3.30.18. Reports Teams Instructions for Work Planning and Control

(1)

(1) The following IRMs provide additional instructions.

(1) The following Forms are referenced throughout this IRM.

(1) The following date cards and control records are referenced throughout this IRM.

(1) Following are the EMF Indicators used in TAPS/SETR to separate records for each WP&C.

(1) Following are the Service Center Codes used in ISRP transcription to separate the work for each WP&C.

(1) Related PCA information listings, error registers and reports.

(1) On the first work day of the new week, access the Reports Unit EMF module in SETR and generate, review and input EMF updates. Directions for inputting these updates can be found below in IRM 3.30.18.7.1.1, “Steps to Generate the EMF Update Records”.

(2) The actions provided by SETR are received from daily transmissions of employee Personnel Actions (PAR) information from HRConnect.

(3) Review and research update actions in the SETR EMF Reports Unit module for inconsistencies in the information provided. HRConnect is a world-class human resource system owned by the Department of Treasury.

(4) When determining the correct employee information to post to the PCA-01 EMF, HRConnect is the system of record. If the information in the SETR EMF and/or SETR history does not agree with the information in HRConnect, post the data from HRConnect to the PCA-01 EMF.

(5) Additional information regarding the Employee Master File may be found in IRM 3.30.50.2.2, Employee Master File.

(6) The elements of the Employee Master File record will be found in IRM 3.30.50.2.4 Master Adjustment Record.

(1) All employees for Organizations that report to WP&C are required to input 3081 hours and volume information into SETR by close of business on Friday. Managers are required to validate this information in SETR by close of business on Friday and make corrections no later than 10 a.m. Local Campus Time the first day of the work week (Monday) and re-validate. When the 3081 data is for Week 2 of the Pay Period, Managers are required to validate and sign. WP&C processes data for Week 1 and Week 2 of the Pay Period separately. Payroll processes the data for both Week 1 and Week 2 of a Pay Period at the end of Week 2.

(2) The Non-Validated Org Code List is generated from the SETR Reports Unit module. The report provides a list of Organizations that have not validated in Week 1 of the Pay Period and have not validated and/or signed their 3081 data in Week 2 of the Pay Period.

(3) Reports Teams monitor the Non-Validated Org Code List and contact Managers of Non-Validated and Unsigned Organizations that report to WP&C. The SETR Representatives monitor and contact Managers of Non-validated Non WP&C Organizations.

(4) At the beginning of the shift on Monday morning (or the first day of the work week) Reports Teams will run a Non-Validated List to get a baseline list of Organizations not validated.

(5) Starting at 8:00 a.m. Local Campus Time, another report should be run and emails should be sent to Managers of Organizations that have not validated.

(6) At 9:45 a.m. Local Campus Time, another report should be run and Managers should be contacted via OCS or telephone.

(7) At 10 a.m. Local Campus Time, a final report should be run. Send the Reports Team Managers a list with the Level 2 Level 3 Organization Code and the name of the Managers that are repeat offenders by email.

(8) Annotate the repeat offenders on the Repeat Offenders List located on the shared drive.

(9) At 2 p.m. Eastern Time when all Organization Codes have validated notify the Reports Teams Manager that all Organization Codes are validated. The Reports Team Manager will lock SETR by EMF Indicator.

(10) All EMF Indicators must be locked no later than 3 p.m. Eastern Time on the first Monday of the Pay Period. This is the time that SETR begins to transmit payroll data to the National Finance Center.

(1) Updates to the PCA-02 OFP Consistency File are processed in the evening of the first work day (usually Monday) and second work day (usually Tuesday) of the work week. Updates are provided on Form 5948, OFP Consistency File Input update.

(2) Upon receipt of updates to children level function and program code combinations, review the information for completeness.

(3) Prepare the Form 5948 for ISRP transcription. Refer to IRM 3.30.18.7.5, Preparation for ISRP Processing, below for instructions on Preparation for ISRP Processing.

(4) On the morning of the second work day (usually Tuesday) and/or the morning of the third work day (usually Wednesday) after a Form 5948 OFP update has been sent to ISRP for transcription check the PCA-02-41 OFP Consistency File Update Report to verify the records successfully updated.

