Part 3. Submission Processing

Chapter 43. Integrated Management System

Section 401. Total Evaluation Performance System (TEPS) for Managers of Measured Employees (Cont. 1)

3.43.401  Total Evaluation Performance System (TEPS) for Managers of Measured Employees (Cont. 1)

3.43.401.7  (02-01-2009)
Performance Reports

  1. TEPS provides the following Individual Performance Reports:

    • Weekly Individual Performance Report (IPR)— generated weekly for all employees assigned to a measured performance plan GS-08 and below.

    • Individual Performance Summary Report (IPSR)—generated quarterly for all employees assigned to a measured performance plan GS–08 and below who performed work during the period covered.

      Note:

      An IPSR will not be generated for employees performing overhead hours only.

  2. The Weekly IPR contains the most current performance data.

  3. The IPSR contains available performance data from the preceding four full quarters.

    Note:

    Both the IPR and IPSR are available on Control D to view and print, if need be, for anyone with access to the restricted TEPS files.

3.43.401.7.1  (02-01-2009)
Weekly Individual Performance Report (IPR)

  1. The Weekly IPR will include an Entity Section, a Weekly Efficiency Data Section, a Weekly Summary Totals Section, a Weekly Quality Data Section, an Adjustments Section, and a Quarter to Date Efficiency Data section, and a Quarter to Date Summary Totals subsection, and a Quarter to Date Quality Data subsection ( See Figure 3.43.401-10a and Figure 3.43.401–10B. ).

    Note:

    The Adjustments Section appears when a Form 6489 has been processed for the employee and after the end of the quarter when base points are deleted by the system due to low hour and/or the less than 6 restrictions.

  2. The Weekly IPR generates for all employees assigned to a measured performance plan GS–08 and below.

  3. Weekly IPR's provide the most current information about each direct hour program worked by an employee and a summary of overhead hours.

  4. Managers review Weekly IPR's to ensure proper posting of employee data. The following data must be verified:

    • Employee entity data

    • Quality and Efficiency data

  5. Managers review Weekly IPR's to ensure Individual Quality Review is performed per IRM 3.43.401.8.2.

  6. Erroneous employee data from Forms 3081 and 3926 requires IPR adjustments. Managers need to follow the procedures in IRM 3.43.401.7 for IPR adjustments.

  7. Adjustments to employee performance data:

    1. Are coordinated with the Quality Review Staff when documents reviewed and errors need to be adjusted;

    2. Are made on a weekly basis;

    3. Are located in the Adjustments Section of the Weekly IPR;

      Note:

      Adjustment Section displays only when an IPR Adjustment has been input (F.6489), and after the end of the quarter when base points are deleted by the system due to low hour and/or the less than 6 restrictions.

    4. must be reviewed to ensure accuracy;

    5. must be monitored for accuracy.

  8. The Quarter to Date Efficiency Data Section contains a cumulative listing of each direct hour OFPG worked during the current quarter.

  9. If a quarter (other than January—March) ends on a Monday through Thursday, centers are required to prepare two Forms 3081 and 3926. This is referred to as "split week processing " . As a result of the "split week processing" , two Weekly IPR's are generated with different period ending dates.

    Note:

    All employees on a measured performance plan receive a weekly IPR. If an employee does not receive an IPR, she/he may be incorrectly coded as unmeasured, may not have a performance plan assigned, or may have an incorrect assigned organization code in the Employee Master File. The manager must determine the reason(s) the IPR is not being received and take appropriate action. Failure to do so will negatively impact the employee.

    Note:

    The entity data, quality data, and efficiency data on the Weekly IPR are used to ensure proper posting of employee data. Validate the weekly IPR's with Form 3081 and Form 3926 to ensure all information (volume, OFP's, hours, etc.) were posted correctly.

    Note:

    Discuss the information on the IPR periodically with the employee to identify possible corrections needed, changes in performance goals, etc.

    Figure 3.43.401-9a

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    Figure 3.43.401-9b

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3.43.401.7.2  (02-01-2009)
Key Elements of the Weekly IPR

  1. RUN DATE—the date the report was created in MM/DD/YYYY format

  2. PAGE—page number. Each page is numbered in sequential order and also organization code order.

  3. Title—WEEKLY INDIVIDUAL PERFORMANCE REPORT

  4. PERIOD ENDING—the ending date of the time period for which the work is reported.

  5. ORG—employee's assigned organization.

  6. Name—employee's last name with first and middle initial

  7. SSN

  8. Grade/Step

  9. Days on (Measured) Plan — maximum value is 63.

  10. Date Placed on Measured Plan - Reflects date employee was last placed on a Measured Plan in the TEPS system. (If the date is prior to the implementation of this feature on 1/6/2003, an asterisk will be generated)

  11. Employee Class—indicates the employee's class type:

    • Class code 1—permanent

    • Class code 2—seasonal (includes part-time permanent)

    • Class code 3—career/career-conditional intermittent

    • Class code 5—term

  12. Title—WEEKLY EFFICIENCY DATA

  13. ORG—the (5 digit) unit organization code where the work was performed.

  14. FUN—Function

  15. PROG—Program

  16. VOLUME—the volume reported for each OFPG

  17. HRS—Hours—the hours reported for each OFPG

  18. DOCS/HRS—Documents per Hours—the volume reported divided by the hours reported.

  19. BASE POINT—Efficiency base point established

  20. QUALITY PROGRAM CLUSTER—Quality Base Point identified by cluster or HQW. "NONE" prints when a Quality Base Point was not established.

  21. COMMENTS:

    WEEKLY IPR DATA COMMENTS
    Comment Comment will be displayed if:
    LRN CURVE A Base Point and a Learning Curve are established for the OFPG, the employee has reported volume, but the employee has not met the Learning Curve for that OFPG.
    HQW The employee has reported volume, the employee has met the Learning Curve for that OFPG, and the Quality Base Point for the Organization, Function, Program, Grade (OFPG) is equal to the High Quality Standard (HQS).
    EFF ONLY An Efficiency Base Point and a Learning Curve have been established for the OFPG, the employee has reported volume, the employee has met the Learning Curve for that OFPG, but there is no Quality Base Point for the OFPG.
    NO STD The employee has reported volume, but there is no Efficiency Base Point established for the OFPG.
    NO LRN CRV A Quality/Efficiency Base Point has been established for the OFPG, the employee has reported hours and volume for the OFPG, but no Learning Curve has been established for the OFPG.
    REVIEWED Quality and Efficiency Base Points and a Learning Curve have been established for the OFPG, the employee has reported volume, the employee has met the Learning Curve for that OFPG, and Individual Quality Review has been performed for that OFPG.
    NOT REV'D Quality and Efficiency Base Points and a Learning Curve have been established for the OFPG, the employee has reported volume, the employee has met the Learning Curve for that OFPG, but Individual Quality Review was not performed for that OFPG.
    NO VOL Volume was not reported.

  22. REMAIN LRN CRV HOURS—the amount of hours remaining in the learning curve for the OFPG

  23. Title—WEEKLY SUMMARY TOTALS

  24. High Quality Work Hours—total HQW hours.

  25. Measured Hours of Work for Efficiency only—total hours for those OFPGs for which there is a Base Point for Efficiency only and for which volume was reported, excluding Learning Curve Hours.

  26. Measured Hours for Efficiency and Quality—total hours for those OFPGs that meet the following:

    • Quality Base Point established

    • Volume reported

    • Has previously met the Learning Curve

    • Is not HQW

  27. Hours spent on Learning Curve—total Learning Curve hours.

  28. Other Unmeasurable Hours (No Vol or Std)—total hours for those OFPGs that meet the following:

    • Function Code is not 990.

    • No volume reported.

    • OFPG has no Base Points.

    • OFPG with Base Points and no established learning curve.

  29. Total Direct Hours—total hours for which the Function Code is not 990. Sum of lines 1–5.

  30. Overhead Hours—total hours for which the Function Code is 990.

  31. Total Hours for the Week—total number of hours an employee worked during the period. Sum of key element 29 & 30.

  32. Title—WEEKLY QUALITY DATA

  33. Quality Program Cluster—OFPGs with similar quality accuracy rates.

  34. Recommended Annual Sample— employee individual sample size for a 52 week rating period for the QPC. (HQW will show "N/A" )

  35. Hours Worked—sum of hours worked within the QPC or as HQW

  36. Reviews Performed—reviews performed for the QPC. (HQW will show "N/A" )

  37. Docs in Error—individual errors reported for the QPC. (HQW will show "N/A" )

    Note to Employee: See your manager if you would like to see your cumulative quality review figures for your annual rating period.

  38. RUN DATE—the date the report was created in MM/DD/YYYY format

  39. PAGE—page number. Each page is numbered in sequential order and also organization order.

  40. Title—WEEKLY INDIVIDUAL PERFORMANCE REPORT

  41. ORG—Employees 5-digit assigned organization code

  42. NAME—employee's last name with first and middle initial

  43. SSN

  44. Title—****** ADJUSTMENTS******

  45. ORG—Operation organization code (2 digits)

  46. FUN—function

  47. PROG—program

  48. Grade

  49. DOCS REVD—adjusted number of documents reviewed

  50. ERRS—number of adjusted errors

  51. Volume-number of adjusted volume

  52. HRS—number of adjusted hours

  53. QTR ADJ—quarter adjusted in YYYY/MM format

  54. Action Date—date the adjustment was input in MM/DD/YYYY format.

  55. ADJUSTMENT CODE- refer to the TEPS measured codes as listed in 3.43.401.7.3(4)n.

  56. Title—QUARTER TO DATE EFFICIENCY DATA

  57. ORG—the (2 digit) unit organization code where the work was performed.

  58. Fun—Function

  59. Prog—Program

  60. GRADE

  61. Volume—the volume reported for each OFPG.

  62. Hrs—Hours—the hours reported for each OFPG.

  63. Docs/Hrs—Documents per Hours—the volume reported divided by the hours reported.

  64. Base Point—the established Base Point.

  65. Quality Program Cluster—the assigned QPC for the OFPG. "None" if OFPG does not have a Numerical Performance Standard

  66. COMMENTS- refer to Key Element 21

  67. Title—QUARTER TO DATE SUMMARY TOTALS

  68. High Quality Work Hours—total HQW hours.

  69. Measured Hours for Efficiency only—total hours for those OFPGs for which there is a Base Point for Efficiency only and for which volume was reported, excluding Learning Curve Hours.

  70. Measured Hours for Efficiency and Quality—total hours for those OFPGs that meet the following:

    • Efficiency Base Point established

    • Quality Base point established

    • Volume reported

    • Previously met the Learning Curve

    • Not HQW

  71. Hours spent on Learning Curve—total Learning Curve hours.

  72. Other Unmeasurable Hours (No Vol or Std)—total hours for those OFPGs that meet the following:

    • Function Code is not 990

    • No volume reported or OFPG has no Base Points.

    • OFPG with a base point and no established learning curve.

  73. Total Direct Hours—total hours for which the Function Code is not 990. Sum of lines 1–5.

  74. Overhead Hours—total hours for which the Function Code is 990.

  75. Total Hours for the Quarter—total number of hours an employee worked during the period. Sum of lines key element 73 and 74.

