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Part 7. Rulings and Agreements

Chapter 13. Employee Plans Automated Processing Procedures

Section 9. Management Information Systems

7.13.9  Management Information Systems

7.13.9.1  (05-08-2003)
Overview

  1. This section provides instruction for Managers and employees responsible for generating reports on the Management Information System (MIS).

  2. MIS is a subsystem of EDS that generates inventory and employee roster reports.

  3. The reports are selected and printed from the MIS Main Menu. IRM 7.14.1,EP/EO Determination (EDS) Employee Plans User Manual for instructions for using the system.

7.13.9.2  (05-08-2003)
Inventory Reports

  1. The inventory reports are generated from the MIS Main Menu.

7.13.9.2.1  (05-08-2003)
Case Inventory Listings - Option 01

  1. Five different inventory listings can be selected. All reports list the cases in control date and alpha order. See Exhibits 7.13.9–1 for the format of these reports.

    1. The Division Report lists ALL open EP cases and it is broken down by group and unassigned cases. Cases in QAS are listed in each group.

    2. The Group Report lists cases in the group from the group number entered with status 32, 33, 37, 39, 52, 53, 55, 62 and 75. This report is broken down by specialist number. Any unassigned inventory held at the group level will be listed under a "dummy" specialist number (a number that is not assigned to any individual) which is assigned to each group.

    3. The Review Report lists cases in QAS with status 31, 34, 35, 37, 38, 40, 41, 54, and 56.

    4. The Specialist Report lists cases in the specialist inventory with status 32, 33, 37, 52 53, and 62. The specialist number is entered to generate the report.

    5. The Unassigned Report lists only those cases that are in status 50, 51, 60, and/or 62 and the cases that have been assigned to a "dummy specialist" . The report is separated by technical screening unassigned inventory and by group with the "dummy specialist" number.

7.13.9.2.2  (05-08-2003)
Overage Case - Option 02

  1. The Overage Case Listing reports the number of cases in inventory over a specific number of days. The system will prompt for a overage indicator. The overage indicator represents a number of days (i.e. 180 day). Because the Overage Indicator is not preset in the program the Area has the flexibility of entering any number of days to create "what if" scenarios in monitoring old cases.

  2. Five different overage listings can be selected. All reports list the cases in control date and alpha order. See Exhibit 7.13.9–2 for the format of these reports.

    1. The Division Report lists ALL overage cases in EP and are broken down by group and unassigned cases. Cases in QAS are listed under the group inventory.

    2. The Group Report lists cases in the group with status 32, 33, 37, 39, 52, 53, 55, or 62. The group number is entered to generate the report. The overage listing is broken down by specialist number. Any unassigned inventory will be listed under the "dummy" specialist number (See IRM 7.13.9.2.1(1)b above).

    3. The Review Report lists overage cases in QAS with status 31, 34, 35, 38, 54 or 56.

    4. The Specialist Report lists overage cases in the specialist’s inventory with status 32, 33, 37, 39, 52, 53, or 62. The specialist number is entered to generate a report for the specialist.

    5. The Unassigned Report lists only those cases that are in status 50, 51, 60, and 62 and the cases that have been assigned to a "dummy specialist" . The report is broken down by technical screening unassigned inventory and by group. Groups with cases in "dummy specialist " number will appear under the group's inventory.

7.13.9.2.3  (05-08-2003)
Overage Percentage Report - Option 03

  1. The Overage Percentage Report lists:

    1. Total number of cases in unassigned inventory,

    2. Total number of cases in groups and review,

    3. Number of cases overage, and

    4. Number of cases that will be overage in two weeks (14 days).

  2. The reports calculates the overage percentage. The reports also lists the total number of cases in Appeals, Technical Advice and Counsel status and the overage percentage for those cases. See Exhibit 7.13.9–3 for the format of this report.

7.13.9.2.4  (05-08-2003)
Inventory Counts Reports - Option 04

  1. Inventory Counts report lists total of cases processed by receipts, closing, etc.

    1. A beginning and ending date is entered to generate a report between the dates.

    2. A report can be generated for a day, a week, a month or for an entire year. See Exhibits 7.13.9–4, 7.13.9–5, and 7.13.9–6 for the format of this report.

