
Capital Officers Council. The council members include the OPM director, the deputy director for
management of the Office of Management and Budget, and the chief human capital officers from
27 departments and agencies.12 The OPM director acts as chairperson of the council, which is
required to “meet periodical y to advise and coordinate the activities of the agencies of its
members on such matters as modernization of human resources systems, improved quality of
human resources information, and legislation affecting human resources operations and
organizations.”13
Mission, Key Functions, and Organization
As the federal government’s central personnel agency, OPM has responsibilities related to human
capital management, administration of federal employee benefit programs, and vetting of job
candidates. The agency describes itself as follows on its website:
OPM serves as the chief human resources agency and personnel policy manager for the
Federal Government. OPM provides human resources leadership an d support to Federal
agencies and helps the Federal workforce achieve their aspirations as they serve the
American people. OPM directs human resources and employee management services,
administers retirement benefits, manages healthcare and insurance programs, oversees
merit-based and inclusive hiring into the civil service, and provides a secure employment
process.14
In recent years, OPM has included a mission statement and a list of core values in its strategic
plans. For example, the agency’s A New Day for Federal Service: Strategic Plan 2010-2015
mission statement was “Recruit, Retain and Honor a World-Class Workforce to Serve the
American People.”15 OPM listed several values in the plan, including service, respect, integrity,
diversity, enthusiasm, excel ence, and innovation.16 The mission statement and values remained
unchanged in the Strategic Plan 2014-2018.17
10 5 U.S.C. §1103(a).
11 OPM, “About Us: Our People and Organization,” https://www.opm.gov/about-us/our-people-organization/office-of-
the-director/.
12 Chief Human Capital Officers Council, “About the Council,” https://www.chcoc.gov/content/about-council.
13 5 U.S.C. §1401 note.
14 OPM, “Our Agency,” https://www.opm.gov/about-us/.
15 OPM, A New Day for Federal Service: Strategic Plan 2010-2015, p. 4, archived at https://web.archive.org/web/
20130227161503/http://www.opm.gov/about-us/budget-performance/strategic-plans/2010-2015-strategic-plan.pdf.
16 OPM, A New Day for Federal Service.
17 OPM, Strategic Plan 2014-2018, pp. 6-7, archived at https://www.opm.gov/about-us/budget-performance/strategic-
plans/2014-2018-strategic-plan.pdf.
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Most recently, OPM Strategic Plan Fiscal Years 2018-2022 revised the mission statement to read,
“We lead and serve the Federal Government in enterprise human resources management by
delivering policies and services to achieve a trusted effective civilian workforce.” In addition, the
core values included innovation, integrity, excel ence, service, and leadership.18 The plan stated
that OPM “works in several broad categories to lead and serve the Federal Government in
enterprise human resource management by delivering policies and services to achieve a trusted
effective civilian workforce.”19
The strategic plan also identified “key functions” that are central to the work of the agency,
including the following:
Human Capital Management. OPM provides policy direction and leadership in
designing, developing, and promulgating Government-wide human resources systems,
programs, and policies that support the current and emerging needs of Federal agencies. In
addition, OPM provides technical support and guidance to agencies regarding the full range
of human resources (HR) management policies and practices.20
Benefits. OPM offers the availability of quality benefits for Federal employees and their
families. The agency works to facilitate access to the high-caliber healthcare and insurance
programs offered by the Federal Government, including health insurance services, dental
and vision benefits, flexible spending accounts, life insurance; and long -term care
insurance programs. OPM manages insurance benefits for more than eight million Federal
employees, retirees, and their families. OPM also develops and administers programs that
provide health insurance to uninsured Americans through Affordable Insurance
Exchanges, and employees of tribes or tribal organizations. OPM is responsible for the
administration of the Federal Retirement Program covering mo re than 2.7 million active
employees, including the United States Postal Service, and nearly 2.6 million annuitants,
survivors, and family members.21
Vetting. As the Suitability and Credential Executive Agent, OPM’s Director is responsible
for prescribing suitability, fitness, and credentialing standards for employment; prescribing
position designation requirements with respect to risk to the integrity and efficiency of the
service; prescribing applicable investigative standards, policies, and procedures for
suitability, fitness, and credentialing; prescribing reciprocity standards; and making
suitability determinations and taking actions.… The OPM Director as the Suitability
Executive Agent, issued National Training Standards for Suitability Adjudicators to
support uniformity in the continued professional development of the suitability workforce
and to promote reciprocal recognition of suitability determinations.22
To support OPM’s key functions, the agency is organized into program divisions, including (1)
Employee Services; (2) Retirement Services; (3) Healthcare and Insurance; (4) Merit System
Accountability and Compliance; (5) Suitability Executive Agent; and (6) Human Resources
18 OPM, OPM Strategic Plan Fiscal Years 2018-2022, February 2018, p. 9, https://www.opm.gov/about-us/budget-
performance/strategic-plans/2018-2022-strategic-plan.pdf.
19 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
20 OPM, “About Us: Our Mission, Role and History,” https://www.opm.gov/about-us/our-mission-role-history/what-
we-do/#url=Human-Capital-Management -Leadership.
21 OPM, “About Us: Our Mission, Role and History,” https://www.opm.gov/about-us/our-mission-role-history/what-
we-do/#url=Benefits.
22 OPM, “About Us: Our Mission, Role and History,” https://www.opm.gov/about-us/our-mission-role-history/what-
we-do/#url=Vetting.
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Solutions.23 Figure 1 shows the organization chart for OPM, as obtained from OPM’s Annual
Performance Report Fiscal Year 2020.
23 OPM, “About Us: Our People and Organization,” https://www.opm.gov/about-us/our-people-organization/office-of-
the-director/.
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Figure 1. Organization Chart for OPM (January 2021)
Source: OPM, Annual Performance Report Fiscal Year 2020, January 2021, p. 12, https://www.opm.gov/about-us/
budget-performance/performance/2020-annual-performance-report.pdf.
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The Office of Personnel Management (OPM): An Overview
OPM’s Operating Budget
OPM’s activities are funded from multiple sources. Specifical y, OPM receives several sources of
discretionary funds to support its program and leadership activities.24 OPM also manages certain
mandatory appropriations and related trust funds for federal employee benefits.25 Several
statutory provisions authorize OPM to make certain trust fund transfers to cover OPM’s costs for
administering these programs. Some of the more prominent sources of funding for OPM’s
administrative activities—which OPM refers to as its “operating budget”—include the
following:26
The Salaries and Expenses appropriations account funds many of the core
operations of OPM.27 The functions and objectives of the agency’s major
components are funded by this account, including employee services, merit
system accountability and compliance, retirement services program, and
healthcare and insurance.28
The Office of the Inspector General (OIG) appropriations account funds OIG
efforts to “protect the integrity of OPM’s programs and operations. The OPM
OIG’s audits, investigations, evaluations, and administrative sanctions programs
serve to prevent and detect fraud, waste, abuse, and mismanagement.”29
Transfers from OPM-managed trust funds partial y pay for some of OPM’s
activities. The agency is responsible for administering the civil service retirement
and insurance programs. The trust fund transfers partial y fund Retirement
Services, Healthcare and Insurance, Planning and Policy Analysis, Office of the
Chief Information Officer, and Office of the Chief Financial Officer operations.30
The Revolving Fund is “comprised of fees or reimbursements provided by
agencies for services OPM provides for activities covered by the Fund.”31
Services funded by the Revolving Fund include “background investigations,
24 OPM’s annual congressional budget justification provides detailed budget information about OPM’s administrative
activities. See OPM, Congressional Budget Justification and Annual Perform ance Plan Fiscal Year 2022, May 2021,
https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-fy2022.pdf.
25 OPM manages several mandatory spending programs that amount to tens of billions of dollars per year, including
federal employee retirement systems, health insurance, and life insurance. T his CRS report focuses on OPM’s
administrative budget rather than the mandatory spending programs, which “ finance the retirement program for
approximately 2.8 million Federal civilian employees, and provide r etirement benefits for more than 2.8 million retirees
and survivors, finance the health insurance for approximately 8.1 million employees, retirees, and their family
members, and provide life insurance coverage for an estimated 4.2 million employees and re tirees.” OPM,
Congressional Budget Justification and Annual Perform ance Plan Fiscal Year 2022, p. 79. For more information about
the cost of the mandatory spending programs, see OPM, Agency Financial Report Fiscal Year 2020 , November 2020,
https://www.opm.gov/about-us/budget-performance/performance/2020-agency-financial-report.pdf.