  76. Title—Quarter To Date Quality Data

  77. Quality Program Cluster—OFPGs with similar quality accuracy rates.

  78. Recommended Annual Sample—sample size for a 52 week rating period for the QPC.

  79. Hours Worked—sum of hours worked within the QPC or as HQW.

  80. Reviews Performed—reviews performed for the QPC (HQW will show "N/A" ).

  81. Docs in Error—errors reported for the QPC (HQW will show "N/A" ).

3.43.401.7.3  (02-01-2009)
Individual Performance Summary Report (IPSR)

  1. The IPSR is generated after the quarter has ended and time has been allowed for adjustments to be input. The IPSR contains performance data for the preceding four quarters ( See Figure 3.43.401-11a and 3.43.401–11b. ).

    Note:

    The employee must have been on a measured plan prior to the last weekly runs of the quarter, to have an IPSR generate.

  2. The IPSR is a management tool used to show employees how they are performing. In order for an employee to be rateable the employee must spend:

    • 40% of direct time on measurable work; and,

    • 25% of total time on measurable work.

      Note:

      Direct hours also include all 800 functions

  3. An IPSR will generate for employees meeting the following conditions:

    • The employee was assigned to a measured performance plan at the end of the quarter.

    • The employee reported performance data on Form 3081 during the last four quarters.

    • The employee is a GS-08 and below.

  4. An OFPG may appear on the IPSR more than once during any quarter. For example, the employee completes the Learning Curve and in addition, reports hours with no volume in the same week. In the example shown in Figure 3.43.401–13a, the first three lines are for 35–231–11110–04. The comments on these 3 lines are: Not Reviewed (NOT REV'D), Learning Curve (LRN CURVE), and No Volume (NO VOL).

    Figure 3.43.401-10a
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    Figure 3.43.401-10b
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3.43.401.7.4  (02-01-2009)
Key Elements of the IPSR Report

  1. Title—INDIVIDUAL PERFORMANCE SUMMARY REPORT

  2. RUN DATE—the date the report was created in MM/DD/YYYY format

  3. Period Covered—time period for which the work is reported.

  4. PAGE—page number. Each page is numbered in sequential order and also organization code order.

  5. ORG—the employee's assigned organization

  6. Employee Class — indicates the employee's class type

    • PERMANENT

    • SEASONAL

    • C/CC Intermit (career/career-conditional intermittent)

    • TERM

  7. Rating Levels (Quality)—the 2, 3, 4, and 5 standard ratings.

  8. Rating Levels (Efficiency)—the 2, 3, 4, and 5 standard ratings.

  9. Name—Employee's last name with first and middle initial

  10. GRADE/STEP

  11. STANDARD SCORES—(Quality)—if the Director's Ranges are the same for quality for the previous four quarters, those scores are displayed. If the Director's Ranges for the previous four quarters are not equal for quality, a composite Standard Score is computed as follows:

    (1st QTR Dir's Range 2 X Emp 1st Qtr Measurable hours) +
    (2nd QTR Dir's Range 2 X Emp 2nd Qtr Measurable hours) +
    (3rd QTR Dir's Range 2 X Emp 3rd Qtr Measurable hours) +
    (4th QTR Dir's Range 2 X Emp 4th Qtr Measurable hours) +
    Total Employee measurable hours 1st - 4th QTR

    Note:

    Continue this same format substituting the Quality Director's Range for 3, 4, and 5.

  12. Standard Scores—(Efficiency)—if the Director's Ranges are the same for efficiency for the previous four quarters, those scores are displayed. If the Director's Ranges for the previous four quarters are not equal for efficiency, a composite Standard Score is computed as follows:

    (1st QTR Dir's Range 2 X Emp 1st Qtr Measurable hours) +
    (2nd QTR Dir's Range 2 X Emp 2nd Qtr Measurable hours) +
    (3rd QTR Dir's Range 2 X Emp 3rd Qtr Measurable hours) +
    (4th QTR Dir's Range 2 X Emp 4th Qtr Measurable hours) +
    Total Employee measurable hours 1st - 4th QTR

    Note:

    Continue this same format substituting the Efficiency Director's Range for 3, 4, and 5.

  13. SSN

  14. Days on (Measured) Plan—maximum value is 63.

  15. Date Placed on Measured Plan - Reflects date employee was last placed on a Measured Plan in the TEPS system. (If the date is prior to implementation of this feature on 1/6/2003, an asterisk will be generated.)

  16. Employee Time/Weight Score (Quality)—the sum of TM/WT Index column. If an asterisk is generated for the Quality rating, an asterisk will also generate in this field.

  17. Employee Time/Weight Score (Efficiency)—the sum of TM/WT Effectiveness column. If an asterisk is generated for the Efficiency rating, an asterisk will also generate in this field.

  18. Rating (Quality)—the numerical rating 1–5 which the employee receives based on the total score given in Employee Time/Weight Index column compared to the Standard Score. An asterisk appears in place of the numerical rating when the rateable criteria has not been met.

  19. Rating (Efficiency) —the numerical rating 1–5 which the employee receives based on the total score given in Employee Time/Weight Effectiveness column compared to the Standard Score. An asterisk appears in place of the numerical rating when the rateable criteria has not been met.

  20. ORG—(Operation (2 digit))organization code where the work was performed.

  21. FUN—Function

  22. PROG—Program

  23. GR—Grade

  24. QTR—quarter covered (e.g., 200106, 200109, 200112, 200203, etc.)

  25. Volume—volume reported for each OFPG

  26. HOURS—hours reported for each OFPG

  27. DOCS PER HOURS—Documents per Hour—the following formula is used in computing Docs per Hour for each OFPG:

    Total volume reported for the quarters
    Total measurable hours for the quarters

    Note:

    Displayed as rounded to one decimal place

  28. BASE POINT—The expected midpoint production rate, set by management for each OFPG, using the median production rate from the same quarter, prior year and adjusting, if necessary.

  29. EFFECTIVENESS—the following formula is used in computing the Effectiveness score for each OFPG by quarter:

    (Docs per Hour/Base Point) x 100

  30. TIME WEIGHT

    • Percent of measurable time spent on the OFPG by quarter rounded to three decimals

    • The Time/Weight for each OFPG is calculated as follows:

      OFPG by quarter Measurable Hours for Efficiency
      Total Measurable Hours for Efficiency

  31. TIME WT EFFEC—Time/Weight Effectiveness—the following formula is used when computing Time/Weight score for each OFPG by quarter:

    (Time/Weight) X (Effectiveness)

  32. QUALITY PROGRAM CLUSTER—the assigned QPC for the OFPG by quarter.

  33. COMMENTS

    IPSR DATA COMMENTS
    Comment Comment will be displayed if:
    LRN CURVE A Base Point and a Learning Curve are established for the OFPG, the employee has reported volume, but the employee has not met the Learning Curve for that OFPG.
    HQW The employee has reported volume, the employee has met the Learning Curve for that OFPG, and the Quality Base Point for the Organization, Function, Program, Grade (OFPG) is equal to the High Quality Standard (HQS).
    EFF ONLY An Efficiency Base Point and a Learning Curve have been established for the OFPG, the employee has reported volume, the employee has met the Learning Curve for that OFPG, but there is no Quality Base Point for the OFPG.
    NO STD The employee has reported volume, but there is no Efficiency Base Point established for the OFPG.
    NO LRN CRV An Efficiency Base Point has been established for the OFPG, the employee has reported hours and volume for the OFPG, but no Learning Curve has been established for the OFPG.
    NOT REV'D Quality and Efficiency Base Points and a Learning Curve have been established for the OFPG, the employee has reported volume, the employee has met the Learning Curve for that OFPG, but Individual Quality Review was not performed for that OFPG.
    NO VOL Volume was not reported.
    QPC REVIEWED Quality and Efficiency Base Points and a Learning Curve have been established for the OFPG, the employee has reported volume, the employee has met the Learning Curve for that OFPG, and Individual Quality Review has been performed for that OFPG.
    <63 DAYS An Efficiency Base Point and a Learning Curve have been established for the OFPG, the employee has reported volume for the OFPG, and Days on Plan is less than 63.
    IPR ADJ REQ An Efficiency Base Point and a Learning Curve have been established for the OFPG, the employee has reported volume for the OFPG, Days on Plan is 63, but the record indicates the Days on Plan is less than 63.

  34. EMPLOYEE TIME/WEIGHT EFFECTIVENESS – total time weight effectiveness

  35. ORG— the employee's assigned organization code

  36. RUN DATE—the date the report was created in MM/DD/YYYY format

  37. NAME—employee's last name with first and middle initial

  38. PAGE—page number. Each page is numbered in sequential order and also in organization code order

  39. SSN

  40. HIGH QUALITY WORK HOURS—total HQW hours

  41. MEASURED HOURS FOR EFFICIENCY ONLY—the sum of total hours for those OFPGs for which there is an Efficiency Base Point only and volume was reported plus the total hours for those OFPGs for which there is an Efficiency Base Point and a Quality Base Point, volume was reported and for which no review was reported for any of the OFPGs in the QPC during the period covered excluding Learning Curve hours.

  42. Measured Hours for Efficiency and Quality—total hours for those OFPGs that meet the following:

    • Efficiency Base Point established

    • Quality Base Point established

    • Volume reported

    • Previously met the Learning Curve

    • Is not HQW

    • Review was performed for the QPC.

  43. Hours spent on Learning Curve—total learning curve hours

  44. OTHER UNMEASURABLE HOURS (NO VOL OR STD)—total hours for those OFPGs that meet the following:

    • Function Code is not 990.

    • No volume reported or OFPG has no Base Points.

  45. Total Direct Hours—total hours for which the Function Code is not 990.

  46. Overhead Hours—total hours for which the Function Code is 990.

  47. Total Hours for the Period—sum of Direct Hours and Overhead Hours

  48. Measured Quality – Percent to Direct Hours

  49. Measured Efficiency – Percent to Total Hours

  50. Quality Program Cluster—OFPGs with similar quality accuracy Rates.

  51. Recommended Sample— annual individual sample size for the employee's rating period for the QPC (HQW will show N/A).

  52. HOURS—total hours for each QPC (within the QPC or as HQW)

  53. DOCS Reviewed—reviews performed for the QPC (HQW will show N/A).

  54. DOCS IN ERROR— individual errors for the QPC (HQW will show N/A).

  55. % ACC-RATE – Percent Accuracy rate:

    • HQW report will indicate "N/A"

    • QPC's which had no Reviews Performed will indicate "N/A " .

    • All other QPC's the following formula is used in computing Percent Accurate:

      ((Docs Reviewed - Docs in Error) / (Docs Reviewed)) * 100)

  56. SEp (Standard Error of Proportion)—a measure of adjustment combined with the percent accurate that results in an estimate of the employee's true accuracy rate at the 90% confidence level. The formula is:

    1.64 * [Square Root of (((Sample Size – Def Doc) x Def Doc x 10000) / [Cube of Sample Size])] x [Square Root of (1 – (Sample Size/Volume))]

  57. ADJUST % ACC – Adjusted Percent Accurate

    • HQW, the report will indicate "N/A" .

