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                Phase II
            Personnel Action
  Requirements Definition and Prototype
                March 1992
            O1RM Administrative Systems Division

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                              Phase n
                         Personnel Action
           Requirements Definition and Prototype
                            Table of Contents
 1.0 Project Background                                         1-1
 2.0 MRS Concept                                             2-1
 3.0 EPARSS Functional Model                                   3-1
 4.0 SF52 Functional Requirements                                4-1
      4.1 Current Environment                                  4-1
      4.2 Scope of the Proposed System                           4-3
      4.3 Key Operating Requirements                            4-5
      4.4 SF52 Functional Requirements                           4-5
 5.0 Award Functional Requirements                               5-1
      5.1 Current Environment                                  5-1
      5.2 Scope of the Proposed System                           5-1
      5.3 Key Operating Requirements                            5-2
      5.4 Award Functional Requirements                         5-3

 Appendices:

 Al EPARSS Functional Decomposition Diagram
 A2 EPARSS Functional Decomposition Definitions
 A3 EPARSS Entity Relationship Diagram
 A4 EPARSS Entity Relationship Diagram Definitions
 A5 NOAC Frequency Analysis for CY91
 A6 Nature of Action Codes
 A7 NOAC Cross-reference to EPARSS Functions
 A8 General System  Concepts
 A9 SF52 Data Element List
 A10 SF52 Relationship Edits
 All EPAYSTables
 A12 SF52Form
 A13 Award Form
 A14 NOAC Data Element Requirements
 A15 Related Documents

 Exhibits:

El SF52 Prototype
E2 Award Prototype

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                                  Project Background
                         1.0 Project Background
In early 1990, an Automation Implementation Plan was completed for the Office of Human
Resources Management (OHRM) identifying and prioritizing the automation projects required to
support their mission needs. The Standard Form 52 (SF52) process was identified as having the
highest priority for automation.

A multi-phased project was initiated to address this automation need. The objectives of the first phase
of the project were to develop an initial system concept and to evaluate alternative solutions (i.e.,
SF52 processing systems currently operating at other Agencies and available for use by EPA) to in-
house development.  The study found that USGS had an SFS2 system that was functionally similar
to the needs of EPA, however, at the time it could not be easily imported directly to EPA's operating
and technical environment. Consequently, based on the systems available at the time of the study,
it was determined to proceed with the definition and development of an SF52 system to satisfy the
Agency's requirements.

The initial scope of this phase of the project focused on the development of requirements for an SF52
system. However, as functional requirements were defined, it became obvious that the SF52 system
must be defined and developed within the framework of OARM's integrated administrative systems
(IAS) concept. As a result, preliminary work was completed to define the concept of an Integrated
Human Resources System (MRS). It was determined that the IHRS would be comprised of two
major items: an EPA Personnel Action Request and Servicing System (EPARSS) and a management
information/data sharing program.  In that context, joint application design (JAD) sessions  were
conducted to evolve the EPARSS model of which the SFS2 system is a component.

In the spirit of IHRS/EPARSS, detailed requirements work was completed for the SF52 and awards
components of EPARSS. Based on this information, "first generation" prototypes were developed
to assist with requirements identification, refinement and validation. This document presents the
results of this work.
                                      Page 1-1

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   Project Background
Intentionally left blank.
       Page 1-2

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                                       IHRS Concept
                               2.0  IHRS Concept
The current strategy for administrative applications is to develop an integrated administrative
systems  (IAS) environment (Figure
2.0.1).  This is being undertaken to
support the Agency' s recognition of the
need to increase productivity and over-
all efficiency through reduced data en-
try, and  simplified access to  timely,
accurate administrative information.
In this context, the concept of an Inte-
grated Human Resources System (IHRS)
was  born (Figure 2.0.2).  The IHRS
consists of two major components: the
EPA Personnel Action Request and Ser-
vicing System (EPARSS) and a pro-
gram to develop and distribute (i.e.,
provide shared access) human resources
related information.
1
EPARSS