(1) When a Manager makes a correction to an employee’s Time and Attendance information after the hours and volume have been output to WP&C a Form 6489, IPR Adjustments is required to adjust the employee’s time that posted to WP&C.

(2) Print forms received by email and combine them with paper forms received by other means, interoffice mail or from a drop-box.

(3) Review forms per the following instructions.

(4) Prepare all forms collected for the week and send them to ISRP for transcription per the instructions in IRM 3.30.18.7.5 Preparation for Integrated Submission and Remittance Processing (ISRP) Processing.

(1) Data records presented to ISRP for transcription are output on the first and second work day of each week.

(2) Present the records to ISRP according to the agreed Control Procedures for each Campus ISRP Operation.

(3) Compile the data records by type into batches. Each line should be numbered consecutively starting with 00 and proceeding through the agreed total count for each different Control Document. Each Control Document or numbered batch should have a 3 digit alpha identifier.

(4) All documents presented for ISRP transcription must be clearly marked with the Format Code for the data record(s) to be transcribed and contain a Service Center Code (see IRM 3.30.18.4.6, Service Center Codes for ISRP Processing of PCA data). The format codes follow.

(5) Only transcribed records that are both Original Entry (OE) and Key Verified (KV) by ISRP will be output on the daily ISR-01-22 file.

(6) The records for each Campus are separated for PCA processing by the Service Center Code. If an emergency occurs and a Campus ISRP Operation transcribes work for a Reports Team other than the regularly scheduled process, the WP&C Coordinator must be notified as early as possible in order to coordinate the PCA runs for that work day with Enterprise Computing Center (ECC) Scheduling. The regularly scheduled PCA process to collect for each campuses output follows.

(7) PCA programming is set up to collect the records contained in the ISR-01-22 file only on the days indicated by the frequency listed above. If Format Code 058 records are transcribed and output by ISRP on any day other that the 2nd work day of the week the records will not be collected and will be lost.

(8) Refer to ISRP IRM 3.24.50 ISRP System, Campus Performance Evaluation Reporting System for the related transcription instructions.

(1) Compare the Adjustment Records Input count on the PCA-01-43 Employee Master Adjustments and Salary Updates Control Listing to the prior days total count of EMF Update Records.

(2) The total count of EMF Update Records is located in the SETR Reports Unit EMF module.
Select the EMF Reports Menu, Reports, EMF Change Notice and from the drop down window, note the count of the records by the EMF Indicator and work date.

(3) Compare the counts of the Form 5948, OFP Consistency File Input sent to ISRP.

(4) Compare the counts of the Form 6489, IRP Adjustments sent to ISRP.

(5) Compare the counts of the Form 6489, IPR Adjustments from PCA-05-46 corrections sent to ISRP.

(1) Generate and print the WP&C Exclusion Report in the SETR Report Unit, Miscellaneous Reports Option 2.

(2) Compare the employee records on the Exclusion Report to the PCA-03-45. If the employee listed on the Exclusion Report is also on the PCA-03-45 notate on the report and no action is needed for the Exclusion Report. When the PCA-03-45 is worked the employee’s time will be prepared and sent to ISRP for transcription. If the employee is not on the PCA-03-45, research SETR Prior Week 3081 and HRConnect to determine work status. Update the EMF record as appropriate.

(1) Invalid fields and Unpostable records in the EMF reflected on the PCA-01 reports can negatively impact the PCA-03 error register reports generated as part of the Initial and Correction process. They represent missing data from the Employee Master File.

(2) The EMF PCA-01-42 Employee Master Adjustments and Analysis Report contains four sections. Three represent the three Transaction Codes that are types of record updates. The fourth represents the records that Project PCA automatically removes from the Master File when a 9 month retention period is met. These are the four sections.

• Delete

• Add

• Change

• Remove

(3) Review each update record for invalid fields and unpostable errors. The Disposition column reflects the status of the update for each record. Successful deleted records display “Record Deleted”, successful added records display “Record Added”, successful changed records display “Record Changed” and successful removed records display “Record Removed”. The error messages and disposition follow.

(1) Print the PCA-03-43 Final Time Error Register Report from Control-D.