7.13.9.2.5  (05-08-2003)
Cycle Time Reports - Option 05

  1. There are nine different reports available to generate cycle time. These reports must be generated at least once a month and by the fifth workday after the end of the reporting cycle (4/4/5 cycles). See Exhibit 7.13.9–7 for the format of these reports. The following reports are available:

    1. Option 1 - Initial/Amendment Closings 00, 01, 02

    2. Option 2 - Technical Screened Closing 06

    3. Option 3 - Terminations

    4. Option 4 - Appeals/Suspense/Technical Advice

    5. Option 5 - Other Closings 03, 04, 05, 07, 08, 09 and 30

    6. Option 7 - All Closings (Excluding Suspense/Appeals/Tech Advice)

    7. Option 8 - All Closing (Excluding Closings 03, 05, 07, 09, & 30)

    8. Option 9 - Status 52 to Closing - All Closings (Excluding 03, 04, 05, 07, 09, & 30)

    9. Option 10- All Reports (1-5, 7, 8, & 9US)

7.13.9.2.6  (03-01-2006)
4461 Listing Reports - Option 06

  1. This report is currently inoperative.

7.13.9.2.7  (05-08-2003)
Waiting Closing Approval Report - Option 07

  1. This reports lists case by group that are in 55 status or those cases waiting 60 days in Technical Screening. The group number is entered to generate the group report.

  2. These reports are useful to locate any cases waiting for approval and are not in the manager’s possession, those cases the manager has missed approving or those where the 60 days has expired. See Exhibit 7.13.9–9 for the format of this reports.

7.13.9.2.8  (03-01-2006)
Age of Inventory Report - Option 08

  1. This report lists the total number of open cases by case grade and percentage. The percentage is generated for cases under 180 days and over 180 days. See Exhibit 7.13.9–10 for the format of this report.

7.13.9.2.9  (03-01-2006)
TEQMS Cumulative Case List Report - Option 09

  1. This report provides a listing of cases selected for TEQMS during a selected fiscal year.

7.13.9.3  (03-01-2006)
Closed Cases

  1. Closed cases reports for menu options 20-23.

7.13.9.3.1  (03-01-2006)
Query on Closed Cases Report - Option 20

  1. The data stored on EDS is stored in a relational database (Informix). A relational database allows queries to be performed on any item in the database provided an employee has been trained to do so. The queries are done with Structured Query Language (SQL). See your EDS Functional Coordinator to obtain permission to use ISQL which is a part of Informix.

  2. A query screen has been programmed to perform queries for total cases closed by Group, Closing Code, Case Grade, Specialist Grade, Type Request and Form Number. The query reports the total—

    • cases

    • hours

    • specialist hours

    • reviewer hours

    • average hours for the query data entered

  3. Access this query screen by selecting Option 20 on the MIS Main Menu. See IRM 7.14.1,EP/EO Determination (EDS) Employee Plans User Manual for instructions how to use this screen.

7.13.9.3.2  (03-01-2006)
Age of Disposals Report - Option 21

  1. This report lists the total number of closed cases between a beginning and ending period (which must be entered) by case grade. The percentage is generated for cases under 180 days and over 180 days. See Exhibit 7.13.9–11 for the format of this report.

7.13.9.3.3  (05-08-2003)
Disposals By Form Report - Option 22

  1. This report lists the total number of closed cases between a beginning and ending period (which must be entered) by form number and age. See Exhibit 7.13.9–12 for the formats of this reports.

7.13.9.3.4  (05-08-2003)
Closing to Receipt Ratio Report - Option 23

  1. This report lists the total number of closings and receipts by case grade between a beginning and ending period (which must be entered), and lists a ratio or percentage of closings to receipts.

7.13.9.4  (03-01-2006)
Clerical Screening

  1. Clerical Screening reports for menu option 30 & 31.

7.13.9.4.1  (03-01-2006)
Incomplete Application (Rejects) - Option 30

  1. This report is currently inoperative.

7.13.9.4.2  (05-08-2003)
Unpostable Listings Report - Option 31

  1. This report lists cases that are on the system in an unpostable status from the EDS batch run. See Exhibit 7.13.9–13 for the format of this report.

7.13.9.5  (03-01-2006)
Monitoring

  1. Monitoring reports for Option 50.

7.13.9.5.1  (03-01-2006)
Monitoring Report Menu - Option 50

  1. When option 50 is selected, a sub-menu is provided for the following reports:

    1. Receipt Cincinnati (Table 1A) - Option 1.

      This report shows the monthly receipts separated by application and within each application further separated by type of request (i.e. initial/amendment/termination etc.).

    2. Area Offices Receipts from Cincinnati (Table 1B) - Option 2

      This report shows the monthly receipts, by each Area Office, from Cincinnati. The report is separated by application and within each application further separated by type of request. A sub-menu allows for selection of each Area Office or the United States.