    • All others, a minimum of either: 100% or the Percent Accurate plus the SEp.

  58. Base Point

    • the Base Point for the QPC

    • HQW, the report will indicate "N/A" .

  59. Employee Index

    • the score for each QPC

    • the Employee Index for HQW, is the value for the standard score of "5"

    • All other QPC's the Employee Index is calculated as follows (rounded to three decimals):

      100 * [1 + (.5 * (Adjusted Percent Accurate - Base Point)/(100 - Base Point))]

  60. Time/Weight—the following formula is used in computing TM/WT for each QPC:

    • Percent of measurable time spent on the OFPG rounded to three decimals.

    • The Time/Weight for each QPC is calculated as follows (if none performed reflects, the value is zero):

      Individual QPC Hours (including HQW)
      Total QPC Hours

  61. Time/Weight Index—the time weighted score for each QPC. The following formula is used:

    (Employee Index) * (Time/Weight)

  62. EMPLOYEE TIME/WEIGHT INDEX — total Time/Weight Index

3.43.401.7.5  (02-01-2009)
Use of IPSR for Annual Rating Periods

  1. The Individual Performance Summary Report (IPSR) is generated after the quarter has ended and time has been allowed for adjustments to be input. The IPSR contains performance data for the preceding four full quarters.

  2. Performance summaries are not, in and of themselves, performance appraisals; they are evaluative recordations. (Reference National Agreement, Article 12, Section 15).

  3. Annual Rating Period (APR) ending date for measured employees is as follows:

    Last Digit of SSN APR Ends Last Day of Month
    0 September
    1 September
    2 September
    3 December
    4 December
    5 December
    6 March
    7 March
    8 March
    9 March

3.43.401.7.5.1  (02-01-2009)
General

  1. An Individual Performance Summary Report (IPSR) generates quarterly for employees meeting the following conditions:

    1. The employee was assigned to a measured performance plan at the end of the quarter.

    2. The employee reported data on Form 3081.

    3. The employee is a GS-08 and below.

  2. Per the National Agreement, annual ratings will be issued on a quarterly basis (Article 12, Section 4 A). The annual rating will cover the preceding four full quarters as follows:

    Last Digit of SSN APR Ends Last Day IPSR Used to Compute Quality & Efficiency Rating on Annual Appraisal Due Date to TPC per National Agreement
    0 September October - September October 31
    1 September October - September October 31
    2 September October - September October 31
    3 December January - December January 31
    4 December January - December January 31
    5 December January - December January 31
    6 March April - March April 30
    7 March April - March April 30
    8 March April - March April 30
    9 March April - March April 30

  3. IPSR's with valid and indicative measured ratings in Quality and Efficiency, are included with the remainder of the employee's critical and non-critical elements. These ratings comprise the Annual Rating/Rating of Record.

    Note:

    Additional cut off dates may apply which would affect the date due to TPC; for example, the Awards Agreement cut-off date.

3.43.401.8  (02-01-2009)
IPR Adjustment

  1. IPR Adjustments are used to correct hours, volume, documents reviewed or documents in error input on Forms 3081 or 3926. IPR Adjustments are prepared on Form 6489 ( See Figure 3.43.401-12. ).

    1. IPR Adjustments posting to the TEPS System can correct data for the current quarter and four previous quarters. TEPS adjustments are printed in the adjustments section of the employee's weekly IPR. The adjustments post weekly based on when the Form 6489 are received and input by the Reports Unit or designated input area/person. If an IPR adjustment is input after the center has completed the weekly TEPS processing, the adjustment will post the following week.

      Note:

      During quarter-end processing, Form 6489 input after the final weekly process, will not display on a weekly IPR, however, the adjustments will be included in the cumulative data on the IPSR.

    2. IPR Adjustments posting to the PERS System adjust data within the current and first prior quarter (reference IRM 3.30.50). The Form 6489 Adjustments correct the cumulative figures on the PCA Reports.

    3. Adjustments may be used to add or delete entire records on PERS and TEPS.

    4. Weekly IPR's are monitored to ensure accuracy of Form 6489Form 3081 and Form 6489 data. Managers or Quality Review personnel determine what items are adjusted and prepare the Form 6489 for input by the Reports Unit or designated area.

  2. Failure to process an IPR Adjustment may:

    • Cause employees to receive incorrect ratings in Quality & Efficiency

    • Negatively impact the placement of OFPG's in QPC and HQW groups

    • Distort calculated base points for Quality and Efficiency

    • Distort the PCE 11–43 report used to calculate quality at the 8–week review (reference IRM 3.30.28)

    • Distort weekly and cumulative figures on the PCE Reports (reference IRM 3.30.28)

3.43.401.8.1  (02-01-2009)
Form 6489

  1. IPR adjustments are prepared on Form 6489 (see figure 3.43.401–12) and submitted weekly to the Reports Unit or designated input area/person.

  2. Managers, Quality Review Personnel or Operation TEPS Coordinators complete the three-part adjustment form.

    Note:

    Form 6489 is fillable on the Multimedia Publishing website. Follow local procedures for how the form is channeled to the appropriate areas of the center.

  3. The Reports Unit or designated input area/person processes the Form 6489 as follows:

    1. First copy (PCA copy) is forwarded to the Data Conversion area responsible for input. This copy is used to adjust the PCA cumulative files.

    2. Second copy (TEPS Copy) is used to input the TEPS adjustment to the employees' individual performance records.

    3. Third copy (Reports Unit Copy) is used to input WP&C Adjustments.

  4. The Reports Unit or designated input area/person may return Forms 6489 containing data that cannot be processed. Managers or Quality Review Personnel are responsible for:

    1. Verifying, correcting and annotating records.

    2. Preparing a new Form 6489 for all records not processed.

    3. Discussing discrepancies with the designated area.

    4. Ensuring Form 6489 meet TEPS processing deadlines.

    Figure 3.43.401-11
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3.43.401.8.2  (02-01-2009)
Key Elements of Form 6489

  1. Preparer Name

  2. Title

  3. Phone Number and Mail Stop

  4. Date—the date form was prepared

    • Revised General Information

    • Number

    • Organization

    • Function

    • Program

    • SSN

    • Last Name

    • Hours

    • Volume

    • Documents Reviewed

    • Errors

    • A/C PERS

    • M/C PERS

    • M/C TEPS

    • Grade

    • R/C PERS

    • Quarter Ending/Week Ending - The quarter ending date the work was reported on the Form 3081 or Form 3926 in YYYYMM format (e.g. 200303, 200306, 200309, 200312). Also the week ending date the work was reported on the Form 3081 or Form 3926 in MMDDYYYY format (e.g. 02082003, 04192003, 09062003, 11042003).

    • Step

    • Time Code

    • Class Code

3.43.401.8.3  (02-01-2009)
Instructions for Preparing Forms 6489

  1. Preparer Name—manager, TEPS Coordinator or QR person

  2. Preparer Title—position title of preparer

  3. Phone Number and Mail Stop

  4. Date—current date

    1. Revised General Information - Title only

    2. Number — Sequence Number, this field is used by Reports Unit or designated input area/person only

    3. Organization — the 5 digit unit organization code

    4. Function

    5. Program

    6. SSN

    7. Last Name

      Note:

      In the following items; h, i, j and k, a minus (-) above the last numerical digit indicates a decrease. The absence of a (-) indicates an increase.

    8. Hours and tenths, if applicable

    9. Volume, if applicable

    10. Documents Reviewed, if applicable

    11. Errors, if applicable

    12. A/C PERS (Adjustment Code) indicates quarter period:

      OFP Established   OFP Not Established
      4 Current Qtr 2
      D First Prior Qtr B

      Note:

      Second prior quarter adjustments are no longer done on PERS. See IRM 3.30.50, Work Planning and Control - Performance Evaluation Reporting System, for additional information.

      Note:

      TEPS adjustments can be done on the current quarter plus the four prior quarters.

    13. M/C PERS (Measured Code)

      1 = Program with hours and volume
      2 = Program with hours only

    14. M/C TEPS - 1 digit code that determines if an OFPG is measured or unmeasured:

      1 = Employee on a measured plan, has met the 63 day requirement, is not on a learning curve, and program has Numerical Performance Standards (NPS)
      2 = Program with hours and no volume (i.e., overhead hours)
      3 = Program has volume on Form 3081 but no NPS or the employee is on an unmeasured performance plan
      4 = Employee on measured performance plan for less than 63 days and not under a learning curve and program has NPS
      5 = Employee is on a measured performance plan, the program has NPS, and adjustments are needed to learning curve information

    15. Grade - The employee's grade level at the time the work was performed. Two digits must be entered.

    16. R/C PERS (Record Code):

      1 = current grade
      2 = prior grade, the grade of the employee at the time the work was performed

    17. Quarter Ending - The quarter ending date the work was reported on the Form 3081 or Form 3926 in YYYYMM format (e.g. 200103, 200106, 200109, 200112). PCA Adjustment input on the first week of a new quarter are processed after completion of the prior-quarter processing. Care should be taken to ensure that the proper quarter is adjusted.

    18. Step - Enter the employee's step at the time the work was performed.

    19. Time Code - The time code must match the time code originally reported on the employee's Form 3081.

    20. Class Code:

      1 = Permanent full time
      2 = Permanent part-time and/or seasonal
      3 = Career/Career-Conditional Intermittent
      5 = Term

  5. More than one adjustment (multiple OFP's and employees) may be entered on a Form 6489. See IRM 3.30.28 for additional information on IPR Adjustments on PERS.

  6. Corrections to previously submitted Form 6489 need to be identified as RESUBMIT.

  7. If the adjustment is being prepared to correct data entered on an incorrect OFP, all data items must be removed with a minus (-) as they appear on the IPR/IPSR and re-entered (added) on the Form 6489, as they should have been on the correct OFP.

  8. When Hours, Volume, Documents in Error, and Documents Reviewed has been reduced to zeros for any quarter, the entire record will be deleted.

3.43.401.8.4  (02-01-2009)
Weekly Data Not Posted to TEPS

  1. When PCA downloads to TEPS, records not posting to TEPS generate on the Weekly Data Not Posted to TEPS Report. The listing is forwarded to TEPS Coordinators, Managers or Quality Review Personnel for analyzing and determining if a Form 6489 is necessary.

  2. The Weekly Data Not Posted to TEPS Report ( See Figure 3.43.401-15. ) contains employee quality review records that did not find a matching cum volume/hours record in TEPS. TEPS Coordinators, managers and/or Quality Review Personnel should review Form 3081/3926 records to determine if a Form 6489 adjustment is necessary

  3. If it is determined that a TEPS adjustment is necessary, a Form 6489, Part 2 (TEPS Copy) is prepared and forwarded to the Reports Unit or designated input area/person. A copy of the Weekly Data Not Posted to TEPS Report must be attached to the Form 6489.