26 For reference to the “operating budget,” see OPM, Congressional Budget Justification and Annual Performance Plan
Fiscal Year 2022, p. 7.
27 OMB, Budget of the U.S. Government, FY2021, Appendix, p. 1211, https://www.whitehouse.gov/wp-content/
uploads/2021/05/opm_fy22.pdf. See also OPM, Congressional Budget Justification Fiscal Year 2021 , February 2020,
https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-fy2021.pdf.
28 OMB, Budget of the U.S. Government, FY2021, Appendix, pp. 1211-1212.
29 OMB, Budget of the U.S. Government, FY2021, Appendix, pp. 1211-1212.
30 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2019, February 2018, p. 7,
https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-fy2019.pdf.
31 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2019, p. 7.
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human resources services as wel as related tools and technologies, such as
USAJOBS.”32
OPM’s annual congressional budget justification typical y includes detailed information about al
of the components of OPM’s operating budget. Table 1, below, provides more detailed
information from OPM’s FY2022 budget justification.
Table 1. OPM Operating Budget, by Fund, FY2020-FY2022
OPM Budget
Authority
FY2020 Enacted
FY2021 Enacted
FY2022 Requested
Discretionary
$299,762,000
$329,755,000
$372,000,000
Appropriationsa
Salaries and Expenses
$145,137,000
$160,130,000
$197,000,000
Totalb
Trust Fund Annual
$154,625,000
$169,625,000
$175,000,000
Totalc
Mandatory Administrative
$66,956,125
$74,328,075
$77,107,598
Authoritiesd
Revolving Funde
$857,237,726
$522,303,918
$549,618,781
Advance and
$169,255,203
$93,063,500
$14,204,123
Reimbursementsf
OIG Discretionary
$30,265,000
$32,265,000
$34,910,300
Appropriationsg
OPM Total
$1,423,476,054
$1,051,715,493
$1,047,840,802
Source: Adapted from OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2022, May
2021, p. 7, https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-
fy2022.pdf.
Notes:
a. Figures in the Discretionary Appropriations row are the sum of the Salaries and Expenses total and the
Trust Fund Annual Total.
b. The Salaries and Expenses total includes funds for personnel and non-personnel resources as wel as funds
for IT modernization efforts.
c. The Trust Fund Annual Total consists of transfers from trust funds that are subject to congressional
limitation in the Financial Services and General Government appropriations act. The transfers come from
the Civil Service Retirement and Disability Fund, Federal Employees Health Benefits Fund, and Federal
Employee’s Group Life Insurance Fund.
d. Figures in the Mandatory Administrative Authorities row reflect additional trust fund transfers for OPM’s
administration of certain retirement and insurance activities.
e. The Revolving Fund finances activities that OPM is required or authorized to perform on a reimbursable
basis and al ows OPM to provide personnel management services to other federal agencies via several
programs.
f.
Advance and Reimbursements refers to anticipated advances and reimbursements from other federal
agencies for activities outside of OPM’s revolving fund.
g. The OIG Discretionary Appropriations consist of funds for OIG’s core operations.
For FY2021, OPM’s operating budget—including discretionary appropriations, mandatory
administrative authorities, revolving fund activities, advance and reimbursements, and OIG
32 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2019, p. 7.
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discretionary appropriations—was $1,051,715,493, and the agency had 2,737.9 full-time-
equivalent employees.33 OPM also received $12,100,000 from P.L. 116-136, the Coronavirus Aid,
Relief, and Economic Security Act, enacted on March 27, 2020.34 This funding was to be used for
“improvements in remote work capacity.”35
Performance
The Government Performance and Results Act requires most agencies to set goals, measure
performance, and report the information to Congress for potential use.36 OPM provides this
information in multiyear strategic plans, annual plans, and annual reports.37 OPM explained that
its strategic plan for FY2018-FY2022 was intended to “guide the Agency’s efforts to lead and
serve the Federal Government in enterprise human resources management by delivering policies
and services to achieve a trusted effective civilian workforce.”38 This strategic plan highlighted
four primary agency goals and established a series of objectives and sub-objectives associated
with each goal. OPM’s Annual Performance Report (APR) “provides an overview of OPM’s
progress in implementing the strategies and achieving the objectives and goals in its FY 2018-FY
2022 Strategic Plan.”39 These primary goals were identified in 2018 and assessed in 2021 as
follows:
Goal 1: Transform hiring, pay, and benefits across the federal government to
attract and retain the best civilian work force.40 OPM’s FY2020 APR found that
the agency met three out of four objectives associated with Goal 1 by the time the
report was published.41
Goal 2: Lead the establishment and modernization of human capital information
technology and data management systems and solutions.42 OPM’s FY2020 APR
found that the agency met one out of three objectives associated with Goal 2.43
Goal 3: Improve integration and communication of OPM services to federal
agencies to meet emerging needs.44 OPM’s FY2020 APR found that the agency
met four out of five objectives and sub-objectives associated with Goal 3.45
33 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2022.
34 OPM, Annual Performance Report Fiscal Year 2020, January 2021, p. 6, https://www.opm.gov/about-us/budget-
performance/performance/2020-annual-performance-report.pdf.
35 OPM, Annual Performance Report Fiscal Year 2020, p. 6.
36 For discussion, see CRS Report R42379, Changes to the Government Performance and Results Act (GPRA):
Overview of the New Fram ework of Products and Processes, by Clinton T . Brass.
37 OPM, “Budget and Performance,” https://www.opm.gov/about-us/budget-performance/.
38 OPM, “Budget and Performance.”
39 OPM, Annual Performance Report Fiscal Year 2020, p. 7.
40 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
41 OPM, Annual Performance Report Fiscal Year 2020, p. 23.
42 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
43 OPM, Annual Performance Report Fiscal Year 2020, p. 24.
44 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
45 OPM, Annual Performance Report Fiscal Year 2020, pp. 25-26.
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Goal 4: Optimize agency performance.46 OPM’s FY2020 APR found that the
agency met three out of 10 objectives and sub-objectives associated with Goal 4
by the time the report was published.47
Issues for Congressional Oversight
Issues related to potential politicization of the civil service and reorganization and modernization
of OPM may be of interest to Congress for oversight purposes. Additional y, in 2021, the National
Academy of Public Administration (NAPA) released a statutorily required report recommending a
number of objectives for OPM to implement.48
Selected Oversight Issues
Some observers have expressed concerns about potential politicization of the civil service by
employees “burrowing in”—that is, the process of political appointees being converted to civil
service positions during a presidential transition.49 This practice is of interest because “[u]nlike
political appointments, civil service positions do not terminate at the end of an administration.
Conversion therefore al ows political appointees to stay in government after the president who
appointed them has left office.”50 Observers suggest that this practice may not align with merit
system principles that were intended to prevent nepotism and political favoritism in the civil
service.51
OPM is statutorily tasked with overseeing the conversion of political appointees into civil service
positions.52 In 2018, OPM issued a memorandum outlining changes to their oversight practices in
response to P.L. 114-136, the Edward “Ted” Kaufman and Michael Leavitt Presidential
Transitions Improvements Act of 2015, enacted on March 18, 2016.53 Agencies are required to
“submit a request to OPM whenever they seek to hire a current political appointee or one who has
served in a political position within the last five years.” In addition, “OPM conducts multi-level
reviews of each application to make sure the conversion follows federal hiring guidelines.”54 A
report published in 2017 by the Government Accountability Office found that
46 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
47 OPM, Annual Performance Report Fiscal Year 2020, pp. 26-27.
48 Section 1112(b) of P.L. 116-92, the National Defense Authorization Act for FY2020, enacted on December 20, 2019,
required the OPM director to contract with NAPA to conduct this study. NAPA, Elevating Hum an Capital: Refram ing
the U.S. Office of Personnel Management’s Leadership Imperative, March 17, 2021, https://s3.us-west-
2.amazonaws.com/napa-2021/studies/united-states-office-of-personnel-management-independent -assessment/OPM-
Final-Report -National-Academy-of-Public-Administration.pdf.