(2) Analyze the error, determine the resolution and record the change needed to make the record correct. Follow local procedure to number the line items that need to be re-input and add the additional codes for transcription of the correction record.

(3) When research of time records reflects that the employee has charged time on two different WP&C’s the Reports Team that identifies the incident should contact the other Reports Team(s) to verify that the resolution does not result in duplicate posting of time.

(4) Error Code and Actions

(1) Print the PCA-03-44 IPR Adjustment Register from Control-D.

(2) Analyze the error, determine the resolution and record the change needed to make the record correct. Follow local procedure to present the corrected record for ISRP for transcription.

(3) If there is are no IPR Adjustment errors in the Initial Pass run a PCA-03-44 will not be generated.

(4) Error Code and Actions

(1) Print the PCA-03-45 Final No Time Error Register from Control-D.

(2) Analyze the error record, determine the resolution and follow local procedure by printing the time sheet from the Prior Week 3081 option to provide ISRP with the weekly employee data for transcription. Ensure that employees listed on the SETR WP&C Exclusion List have been included in the time sheets sent to ISRP.

(3) This report lists employees in SETR who had no time entered for the week and who are in work status on the PCA-01-44 or have time flowing to another WP&C. If the employee's hours flow to multiple WP&C's, contact the employee to verify which WP&C hours should flow to. Contact the other sites Reports Team to ensure the resolution does not result in duplicate posting of time. All Class Code 3 are intermittent employees who did not work the previous week. These will not need any action taken. NOTE: If the employee is charging all time to a 59815 or 59845 programs, update the EMF to "Non-Work Status".

(4) Research SETR Prior Week 3081 to determine if any time was input and the 3081 Assigned Org Code that the hours were reported to. Research in HRConnect to verify the employee’s Org Code.

(1) When an EMF update record is needed to correct an employee’s Work Status on the PCA-01 EMF so time will post to the WP&C, review the SETR EMF records generated on the first work day (Monday) and if a record is present update the Work Status and change the EMF Date on the record from the first work day date (Monday) to the second work day date (Tuesday). If a record is not present for that employee add a “Change” Transaction Record with the second work day date for the EMF Date.

(2) On day two of the work week only SETR EMF update records with an EMF Date of the second work day will output on the SETR PCA-01-32 file.

(3) Changes to grade and step elements of the PCA-01 EMF record can only be made on the first work day of the new week. If an employees grade and step needs to be changed on day two of the work week record a note so that the change can be made the following Monday (or first work day of the next week). Changes made to grade and step on the second work day will appear on the PCA-01-44 and PCA-01-45 prints but the data will not actually be changed in the PCA-01 master record.

(4) Do not make changes to a SETR EMF record that has the EMF Indicator of a campus different than the PCA-01 EMF being worked. The SETR EMF record belongs to the PCA-01 EMF reflected by the EMF Indicator. Changes to a record that do not have the EMF Indicator that is currently being worked must be coordinated with the Reports Team responsible for the EMF Indicator. Contact via phone or email must be made to arrive at an agreement. If the SETR EMF record present is not needed for a correction for the PCA-01 EMF that owns the record, the Reports Team will agree to let the other Reports Team change the record including the EMF Indicator.

(1) Refer to the instructions in IRM 3.30.18.7.3 OFP Updates. These instructions are the same to process OFP change requests whether completed on the first work day (Monday) or the second work day (Tuesday). OFP change requests are only processed on the first and second work days.

(1) Review Form 6489, IPRs that were received after the forms sent to ISRP for transcription on the first work day (Monday).

(2) Send new forms to ISRP for transcription before the second work day (Tuesday) cut-off.

(1) Follow Work Day 2 ISRP preparation procedures as shown in IRM 3.30.18.7.5 Preparation for ISRP Processing Work Day 2 ISRP.

(1) Refer to IRM 3.30.18.8, Work Day 2 (Tuesday) Initial Pass Verification and Correction Pass (2nd Pass) Processing. (1) Verify Input Counts from Work Day 1 (Monday) Processing, in the Work Day 2 (Tuesday) Initial Pass verification section for the list of reports from the Correction Pass and the counts to verify.

(1) In order to confirm that the correct input files were included in the PCC Weekly runs that generate the WP&C weekly reports complete the following steps.