  4. If it is determined that a record on the Weekly Data Not Posted to TEPS Report is erroneous, a PCA adjustment is necessary. Prepare Parts 1 & 3 of the Form 6489 and forward to the Reports Unit or designated input area/person. A copy of the Weekly Data Not Posted to TEPS Report must be attached to the Form 6489.

    Note:

    This report is available on Control D to view and print, if need be, for anyone with access to the restricted TEPS files. It is recommended Control D be utilized in lieu of hard copies whenever possible.

    Figure 3.43.401-12
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3.43.401.8.5  (02-01-2009)
Quality Review Error Register Report, PCA 05–44

  1. The Quality Review Error Register Report generates weekly as a result of mismatching records from Forms 3081/3926 ( See Figure 3.43.401-16. ). This error register is available on Control D and is to be utilized by TEPS Coordinators, managers and/or Quality Review Personnel for resolution. Corrections are made on Form 6489 and forwarded to the Reports Unit or designated input area/person . The resolution of these error records is necessary to ensure the accuracy of the PERS and TEPS systems which includes individual TEPS reports, as well as PERS (PCA) records. Additional information regarding the PCA 05–44, Quality Review Error Register Report is available in IRM 3.30.50.

    Figure 3.43.401-13
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3.43.401.9  (02-01-2009)
Quality Review

  1. Two types of review are performed on work compiled in the TEPS system.

    1. OFP/Product Review will be performed on all High Quality Work (HQW).

    2. Individual Quality Review (IQR) will be performed for employees assigned to a measured performance plan on all work with Quality Numerical Performance Standards.

  2. The process of selecting a portion of completed work to be reviewed is called sampling. Random sampling is completed according to the guidelines in IRM 3.30.28, Individual Review. Random Sampling is the process of choosing a sample in such a way that all completed work has the same chance of being included in the sample. This includes work processed during overtime, comp time, and/or credit hours.

  3. Work is reviewed to provide data for evaluating employees.

    Note:

    Individual Review samples are to be pulled across the week, with the goal being four (4) samples per week on each employee. Product Review (HQW) samples are to be pulled each workday, with a minimum of 4 times per week.

3.43.401.9.1  (02-01-2009)
OFP Review

  1. High Quality Work (HQW) is any work which has a percent accuracy rate which meets or exceeds a selected percent accuracy rate. This selected rate is the High Quality Standard (HQS). At implementation, it was set at 97% in all centers. HQS can be changed subsequently, by local agreement, but can not be set higher than 97% ( See IRM 3.43.401.4.4. ).

  2. Any OFP determined to be HQW will receive OFP Review. The purpose is to review a small random sample of work to determine whether the percent accurate has fallen below the HQS. Review will be by OFP rather than OFPG.

    Note:

    If individual review is done on a HQW program in any one of the four quarters, then the Calculated Base Point/Numerical Performance Standards and Operation Base Points Report will not necessarily calculate as high quality work in subsequent quarters. Please review the High Quality Work Sampled Report (Weekly and Quality) and the Monthly Operation Performance Report for Quality (1, 2, and 3 Month) for OFPG's that are HQW to ensure review performed has not been posted to an individual's SSN.

  3. In order to ensure the integrity of HQW is maintained, a minimum of 230 documents is to be reviewed within the first 8 weeks of each quarter on each HQW program unless the eleventh error is identified prior to reviewing 230 documents.

    Note:

    If the first falls on a Monday, Tuesday, or Wednesday, that week will be counted as the first week of the eight (8) week counting period. If it falls on a Thursday or Friday, the following week will be the first week of the eight (8) week counting period.

  4. HQW review is to be pulled each day of the week, with the minimum being four times per week, for the first eight weeks of each quarter.

  5. To determine whether an OFP is at the HQS or greater, use the minimum sample size (230 documents) during the first 8 weeks of a quarter, with a minimum acceptance number (no more than 10 errors). See examples below;

    1. If a program is HQW and HQS is 97%, at the end of 8 weeks, 230 items have been reviewed and 5 errors have been identified. This program would remain in HQW the next quarter.

    2. Once 11 errors have been identified in an OFP, the OFP has failed the High Quality test, and sampling can be stopped even though the total sample size of 230 has not been reached. The OFP will be moved to the first QPC effective the next quarter.

    Note:

    The PCE 11-43, QA Operation Summary Report ( See Figure 3.43.401-17. ), can be used by management to monitor the amount of OFP review performed on each OFP. For more information on the PCE 11-43, reference IRM 3.30.28.

    Figure 3.43.401-14

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  6. If more than 230 were sampled in the first 8 weeks of the quarter, use the table below to determine the number of errors that can be accepted for a specified sample size.

    High Quality Standard (HQS) = 97%
    Sample Size Remain in HQW Reject to First QPC
    0 — 229 Remains in HQW, unless due to 3.43.401.8.1 (3) b (review of less than 230 documents for reasons other than failing the High Quality test, should only occur in rare instances.)  
    230 10 11
    231 — 280 10 11
    281 — 340 12 13
    341 — 400 14 15
    401 or more Remains in HQW  

  7. If more than the maximum number of items are reviewed for an OFP during the first 8 weeks of the quarter, the program will remain in HQW the next quarter.

    Example:

    If HQS is 97%, the HQW Acceptance Table indicates that if more than 400 items are reviewed, the OFP will remain in HQW for the next quarter.

  8. Each Center will establish procedures for randomly sampling HQW and documenting results - samples are to be pulled each workday of the week, but at a minimum of four (4) times per week.

  9. OFP Review data will not be identified by individual employee.

  10. OFP Review data will be reviewed by the local TEPS committee at the end of the eighth week of each quarter (reference National Agreement, Article 12, Section 23). If a determination is made to move an OFP out of HQW, see IRM 3.43.401.4.4 for base point procedures.

3.43.401.9.2  (02-01-2009)
Individual Quality Review (IQR)

  1. Any OFPG with a Quality Base Point not determined to be High Quality Work will be assigned to a QPC and reviewed using IQR.

  2. All QPC's have a Recommended Annual Sample (RAS) size of 260 documents.

  3. The goal of the sampling system is to achieve a confidence level of ninety (90) percent in an employee's overall effectiveness score.

  4. The employee's performance scores for Quality, stated as "percent accurate" , will be increased by using a calculation which adjusts the sample accuracy by adding the standard error of proportion (SEp of (+/-) 2%) at a 90% confidence level.

  5. The SEp can vary (plus or minus) based on changes to volume, documents reviewed, and accuracy rate for the QPC during the employee's annual rating period.

    Example:

    The employee works one OFPG in QPC 95-97. The employee produces exactly 9000 widgets during the annual rating period. The employee's accuracy rate for the QPC is 96 percent for the employee's annual rating period. The number of documents reviewed for the annual rating period is 251. The employee's Adjusted Percent Accurate will be 98% (96% plus SEp of 2).

  6. The RAS is the recommended number of reviews to be completed for each QPC the employee works during the employee's annual rating period. The recommended annual sample size for all QPC's is 260 documents.

  7. It is the manager's responsibility to establish weekly sample sizes, and to provide this information in advance to the Quality Review function. The Sampling Accomplishment/Request Report can be used for this purpose (reference 3.43.401.8.4).

  8. In order to estimate how many more weeks the employee is expected to work on programs covered by a given QPC, the manager should consider such things as length of season, Project Completion Dates (PCD's), projected receipts, possible details out of the unit, percent of time on collateral or project duties, vacation schedules, etc. This list is not all-inclusive. The purpose of these considerations is to ensure that the RAS can be achieved.

    Example 1 Employee's fixed annual rating period ends December 31. The manager wishes to calculate sample sizes for the quarter ending March 31. The employee is permanent, works one OFPG full-time, the OFPG is in QPC 95-97, the work lasts year-round, the entire unit will receive two weeks of training in January, and the employee will probably use two weeks of annual leave during the rating period.
      Annual Reviews for QPC 379
      Reviews Completed for rating period 0
      Reviews Remaining 379
      Weeks remaining in annual rating period 52
      Weeks employee not on production for this QPC 4
      Weeks Remaining 48
    Calculate: (3790)/(524) = 379/48 = 7.89 = 8
      Request 8 weekly reviews (sample size) on the Sampling Accomplishment/Request Report, in the Reviews Requested column.

    Example 2 Employee's fixed annual rating period ends June 30. The manager needs sample size for quarter ending June 30. The employee works two OFPGs in QPC 95–97: one will end on May 31 and the other on June 15. The Sampling Accomplishment/Request Report for March 15 shows the employee has had 210 reviews on QPC 95–97 work.
      Annual Reviews for QPC 258
      Reviews Completed for rating period –210
      Reviews Remaining 48
      Weeks remaining in annual rating period 13
      Weeks employee not on production for this QPC 2
      Weeks Remaining 11
    Calculate: (258210) / (132) = 48 / 11 = 4.36
      Request 5 weekly reviews (sample size) on the Sampling Accomplishment/Request Report, in the Reviews Requested column.

    Note:

    Round sample size to the next whole number.

  9. TEPS relies on random sampling. If work is not correctly sampled, the sample may not adequately represent an employee's actual performance. In an effort to achieve a truly random sample of all of the work processed by an employee each week, the goal is to pull four (4) sample pulls a week per employee. All work processed by each measured employee each week is to be made available for individual review. This includes work processed during overtime, comp time, and/or credit hours. There is no restriction on how many documents, cases, etc., has to be in a sample; it can be as low as one (1).

  10. The employee's manager is responsible for determining the employee's sample size for the quarter, using the Sampling Accomplishment/Request Report (SAR). Generally, this sample size will remain constant throughout the weeks of the quarter the QPC is expected to be worked. Two common situations should be handled as follows:

    1. When an employee has a low accuracy rate (i.e., much lower than the work group, or below "fully successful" ), the sample size must not be increased. The manager should consider other methods of review and/or training, (e.g., 100% review of the work not selected for IQR, OJT coaching, case flags, IDRS input review, etc.) to improve the employee's accuracy rate. Regardless of what additional method the manager utilizes to assist the employee's accuracy rate, the employee is not removed from individual review.

    2. Changes to sample sizes can be made during the quarter as necessary. For example, changes could be made for an entire workgroup if receipts were mis-forecast, or if training was extended. For an individual employee, unscheduled leave or a sudden OFP re-assignment might require sample size change.

      Note:

      These examples are not all-inclusive.

  11. The quality reviewer needs to contact the employee's manager for a QPC sample size on any employee's work for which a sample size has not been provided.

  12. For new employees, the employees' manager provides a list with corresponding SSN's to quality review to ensure compatibility between SSN's entered on Form(s) 3081 and Form(s) 3926.

3.43.401.9.3  (02-01-2009)
Review for Data Conversion/DIS

  1. Sampling for OFPGs in Data Conversion will follow the sampling guidelines in 3.43.401.

  2. For specific instructions related to processing Incentive Pay information for High Quality Work (HQW) programs in Data Conversion, please see IRM 3.30.165.

3.43.401.9.4  (02-01-2009)
Sampling Accomplishment/Request Report (SAR)

  1. The Sampling Accomplishment/Request Report (SAR) is generated on a weekly basis and is distributed to managers and quality reviewers. The SAR is used to determine whether the RAS for each employee is being met, and may be used to transmit sample sizes to the Quality Review function ( See Figure 3.43.401-18. ).