49 See CRS Insight IN11538, Presidential Transitions: An Overview, by L. Elaine Halchin.
50 Alex T ippett and T roy Cribb, “ Political Appointee to Civil Servant: What the Public Should Know About
‘Burrowing In,’” Partnership for Public Service Center for Presidential T ransition, October 14, 2020,
https://presidentialtransition.org/blog/political-appointee-burrowing-in/.
51 T ippett and Cribb, “ Political Appointee to Civil Servant .” See also U.S. Merit Systems Protection Board, “T he Merit
System Principles: Keys to Managing the Federal Workforce,” October 2020, https://www.mspb.gov/mspbsearch/
viewdocs.aspx?docnumber=1371890&version=1377261&application=ACROBAT .
52 Ibid.[which one?]
53 Kathleen McGettigan, “Political Appointees and Career Civil Service Positions,” OPM, February 23, 2018,
https://www.chcoc.gov/content/political-appointees-and-career-civil-service-positions-3.
54 McGettigan, “Political Appointees and Career Civil Service Positions.”
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OPM approved 78 of 99 requests to convert political appointees to career positions
agencies proposed to complete from January 1, 2010, through March 17, 2016. OPM
denied 21 requests for varying reasons, such as bypassing qualified veterans, and referred
9 denied cases to the Office of Special Counsel (OSC). Of the 78 approved requests,
agencies followed through and converted 69 political appointees to career positions.
During the period, agencies completed 7 conversions without obtaining OPM approval;
OPM completed post-appointment reviews for 4 of these 7 conversions, denying all 4. For
each of the 4 denied cases, the agencies undertook various remedies, such as re-advertising
positions, in response to OPM’s concerns. OPM did not complete a review for the 3 other
conversions because the appointees were no longer in the career positions to which they
were converted.55
Congress may consider several questions with regard to “burrowing in,” including the adequacy
and transparency of OPM’s current oversight practices and the role of federal agencies in
evaluating political appointee conversions.
Another possible issue for congressional oversight relates to the potential reorganization of OPM.
The Trump Administration proposed to merge OPM with a renamed Government Services
Agency (GSA; currently the General Services Administration).56 This plan would have
transferred most of OPM’s functions and authorities to GSA.57 It also suggested establishing an
Office of Federal Workforce Policy in the Office of Management and Budget (OMB) to assume
OPM’s policy responsibilities.58 Former OMB director Russel Vought wrote a letter to House
Speaker Nancy Pelosi about the merger plan that stated:
The primary purpose of the legislative proposal is to authorize the transfer of the vast
majority of the current functions and resources of OPM to GSA, including Human
Resources Solutions, Information Technology, Retirement, Health and Insurance Services.
GSA will create a new Personnel Service to house the h uman resources and employee
lifecycle management shared service offerings. Agencies will benefit from GSA helping
them to obtain more strategic and comprehensive support for their needs.59
Subsequent hearings conducted by the Senate Committee on Homeland Security and
Governmental Affairs and the House Committee on Oversight and Reform received testimony
that expressed process and policy concerns about the Administration’s proposal.60
Further, Congress acted with legislation in response. In particular, Section 1112 of P.L. 116-92,
the National Defense Authorization Act for FY2020,61 required an independent study and report
from NAPA to include:
55 U.S. Government Accountability Office, Actions Needed to Improve Documentation of OPM Decisions on
Conversion Requests, GAO-17-674, August 2017, https://www.gao.gov/assets/gao-17-674.pdf.
56 For discussion, see CRS Insight IN11110, Administration Proposal to Reorganize the U.S. Office of Person nel
Managem ent (OPM), coordinated by Barbara L. Schwemle.
57 Erich Wagner, “White House’s OPM-GSA Merger Bill Gives an Unconfirmed Appointee Authority Over Personnel
Rules,” Government Executive, May 16, 2019, https://www.govexec.com/management/2019/05/white-houses-opm-gsa-
merger-bill-gives-unconfirmed-appointee-authority-over-personnel-rules/157085/.
58 Wagner, “White House’s OPM-GSA Merger Bill.”
59 Wagner, “White House’s OPM-GSA Merger Bill.”
60 U.S. Congress, Senate Committee on Homeland Security and Governmental Affairs, Subcommittee on Regulatory
Affairs and Federal Management, The Challenges and Opportunities of the Proposed Governm ent Reorganization on
OPM and GSA, Hearing, 115th Cong., 2nd sess., July 26, 2018 (Washington, DC: GPO, 2019); and U.S. Congress,
House Committee on Oversight and Reform, Subcommittee on Government Operations, The Adm inistration’s War on
a Merit Based Civil Service, Hearing, 116th Cong., 1st sess., May 21, 2019 (Washington, DC: GPO, 2019).
61 133 Stat. 1198, at 1601, December 20, 2019.
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a comprehensive assessment and analysis of—(A) the statutory mandates assigned to the
Office of Personnel Management and the challenges associated with the Office’s execution
of those mandates; (B) the non-statutory functions, responsibilities, authorities, services,
systems, and programs performed or executed by the Office of Personnel Management; the
Office’s justification for carrying out such functions, responsibilities, authorities, services,
systems, and programs; and the challenges associated with the Office’s execution of same;
(C) the means, options, and recommended courses of action for addressing the challenges
identified pursuant to subparagraphs (A) and (B), including an analysis of the benefits,
costs, and feasibility of each option and the effect of each on labor-management
agreements; (D) a timetable for the implementation of options and recommended courses
of action identified pursuant to subparagraph (C); (E) statutory or regulatory changes
necessary to execute any course of action recommended; (F) the methods for involving,
engaging with, and receiving input from other Federal agencies, departments, and entities
potentially affected by any change in the structure, functions, responsibilities, authorities
of the Office of Personnel Management that may be recommended; (G) the views of
identified stakeholders, including other Federal agencies, departments, and entities; non-
Federal entities or organizations representing customers or intended beneficiaries of Office
of Personnel Management functions, services, systems, or programs; and such individual
customers and intended beneficiaries; and (H) such other matters as the Director may
prescribe.62
The statute also provides that not later than 180 days after the NAPA report is submitted to the
OPM director and the congressional committees, the OPM director—in consultation with GSA,
OMB, and other appropriate federal agencies, departments, or entities—shal submit a report to
the congressional committees. The report is to include OPM’s views on the findings and
recommendations of the NAPA report “together with any recommendations for changes in the
structure, functions, responsibilities, and authorities” of OPM. In addition, the provision states,
“Any recommendation submitted in the report … for change shal be accompanied by a business
case analysis setting forth the operational efficiencies and cost savings (in both the short and
long-terms) associated with such change, and a proposal for legislative or administrative action
required to effect the change proposed.”63
The law further provides, “No person may assign, transfer, transition, merge, or consolidate any
function, responsibility, authority, service, system, or program that is assigned in law to the Office
of Personnel Management to or with the General Services Administration, the Office of
Management and Budget, or the Executive Office of the President, until on or after the date that is
180 days after the date on which the report required” from OPM is submitted to the House and
Senate Committees on Appropriations, the Senate Committee on Homeland Security and
Governmental Affairs, and the House Committee on Oversight and Reform “and subject to the
enactment of any legislation required.”64
Ultimately, the Trump Administration reportedly decided to abandon the plan.65 Such a proposal
may, however, cause some to raise questions regarding OPM’s role in federal human resources
management, including whether OPM’s organizational structure should be altered, whether OPM
62 133 Stat. 1602. See this CRS report’s section on “NAPA Recommendations for OPM” for discussion of the NAPA
report, which was submitted on March 17, 2021.
63 133 Stat. 1602-1603.
64 133 Stat. 1601-1602.
65 Erich Wagner, “OPM Quietly Abandons Proposed Merger with GSA,” Government Executive, October 30, 2020,
https://www.govexec.com/management/2020/10/opm-quietly-abandons-proposed-merger-gsa/169692/.
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should continue to be the primary agency tasked with significant responsibilities related to human
capital management, and OMB’s role (if any) in federal personnel policy.