(1) If errors from Work Day 2 were not resolved correctly they will error out a second time and PCA-03-43 and PCA-03-44 registers will generate during Work Day 2 PCA processing.

(2) When these registers are present corrections must be made by processing a Form 6489, IPR Adjustments.

(3) The Reports Team technician that worked the PCA-03-43 Final Time Error Register Report on Work Day 2 is responsible to review and correct the PCA-03-43 Final Time Error Register Report generated the evening of the 2nd Work Day.

(1) Print the PCA-05-46 Individual Performance History Adjustment Report.

(2) Analyze the error, determine the resolution and record the change needed to make the record correct. Complete a Form 6489, IPR Adjustments and send to ISRP for transcription in the next weeks processing cycle.

(3) Follow local procedure to number the line items that need to be input and add the Format and Service Center Codes for transcription.

(4) Refer to the Correction Pass Register Job Aid on the Reports Team Sharepoint for additional instructions.

(1) Related PCC information listings, error registers and reports.

(1) PCC daily registers contain listings of the different types of performance and production records utilized by Project PCC. The information in the records requires a key to read the record and must be deciphered in order to determine what data and counts were processed. Refer to IRM 3.30.19, Production Control and Performance Reporting Exhibit-12 through Exhibit-15 Adjustment and Control Record Layouts.

(1) The Master POF Listing contains every POF combination on the Master File at the completion of End of Quarter processing and it’s closing inventory.

(2) Refer to 3.30.19.2.7.3, Selected Master Data File Fast Print Control Record, for more information regarding this process.

(3) 3,9 Adjustments are processed to remove inactive POF combinations from the database.

(4) Review a complete listing for each campus of the PCC-01-40, Service Center Master File POF List and perform maintenance clean-up at least twice per year, once during the January – June period and once during July – December.

(5) Contact the Headquarters WP&C Coordinator for approval prior to input of any final 3,9 Adjustments.

(1) The PCC-10-81 Control Deck controls the printing of detail records and Summary Totals on the PCC-22-40 DPR.

(2) Refer to IRM 3.30.19.5.9.1, Daily Production Report Control Records for more information on the Daily DPR Control Deck “RJ” records.

(3) When contacted by a Campus that requests to add program and function updates to the control deck notify the Headquarters WP&C Coordinator via email with a copy to the Reports Team Manager requesting the update. The Headquarters WP&C Coordinator will open an incident ticket requesting the changes and coordinate the process with the Reports Team.

(4) When program function combinations added to the deck have no previous activity and are new OFP’s, Reports Teams will be asked to input adjustments to add a count of 1 to receipts and production for each new OFP combination with an Adjustment Code of 2 to establish the count. Verify the next day that the counts have posted and then input adjustment to remove the counts of one from receipts and production to reverse the transaction. This will establish the production record on the database and eliminate the counts falling out to the PCC-10-40 WP&C Preliminary Error Register the first time a batch of work tries to post to the new OFP combination.

(5) Refer to the PCC-10-81 DPR Control Deck Job Aid on the Reports Team Sharepoint for additional information.

(1) The PCC-24-80 Control Deck controls the printing of Organizational records on the PCC-24-40 DPR.

(2) Refer to IRM 3.30.19.5.9.1, Daily Production Report Control Records for more information on the Daily DPR Control Deck “RP” records.

(3) When Organizations move from one WP&C to another or when new Organizations are formed and/or if contacted by a Campus that requests an Organization is added to the control deck notify the Headquarters WP&C Coordinator via email with a copy to the Reports Team Manager requesting the update. The Headquarters WP&C Coordinator will open an incident ticket requesting the changes and coordinate the process with the Reports Team.

(1) Selected Master Data File Fast Print Control Records are used to obtain a fast print PCC-26-40, Selected Master Record List for WP&C Master File of specified records on the Master Data File to research and determine what data is present to reconcile balancing.

(2) Reports Teams will contact the Headquarters WP&C Coordinator via email with a copy to the Reports Team Manager to order a listing if it is determined that one is needed for research.

(1) The Employee Category Record assigns titles for employment category (Funding Code and Temporary Category Code) sections of the PCC-46-40 Abstract Report. This record should be updated when Organizations add new Funding Codes.