  2. The SAR is sorted in the following order:

    1. Assigned organization

    2. Employee status (Permanent, then all other)

    3. Alpha order

  3. The SAR will only contain data on employees who meet all of the following criteria:

    1. Assigned to a Measured Performance Plan

    2. In work status as of the period ending date of the report.

    3. Have met learning curve hours on any OFPGs that have Quality Base Points.

    4. Have reported volume.

  4. This report is available on Control D to view and print, if need be, for anyone with access to the TEPS restricted files.

    Note:

    The employee's manager, as well as the Quality Review manager, should monitor to ensure samples are pulled throughout the week on each employee, with the minimum number of sample pulls per week being four (4). HQW programs are to also be sampled across the week, with four (4) sample pulls per week being the minimum.

    Figure 3.43.401-15
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3.43.401.9.4.1  (02-01-2009)
Key Elements of the Sampling Accomplishment/Request Report (SAR)

  1. Title—Sampling Accomplishment /Request Report

  2. Run Date—The date the report was created in MM/DD/YYYY format

  3. FOR PERIOD ENDING—Week ending date of the report

  4. PAGE—Page number. The pages are numbered in sequential order and also in organization code order.

  5. ORG—5 digit unit organization code

  6. SSN

  7. NAME

  8. CLASS — Employee Class:

    • Permanent

    • Seasonal

    • C/CC Inter

    • Term

  9. Grade/Step

  10. QPC's—the QPC's for which the employee has reported hours during the rating period.

  11. VOLUME— number of documents reported on employees Form 3081.

  12. PERIOD—line titles:

    • Last week

    • This quarter

    • Rating period—employee's annual rating period

  13. RECOMMENDED;

    1. SAMPLE TO DATE—The Recommended Annual Sample to Date is based on a specific number of weeks for seasonal and perm employees. Each time a F 3081 is submitted, the system counts one (1) week, or seven (7) days, in work status. It is a guideline to be used by managers to ensure adequate amounts of review is being performed on each employee. The formula is as follows:

      Perms - IMF and BMF sites (perm counter = 46) (260 / perm counter) * weeks counter
      Seasonals - IMF sites (IMF seasonal counter = 20) (260 / seasonal counter) * weeks counter
      Seasonals - BMF sites (BMF seasonal counter = 28) (260 / seasonal counter) * weeks counter

    2. ANNUAL SAMPLE—The annual Sample is 260 documents on all QPC's

  14. TOTAL REV'D —Total Reviewed – total of all reviews done for this QPC for this employee, broken down by week, quarter, and rating period.

  15. REMAINING—RAS minus Total Reviewed in the rating period.

  16. REVIEWS REQUESTED—blank area for manager' use.

  17. ERRORS ASSIGNED—total errors assigned for the week, quarter, and annual rating period, rounded to one decimal place.

  18. PERCENT ACCURATE—Total reviewed minus total errors, divided by the total reviewed, multiplied by 100.

  19. REVIEWS THIS WEEK (FOR QUALITY REVIEWERS USE)—blanks that can be used by the manager or quality reviewer.

3.43.401.10  (02-01-2009)
Monthly Operation Performance Reports

  1. The Monthly Operation Performance Reports for Quality and Efficiency contain statistical information about the performance of all measured plan employees GS–08 and below for any OFPGs that have Numerical Performance Standards. The purpose of these reports is to provide employee performance information to management and NTEU on a regularly scheduled basis ( See Figure 3.43.4001-19. ). The Headquarters TEPS Analysts coordinates with the Systems Administrators regarding time frames for running these reports.

  2. The primary purpose of these reports is to provide employee performance information to management and NTEU on a regular scheduled basis. The two and three month reports are used to determine whether a raised or added new base point should be adjusted. The three month is also used to determine whether a base point should be deleted due to not meeting the Low Hour Restriction or the 6 or more employees.

  3. These reports are sorted by organization, function, program and grade for periods covering one, two, or three months.

    Note:

    Please review the one, two, and three month reports to ensure all data is valid and indicative of actual performance. For example, if you have fifteen employees listed for a program and some have extremely high rates or low rates due to having very low hours (i.e., 0.2 hours and a rate of 385.6 and the next highest rate is 235.0 and the employee has 65.0 hours) the median indicated may not truly reflect actual performance of the employees.

  4. These reports are generated at the end of the month according to the following schedule:

    • Monthly—January, April, July, October

    • 2-Month—February, May, August, November

    • 3-Month—March, June, September, December

  5. The cutoff for the one-month should be the Saturday date of the last full week of the first month.

  6. The cutoff for the two-month report will be the last full week of the second month.

  7. The three-month report cutoff will always be the last day of the quarter. It will include data for the entire quarter.

    Note:

    An exception to this will be the March quarter. If the 31st falls on a Sunday, Monday, or Tuesday, the previous Saturday will be cutoff for the quarter ending. If the 31st falls on a Wednesday, Thursday, or Friday, the upcoming Saturday of that week will be used as the quarter end for the 3 month report.

  8. The run dates for these reports will be as follows:

    Report Type 1 Month Report 2 Month Report 3 Month Report
    Calendar Year 2009 2010 2009 2010 2009 2010
    Run Dates 2/4/2009 2/3/2010 3/4/2009 3/3/2010 4/1/2009 4/7/2010
    5/6/2009 5/5/2010 5/28/2009 6/3/2010 7/6/2009 7/6/2010
    8/5/2009 8/4/2010 8/26/2009 9/1/2010 10/5/2009 10/5/2010
    11/4/2009 11/3/2010 12/2/2009 12/1/2010 1/5/2010 1/5/2011

    Figure 3.43.401-16
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3.43.401.10.1  (02-01-2009)
Key Elements of the Monthly Operation Performance Report—Quality

  1. The Monthly Operation Performance Report for Quality contains the following:NOTE: The following Key Elements apply to the 1–MONTH, 2–MONTH, AND 3–MONTH OPERATION PERFORMANCE REPORTS FOR QUALlTY

    • RUN DATE—The date the report was created in MM/DD/YYYY format.

    • PAGE—Page number. The pages are numbered in sequential order and also organization code order.

    • Title—MONTHLY OPERATION PERFORMANCE REPORT FOR QUALITY.

    • PERIOD COVERED—One month, two months or three months.

    • EMP #—Employee Number—Employees are listed sequentially by OFP/grade from highest to lowest accuracy rate for quality.

    • OPERATION

    • FUNCTION

    • PROGRAM

    • GRADE

    • DOCS REVD — Documents Reviewed

    • ERRS—Errors

    • % ACCUR—Percent Accurate

    • TOTAL—Total Documents Reviewed

    • TOTAL—Total Errors

3.43.401.10.2  (02-01-2009)
Key Elements of the Monthly Operation Performance Report–Efficiency

  1. The Monthly Operation Performance Report for Efficiency contains the following:NOTE: The following Key Elements apply to the 1–MONTH, 2–MONTH, AND 3–MONTH OPERATION PERFORMANCE REPORTS FOR EFFICIENCY

    • RUN DATE— the date the report was created in MM/DD/YYYY format

    • PAGE—page number. Each page is numbered in sequential order and also organization code order.

    • Title — 1, 2, or 3 Month Operation Performance Report for Efficiency

    • PERIOD COVERED—One month, two months or three months.

    • OFPG—includes first two digits of the organization; function; program and grade.

    • PROGRAM TITLE—title of the measured program

    • CALCULATED BASE POINT

    • BASE POINT

    • EMP #—Employees are listed sequentially by OFP/grade from highest to lowest in efficiency

    • VOLUME

    • HOURS

    • WEEKS WORKED

    • DOCS/HOUR—Documents per hour

    • MEDIAN DOCS/HOURS—Median documents per hours

    • TOTAL—Total volume of documents worked

    • TOTAL—Total hours worked

    • Literal "R" —prints to the right of the "Base Point" (Key Element 9) if the standard has been raised.

    • Asterisk (*) identifies median Doc/Hour rate

    • Literal "A" —prints to the right of the "Base Point" (Key Element 9) if the standard has been added.

    Note:

    When reviewing the 2 and 3 Month Reports, please reference 3.43.401.4.3.2.

    Figure 3.43.401-17
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3.43.401.11  (02-01-2009)
Measured Performance Plan Statistics Reports

  1. The Measured Performance Plan Statistics Report by Operation, Service Center and National, provides a count for the number of employee's receiving a specific rating for the period covered.

3.43.401.11.1  (02-01-2009)
Measured Performance Plan Statistics Report by Operation

  1. The Measured Performance Plan Statistics Report by Operation provides a summary of all the employees' measured ratings 1–5 ( See Figure 3.43.401-21. ). These ratings are captured from the Individual Performance Summary Reports for Quality and Efficiency.

  2. This report is produced on a quarterly basis using information from the four prior quarters. Each report provides a count for the number of employees' receiving a Quality and Efficiency rating for the period covered.

  3. Quarterly, each unit is required to post a copy of the Measured Performance Plan Statistics by Operation Report in their work area. This report must remain posted during the quarter until the next report is generated.

    Note:

    If a Submission Processing Center has not reached a level where at least 66% of its measurable employees have received a measured annual evaluation at the end of each year, the Union will be free to open negotiations at the center to make changes that will increase the number of people to 66% (reference National Agreement, Article 14).

    Note:

    This report is available on Control D to view and print, if need be, for anyone with Control D access. It is recommended that Control D be utilized in lieu of hard copies whenever possible.

    Figure 3.43.401-18

    This image is too large to be displayed in the current screen. Please click the link to view the image.

