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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 Merger/Consolidation 72 .1
  Spin Off 10 .1
  Transfer of Assets 34 .1
Subtotal 116 .1
5310A QSLOB 0 .0
  Cancellation of QSLOB 0 .0
Subtotal 0 .0
6406 Amendment 58 1.1
9999 Initial 3 9.7
  Amendment 0 .0
Subtotal 3 9.7
Total 2,463 1.6
Totals without Forms 4461B and 5310A 2,306 1.7
4461 Initial 0 .0
  Amendment 0 .0
4461A Initial 0 .0
  Amendment 0 .0
Subtotal 0 .0
4461B   0 .0
5300 Initial 27 .3
  Amendment 24 .4
Subtotal 51 .4
5303 Initial 0 .0
  Amendment 1 .5
  Termination 0 .0
Subtotal 1 .5
5307 Initial 1,002 .3
  Amendment 455 .3
Subtotal 1,457 .3
5310 Termination 123 .4
5310A Merger/Consolidation 0 .0
  Spin Off 0 .0
  Transfer of Assets 0 .0
Subtotal 0 .0
5310A QSLOB 0 .0
  Cancellation of QSLOB 0 .0
Subtotal 0 .0
6406 Amendment 28 .3
9999 Initial 0 .0
  Amendment 0 .0
Subtotal 0 .0
Total 1,660 .3
Totals without Forms 4461B and 5310A 1,660 .3
       
4461 Initial 4 .0
  Amendment 0 .0
4461A Initial 0 .0
  Amendment 0 .0
Subtotal 4 13.6
4461B   41 1.0
5300 Initial 79 7.9
  Amendment 60 8.5
Subtotal 139 8.2
5303 Initial 7 6.9
  Amendment 16 9.0
  Termination 0 .0
Subtotal 23 8.3
5307 Initial 73 3.1
  Amendment 97 4.4
Subtotal 170 3.8
5310 Termination 277 4.8
5310A Merger/Consolidation 72 .1
  Spin Off 10 .1
  Transfer of Assets 34 .1
Subtotal 116 .1
5310A QSLOB 0 .0
  Cancellation of QSLOB 0 .0
Subtotal 0 .0
6406 Amendment 30 1.9
9999 Initial 3 9.7
  Amendment 0 .0
Subtotal 3 9.7
Total 803 4.4
Totals without Forms 4461B and 5310A 646 5.3

Exhibit 7.13.9-6  (05-08-2003)
EP/EO Division — Employee Plans

EDS Table 1C
RUN DATE: Sun XX XX 1998
Ohio Area Office
Age of Inventory
Form Type Request Inventory Age Below 61 Days Age 61 to 145 Age 146 to 180 Age 181 or more
4461 Initial 4 1 3 0 0
  Amendment 1 0 0 0 1
4461A Initial 0 0 0 0 0
  Amendment 4 0 4 0 0
Subtotal 9 1 7 0 1
5300 Initial 357 245 74 13 25
  Amendment 380 193 91 9 87
Subtotal 737 438 165 22 112
5303 Initial 18 7 5 1 5
  Amendment 56 12 11 0 33
  Termination 0 0 0 0 0
Subtotal 74 19 16 1 38
5307 Initial 2,934 2,604 227 67 36
  Amendment 1,631 1,324 164 60 83
Subtotal 4,565 3,928 391 127 119
5310 Termination 944 554 269 40 76
6406 Amendment 152 128 17 0 7
9999 Initial 6 4 2 0 0
  Amendment 0 0 0 0 0
Subtotal 6 4 2 0 0
Total 6,482 5,072 867 190 353

Exhibit 7.13.9-7  (05-08-2003)
EDS CYCLE TIME CLOSURES REPORT (US)