Stil another issue for congressional oversight relates to modernization of OPM and federal hiring
practices. Some observers suggest that OPM should modernize its hiring practices to stay
competitive with private sector employers. Executive Order (E.O.) 13932, “Modernizing and
Reforming the Assessment and Hiring of Federal Job Candidates,”66 issued by President Donald
Trump on June 26, 2020, sought to alter the federal hiring process by removing potential y
unnecessary education qualifications to ensure that the federal hiring process is merit-based.67
The changes mandated by the E.O. were reportedly intended to “most especial y help with
positions in the emerging technologies field, where some agencies have struggled to fil
positions.”68 A recent U.S. Merit Systems Protection Board study found that agencies are relying
more often on direct hire authorities to compete for talent.69 According to the report “agencies
used direct hire authorities to make 28,000 appointments in fiscal 2018.”70 In reviewing this issue,
Congress may consider whether OPM should encourage agencies to continue using direct hire
authorities, how OPM has implemented E.O.13932, the E.O.’s effect on the federal workforce,
and whether a reduced reliance on education requirements in federal hiring would al ow the
federal government to better compete with the private sector for talent.
NAPA Recommendations for OPM
On March 17, 2021, NAPA released a congressional y mandated report on OPM, which included
23 recommendations for the agency.71 The first recommendation in the report stated that OPM’s
statutory authority (codified at Title 5, Section 1101, of the U.S. Code) should be amended “to
clarify and redefine the role and mission of OPM as the federal government’s enterprise wide,
independent human capital agency and steward of the merit system for al civilian personnel
systems and employees, responsible for providing government-wide leadership in strategic
human capital management.”72 Another recommendation stated that OPM should “(1) redefine
the OPM mission statement and restructure the organization to effectively and efficiently execute
the reframed mission priorities and (2) restore the agency’s reputation for human capital
leadership, expertise, and service by redirecting the internal culture and rebuilding internal staff
capacity.”73
66 Executive Order 13932, “Modernizing and Reforming the Assessment and Hiring of Federal Job Candidates,” 85
Federal Register 39457, July 1, 2020.
67 See CRS Insight IN11490, Executive Order 13932 on Assessing and Hiring Job Candidates in Federal Agencies, by
T aylor N. Riccard.
68 Jessie Bur, “Degree Requirements Are on the Way out for Federal Jobs,” Federal Times, August 3, 2020,
https://www.federaltimes.com/management/hr/2020/08/03/degree-requirements-are-on-the-way-out-for-federal-jobs/.
69 U.S. Merit Systems Protection Board, Office of Policy and Evaluation, Direct-Hire Authority Under 5 U.S.C. §3304:
Usage and Outcom es, February 2021, https://www.mspb.gov/MSPBSEARCH/viewdocs.aspx?docnumber=
1803830%20&version=1810102&application=ACROBAT . “ Direct -hire authorities (DHAs) allow agencies to use
streamlined procedures to appoint new employees without regard to some key merit syst em and public policy
provisions, such as applicant rating and ranking and veterans’ preference.”
70 U.S. Merit Systems Protection Board, Office of Policy and Evaluation, Direct-Hire Authority Under 5 U.S.C. §3304.
71 NAPA, Elevating Human Capital: Reframing the U.S. Office of Personnel Management’s Leadership Imperative,
March 17, 2021, https://s3.us-west-2.amazonaws.com/napa-2021/studies/united-states-office-of-personnel-
management -independent -assessment/OPM-Final-Report-National-Academy-of-Public-Administration.pdf.
72 NAPA, Elevating Human Capital, p. 3.
73 NAPA, Elevating Human Capital, pp. 3-4.
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NAPA included a number of objectives associated with each recommendation. Each
recommendation, if implemented, is designed to yield specific intended outcomes. The report
explains:
Successful implementation should yield the following results: Human capital is recognized
and supported as a strategic priority across government by the Administration, the
Congress, and federal agencies. OPM’s role is reaffirmed and strengthened as the leader
for strategic human capital management government-wide. OPM’s approach to human
capital management evolves from predominantly compliance-oriented to customer-
focused, value-added, data-driven and forward-looking encouraging innovation and
sharing of best practices.74
In a press conference about the report, the president of NAPA, Terry Gerton, said, “We strongly
recommend that a central personnel agency continue to exist, and that organization is an
independent, enterprise-wide human capital agency and a steward of the merit system
principles.”75 In the statute requiring the NAPA report, Congress gave OPM six months to provide
a formal response.76 As of the time of this writing, OPM has not yet submitted its response to
Congress. The NAPA report and the upcoming OPM response may present an array of issues for
continued congressional consideration regarding OPM.
Author Information
Taylor N. Riccard
Analyst in Government Organization and
Management
Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan
shared staff to congressional committees and Members of Congress. It operates solely at the behest of and
under the direction of Congress. Information in a CRS Report should n ot be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
connection with CRS’s institutional role. CRS Reports, as a work of the United States Government, are not
subject to copyright protection in the United States. Any CRS Report may be reproduced and distributed in
its entirety without permission from CRS. However, as a CRS Report may include copyrighted images or
material from a third party, you may need to obtain the permission of the copyright holder if you wish to
copy or otherwise use copyrighted material.
74 NAPA, Elevating Human Capital, p. 2.
75 Jessie Bur, “ Congressionally Mandated Report Envisions a More Powerful OPM,” Federal Times, March 17, 2021,
https://www.federaltimes.com/management/2021/03/17/congressionally-mandated-report-envisions-a-more-powerful-
opm/.
76 P.L. 116-92, §1112(c).
Congressional Research Service
R46833 · VERSION 4 · UPDATED
13
July 20, 2021
An Overview
Taylor N. Riccard
The Office of Personnel Management (OPM) is authorized by statute to perform various duties
Analyst in Government
and functions that are related to human resources management and personnel policies for the
Organization and
federal government. The antecedent of OPM may be traced to the enactment of the Civil Service
Management
Act of 1883, known as the Pendleton Act, which statutorily established some underlying aspects
of today’s federal personnel system. The act also established the Civil Service Commis sion
(CSC), which was originally intended to insulate the hiring and management of federal
employees from partisan political influence. The CSC continued with much the same role until
1978, when Congress passed the Civil Service Reform Act and replaced the CSC with OPM.
OPM identifies a number of areas central to its work that are referred to as “key functions,” including human capital
management, administration of federal employee benefit programs, and the vetting of job candidates.
OPM’s funding is included in the annual Financial Services and General Government Appropriations Act. For FY2021,
OPM’s operating budget—including discretionary appropriations, mandatory administrative authorities, revolving fund
activities, advance and reimbursements, and Office of Inspector General (OIG) discretionary appropriations—was $1.05
billion, and the agency had 2,737.9 full-time-equivalent employees.
This report discusses OPM’s establishment, statutory authority, mission, key functions, organization, budget, and
performance. It also identifies potential politicization of the civil service and the reorganization and modernization of OPM
as issues for congressional oversight. It raises several questions under each issue for Congress to consider. It also discusses
the recommendations published in the National Academy of Public Administration’s (NAPA) report “Elevating Human
Capital: Reframing the U.S. Office of Personnel Management’s Leadership Imperative,” which was published in 2021
pursuant to a statutory mandate.