(2) When contacted by a Campus that requests changes or additions for new codes notify the WP&C Coordinator via email with a copy to the Reports Team Manager requesting the change. The Headquarters WP&C Coordinator will open an incident ticket requesting the change and coordinate the process with the Reports Team.

(1) The Performance and Cost Control Record is used by some Submission Processing functions, such as Batching and Numbering, to summarize volume data for programs with no actual or scheduled hours to Program Code 00000 on the PCC-60-40 Managers Report.

(2) When contacted by a Campus that requests changes or additions for programs to this control card notify the WP&C Coordinator via email with a copy to the Reports Team Manager requesting the change. The Headquarters WP&C Coordinator will open an incident ticket requesting the change and coordinate the process with the Reports Team.

(3) Refer to IRM 3.30.19.2.6.7.2, Managers Report Performance and Cost Control Record for additional information.

(1) To meet the IRM 3.30.19.2.7,Quarter, Annual, and Basic Cut Over Procedures requirement for a verification of the inventory for programs that report receipts and production via Unit Production Records (UPC’s) Reports Teams are responsible to coordinate a physical inventory a minimum of three times a year. Once per reporting period (January to June, July to September, and October to December) Reports Teams will ask each Operation to provide the results of a physical inventory and the adjustments if needed for receipts, production and/or inventory.

(2) The Operations will be sent instructions and a form that they will use to record the physical inventory count and list the changes needed to receipts, production and/or inventory. The date to perform the physical inventory and the date that the completed form is due to the servicing Reports Team will be provided in the instructions.

(3) As the forms are sent from the Operations record receipt of the form on the sites Physical Inventory Tracking Form. Record by Operation each step of the process as it is completed. Record if they were contacted for non-receipt or with questions,negative responses, when adjustment review is completed, and when the adjustments have been input.

(4) Upon receipt of the completed inventory form Reports Teams will perform the following actions.

1. Perform a review of the adjustment record and determine if the written adjustment follows normal guidelines for production adjustments. Refer to IRM 3.30.19.5.9.3(5) for General Rules for production adjustments. Since this is a special circumstance, it may be appropriate to adjust only the inventory figure. After contacting the Organization for clarification follow the campuses’ intent.

2. Review records with negative counts in receipts, production or inventory against the PCC-62-40 Program Analysis Report to determine if the cum Receipts, Production and/or Inventory record for this OFP has volume to cover the decrease.

3. Is the OFP listed on the PCC-62-40? Was the OFP used during this reporting period? If it did not previously have counts reported to it and an adjustment is appropriate it will require an Adjustment Code 2 for the adjustment to post.

4. Contact the Customer for clarifications or corrections if adequate counts are not present and posting the adjustment will result in negative counts. Confirm that the Customer used the correct week ending WP&C to calculate the adjustments. Confirm the inventory counts that the Customer is reconciling to.

5. Input the adjustments into the Daily Production Adjustment Log screen in the Batch Block Tracking System (BBTS).

6. On the same day, prior to output of the daily BBTS file (or Supplemental File, if appropriate) print the Daily Production Adjustment Log Report from BBTS and verify the adjustment records input against the WP&C Physical Inventory Forms provided by the Operations. Make corrections to incorrect entries.

7. On the same day, notify the customer via email that the adjustment has been input and remind them to verify the counts on the appropriate (provide the week ending date) WP&C.

8. The next work day verify that the adjustments input are not present on the PCC-10-40 WP&C Preliminary Error Register or the PCC-20-41 WP&C Daily Adjustment Record List. Reports Teams supporting campus WP&C’s with Submission Processing should also review the PCC-15-40.

9. The next work day verify that the record counts for the adjustments listed on the PCC-10-41 WP&C Production and Performance Adjustment List match the record counts for adjustments listed on the prior days Daily Production Adjustment Log Report.

10. Research any adjustment records listed on the PCC-10-40 or PCC-20-41 to determine why they fell out on the registers, contact the Operation, if needed, and re-input the adjustment.

11. File the Daily Production Adjustment Log Reports, the WP&C Physical Inventory Forms and the Physical Inventory Tracking Form in the EOQ Physical Inventory folder for the campus.