1
Mgmt
Info
Figure 2.0.1
                      Integrated  Human Resources System
                                                   EPARSS
                                   EPA Personnel Action Request and Servicing System
                                            Recruit Actions
                                            Change Actions
                                            Training Actions
                                            Awards
Financial
Personnel
: EFAYS
                              I
                              I—
                                  Status Reporting
                                 Workload Tracking
                                 Workload Analysis
                                 Management Inflrmatjon/Data Sharing Program
                               PC&B & FTE Projections
                                Workforce Reporting
                                   PD/Job Analysis
                                     Dev/IDPs
                                Performance Agreements
                                      Figure 2.0.2
                                         Page 2-1

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                                     IHRS Concept
EPARSS consists of the services offered by the human resources offices which are provided as a
result of an incoming request (e.g., promotion, recruitment, training request, award). The objective
of EPARSS is to develop a suite of subsystems which will allow these requests to be initiated
electronically at the point of initiation (i.e., program office) and moved forward throughout the
Agency until the service requested has been rendered. The subsystems will be essentially "paperless"
and will provide for electronic signature and automatic tracking.

The objectives of the management information/data sharing program are to allow Agency-wide
access to human resources information already contained in existing personnel databases or in large
non-electronic files and to promote the electronic flow of data between the human resources offices
and the users of human resources information.
                                       Page 2-2

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                                 EPARSS Functional Model
                     3.0  EPARSS Functional Model
 A functional decomposition diagram (Appendix A1) of an EPA Personnel Action Request and
 Servicing System (EPARSS) was developed jointly with the human resources office through various
 JAD sessions. The diagram (summarized in Figure 3.0.1) identifies the major functions performed
 by the various human resources offices. Definitions of the functions are contained in Appendix A2.
 Additional detailed requirements work will be required to define the EP ARS S concept and to identify
 the functional processes which are realistically feasible candidates for automation.
                                      EPARSS
        int
  Tracking
Program
Request
  for
Service
  HR
Initiated
Actions


Benefit
Administration




Disciplinary
Actions


Reorganization


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Awards


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Retirement
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Labor/Emp
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                                    Figure 3.O.1


As pan of the scope of this phase, the "Process SF52s" and the "Process EPA3130", subordinate to
"Awards", functions were defined in more detail. The requirements for these two functions can be
found in Sections 4.0 and 5.0 respectively. In addition, first-generation prototypes were developed
for each one to assist with requirements identification, refinement and validation.

An entity relationship model was also developed containing the major data entities involved in the
processes (Appendix A3).  Definitions of the entities are contained in Appendix A4.

EPARSS will ultimately consist of a group of subsystems which support the various services offered
by the human resources organizations throughout EPA. These services are generally provided upon
the receipt of a service request (e.g., a form) from the requesting party. The service requests (e.g.,
promotion, recruitment, training request, award) are generally initiated as a standard form, sent to
a higher organizational level for signature(s) and then forwarded to the appropriate human resources
office for processing (i.e., servicing). Nearly all personnel actions identified in EPARSS follow this
flow (Figure 3.0.2).
                                       Page 3-1

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                       EPARSS Functional Model
      Generic  Form-Based System  Model
              Change in Request
             Rejected for Correction
Emu
      Form
   Preparation
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                                                  Service
                                                 Rendered
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                          Figure 3.0.2
                            Page 3-2

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                              SF52 Functional Requirements
                 4.0  SF52 Functional Requirements
4.1  Current Environment