EP Table 6a* Run Date: XX/XX/1998
Periods Covered (YYYYMM — YYYYMM)
Initial/Amendment Closings 00, 01, and 02
Month Number of Cases Average Cycle days Case Cycle 0 – 100 Days Case Cycle 101 – 180 Days Case Cycle 181+ Days
199610 1976 266 462 406 1105
199611 1819 249 560 388 871
199612 1626 242 463 462 701
199701 1127 229 222 459 446
199702 1285 237 262 498 525
199703 1663 227 463 521 679
199704 1198 190 377 417 404
199705 1262 161 512 443 307
199706 1586 160 616 624 346
199707 1257 167 335 637 285
199708 1449 195 317 767 365
199709 1507 194 321 694 492
Totals 17755 213 4910 6319 6526
Month Number of Cases Average Cycle days Case Cycle 0 – 100 Days Case Cycle 101 – 180 Days Case Cycle 181+ Days
199710 1029 168 300 428 301
199711 1358 154 405 627 326
199712 1483 155 537 594 352
199801 1167 164 206 671 290
199802 1398 158 314 814 270
199803 1760 152 530 761 469
199804 1369 149 425 519 425
199805 1508 143 546 590 372
199806 1671 141 667 652 352
199807 1243 139 272 737 234
199808 954 153 192 577 185
199809 1153 158 242 627 284
Totals 16093 152 4636 7597 3860
Status Codes Excluded: 37, 38, 39, 54, 56
* This report is 1 of 7 reports that provide U.S. cycle time data from the EDS database from establishment to closing.
EP Table 9*  
EDS CYCLE TIME CLOSURES REPORT
STATUS 52 TO CLOSING
RUN DATE: Mon Sep 28 1998
National Totals
All Closings Except 03, 04, 05, 06, 07, 08, 09 and 30
Month Number of Cases Average Cycle days Case Cycle 0 – 100 Days Case Cycle 101 – 180 Days Case Cycle 181+ Days
199610 2,594 154 1,136 764 694
199611 2,450 143 1,204 689 557
199612 2,250 146 1,139 499 612
199701 1,703 141 936 322 445
199702 1,934 143 946 475 513
199703 2,333 140 1,249 555 529
199704 1,708 125 1,082 313 313
199705 1,832 112 1,194 332 306
199706 2,161 112 1,363 489 309
199707 1,705 119 1,000 458 247
199708 1,920 143 998 549 373
199709 2,030 139 1,047 604 379
Totals 24,620 136 13,294 6,049 5,277
Month Number of Cases Average Cycle days Case Cycle 0 – 100 Days Case Cycle 101 – 180 Days Case Cycle 181+ Days
199710 1,465 115 848 391 226
199711 2,026 105 1,317 442 267
199712 2,253 107 1,519 428 306
199801 1,743 111 1,070 444 229
199802 2,188 107 1,398 583 207
199803 2,792 97 1,695 887 210
199804 2,110 95 1,320 647 143
199805 2,230 92 1,548 482 200
199806 2,413 93 1,658 498 257
199807 1,837 89 1,233 488 116
199808 1,604 97 1,072 384 148
199809 1,954 101 1,178 588 188
Totals 24,615 100 15,856 6,262 2,497
Status Codes Excluded: 37, 38, 39, 54, 56
* This report provide cycle time data from status 52 to closing by district and US Totals.

Exhibit 7.13.9-8  (05-08-2003)
4461 Listing

      Date MM/DD/YYYY
APPROVAL OF REGIONAL PROTOTYPE PLANS (4461 & 4461–A)
Area Office Code 31
Adopting Sponsor Plan No Plan Type Ltr Serial No Approved
      Date MM/DD/YYYY
APPROVAL OF REGIONAL PROTOTYPE PLAN FROM APPROVED LIST
Area Office Code 31
Adopting Sponsor Plan No Plan Type Ltr Serial No Approved
      Date MM/DD/YYYY
APPROVAL OF REGIONAL PROTOTYPE ADOPTING SPONSORS (4461–B)
Area Office Code 31
Adopting Sponsor Plan No Plan Type Letter Serial Approved
        Total
      Date MM/DD/YYYY
APPROVAL OF REGIONAL PROTOTYPE ADOPTING SPONSORS (4461–B)
Area Office Code 31
Adopting Sponsor Plan No Plan Type Letter Serial Removed
        Total

Exhibit 7.13.9-9  (05-08-2003)
Cases Waiting for Manager Approval — EP Group 7101

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Exhibit 7.13.9-10  (05-08-2003)
EP — Age of Inventory