(1) To start the WP&C accurately at the beginning of the calendar year post different combinations of receipts volume, receipts and production volume, or receipts and inventory volume to programs based on whether the program is categorized as batched controlled (on BBTS) or un-controlled (receipts and production volume via Unit Production Records (UPC’s). Four sets of cutover adjustments, three sets for the PCC-22-40 Daily Production Report - Program Sequence and one set for the PCC-24-40 Daily Production Report - Organization Sequence.

(2) The beginning of year WP&C process (PCC-01Q) zeros out the prior year Receipts, Production and Schedule data for all Program, Organization, Function combinations on the WP&C Master File. It also rolls the prior year closing inventory to the new year opening inventory. Special BBTS programming creates a special end of year file, titled PCC1090EOY, that provides each program and function with receipts and production counts from the batches of work remaining in the pipeline after the last daily process is run for the year. The special BBTS programming also creates production adjustment records to zero out the inventory counts for program codes with Functions 910 through 970 and the Organization Code of 43000 if the program (and child program) have a DLN Reference built in BBTS. Refer to IRM 3.30.19.2.7.2 End of Year Adjustments and the Job Aid for PCC End of Year Cutover and the Job Aid for PCD End of Year Cutover located on the Reports Team Sharepoint for additional information.

(3) Cutover of Batch Controlled Pipeline Programs. Post cutover adjustments to start the PCC-22-40 DPR and bring the top and bottom portions of the report into balance for each campus that has Submission Processing Organizations on the WP&C. This includes the following Campuses: AUSC, CSC, FSC, KCSC and OSC. The Reports Teams with responsibility for the two consolidated campuses that have programs for Electronic Forms processing will also need to post cutover adjustments for those two campuses. This includes ANSC (cutover by Fresno Reports Team) and PSC (cutover by Ogden Reports Team).

• For each adjustment post only to January Receipts (not Quarter Receipts) and Year Production Count (not Period Production Count) in the BBTS Daily Production Adjustment Log Screen.

• If the program is controlled by the Pipeline Inventory Management System (PIMS) the adjustment will require a received date for the count to be applied to. Use the last day for PCC processing of the prior year as the received date.

• For each program post a receipt and inventory count to PCD Function 910 through Function 940 based on the inventory count provided by the campus Data Control Team on the Form 8350 Correction to Block Proof Summary Balance Forward Records used to post the PCD beginning of year counts from the EOY conversion runs.

• For each program add the inventory counts from PCD Function 910 through Function 940 and post the total to receipts and production to pipeline Function 110 through Function 610.

• Zero out Function 910 through Function 970 receipts, production and inventory for programs that were not zeroed out by the special BBTS programming. For example, program codes for electronic processing do not have a Document Locator Number (DLN) Reference so they will not be zeroed out. This includes Program 11280 XML, Program 12340 MeF, Program 43510 Form 1040 MeF, Program 44340 IRP SCRIPS, etc.

(4) Cutover of Non-Pipeline Programs. Post cutover adjustments for the 10 campus WP&C’s to start the PCC-24-40 DPR and bring the Program, Organization, Function record into balance across.

• For each adjustment post only to January Receipts (not Quarter Receipts) in the BBTS Daily Production Adjustment Log Screen.

• If the program is controlled by the Pipeline Inventory Management System (PIMS) the adjustment will require a received date for the count to be applied to. Use the last day of the prior year as the received date.

• Post a receipt count equal to the inventory volume reflected for each POF combination listed on the January 1 report.

• If your site has a PCC-22-40 DPR (controlled by another site) please be aware that the PCC-24-40 will also reflect the Program Organization Function (POF) combinations that are on the PCC-22-40. Attention must be give to only non-pipeline programs that reflect an inventory count. Do not adjust POF combinations that appear on the PCC-22-40.

(5) For any organizations that are changing program codes, inventories (and receipts) should be moved from the old program code to the new program code(s) at this time.

(6) Cutover adjustments should be completed as soon as the January 1 PCC 2240 Daily Production Report and PCC 2440 Daily Production Report have been verified as good. The date that the cutover should be completed will be listed on the EOY PCX Processing Calendar.