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Contents
Establishment of OPM ..................................................................................................... 1
Statutory Authority.......................................................................................................... 1
Mission, Key Functions, and Organization .......................................................................... 2
OPM’s Operating Budget ................................................................................................. 6
Performance ................................................................................................................... 8
Issues for Congressional Oversight .................................................................................... 9
Selected Oversight Issues............................................................................................ 9
NAPA Recommendations for OPM ............................................................................ 12
Figures
Figure 1. Organization Chart for OPM (January 2021) .......................................................... 5
Tables
Table 1. OPM Operating Budget, by Fund, FY2020-FY2022 ................................................. 7
Contacts
Author Information ....................................................................................................... 13
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The Office of Personnel Management (OPM): An Overview
Establishment of OPM
The creation of the Office of Personnel Management (OPM) may be traced to the enactment of
the Civil Service Act of 1883, known as the Pendleton Act,1 which established in statute some
underlying aspects of today’s federal personnel system. Prior to the Pendleton Act, according to
OPM’s description of the system before 1883, “[f]ederal employment was largely based on
political affiliation or personal connections, a system known as the ‘spoils system,’ rather than
applicants’ knowledge, skil s, and abilities.”2 The Pendleton Act and the resulting merit system,
OPM says, “ushered in a new era and created a competitive civil service, which emphasized an
applicant’s relative level of qualifications for the position being sought, after fair and open
competition.”3 The act established the Civil Service Commission, which was intended to insulate
the hiring and management of federal employees from partisan political influence.4 The
commission continued with much the same role until the enactment of the Civil Service Reform
Act of 1978 (CSRA), which created OPM.5 The CSRA authorized significant leadership roles in
federal human resources management and personnel policy for OPM.6 By consolidating human
resources leadership within OPM, Congress intended for the agency “to concentrate on planning
and administering an effective government-wide program of personnel management.”7
Statutory Authority
General y, the statutory provisions governing OPM are located in Title 5 of the United States
Code and, in particular, in Chapter 11. Section 1103(a) of Title 5 vests the OPM director with
fulfil ing various functions, including “executing, administering, and enforcing (A) the civil
service rules and regulations … and the laws governing the civil service; and (B) the other
activities of the Office including retirement and classification activities; except with respect to
functions for which the Merit Systems Protection Board or the Special Counsel is primarily
responsible.”8
In addition, the OPM director is responsible for “aiding the President … in preparing such civil
service rules as the President prescribes, and otherwise advising the President on actions which
may be taken to promote an efficient civil service and a systematic application of the merit
system principles, including recommending policies relating to the selection, promotion, transfer,
performance, pay, conditions of service, tenure, and separation of employees.”9
1 P.L. 16; Civil Service Act of 1883; January 16, 1883 (22 Stat. 403). T his law is discussed for historical context in
CRS Report RL30795, General Managem ent Laws: A Com pendium , by Clinton T . Brass et al. (available to
congressional clients upon request), in the section titled “ T itle 5, Part III—Employees,” by Barbara Schwemle.
2 OPM, Annual Performance Report: Fiscal Year 2020, January 2021, https://www.opm.gov/about-us/budget-
performance/performance/2020-annual-performance-report.pdf.
3 OPM, Annual Performance Report: Fiscal Year 2020.
4 See CRS Report RL30795, General Management Laws: A Compendium , by Clinton T . Brass et al. (available to
congressional clients upon request), in the section titled “ T itle 5, Part II—Civil Service Functions and
Responsibilities,” by Barbara Schwemle, p. 248.
5 Ibid., p. 245. See also “ Reorganization Plan No. 2 of 1978,” May 23, 1978 (92 Stat. 3783).
6 Ibid., p. 248.
7 Ibid.
8 5 U.S.C. §1103(a).
9 5 U.S.C. §1103(a).
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Under Section 1103(a), the director’s responsibilities also include, among others, securing
accuracy, uniformity, and justice in OPM’s functions; appointing individuals to be employed;
directing and supervising employees; distributing business among employees and organizational
units; directing internal management; and directing the preparation of requests for appropriations
and the use and expenditure of funds.10
The agency’s website explains that “the Office of the Director provides guidance, leadership and
direction necessary to fulfil the agency’s mission and make the Federal Government the model
employer in the United States.”11
Section 1303 of P.L. 107-296, enacted on November 25, 2002, established the Chief Human
Capital Officers Council. The council members include the OPM director, the deputy director for
management of the Office of Management and Budget, and the chief human capital officers from
27 departments and agencies.12 The OPM director acts as chairperson of the council, which is
required to “meet periodical y to advise and coordinate the activities of the agencies of its
members on such matters as modernization of human resources systems, improved quality of
human resources information, and legislation affecting human resources operations and
organizations.”13
Mission, Key Functions, and Organization
As the federal government’s central personnel agency, OPM has responsibilities related to human
capital management, administration of federal employee benefit programs, and vetting of job
candidates. The agency describes itself as follows on its website:
OPM serves as the chief human resources agency and personnel policy manager for the
Federal Government. OPM provides human resources leadership an d support to Federal
agencies and helps the Federal workforce achieve their aspirations as they serve the
American people. OPM directs human resources and employee management services,
administers retirement benefits, manages healthcare and insurance programs, oversees
merit-based and inclusive hiring into the civil service, and provides a secure employment
process.14
In recent years, OPM has included a mission statement and a list of core values in its strategic
plans. For example, the agency’s A New Day for Federal Service: Strategic Plan 2010-2015
mission statement was “Recruit, Retain and Honor a World-Class Workforce to Serve the
American People.”15 OPM listed several values in the plan, including service, respect, integrity,
diversity, enthusiasm, excel ence, and innovation.16 The mission statement and values remained
unchanged in the Strategic Plan 2014-2018.17
10 5 U.S.C. §1103(a).
11 OPM, “About Us: Our People and Organization,” https://www.opm.gov/about-us/our-people-organization/office-of-
the-director/.
12 Chief Human Capital Officers Council, “About the Council,” https://www.chcoc.gov/content/about-council.
13 5 U.S.C. §1401 note.
14 OPM, “Our Agency,” https://www.opm.gov/about-us/.
15 OPM, A New Day for Federal Service: Strategic Plan 2010-2015, p. 4, archived at https://web.archive.org/web/
20130227161503/http://www.opm.gov/about-us/budget-performance/strategic-plans/2010-2015-strategic-plan.pdf.
16 OPM, A New Day for Federal Service.
17 OPM, Strategic Plan 2014-2018, pp. 6-7, archived at https://www.opm.gov/about-us/budget-performance/strategic-
plans/2014-2018-strategic-plan.pdf.
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Most recently, OPM Strategic Plan Fiscal Years 2018-2022 revised the mission statement to read,
“We lead and serve the Federal Government in enterprise human resources management by
delivering policies and services to achieve a trusted effective civilian workforce.” In addition, the
core values included innovation, integrity, excel ence, service, and leadership.18 The plan stated
that OPM “works in several broad categories to lead and serve the Federal Government in
enterprise human resource management by delivering policies and services to achieve a trusted
effective civilian workforce.”19
The strategic plan also identified “key functions” that are central to the work of the agency,
including the following:
Human Capital Management. OPM provides policy direction and leadership in
designing, developing, and promulgating Government-wide human resources systems,
programs, and policies that support the current and emerging needs of Federal agencies. In
addition, OPM provides technical support and guidance to agencies regarding the full range
of human resources (HR) management policies and practices.20
Benefits. OPM offers the availability of quality benefits for Federal employees and their
families. The agency works to facilitate access to the high-caliber healthcare and insurance
programs offered by the Federal Government, including health insurance services, dental
and vision benefits, flexible spending accounts, life insurance; and long -term care
insurance programs. OPM manages insurance benefits for more than eight million Federal
employees, retirees, and their families. OPM also develops and administers programs that
provide health insurance to uninsured Americans through Affordable Insurance
Exchanges, and employees of tribes or tribal organizations. OPM is responsible for the
administration of the Federal Retirement Program covering mo re than 2.7 million active
employees, including the United States Postal Service, and nearly 2.6 million annuitants,
survivors, and family members.21
Vetting. As the Suitability and Credential Executive Agent, OPM’s Director is responsible
for prescribing suitability, fitness, and credentialing standards for employment; prescribing
position designation requirements with respect to risk to the integrity and efficiency of the
service; prescribing applicable investigative standards, policies, and procedures for
suitability, fitness, and credentialing; prescribing reciprocity standards; and making
suitability determinations and taking actions.… The OPM Director as the Suitability
Executive Agent, issued National Training Standards for Suitability Adjudicators to
support uniformity in the continued professional development of the suitability workforce
and to promote reciprocal recognition of suitability determinations.22
To support OPM’s key functions, the agency is organized into program divisions, including (1)
Employee Services; (2) Retirement Services; (3) Healthcare and Insurance; (4) Merit System
Accountability and Compliance; (5) Suitability Executive Agent; and (6) Human Resources
18 OPM, OPM Strategic Plan Fiscal Years 2018-2022, February 2018, p. 9, https://www.opm.gov/about-us/budget-
performance/strategic-plans/2018-2022-strategic-plan.pdf.
19 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
20 OPM, “About Us: Our Mission, Role and History,” https://www.opm.gov/about-us/our-mission-role-history/what-
we-do/#url=Human-Capital-Management -Leadership.
21 OPM, “About Us: Our Mission, Role and History,” https://www.opm.gov/about-us/our-mission-role-history/what-
we-do/#url=Benefits.
22 OPM, “About Us: Our Mission, Role and History,” https://www.opm.gov/about-us/our-mission-role-history/what-
we-do/#url=Vetting.