3.43.401.11.1.1  (02-01-2009)
Key Elements of the Measured Performance Plan Statistics Report by Operation

  1. RUN DATE - The date the report was created in MM/DD/YYYY format

  2. PAGE – Page Number. The pages are numbered in sequential order and in organization code order.

  3. Title – MEASURED PERFORMANCE PLAN STATISTICS BY OPERATION

  4. PERIOD COVERED—the beginning and ending dates of the four full prior quarters.

  5. OPERATION – 5 digit numerical operation organization code

  6. QUALITY – Title identifying the Quality side of the report

  7. EFFICIENCY – Title identifying the Efficiency side of the report

  8. UNIT – 5 digit numerical unit organization code within an operation

  9. NUMERICAL QUALITY RATING (1) – identifies the number of employees receiving a (1) Quality rating

  10. NUMERICAL QUALITY RATING (2) – identifies the number of employees receiving a (2) Quality rating

  11. NUMERICAL QUALITY RATING (3) – identifies the number of employees receiving a (3) Quality rating

  12. NUMERICAL QUALITY RATING (4) – identifies the number of employees receiving a (4) Quality rating

  13. NUMERICAL QUALITY RATING (5) – identifies the number of employees receiving a (5) Quality rating

  14. TOTAL RECV'D RATING – total number of employees within each unit receiving a Quality rating

  15. TOTAL ON PLAN – total number of employees on a measured performance plan in each unit within the operation organization

  16. PERCENT RECV'D RATING – percent of employees receiving a measured rating for quality

  17. NUMBER UNDER 63-DAYS – number of employees on a measured performance plan for less than 63 days

  18. PERCENT UNDER 63-DAYS - percentage of employees on a measured performance plan for less than 63 days

  19. NUMERICAL EFFICIENCY RATING (1) – identifies the number of employees receiving a (1) Efficiency rating

  20. NUMERICAL EFFICIENCY RATING (2) – identifies the number of employees receiving a (2) Efficiency rating

  21. NUMERICAL EFFICIENCY RATING (3) – identifies the number of employees receiving a (3) Efficiency rating

  22. NUMERICAL EFFICIENCY RATING (4) – identifies the number of employees receiving a (4) Efficiency rating

  23. NUMERICAL EFFICIENCY RATING (5) – identifies the number of employees receiving a (5) Efficiency rating

  24. TOTAL REC'D RATING – total number of employees within each unit receiving a Efficiency rating

  25. TOTAL ON PLAN – total number of employees on a measured performance plan in each unit within the operation organization

  26. PERCENT RECV'D RATING – percent of employees receiving a measured rating for Efficiency

  27. NUMBER UNDER 63-DAYS – number of employees on a measured performance plan for less than 63 days

  28. PERCENT UNDER 63-DAYS – percentage of employees on a Measured Performance Plan for less than 63-days

3.43.401.11.2  (02-01-2009)
Measured Performance Plan Statistics Report by Service Center

  1. The Measured Performance Plan Statistics Report by Service Center provides a summary of Submission Processing employees' with measured ratings 1–5 ( See Figure 3.43.401-22. ). These ratings are captured from the Individual Performance Summary Reports for Quality and Efficiency.

  2. This report is produced on a quarterly basis using information from the four full prior quarters. Each report provides a count for the number of Submission Processing employees' receiving a TEPS Quality and Efficiency rating for the period covered.

  3. This report is provided to the campus TEPS Coordinator and to NTEU in a mutually agreed upon format.

    Figure 3.43.401-19

    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Note:

    This report is available on Control D to view and print, if need be, for anyone with Control D access. It is recommended Control D be utilized in lieu of hard copies whenever possible.

3.43.401.11.2.1  (02-01-2009)
Key Elements of the Measured Performance Plan Statistics Report by Service Center

  1. RUN DATE – the date the report was created in MM/DD/YYYY format

  2. PAGE – page number. The pages are numbered in sequential order by center

  3. Title –MEASURED PERFORMANCE PLAN STATISTICS BY SERVICE CENTER

  4. PERIOD COVERED – the beginning and ending dates of the four full prior quarters.

  5. SERVICE CENTER – abbreviated title of the center

  6. QUALITY – title identifying the Quality side of the report

  7. EFFICIENCY – title identifying the Efficiency side of the report

  8. OPERATION – 5 digit numerical operation organization code

  9. NUMERICAL QUALITY RATING (1) – identifies the number of employees receiving a (1) Quality rating

  10. NUMERICAL QUALITY RATING (2) – identifies the number of employees receiving a (2) Quality rating

  11. NUMERICAL QUALITY RATING (3) – identifies the number of employees receiving a (3) Quality rating

  12. NUMERICAL QUALITY RATING (4) – identifies the number of employees receiving a (4) Quality rating

  13. NUMERICAL QUALITY RATING (5) – identifies the number of employees receiving a (5) Quality rating

  14. TOTAL REC'D RATING – total number of employees within each unit receiving a Quality rating

  15. TOTAL ON PLAN – total number of employees on a measured performance plan in each unit within the operation

  16. PERCENT RECV'D RATING – percent of employees receiving a measured rating for Quality

  17. NUMBER UNDER 63-DAYS – number of employees on a measured performance plan for less that 63 days

  18. PERCENT UNDER 63-DAYS – percentage of employees on a Measured Performance Plan for less that 63 days

  19. NUMERICAL EFFICIENCY RATING (1) – identifies the number of employees receiving a (1) Efficiency rating

  20. NUMERICAL EFFICIENCY RATING (2) – identifies the number of employees receiving a (2) Efficiency rating

  21. NUMERICAL EFFICIENCY RATING (3) – identifies the number of employees receiving a (3) Efficiency rating

  22. NUMERICAL EFFICIENCY RATING (4) – identifies the number of employees receiving a (4) Efficiency rating

  23. NUMERICAL EFFICIENCY RATING (5) – identifies the number of employees receiving a (5) Efficiency rating

  24. TOTAL RECV'D RATING – total number of employees within each unit receiving an efficiency rating

  25. TOTAL ON PLAN – total number of employees on a measured performance plan

  26. PERCENT RECV'D RATING – percent of employees receiving a measured rating for Efficiency

  27. NUMBER UNDER 63-DAYS – number of employees on a measured performance plan for less than 63 days

  28. PERCENT UNDER 63-DAYS – percentage of employees on a Measured Performance Plan for less that 63-days

3.43.401.11.3  (02-01-2009)
National Measured Performance Plan Statistics Report

  1. The National Measured Performance Plan Statistics Report provides a summary of Measured Ratings 1–5 for all measured employees at each Submission Processing Center ( See Figure 3.43.401-23. ). The report is produced quarterly by the National TEPS Program Analyst, POD Cincinnati, Ohio, using Quality and Efficiency information of Measured areas within Submission Processing from the four full prior quarters. It is distributed, via email, to Submission Processing Field Directors and National NTEU by the National TEPS Program Analyst, POD Cincinnati, Ohio; it is also posted to the TEPS website, http://issspwt.web.irs.gov/Teps/teps.htm .

    Figure 3.43.401-20
    This image is too large to be displayed in the current screen. Please click the link to view the image.

3.43.401.11.3.1  (02-01-2009)
Key Elements of the National Measured Performance Plan Statistics Report

  1. Title - SUBMISSION PROCESSING

  2. Title—NATIONAL MEASURED PERFORMANCE PLAN STATISTICS

  3. PERIOD COVERED—the beginning and ending dates of the prior four full quarters.

  4. Title—QUALITY- which identifies the Quality side of the report

  5. Title—EFFICIENCY-which identifies the Efficiency side of the report

  6. Title—SERVICE CENTER

  7. (1)—The number of employees with a (1) Quality rating by center

  8. (2)—The number of employees with a (2) Quality rating by center

  9. (3)—The number of employees with a (3) Quality rating by center

  10. (4)—The number of employees with a (4) Quality rating by center

  11. (5)—The number of employees with a (5) Quality rating by center

  12. Title—TOTAL RECV'D RATING-number of employees receiving a TEPS generated rating (1–5) for Quality

  13. Title—TOTAL ON PLAN–number of employees on a measured performance plan for Quality

  14. Title—PERCENT RECV'D RATING–percent of employees receiving a measured rating for Quality

  15. Title—NUMBER UNDER 63–DAYS–number of employees on a Measured Performance Plan for less than 63 days

  16. Title—PERCENT UNDER 63–DAYS–percent of employees on a Measured Performance Plan less than 63 days

  17. (1)—The number of employees with a (1) Efficiency rating by center

  18. (2)—The number of employees with a (2) Efficiency rating by center

  19. (3)—The number of employees with a (3) Efficiency rating by center

  20. (4)—The number of employees with a (4) Efficiency rating by center

  21. (5)—The number of employees with a (5) Efficiency rating by center

  22. Title—TOTAL RECV'D RATING–number of employees who received a TEPS generated rating (1–5) for Efficiency

  23. Title—TOTAL ON PLAN–number of employees on a Measured Performance Plan for Efficiency

  24. Title—PERCENT RECV'D RATING–percent of employees on a Measured Performance Plan for Efficiency

  25. Title—NUMBER UNDER 63–DAYS–number of employees on a Measured Performance Plan for less than 63 days

  26. Title—PERCENT UNDER 63–DAYS–percentage of employees on a Measured Performance Plan for less than 63 days

3.43.401.12  (02-01-2009)
Release/Recall System

  1. The current Release/Recall (R/R) Agreement began January 1, 1997. The employee records and input screens used to Release and Recall Seasonal, Career/Career-Conditional Intermittent, and Term employees reside on the TEPS System.

  2. The Release/Recall reports identify employees who are subject to release and recall when workload fluctuations require significant changes in the staffing needs of the organization. Management determines when a release or recall of employees is necessary. Reports are requested on a Form 9196 and forwarded to the Reports Unit or designated input area/person.

  3. Refer to the procedures in the National Agreement, Article 14 for guidance when Releasing and Recalling employees.

    Note:

    Contact your centers TEPS Coordinator regarding Release/Recall for seasonal employees grade GS-09 and above.

3.43.401.12.1  (02-01-2009)
Requesting a Release/Recall Listing

  1. When management determines a release recall listing is needed, they notify their operation or site TEPS Coordinator. Separate listings are required for Seasonal, Intermittent, and Term employees. The operation or site TEPS coordinator will input the request into the TEPS system and submit the Get-It Ticket to have the request run.

  2. All employees of the Internal Revenue Service subject to periodic release and recall are downloaded into the TEPS System (reference National Agreement, Article 14, Section 1).

  3. Unless the local parties agree otherwise, the basis for release/recall at Center Campuses, will be by Department in the Accounts Management and by Operation in Submission Processing and Compliance Services.

3.43.401.12.2  (02-01-2009)
Release/Recall Preliminary Listing for Seasonal, Career/Career-Conditional Intermittent and Term Employees

  1. The Release/Recall Preliminary Listings (see Figures 3.43.401-25 and 26) are used as a worksheet to add, update or delete information on the Release/Recall (R/R) Employee Table. The R/R Employee Table is a holding file for the employee records on TEPS. The listings are sorted by the assigned organization code, then, alphabetically by last name, first name and middle initial.

  2. The Preliminary Listing must be requested for the current process week ending (WE) date. This will be the last completed week ending date.

    Note:

    Employees not currently assigned to the requested organization code may appear on the Preliminary list if they were assigned to the requested organization code when the last R/R final was run.

  3. Terminated employees will not appear on the R/R Preliminary Listing.

    Note:

    If terminated, deceased, or employees who have resigned are listed, and you have researched to ensure the proper paperwork has been done, work with your Reports Unit Staff to resolve.

  4. Employees detailed to areas other than their home assigned organization should be on both release/recalls. For example, an employee from Receipt & Control Operation is detailed to Examination; that employee should be listed on both release/recalls, on Receipt & Control's as a detail out (work status code = "O" ) and on Exam's release/recall as a detail in (work status code = "I " ).

  5. After coding is completed, the manager forwards the R/R Preliminary Listing through the Operation TEPS Coordinator for review. The listing is then forwarded to the designated input area/person.

    Note:

    All input to the Preliminary is done using Release/Recall Preliminary accessed from the Release/Recall Selection Menu.

  6. If the input person identifies discrepancies or fields that cannot be input on the screen, coordination must be made to resolve the issue. If the input person is not able to resolve the issue by phone or in person, the original R/R Preliminary Listing may be returned to the originator for immediate corrective action.