EP/EO Division        
EDS Table 3        
RUN DATE: Mon Oct XX 1998    
United States        
GRADE <= 180 > 180 % UNDER % OVER TOTAL
00 23 10 69.70 30.30 33
09 0 12 .00 100.00 12
11 5,247 430 92.43 7.57 5,677
12 2,984 767 79.55 20.45 3,751
13 1,736 557 75.71 24.29 2,293
SUMMARY OF OPEN CASES
  TOTAL CASES % OF ALL CASES
<= 180 DAYS 9,990 84.91%
> 180 DAYS 1,776 15.09%
Total Cases 11,766  
4461B/5310A
<= 180 DAYS 10 52.63%
> 180 DAYS 9 47.37%
Total 4461B/5310A 19  

Exhibit 7.13.9-11  (05-08-2003)
Employee Plans — Age of Disposals

EP/EO Division        
EDS Table 5        
Ohio Area Office        
Period Beginning Date: XX/XX/1998 Period Ending Date: XX/XX/1998
RUN DATE: Fri Nov XX 1998    
GRADE <= 180 > 180 % UNDER % OVER TOTAL
11 1,163 51 95.80 4.20 1,214
12 896 40 95.73 4.27 936
13 132 24 84.62 15.38 156
SUMMARY OF CLOSED CASES
  TOTAL CASES % OF ALL CASES
<= 180 DAYS 2,191 95.01%
> 180 DAYS 115 4.99%
Total Cases 2,306  
4461B/5310A
<= 180 DAYS 158 100.00%
> 180 DAYS 0 .00%
Total 4461B/5310A 158  

Exhibit 7.13.9-12  (05-08-2003)
EP Count of Closings — Part 1

RUN DATE: Mon Nov XX YYYY
EDS TABLE 6        
Age of Disposals MM/DD/YYYY — MM/DD/YYYY
by Form          
Ohio Area Office          
Form Type Request Disposals Age Below 61 Age 61 to 145 Age 146 to 180 Age 181 or More
4461 Initial 4 0 4 0 0
  Amendment 0 0 0 0 0
4461A Initial 0 0 0 0 0
  Amendment 0 0 0 0 0
Subtotal 4 0 4 0 0
5300 Initial 45 1 26 3 15
  Amendment 42 2 19 4 17
Subtotal 87 3 45 7 32
5303 Initial 1 0 0 0 1
  Amendment 6 0 2 1 3
  Termination 0 0 0 0 0
Subtotal 7 0 2 1 4
5307 Initial 449 1 400 18 30
  Amendment 391 0 275 26 90
Subtotal 840 1 675 44 120
5310 Termination 150 0 83 21 42
6406 Amendment 33 4 27 0 2
9999 Initial 2 0 2 0 0
  Amendment 0 0 0 0 0
Subtotal 2 0 2 0 0
Total 1,140 29 838 73 200

Exhibit 7.13.9-13  (05-08-2003)
EP Count of Closings — Part 2

RUN DATE: Mon Nov XX YYYY
EDS TABLE 6        
Age of Disposals MM/DD/YYYY — MM/DD/YYYY
by Form          
Ohio Area Office          
Form Type Request Closings Age Below 61 Age 61 to 145 Age 146 to 180 Age 181 or More
4461B   188 188 0 0 0
5310A Merger/Consolidation 2 2 0 0 0
  Spin Off 0 0 0 0 0
  Transfer Assets 4 4 0 0 0
Subtotal 6 6 0 0 0
5310A QSLOB 2 1 1 0 0
  Cancellation of QSLOB 0 0 0 0 0
Subtotal 2 1 1 0 0
Total 8 7 1 0 0

Exhibit 7.13.9-14  (05-08-2003)
EP Unpostable Case Listing

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Exhibit 7.13.9-15  (05-08-2003)
Employee Listing

Employee Listing For   Mon Oct 19 1998
EMP/SPECIALIST NO LOGIN ID NAME GRADE POSITION CODE FUNCTION CODE
Group 317101:          
31XXX XXXXXX31 XXXXX XXXXXXXX 13 111 71
31XXX XXXXXX31 XXXX XXXXX 09 166 71
31XXX XXXXXX31 XXXX XXXXXXXX 13 500 71
31XXX XXXXXX31 XXXX XXXXXX 12 116 71
4 Employees in Group 317101      
Group 317111          
31XXX XXXXXX31 XXXX XXXXXX 12 116 71
31XXX XXXXXX31 XXXX XXXXX 13 116 71
31XXX XXXXXX31 XXXX XXXXXXXX 12 116 71
3 Employees in Group 317111      
7 Employees in the Division      

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