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Solutions.23 Figure 1 shows the organization chart for OPM, as obtained from OPM’s Annual
Performance Report Fiscal Year 2020.
23 OPM, “About Us: Our People and Organization,” https://www.opm.gov/about-us/our-people-organization/office-of-
the-director/.
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Figure 1. Organization Chart for OPM (January 2021)
Source: OPM, Annual Performance Report Fiscal Year 2020, January 2021, p. 12, https://www.opm.gov/about-us/
budget-performance/performance/2020-annual-performance-report.pdf.
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OPM’s Operating Budget
OPM’s activities are funded from multiple sources. Specifical y, OPM receives several sources of
discretionary funds to support its program and leadership activities.24 OPM also manages certain
mandatory appropriations and related trust funds for federal employee benefits.25 Several
statutory provisions authorize OPM to make certain trust fund transfers to cover OPM’s costs for
administering these programs. Some of the more prominent sources of funding for OPM’s
administrative activities—which OPM refers to as its “operating budget”—include the
following:26
The Salaries and Expenses appropriations account funds many of the core
operations of OPM.27 The functions and objectives of the agency’s major
components are funded by this account, including employee services, merit
system accountability and compliance, retirement services program, and
healthcare and insurance.28
The Office of the Inspector General (OIG) appropriations account funds OIG
efforts to “protect the integrity of OPM’s programs and operations. The OPM
OIG’s audits, investigations, evaluations, and administrative sanctions programs
serve to prevent and detect fraud, waste, abuse, and mismanagement.”29
Transfers from OPM-managed trust funds partial y pay for some of OPM’s
activities. The agency is responsible for administering the civil service retirement
and insurance programs. The trust fund transfers partial y fund Retirement
Services, Healthcare and Insurance, Planning and Policy Analysis, Office of the
Chief Information Officer, and Office of the Chief Financial Officer operations.30
The Revolving Fund is “comprised of fees or reimbursements provided by
agencies for services OPM provides for activities covered by the Fund.”31
Services funded by the Revolving Fund include “background investigations,
24 OPM’s annual congressional budget justification provides detailed budget information about OPM’s administrative
activities. See OPM, Congressional Budget Justification and Annual Perform ance Plan Fiscal Year 2022, May 2021,
https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-fy2022.pdf.
25 OPM manages several mandatory spending programs that amount to tens of billions of dollars per year, including
federal employee retirement systems, health insurance, and life insurance. T his CRS report focuses on OPM’s
administrative budget rather than the mandatory spending programs, which “ finance the retirement program for
approximately 2.8 million Federal civilian employees, and provide r etirement benefits for more than 2.8 million retirees
and survivors, finance the health insurance for approximately 8.1 million employees, retirees, and their family
members, and provide life insurance coverage for an estimated 4.2 million employees and re tirees.” OPM,
Congressional Budget Justification and Annual Perform ance Plan Fiscal Year 2022, p. 79. For more information about
the cost of the mandatory spending programs, see OPM, Agency Financial Report Fiscal Year 2020 , November 2020,
https://www.opm.gov/about-us/budget-performance/performance/2020-agency-financial-report.pdf.
26 For reference to the “operating budget,” see OPM, Congressional Budget Justification and Annual Performance Plan
Fiscal Year 2022, p. 7.
27 OMB, Budget of the U.S. Government, FY2021, Appendix, p. 1211, https://www.whitehouse.gov/wp-content/
uploads/2021/05/opm_fy22.pdf. See also OPM, Congressional Budget Justification Fiscal Year 2021 , February 2020,
https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-fy2021.pdf.
28 OMB, Budget of the U.S. Government, FY2021, Appendix, pp. 1211-1212.
29 OMB, Budget of the U.S. Government, FY2021, Appendix, pp. 1211-1212.
30 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2019, February 2018, p. 7,
https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-fy2019.pdf.
31 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2019, p. 7.
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human resources services as wel as related tools and technologies, such as
USAJOBS.”32
OPM’s annual congressional budget justification typical y includes detailed information about al
of the components of OPM’s operating budget. Table 1, below, provides more detailed
information from OPM’s FY2022 budget justification.
Table 1. OPM Operating Budget, by Fund, FY2020-FY2022
OPM Budget
Authority
FY2020 Enacted
FY2021 Enacted
FY2022 Requested
Discretionary
$299,762,000
$329,755,000
$372,000,000
Appropriationsa
Salaries and Expenses
$145,137,000
$160,130,000
$197,000,000
Totalb
Trust Fund Annual
$154,625,000
$169,625,000
$175,000,000
Totalc
Mandatory Administrative
$66,956,125
$74,328,075
$77,107,598
Authoritiesd
Revolving Funde
$857,237,726
$522,303,918
$549,618,781
Advance and
$169,255,203
$93,063,500
$14,204,123
Reimbursementsf
OIG Discretionary
$30,265,000
$32,265,000
$34,910,300
Appropriationsg
OPM Total
$1,423,476,054
$1,051,715,493
$1,047,840,802
Source: Adapted from OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2022, May
2021, p. 7, https://www.opm.gov/about-us/budget-performance/budgets/congressional-budget-justification-
fy2022.pdf.
Notes:
a. Figures in the Discretionary Appropriations row are the sum of the Salaries and Expenses total and the
Trust Fund Annual Total.
b. The Salaries and Expenses total includes funds for personnel and non-personnel resources as wel as funds
for IT modernization efforts.
c. The Trust Fund Annual Total consists of transfers from trust funds that are subject to congressional
limitation in the Financial Services and General Government appropriations act. The transfers come from
the Civil Service Retirement and Disability Fund, Federal Employees Health Benefits Fund, and Federal
Employee’s Group Life Insurance Fund.
d. Figures in the Mandatory Administrative Authorities row reflect additional trust fund transfers for OPM’s
administration of certain retirement and insurance activities.
e. The Revolving Fund finances activities that OPM is required or authorized to perform on a reimbursable
basis and al ows OPM to provide personnel management services to other federal agencies via several
programs.
f.
Advance and Reimbursements refers to anticipated advances and reimbursements from other federal
agencies for activities outside of OPM’s revolving fund.
g. The OIG Discretionary Appropriations consist of funds for OIG’s core operations.
For FY2021, OPM’s operating budget—including discretionary appropriations, mandatory
administrative authorities, revolving fund activities, advance and reimbursements, and OIG
32 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2019, p. 7.
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discretionary appropriations—was $1,051,715,493, and the agency had 2,737.9 full-time-
equivalent employees.33 OPM also received $12,100,000 from P.L. 116-136, the Coronavirus Aid,
Relief, and Economic Security Act, enacted on March 27, 2020.34 This funding was to be used for
“improvements in remote work capacity.”35
Performance
The Government Performance and Results Act requires most agencies to set goals, measure
performance, and report the information to Congress for potential use.36 OPM provides this
information in multiyear strategic plans, annual plans, and annual reports.37 OPM explained that
its strategic plan for FY2018-FY2022 was intended to “guide the Agency’s efforts to lead and
serve the Federal Government in enterprise human resources management by delivering policies
and services to achieve a trusted effective civilian workforce.”38 This strategic plan highlighted
four primary agency goals and established a series of objectives and sub-objectives associated
with each goal. OPM’s Annual Performance Report (APR) “provides an overview of OPM’s
progress in implementing the strategies and achieving the objectives and goals in its FY 2018-FY
2022 Strategic Plan.”39 These primary goals were identified in 2018 and assessed in 2021 as
follows:
Goal 1: Transform hiring, pay, and benefits across the federal government to
attract and retain the best civilian work force.40 OPM’s FY2020 APR found that
the agency met three out of four objectives associated with Goal 1 by the time the
report was published.41
Goal 2: Lead the establishment and modernization of human capital information
technology and data management systems and solutions.42 OPM’s FY2020 APR
found that the agency met one out of three objectives associated with Goal 2.43
Goal 3: Improve integration and communication of OPM services to federal
agencies to meet emerging needs.44 OPM’s FY2020 APR found that the agency
met four out of five objectives and sub-objectives associated with Goal 3.45
33 OPM, Congressional Budget Justification and Annual Performance Plan Fiscal Year 2022.
34 OPM, Annual Performance Report Fiscal Year 2020, January 2021, p. 6, https://www.opm.gov/about-us/budget-
performance/performance/2020-annual-performance-report.pdf.