    3. Age of Inventory (Table 1C) - Option 3.

      This report provides the age of inventory from control date to report run date. The report is separated by application and within each application further separated by type of request. The report provides a range of days a case has been open (i.e. 100 Days and Under, 101-125 Days etc.) A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    4. Total Closings (Table 2A) - Option 4.

      This report provides a monthly summary of total closings and average hours separated by application and within each application further separated by type of request. A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    5. Merit Closing (Table 2B) - Option 5.

      This report provides a monthly summary of merit closures (Status 06) and average hours separated by application and within each application further separated by type of request. A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    6. Non Merit Closing Code 00 (Table 2B.1) - Option 6.

      This report provides a monthly summary of non merit closings (Status 00) and average hours separated by application and within each application further separated by type of request. A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    7. Technical Screening Unit (Table 2B.2) - Option 7.

      This report provides a monthly summary of non merit closings (Status 00) and average hours separated by application and within each application further separated by type of request. A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    8. Non Merit Closings (Table 2C) - Option 8.

      This report provides a monthly summary of non merit closings (determinations) and average hours separated by application and within each application further separated by type of request. A sub-menu allows for selection of Area Offices, Cincinnati or the United States.

    9. All Non Merit closings (Table 2d) - Option 9.

      This report provides a monthly summary of all non merit closings (screening and determinations) and average hours separated by application and within each application further separated by type of request. A sub-menu allows for selection of Area Offices, Cincinnati or the United States.

    10. Age of Inventory by Grade of Specialist-Control Date (Table 3) - Option 10.

      This report shows the age of inventory by grade of specialists from control date to report run date. The report provides a range of days a case has been open (i.e. 100 Days and Under, 101-125 Days etc.) A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    11. Age of Inventory by Grade of Specialist-Status 75 (Table 3.1) - Option 11.

      This report shows the age of inventory by grade of specialist from assignment date (Status 52/75) to report run date. The report provides a range of days a case has been open (i.e. 100 Days and Under, 101-125 Days etc.) A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    12. Age of Disposals by Grade of Specialist-Control Date (Table 5) - Option 12.

      This report shows the age of disposals from control date to date closed by grade of specialist. The report provides a range of days a case has been open (i.e. 100 Days and Under, 101-125 Days etc.) A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    13. Age of Disposals by Grade of Specialist-Status 75 (Table 5.1) - Option 13.

      This report shows the monthly age of disposals from assignment date (Status 52/75) to date closed by grade of specialist. The report provides a range of days a case has been open (i.e. 100 Days and Under, 101-125 Days etc.) A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    14. Cycle Time Closure Report-Status 75 to Closing (Table 9.0) - Option 14.

      This report provide a summary by month (24 months total) of the number of cases closed for the current and prior year separated by total days (i.e. 100 & Under, 101-125 etc.) from date of assignment (Status 52/75) to date closed. A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    15. 12 Month Rolling Cycle Time-Status 75 to Closing (Table 9.2) - Option 15.

      This report provide a monthly summary of rolling cycle time from date of assignment (Status 52/75) to date closed separated by total days (i.e. 100 & Under, 101-125 etc.) A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    16. 12 Month Rolling Cycle Time-Exclude Volume Submitters (Table 9.2) - Option 16.

      This report provide a monthly summary of rolling cycle time from date of assignment (Status 52/75) to date closed separated by total days (i.e. 100 & Under, 101-125 etc.) This report excludes volume submitters. A sub-menu allows for selection of each Area Office, Cincinnati or the United States.

    17. Table 5 Group Report - Option 17.

      This is the same information that is provided under selection (12) separated by each group in an Area Office or Cincinnati.

    18. Table 9.1 Group Report - Option 18.

      This is the same information that is provided under selection (15) separated by each group in an Area Office or Cincinnati.

    19. Table 9.2 Group Report - Option 19.

      This is the same information that is provided under selection (16) separated by each group in an Area Office or Cincinnati.

7.13.9.6  (05-08-2003)
Employee Roster

  1. This report generates a listing of employees that are on EDS.

7.13.9.6.1  (05-08-2003)
Division Report - Option 80

  1. This report lists every employee in a specific location (1-6, 12-Cinti, 99-N.O., 0-U.S.) by group. See Exhibit 7.13.9–14 for the format of this report.

7.13.9.6.2  (05-08-2003)
Org Code Report - Option 81

  1. The report list each employee by organization code (Group Code).

7.13.9.7  (05-08-2003)
Miscellaneous Reports - Option 99

  1. The Areas may request specific ACE (Informix) or "C" reports to be generated from EDS on a recurring basis. This MIS Main Menu provides an option to display an "Area Office Report Menu" . The Area Office Report Menu is maintained by the Cincinnati Office and allows users to select any of the reports programmed.