    Figure 3.43.401-21
    This image is too large to be displayed in the current screen. Please click the link to view the image.

3.43.401.12.2.1  (02-01-2009)
Key Elements of the Release/Recall Preliminary Listing for Seasonal and TERM Employees

  1. RUN DATE – The date the report was created in MM/DD/YYYY format

  2. PAGE – Page number. Each page is numbered in sequential order and also in organization code order

  3. Title – RELEASE/RECALL PRELIMINARY LISTING

  4. REQ ORG - Requesting Organization - The operation organization code (e.g., 42000) or the department organization code (e.g., 42300) making the Release/Recall request.

  5. WEEK ENDING DATE—The week ending date for which the Release/Recall Preliminary Listing was requested (MM/DD/YYYY).

  6. CLASS - Class code of the employee (Seasonal or Term)

  7. UNIT – Employee's 5 digit unit organization code

  8. NAME – Employee's last name, first and middle initial

  9. SSN

  10. GR - Employee's grade.

  11. WORK CODE (WC) - Work status code - the employee's current Release/Recall status. Valid codes generated for the Preliminary Listing are:

    1. W - The employee is in work status.

    2. R - The employee is currently released.

    3. O - The employee is detailed out.

    4. I - The employee is detailed in.

  12. IRS ENTER ON DUTY DATE (EOD) - the date which the employee entered on duty at the IRS as modified to include any prior IRS service (reference National Agreement, Article 1, Section 3 B). The IRS EOD is downloaded from TIMIS or updated by the designated area.

  13. SERVICE COMPUTATION DATE (SCD) - official beginning date of Federal Service. The SCD is downloaded from TIMIS or updated by the designated area.

  14. SKILL CODES - skill codes may be added or deleted up to a maximum of 15 skill codes per employee. Skill codes are established at Operation level in each center and may be different from Operation to Operation. To remove all skill codes draw a line through all the codes.

    Caution:

    If skill codes field is blank, see the National Agreement, for contractual requirements (reference Article 14, Section 2,D,1). If an employee is held accountable under a particular skill code, that employee will be assigned that skill code. (reference National Agreement, Article 12, Section 21, B).

    Note:

    An employee does not have to be fully successful in order to receive a skill code. The National Agreement is very clear on when an employee gets a skill code - the employee must have successfully completed training (and to determine this, tests would have to be given to determine if an employee passed or failed training) and/or learning curve.

  15. RATING - Valid entries are: "A" for annual rating, "H" for adhoc rating, and "S" for Test/OPM score. If "A" or "H" are input, entry in the "Critical Elements fields" are required. (reference National Agreement, Article 14, Section 2, A). If a "S" is input, a Test/OPM score is required.

  16. CRITICAL ELEMENTS (1) (2) (3) (4) (5) - there may be a maximum of five critical job element ratings. The number of critical job element ratings is the same as the number of critical job elements on the employee's performance plan. The critical job element ratings are input by the designated management official.

    Note:

    There is not a specific order CJE's should be input, Since one CJE does not hold any more weight than another, there is not a specific order in which they have to be input; they are all weighted the same. They should be input in the same order as listed on the Annual Rating or Form 6850. The system will accept zeros or blanks, along with digits 1 through 5 for a critical element entry, to coincide with what appears for the CJE on the evaluation.

  17. TEST SCORE IND - Test Score Indicator; if a "S" was input in the Rating field, this field is required:

    1. For newly hired employees who do not have performance appraisals as of the date the preliminary is edited, but have a training test score, the prefix "T" for test score is edited (e.g., T096.25).

    2. For newly hired employees who do not have performance appraisals or a training test score as of the date the preliminary is edited, the prefix "O" for OPM Certificate is edited, (e.g., O096.50). OPM Certificate Scores may be obtained from your servicing Personnel Office.

      Note:

      For employees who do not have a performance appraisal, training test score, or OPM Certificate Score (e.g., reinstated employees), enter an "S" in the Rating field, Critical Element fields will be zeros, Test Score Indicator will be blank, and Ranking Score will be blank. By coding the employee in this manner, they will fall out on the bottom of the listing until which time they qualify for a release/recall ad hoc evaluation or they are given an annual appraisal.

      Note:

      A newly hired employee qualifies to receive an ad-hoc evaluation after they have been on their CJE's 60 days and on a measured performance plan 63 days. An updated ad hoc should be prepared each time a new preliminary release recall is run to incorporate all of the employee's performance since reporting to duty, up until the annual evaluation is given. The beginning date on the ad-hoc evaluation would be the date the employee reported, and the ending date would be the week ending date of the preliminary release recall. Once an employee has received an annual appraisal, those ratings will be used on all release recalls until a new annual appraisal is given. If the employee is on an unmeasured performance plan, they only have to be on their CJE's 60 days.

  18. RANKING SCORE:

    1. For employees with an annual appraisal (or ad hoc, if applicable, see Article 14, Section 2, A, 6), the ranking score will be calculated by adding the values for each numerical rating C(1) - C(5) and dividing the total by the number of numerical ratings C(1) - C(5). Then add any points based on the employee's IRS EOD.

    2. For newly hired employees who do not have performance appraisals, the rank score will be the employee's training test score.

    3. For newly hired employees who do no have performance appraisals, or a training test score, the rank score will be the employee's OPM Certificate score.

    Note:

    This is a system generated field if an "A" or "H" was input in the rating field. Only input in this field if an " S" was input in the rating field.

3.43.401.12.2.2  (02-01-2009)
Key Elements of the Release/Recall Preliminary Listing for Career/Career-Conditional Intermittent and TEMP Employees

  1. The preliminary listing for intermittent and TEMP employees is similar to that of seasonal/term employees ( See Figure 3.43.401-26. .

    Figure 3.43.401-22

    This image is too large to be displayed in the current screen. Please click the link to view the image.

  2. RUN DATE – The date the report was created in MM/DD/YYYY format

  3. PAGE – Page number. Each page is numbered in sequential order.

  4. Title – RELEASE/RECALL PRELIMINARY LISTING

  5. REQ ORG – Requesting Organization

  6. WEEK ENDING DATE – Current week end processing date

  7. CLASS – Intermittent

  8. UNIT – 5 digit unit organization code

  9. NAME – Employee's last name, first and middle initial

  10. SSN

  11. GR – Grade

  12. WORK CODE – Work status code - the employee's current Release/Recall status. Valid generated codes are:

    1. W - The employee is in work status.

    2. R - The employee is currently released.

    3. O - The employee is detailed out.

    4. I - The employee is detailed in.

  13. IRS ENTER ON DUTY DATE – the date which the employee entered on duty at the IRS as modified to include any prior IRS service. The IRS EOD is downloaded from TIMIS or updated by the designated area.

  14. SERVICE COMPUTATION DATE – official beginning date of Federal Service. The SCD is downloaded from TIMIS or updated by a personnel action.

3.43.401.12.2.3  (02-01-2009)
Editing the Release/Recall Preliminary Listing for Seasonal, Career/Career-Conditional Intermittent, TEMP, and TERM Employees

  1. All fields may be edited. However, the following fields can not be blank and must be corrected by submitting the proper paperwork to the designated area to correct the Employee Master File. See IRM 3.30.50, Work Planning and Control - Performance Evaluation Reporting System.

    • Employee name

    • SSN

    • Assigned Unit

    • Grade

    • Work code - the employee's current Release/Recall status. Valid codes generated for the Preliminary Listing are:

      If Work Code is this ... Employee is ....
      W in work status.
      R currently released.
      O detailed out.
      I detailed in.

  2. The following fields may be edited through TEPS and do not affect the EMF.

    1. IRS Enter on Duty (EOD) - the date which the employee entered on duty at the IRS as modified to include any prior IRS service (reference National Agreement, Article 1, Section 3 B). The IRS EOD is downloaded from TIMIS or updated by the designated area.

    2. Service Computation Date (SCD) - official beginning date of Federal Service. The SCD is downloaded from TIMIS or updated by personnel action.

    3. Skills - skill codes may be added or deleted up to a maximum of 15 skill codes per employee. Skill codes are established at Operation level in each center and may be different from Operation to Operation. To remove all skill codes draw a line through all the codes.

      Caution:

      If skill codes field is blank, see National Agreement, for contractual requirements (reference Article 14, Section 2,D,1). If an employee is held accountable under a particular skill code, the employee will be assigned that skill code. (reference National Agreement, Article 12, Section 21,B).

      Note:

      Preliminary Release/Recall listings for Intermittent and TEMP employees are not edited beyond this point.

    4. RATING - Valid entries are: "A" for annual rating, "H" for adhoc rating, and "S" for Test/OPM score. If "A" or "H" are input, entry in the "Critical Elements fields" are required. (reference National Agreement, Article 14, Section 1, A,). If a "S" is input a Test/OPM score is required.

      Note:

      Annual Rating Indicator does not apply to Intermittent or TEMP employees

      Note:

      For employees who do not have a performance appraisal, training test score, or OPM Certificate Score (e.g., reinstated employees), enter an "S" in the Rating field, Critical Element fields will be zeros, Test Score Indicator will be blank, and Ranking Score will be blank. By coding the employee in this manner, they will fall out on the bottom of the listing until which time they qualify for a release/recall ad hoc evaluation (after they have been on their CJE's 60 days and on a measured performance plan 63 days. An updated ad hoc should be prepared each time a new preliminary release recall is run to incorporate all of the employee's performance since reporting, up until the annual evaluation is given. Once an employee has received an annual appraisal, those ratings will be used on all release recalls until a new annual appraisal is given. If the employee is on an unmeasured performance plan, they only have to be on their CJE's 60 days if they signed for their performance plan at the same time as they signed for their CJE's.) or they are given an annual appraisal.

    5. Critical Elements (1) (2) (3) (4) & (5) - there may be a maximum of five critical job element ratings. The number of critical job element ratings is the same as the number of critical job elements on the employee's annual appraisal (or ad hoc). There is not a specific order CJE's should be edited, since one does not hold any more weight than another; they are all weighted the same. They should be edited in the same order as listed on the annual appraisal (or ad hoc). The critical job element ratings are input by the designated management official.

      Note:

      Critical Elements do not apply to Intermittent or TEMP employees

    6. Test Score Indicator--For newly hired employees who do not have performance appraisals as of the date the preliminary is edited, but have a training test score, the prefix "T" for test score is edited (e.g., T096.25). For newly hired employees who do not have performance appraisals or a training test score as of the date the preliminary is edited, the prefix "O" for OPM Certificate is edited, (e.g., O096.50). OPM Certificate Scores may be obtained from Personnel.

      Note:

      Test Score Indicator does not apply to Intermittent or TEMP employees

    7. Ranking Score--For employees with an annual appraisal (or ad hoc), the ranking score will be calculated by adding the values for each numerical rating C(1), C(2), C(3), C(4), or C(5) and dividing the total by the number of numerical ratings C(1), C(2), C(3), C(4), or C(5). Then add any points based on the employee's IRS EOD - the system will calculate the ranking score on employees with an annual appraisal or ad hoc evaluation. For newly hired employees who do not have performance appraisals, the rank score will be the employee's training test score. For newly hired employees who do not have performance appraisals, or a training test score, the rank score will be the employee's OPM Certificate score. (This is a 7 position field, XXXXX.XX)

      Note:

      Ranking Score does not apply to Intermittent or TEMP employees

      Note:

      The system calculates the Ranking Score on employees with ratings in their CJE's; input in this field will only be required if the Training Test Score or OPM Certificate Score is needed in lieu of CJE ratings.