35 OPM, Annual Performance Report Fiscal Year 2020, p. 6.
36 For discussion, see CRS Report R42379, Changes to the Government Performance and Results Act (GPRA):
Overview of the New Fram ework of Products and Processes, by Clinton T . Brass.
37 OPM, “Budget and Performance,” https://www.opm.gov/about-us/budget-performance/.
38 OPM, “Budget and Performance.”
39 OPM, Annual Performance Report Fiscal Year 2020, p. 7.
40 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
41 OPM, Annual Performance Report Fiscal Year 2020, p. 23.
42 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
43 OPM, Annual Performance Report Fiscal Year 2020, p. 24.
44 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
45 OPM, Annual Performance Report Fiscal Year 2020, pp. 25-26.
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Goal 4: Optimize agency performance.46 OPM’s FY2020 APR found that the
agency met three out of 10 objectives and sub-objectives associated with Goal 4
by the time the report was published.47
Issues for Congressional Oversight
Issues related to potential politicization of the civil service and reorganization and modernization
of OPM may be of interest to Congress for oversight purposes. Additional y, in 2021, the National
Academy of Public Administration (NAPA) released a statutorily required report recommending a
number of objectives for OPM to implement.48
Selected Oversight Issues
Some observers have expressed concerns about potential politicization of the civil service by
employees “burrowing in”—that is, the process of political appointees being converted to civil
service positions during a presidential transition.49 This practice is of interest because “[u]nlike
political appointments, civil service positions do not terminate at the end of an administration.
Conversion therefore al ows political appointees to stay in government after the president who
appointed them has left office.”50 Observers suggest that this practice may not align with merit
system principles that were intended to prevent nepotism and political favoritism in the civil
service.51
OPM is statutorily tasked with overseeing the conversion of political appointees into civil service
positions.52 In 2018, OPM issued a memorandum outlining changes to their oversight practices in
response to P.L. 114-136, the Edward “Ted” Kaufman and Michael Leavitt Presidential
Transitions Improvements Act of 2015, enacted on March 18, 2016.53 Agencies are required to
“submit a request to OPM whenever they seek to hire a current political appointee or one who has
served in a political position within the last five years.” In addition, “OPM conducts multi-level
reviews of each application to make sure the conversion follows federal hiring guidelines.”54 A
report published in 2017 by the Government Accountability Office found that
46 OPM, OPM Strategic Plan Fiscal Years 2018-2022.
47 OPM, Annual Performance Report Fiscal Year 2020, pp. 26-27.
48 Section 1112(b) of P.L. 116-92, the National Defense Authorization Act for FY2020, enacted on December 20, 2019,
required the OPM director to contract with NAPA to conduct this study. NAPA, Elevating Hum an Capital: Refram ing
the U.S. Office of Personnel Management’s Leadership Imperative, March 17, 2021, https://s3.us-west-
2.amazonaws.com/napa-2021/studies/united-states-office-of-personnel-management-independent -assessment/OPM-
Final-Report -National-Academy-of-Public-Administration.pdf.
49 See CRS Insight IN11538, Presidential Transitions: An Overview, by L. Elaine Halchin.
50 Alex T ippett and T roy Cribb, “ Political Appointee to Civil Servant: What the Public Should Know About
‘Burrowing In,’” Partnership for Public Service Center for Presidential T ransition, October 14, 2020,
https://presidentialtransition.org/blog/political-appointee-burrowing-in/.
51 T ippett and Cribb, “ Political Appointee to Civil Servant .” See also U.S. Merit Systems Protection Board, “T he Merit
System Principles: Keys to Managing the Federal Workforce,” October 2020, https://www.mspb.gov/mspbsearch/
viewdocs.aspx?docnumber=1371890&version=1377261&application=ACROBAT .
52 Ibid.[which one?]
53 Kathleen McGettigan, “Political Appointees and Career Civil Service Positions,” OPM, February 23, 2018,
https://www.chcoc.gov/content/political-appointees-and-career-civil-service-positions-3.
54 McGettigan, “Political Appointees and Career Civil Service Positions.”
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OPM approved 78 of 99 requests to convert political appointees to career positions
agencies proposed to complete from January 1, 2010, through March 17, 2016. OPM
denied 21 requests for varying reasons, such as bypassing qualified veterans, and referred
9 denied cases to the Office of Special Counsel (OSC). Of the 78 approved requests,
agencies followed through and converted 69 political appointees to career positions.
During the period, agencies completed 7 conversions without obtaining OPM approval;
OPM completed post-appointment reviews for 4 of these 7 conversions, denying all 4. For
each of the 4 denied cases, the agencies undertook various remedies, such as re-advertising
positions, in response to OPM’s concerns. OPM did not complete a review for the 3 other
conversions because the appointees were no longer in the career positions to which they
were converted.55
Congress may consider several questions with regard to “burrowing in,” including the adequacy
and transparency of OPM’s current oversight practices and the role of federal agencies in
evaluating political appointee conversions.
Another possible issue for congressional oversight relates to the potential reorganization of OPM.
The Trump Administration proposed to merge OPM with a renamed Government Services
Agency (GSA; currently the General Services Administration).56 This plan would have
transferred most of OPM’s functions and authorities to GSA.57 It also suggested establishing an
Office of Federal Workforce Policy in the Office of Management and Budget (OMB) to assume
OPM’s policy responsibilities.58 Former OMB director Russel Vought wrote a letter to House
Speaker Nancy Pelosi about the merger plan that stated:
The primary purpose of the legislative proposal is to authorize the transfer of the vast
majority of the current functions and resources of OPM to GSA, including Human
Resources Solutions, Information Technology, Retirement, Health and Insurance Services.
GSA will create a new Personnel Service to house the h uman resources and employee
lifecycle management shared service offerings. Agencies will benefit from GSA helping
them to obtain more strategic and comprehensive support for their needs.59
Subsequent hearings conducted by the Senate Committee on Homeland Security and
Governmental Affairs and the House Committee on Oversight and Reform received testimony
that expressed process and policy concerns about the Administration’s proposal.60
Further, Congress acted with legislation in response. In particular, Section 1112 of P.L. 116-92,
the National Defense Authorization Act for FY2020,61 required an independent study and report
from NAPA to include:
55 U.S. Government Accountability Office, Actions Needed to Improve Documentation of OPM Decisions on
Conversion Requests, GAO-17-674, August 2017, https://www.gao.gov/assets/gao-17-674.pdf.
56 For discussion, see CRS Insight IN11110, Administration Proposal to Reorganize the U.S. Office of Person nel
Managem ent (OPM), coordinated by Barbara L. Schwemle.
57 Erich Wagner, “White House’s OPM-GSA Merger Bill Gives an Unconfirmed Appointee Authority Over Personnel
Rules,” Government Executive, May 16, 2019, https://www.govexec.com/management/2019/05/white-houses-opm-gsa-
merger-bill-gives-unconfirmed-appointee-authority-over-personnel-rules/157085/.
58 Wagner, “White House’s OPM-GSA Merger Bill.”
59 Wagner, “White House’s OPM-GSA Merger Bill.”
60 U.S. Congress, Senate Committee on Homeland Security and Governmental Affairs, Subcommittee on Regulatory
Affairs and Federal Management, The Challenges and Opportunities of the Proposed Governm ent Reorganization on
OPM and GSA, Hearing, 115th Cong., 2nd sess., July 26, 2018 (Washington, DC: GPO, 2019); and U.S. Congress,
House Committee on Oversight and Reform, Subcommittee on Government Operations, The Adm inistration’s War on
a Merit Based Civil Service, Hearing, 116th Cong., 1st sess., May 21, 2019 (Washington, DC: GPO, 2019).
61 133 Stat. 1198, at 1601, December 20, 2019.