Exhibit 7.13.9-1  (05-08-2003)
EP Inventory Case Listing

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Exhibit 7.13.9-2  (05-08-2003)
EP Inventory Case Listing — Cases Over 180 Days*

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Exhibit 7.13.9-3  (05-08-2003)
Overage Case Inventory Totals

CASE INVENTORY TOTALS FOR EMPLOYEE PLANS — CINCINNATI
Report Date; Fri Oct XX, 1998
Days Entered: 180  
Control Date: MM/DD/YYYY and Earlier is Overage
Control Date: MM/DD/YYYY will be Overage in 14 Days
Group 317101: 22
  Overage: 16
  Overage Percentage: 72.7
  Overage in 14 Days: 2
  Suspense 0
     
  Proposed Adverse 0
  Waiting Manager Approval: 2
Group 317171: 0
  Overage: 0
  Overage Percentage: .0
  Overage in 14 Days: 0
  Suspense 0
     
  Proposed Adverse 0
  Waiting Manager Approval 0
Group Unassigned: 176
  Overage: 108
  Overage Percentage: 61.4
  Overage in 14 Days: 41
  Suspense 0
     
  Form 4461B and 5310A: 28
  Waiting 60 days/MRG Approval 1
  Ready 60 Days Expired: 1
Review 8
  Overage: 6
  Overage Percentage: 75.0
  Overage in 14 Days: 0
  Suspense 0
     
  Proposed Adverse 4
  30 Day Suspense: 0
Total Inventory: 209
  Overage: 133
  Overage in 14 Days: 43
  Suspense: 0
     
  Proposed Adverse: 0
DIVISION OVERAGE PERCENTAGE: 63.6%
INVENTORY OUTSIDE EP/EO DIVISION  
Appeals: 1
  Overage: 1
  Overage in 14 Days: 0
Technical Advice: 1
  Overage: 1
  Overage in 14 Days: 0
District Counsel: 0
  Overage: 0
  Overage in 14 Days: 0
Total Inventory: 2
  Overage: 2
  Overage in 14 Days: 0
Overage Percentage: 100.0%

Exhibit 7.13.9-4  (05-08-2003)
EP/EO Division — Employee Plans

EDS Table 1A — Receipts  
RUN DATE: Thru XXX X 1998  
Ohio Area Office  
Period Beginning Date: XX/XX/XXXX Period Ending Date: XX/XX/XXXX
Form Type Request Receipts
4461 Initial 0
  Amendment 3
4461A Initial 0
  Amendment 0
Subtotal 3
4461B     49
5300 Initial 467
    Affiliated Serv Grp Status 2
    Leased Employee Status 0
    Partial Termination 0
  Amendment 346
    Affiliated Serv Grp Status 3
    Leased Employee Status 2
    Partial Termination 0
Subtotal 813
5303 Initial 11
    Partial Termination 0
    Termination 0
  Amendment 21
    Partial Termination 0
    Termination 0
  Termination 0
Subtotal 32
5307 Initial 1,820
    Standardized Plan 35
  Amendment 934
    Standardized Plan 21
Subtotal 2,754
5310 Termination 731
5310A Merger/Consolidation 43
  Spin off 8
  Transfer of Assets 13
Subtotal 64
5310A QSLOB 0
  Cancellation of QSLOB 0
Subtotal 0
EDS Table 1A — Receipts  
RUN DATE: Thru May 8 1997  
Ohio Area Office  
Period Beginning Date: 03/29/1997 Period Ending Date: 04/25/1997
Form Type Request Receipts
6406 Amendment 120
9999 Initial 5
  Amendment 0
Subtotal 5
Total 4,571
Totals without Forms 4461B and 5310A 4,458

Exhibit 7.13.9-5  (05-08-2003)
EP/EO Division — Employee Plans

EDS TABLE 2A — RUN DATE: Fri Nov 22 1998
Ohio Area Office    
Closures    
Period Beginning Date: XX/XX/XXXX Period Ending Date: XX/XX/XXXX
Form Type Request Total Closings Avg. Hrs. Closings
4461 Initial 4 13.6
  Amendment 0 .0
4461A Initial 0 .0
  Amendment 0 .0
Subtotal 4 13.6
4461B   41 1.0
5300 Initial 106 6.0
  Amendment 84 6.2
Subtotal 190 6.1
5303 Initial 7 6.9
  Amendment 17 8.5
  Termination 0 .0
Subtotal 24 8.0
5307 Initial 1,075 .5
  Amendment 552 1.0
Subtotal 1,627 .7
5310 Termination 400 3.4
5310A