3.43.401.12.3  (02-01-2009)
Release/Recall Final Listing for Seasonal, Career/Career-Conditional Intermittent, TEMP, and TERM Employees

  1. The Release/Recall Final Listing reflects the same information that is coded on the Release/Recall Preliminary Listing (see Figure 3.43.401-27, Figure 3.43.401–28).

  2. Ranking Criteria for Seasonal and Term employees is as follows in descending order:

    1. Fully successful or above ratings

    2. Highest Performance Rating Score with seniority points

    3. Minimally Successful rating in descending IRS EOD order

    4. Unacceptable rating in descending IRS EOD order.

      Note:

      All ties are broken first by IRS EOD, second by Service Computation Date (SCD), and third by comparing the last four digits of the tied employee's social security numbers. In odd numbered years, employees with the lowest number will be placed first on the release/recall list. The opposite will hold true in even numbered years.

      Note:

      Refer to National Agreement, Article 14, Section 2, A.

  3. Ranking Criteria for Career/Career Conditional Intermittent employees is as follows:

    1. IRS EOD in descending order

    2. Ties will be broken by the employee's SCD.

    Note:

    Refer to National Agreement, Article 14, Section 4, B for ranking criteria

  4. Newly hired employees without an annual rating will be listed below those with an annual rating by training test score.

    Note:

    Ties will be broken by IRS EOD, then SCD.

  5. Employees who do not have a performance appraisal or a training test score, will be ranked by their OPM certificate score listed after those employees with training test scores. Ties will be broken by IRS EOD then SCD.

  6. Employees who do not have a performance appraisal rating, a training test score, or an OPM certificate score (e.g., reinstated employees), will be listed last by IRS EOD. All ties will be broken by SCD.

  7. Rank number is assigned in sequential order based on ranking criteria.

    Note:

    If ties exist after tie breaker criteria has been applied, all tied employees receive the same number. The program then skips the appropriate number(s).

  8. If an employee who should appear on the Release/Recall Final Listing fails to appear, the Final will need to be edited to add the employee and the Release/Recall Final rerun.

  9. The rank number assigned is used to determine the order in which employees are released and recalled to work.

    Figure 3.43.401-23
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 3.43.401-24
    This image is too large to be displayed in the current screen. Please click the link to view the image.

3.43.401.12.3.1  (02-01-2009)
Key Elements of Final Listing for Seasonal, Career/Career-Conditional Intermittent, TEMP, and TERM Employees

  1. RUN DATE – The date the report was created in MM/DD/YYYY format

    Note:

    See Figures 3.43.401–27 and 28

  2. PAGE – Page number. Each page is numbered in sequential order and also in organization code order

  3. Title – RELEASE/RECALL FINAL LISTING

  4. REQ ORG – Requesting Organization - the Operation/Department organization code (e.g., 42000, C0000) or the Department (Submission Processing) organization code (e.g., 42300) making the Release Recall request.

  5. WEEK ENDING DATE - week ending date for which the Release/Recall was requested.

  6. CLASS - class code of the employee (Seasonal, Intermittent or Term).

  7. RANK - the rank position assigned to an employee.

  8. NAME – employees last name, first and middle initial

  9. SSN

  10. ORG – employee's 5 digit unit organization code

  11. GRADE

  12. WORK CODE (WC) - Work status code - the employee's current Release/Recall status. Valid codes generated for the Final Listing are:

    1. W - The employee is in work status.

    2. R - The employee is currently released.

    3. O - The employee is detailed out.

    4. I - The employee is detailed in.

  13. IRS ENTER ON DUTY (EOD) - the date which the employee entered on duty at the IRS as modified to include any prior IRS service. The IRS EOD is downloaded from TIMIS or updated by the designated area.

  14. SERVICE COMPUTATION DATE (SCD) - official beginning date of Federal Service. The SCD is downloaded from TIMIS or updated by the designated area.

  15. SKILL CODES - skill codes may be added or deleted; each employee can have up to a maximum of 15 skill codes. Skill codes are established at Operation level in each center and may be different from Operation to Operation. To remove all skill codes draw a line through all the codes.

    Caution:

    If skill codes field is blank, see the National Agreement for contractual requirements (Article 14, Section 2, D). If an employee is held accountable under a particular skill code, that employee will be assigned that skill code. (Article 12, Section 21, B).

  16. RATING - Valid entries are: "A" for annual rating, "H" for adhoc rating, and "S" for Test/OPM score. If "A" or "H" are input, entry in the "Critical Elements fields" are required. (reference National Agreement, Article 14, Section 2, A, #5 and 6). If a "S" is input, a Test/OPM score is required.

    Note:

    ANN RATE – does not apply to Intermittent or TEMP employees

  17. CRITICAL ELEMENTS – (1) (2) (3) (4) & (5) - there may be a maximum of five critical element ratings. The number of critical element ratings is the same as the number of critical elements on the employee's annual appraisal (or ad hoc). The critical element ratings are edited by the designated management official.

    Note:

    CRITICAL ELEMENTS – does not apply to Intermittent or TEMP employees

  18. PERF SENIOR POINTS - Performance Seniority Points based on calendar years of service from the employee's IRS EOD. For assignment priority, reference National Agreement, Article 14, Section 3, B.

    Note:

    PERF SENIOR POINTS – do not apply to Intermittent or TEMP employees

  19. TEST SCORE INDICATOR - If a "S" was input in the "Rating" filed, this field is required. For newly hired employees who do not have performance appraisals as of the date the preliminary is edited, but have a training test score, the prefix "T" for test score is edited (e.g., T096.25). For newly hired employees who do not have performance appraisals or a training test score as of the date the preliminary is edited, the prefix "O" for OPM Certificate is edited, (e.g., O096.50). OPM Certificate Scores may be obtained from the servicing Personnel Office.

    Note:

    TEST SCORE INDICATOR – does not apply to Intermittent or TEMP employees

  20. CES – Critical Element Score – is calculated by totaling the employee's critical job element scores and dividing by the number of critical job elements. For example:

    Add: critical job elements (C1) 4 + (C2) 3 + (C3) 4 + (C4) 4 + (C5) 4 = 19, then divide 19 by 5 = 3.8
    The employees CES = 3.8

    Note:

    CES – does not apply to Intermittent or TEMP employees

  21. RANKING SCORE – For employees with an annual appraisal (or ad hoc), the ranking score will be calculated by adding the values for each numerical rating C(1) - C(5) and dividing the total by the number of numerical ratings C(1) - C(5). Then add any points based on the employee's IRS EOD if the employee was fully successful or above in each critical job element. For newly hired employees who do not have performance appraisals, the rank score will be the employee's training test score. For newly hired employees who do not have performance appraisals, or a training test score, the rank score will be the employee's OPM Certificate score.

    Note:

    RANKING SCORE - does not apply to Intermittent or TEMP employees

3.43.401.12.3.2  (02-01-2009)
Editing the Release/Recall Final Listing

  1. If the Final Release/Recall (R/R) Listing is incorrect, edit corrections by using the guidelines in the National Agreement, Article 14. When the editing is complete, you may request another R/R Final from the Reports Unit or designated input area/person.

    Note:

    All editing to the Final Release/Recall is done using Edit Screen on the Release/Recall Selection Menu; when inputting the Sort Order, input a "F" .

  2. If an employee is detailed out after a Final R/R Listing is generated, the manager should edit the employee record to change the status code to "O" , detailed out, before a subsequent listing is requested.

3.43.401.12.4  (02-01-2009)
Form 5141

  1. Release Recall Form 5141 provide official notification to employees regarding their ranking order for Release and Recall. If a release date has been determined, Form 5141 should be requested by management when the Final Release/Recall is requested. The manager and the employee sign the Form 5141 and the employee's address and telephone numbers are verified to ensure the manager has current information.

  2. Form 5141 generates in two part copies at the end of the Release/Recall Final Listing. Managers maintain a copy in the employees EPF and a copy is provided to the employees. Form 5141's are sorted in the following order:

    • 5 digit Unit Organization Code

    • Alphabetically by: last name, first and middle initial

    • Class Code

  3. Blank Form 5141 generate at the end of each Final Release Recall Listing, (providing the Form 5141's were requested on Form 9196) for managements use.

    Note:

    A blank Form 5141 is also available on-line at the Multimedia Publishing website under the Catalog tab; url. http://publish.no.irs.gov/ephome.html.

    Figure 3.43.401-25
    This image is too large to be displayed in the current screen. Please click the link to view the image.

3.43.401.12.4.1  (02-01-2009)
Key Elements of Form 5141

  1. RUN DATE – The date the report was created in MM/DD/YYYY

    Note:

    If a blank online copy is used, the run date will not be on the form. Notate the run date of the Release/Recall on the Form 5141.

  2. Title – Form 5141 RELEASE/RECALL

  3. Week Ending Date – Current week end processing date

  4. CLASS - Seasonal, Temp, Term, etc.

  5. NAME

  6. SSN

  7. GRADE

  8. ORGANIZATION CODE

  9. RATING (not applicable for Intermittent or TEMP employees)

  10. CRITICAL ELEMENTS (not applicable for Intermittent or TEMP employees) - comes from the annual appraisal or release/recall evaluation.

  11. TEST SCORE INDICATOR (not applicable for Intermittent or TEMP employees)

  12. CRITICAL ELEMENT SCORE (not applicable for Intermittent or TEMP employees) - Adds the rating for each critical element and then divides by the number of critical elements.

  13. PERF SENIORITY POINTS (not applicable for Intermittent or TEMP employees) - points added to critical element score for any employee who has a rating of "3" or higher in every critical element if the employee has 2 or more years service (based on EOD).

  14. RANKING SCORE (not applicable for Intermittent or TEMP employees) - sum of critical element score and perf seniority points.

  15. SKILLS

  16. IRS Enter on Duty (EOD) Date

  17. SERVICE COMP DATE

  18. RANK

    Note:

    The lower portion of Form 5141, is used for documenting the employee received a copy. A copy is then given to then employee and the manager retains a copy in the employee folder.

3.43.401.12.5  (02-01-2009)
Release/Recall Rank Listing for NTEU

  1. The Release/Recall Rank Listing uses the same report format and requirements as the Release/Recall Final Listing; however, only the last four digits of the SSN's are printed on the Release/Recall Rank Listing ( See Figure 3.43.401-30. ).

  2. The responsible area must provide the information to NTEU in a mutually agreed upon format.

    Note:

    This report is available on Control D for anyone with Control D restricted access to view and print, if need be. It is recommended Control D be utilized in lieu of hard copies whenever possible.

    Figure 3.43.401-26
    This image is too large to be displayed in the current screen. Please click the link to view the image.

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