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a comprehensive assessment and analysis of—(A) the statutory mandates assigned to the
Office of Personnel Management and the challenges associated with the Office’s execution
of those mandates; (B) the non-statutory functions, responsibilities, authorities, services,
systems, and programs performed or executed by the Office of Personnel Management; the
Office’s justification for carrying out such functions, responsibilities, authorities, services,
systems, and programs; and the challenges associated with the Office’s execution of same;
(C) the means, options, and recommended courses of action for addressing the challenges
identified pursuant to subparagraphs (A) and (B), including an analysis of the benefits,
costs, and feasibility of each option and the effect of each on labor-management
agreements; (D) a timetable for the implementation of options and recommended courses
of action identified pursuant to subparagraph (C); (E) statutory or regulatory changes
necessary to execute any course of action recommended; (F) the methods for involving,
engaging with, and receiving input from other Federal agencies, departments, and entities
potentially affected by any change in the structure, functions, responsibilities, authorities
of the Office of Personnel Management that may be recommended; (G) the views of
identified stakeholders, including other Federal agencies, departments, and entities; non-
Federal entities or organizations representing customers or intended beneficiaries of Office
of Personnel Management functions, services, systems, or programs; and such individual
customers and intended beneficiaries; and (H) such other matters as the Director may
prescribe.62
The statute also provides that not later than 180 days after the NAPA report is submitted to the
OPM director and the congressional committees, the OPM director—in consultation with GSA,
OMB, and other appropriate federal agencies, departments, or entities—shal submit a report to
the congressional committees. The report is to include OPM’s views on the findings and
recommendations of the NAPA report “together with any recommendations for changes in the
structure, functions, responsibilities, and authorities” of OPM. In addition, the provision states,
“Any recommendation submitted in the report … for change shal be accompanied by a business
case analysis setting forth the operational efficiencies and cost savings (in both the short and
long-terms) associated with such change, and a proposal for legislative or administrative action
required to effect the change proposed.”63
The law further provides, “No person may assign, transfer, transition, merge, or consolidate any
function, responsibility, authority, service, system, or program that is assigned in law to the Office
of Personnel Management to or with the General Services Administration, the Office of
Management and Budget, or the Executive Office of the President, until on or after the date that is
180 days after the date on which the report required” from OPM is submitted to the House and
Senate Committees on Appropriations, the Senate Committee on Homeland Security and
Governmental Affairs, and the House Committee on Oversight and Reform “and subject to the
enactment of any legislation required.”64
Ultimately, the Trump Administration reportedly decided to abandon the plan.65 Such a proposal
may, however, cause some to raise questions regarding OPM’s role in federal human resources
management, including whether OPM’s organizational structure should be altered, whether OPM
62 133 Stat. 1602. See this CRS report’s section on “NAPA Recommendations for OPM” for discussion of the NAPA
report, which was submitted on March 17, 2021.
63 133 Stat. 1602-1603.
64 133 Stat. 1601-1602.
65 Erich Wagner, “OPM Quietly Abandons Proposed Merger with GSA,” Government Executive, October 30, 2020,
https://www.govexec.com/management/2020/10/opm-quietly-abandons-proposed-merger-gsa/169692/.
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should continue to be the primary agency tasked with significant responsibilities related to human
capital management, and OMB’s role (if any) in federal personnel policy.
Stil another issue for congressional oversight relates to modernization of OPM and federal hiring
practices. Some observers suggest that OPM should modernize its hiring practices to stay
competitive with private sector employers. Executive Order (E.O.) 13932, “Modernizing and
Reforming the Assessment and Hiring of Federal Job Candidates,”66 issued by President Donald
Trump on June 26, 2020, sought to alter the federal hiring process by removing potential y
unnecessary education qualifications to ensure that the federal hiring process is merit-based.67
The changes mandated by the E.O. were reportedly intended to “most especial y help with
positions in the emerging technologies field, where some agencies have struggled to fil
positions.”68 A recent U.S. Merit Systems Protection Board study found that agencies are relying
more often on direct hire authorities to compete for talent.69 According to the report “agencies
used direct hire authorities to make 28,000 appointments in fiscal 2018.”70 In reviewing this issue,
Congress may consider whether OPM should encourage agencies to continue using direct hire
authorities, how OPM has implemented E.O.13932, the E.O.’s effect on the federal workforce,
and whether a reduced reliance on education requirements in federal hiring would al ow the
federal government to better compete with the private sector for talent.
NAPA Recommendations for OPM
On March 17, 2021, NAPA released a congressional y mandated report on OPM, which included
23 recommendations for the agency.71 The first recommendation in the report stated that OPM’s
statutory authority (codified at Title 5, Section 1101, of the U.S. Code) should be amended “to
clarify and redefine the role and mission of OPM as the federal government’s enterprise wide,
independent human capital agency and steward of the merit system for al civilian personnel
systems and employees, responsible for providing government-wide leadership in strategic
human capital management.”72 Another recommendation stated that OPM should “(1) redefine
the OPM mission statement and restructure the organization to effectively and efficiently execute
the reframed mission priorities and (2) restore the agency’s reputation for human capital
leadership, expertise, and service by redirecting the internal culture and rebuilding internal staff
capacity.”73
66 Executive Order 13932, “Modernizing and Reforming the Assessment and Hiring of Federal Job Candidates,” 85
Federal Register 39457, July 1, 2020.
67 See CRS Insight IN11490, Executive Order 13932 on Assessing and Hiring Job Candidates in Federal Agencies, by
T aylor N. Riccard.
68 Jessie Bur, “Degree Requirements Are on the Way out for Federal Jobs,” Federal Times, August 3, 2020,
https://www.federaltimes.com/management/hr/2020/08/03/degree-requirements-are-on-the-way-out-for-federal-jobs/.
69 U.S. Merit Systems Protection Board, Office of Policy and Evaluation, Direct-Hire Authority Under 5 U.S.C. §3304:
Usage and Outcom es, February 2021, https://www.mspb.gov/MSPBSEARCH/viewdocs.aspx?docnumber=
1803830%20&version=1810102&application=ACROBAT . “ Direct -hire authorities (DHAs) allow agencies to use
streamlined procedures to appoint new employees without regard to some key merit syst em and public policy
provisions, such as applicant rating and ranking and veterans’ preference.”
70 U.S. Merit Systems Protection Board, Office of Policy and Evaluation, Direct-Hire Authority Under 5 U.S.C. §3304.
71 NAPA, Elevating Human Capital: Reframing the U.S. Office of Personnel Management’s Leadership Imperative,
March 17, 2021, https://s3.us-west-2.amazonaws.com/napa-2021/studies/united-states-office-of-personnel-
management -independent -assessment/OPM-Final-Report-National-Academy-of-Public-Administration.pdf.
72 NAPA, Elevating Human Capital, p. 3.
73 NAPA, Elevating Human Capital, pp. 3-4.
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NAPA included a number of objectives associated with each recommendation. Each
recommendation, if implemented, is designed to yield specific intended outcomes. The report
explains:
Successful implementation should yield the following results: Human capital is recognized
and supported as a strategic priority across government by the Administration, the
Congress, and federal agencies. OPM’s role is reaffirmed and strengthened as the leader
for strategic human capital management government-wide. OPM’s approach to human
capital management evolves from predominantly compliance-oriented to customer-
focused, value-added, data-driven and forward-looking encouraging innovation and
sharing of best practices.74
In a press conference about the report, the president of NAPA, Terry Gerton, said, “We strongly
recommend that a central personnel agency continue to exist, and that organization is an
independent, enterprise-wide human capital agency and a steward of the merit system
principles.”75 In the statute requiring the NAPA report, Congress gave OPM six months to provide
a formal response.76 As of the time of this writing, OPM has not yet submitted its response to
Congress. The NAPA report and the upcoming OPM response may present an array of issues for
continued congressional consideration regarding OPM.
Author Information
Taylor N. Riccard
Analyst in Government Organization and
Management
Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan
shared staff to congressional committees and Members of Congress. It operates solely at the behest of and
under the direction of Congress. Information in a CRS Report should n ot be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
connection with CRS’s institutional role. CRS Reports, as a work of the United States Government, are not
subject to copyright protection in the United States. Any CRS Report may be reproduced and distributed in
its entirety without permission from CRS. However, as a CRS Report may include copyrighted images or
material from a third party, you may need to obtain the permission of the copyright holder if you wish to
copy or otherwise use copyrighted material.
74 NAPA, Elevating Human Capital, p. 2.
75 Jessie Bur, “ Congressionally Mandated Report Envisions a More Powerful OPM,” Federal Times, March 17, 2021,
https://www.federaltimes.com/management/2021/03/17/congressionally-mandated-report-envisions-a-more-powerful-
opm/.
76 P.L. 116-92, §1112(c).
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