The current SF52 process within EPA is predominantly manual and relies on the internal mail system
or hand-delivery to move the SF52 through the process. There are over 25,000 SF52-type personnel
actions processed per year throughout the Agency (Appendix A5). There are 16EPA locations which
process SFS2s and it is estimated that there are approximately 75 points of submission (i.e., final
points of approval/review prior to sending
the SF52 to Human Resources for process-
ing)  and well over 250 points of action
initiation (i.e., first point where a requester
originates the action).
SF52s (Appendix A12) are initiated in
program offices and forwarded to Human
Resources once the SF52 has  been offi-
cially authorized by the appropriate re-
questing office official. This signature
implies that budget, security and any other
required approvals have been secured.
Figure 4.1.1 provides an overview of the
SF52 processing flow.
                                                         Overview
                                                          of the
                                                           SF52
                                                           Flow
                                                        Figure 4.1.1
Once the SF52reaches the human resources
office (for example at EPA HQ), a cover
sheet is prepared and it is logged into the
automated Workload  Tracking System
(WTS). WTS captures the dates and remarks recorded manually on the cover sheet and produces
tracking and status reports. Typically, this data is entered or updated in the tracking system each time
the SF52 (and related paperwork) moves from one "desk" to another. The action is then forwarded
to the prescribed processing team.

The processing of an SF52 is variable depending upon the nature of the action being requested and
may take up to four months for completion. As the typical first step after logging, the SF52 goes to
a Classifier for evaluation and classification of the position description (PD), determination whether
thePD supports the grade, title and series, re view of promotion potential and assignment of the nature
of action code (NOAC). After classification, the SF52 moves to the staffer for completion.

The staffer will complete the SF52 data, prepare a vacancy announcement and conduct competition
and recruitment as required. After the action is completed (i.e., the position is filled), the SF52 is
sent to processing for final review and validation. It should be noted that there is a functional change
occurring within OHRM which will merge the functions of the classifier and staffer into a personnel
                                      Page 4-1

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                                SF52 Functional Requirements
specialist, however, this is not necessarily the case in the Regions.

The data is entered into EPAYS via 3 TAPP data entry screens (Appendix A14). EPAYS generates
OPM data and an SF50, which is filed on the right side (official) of the individual's Official Personnel
Folder (OPF).  The SF52 is filed on the left side (unofficial) of the OFF.

Although there are numerous types of personnel and position-related actions (Appendices A6 and
A7), there are generally two different procedural flows which occur when processing an SFS2:1)
recruitment and 2) change status. There are, however, variations of these flows based on the specific
nature of action being processed and the circumstances of the employee to which the action relates.
Figure 4.1.2 and 4.1.3, respectively, provide a summarized view of the processing of a typical
personnel action under each of these two scenarios.
                                     Recruitment
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                                        Page 4-2

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                              SF52 Functional Requirements
                                 Change Status
  Program
   Office
Personnel
 Security
  (IG)
Processing
EPAYS/
 TAPP
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                                                          Detail ft fcfisc Job
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4.2. Scope of the Proposed System

An SFS2 processing system for EPA should automate the entire flow of an SFS2 within the Agency,
starting with its initiation in the requesting office, through its processing in human resources, to its
ultimate  entry  into
EPAYS.  The system
should provide for the
"paperless" initiation,
processing, tracking and
routing of the SFS2 and,
to the extent possible,
its  supporting docu-
ments.  The system
should address recruit
and change status ac-
tions (Figure 4.2.1).
                                 Process
                                  SF52s
              Change
               Status

              Recruit
                                             Figure 4.2.1
                                      Page 4-3

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                               SF52 Functional Requirements
The system must service two distinct user groups:

1. Program Offices:  This part of the system will be used by the requesting offices (i.e., program
  offices) to:

       A. Initiate a request for a personnel action.
       B. Track the movement of requests for personnel action until all processing is completed and
         the requested action is effected
       C. Produce reports of both pending and completed actions.

2. Human Resources Offices: This part of the system will be used by the servicing human resources
  offices.

       A. Complete the request for a personnel action.
       B. Track the receipt and processing of requests for personnel action until all processing is
         completed and the requested action is effected.
       C. Produce reports of both pending and completed actions.
       D. Feed the action electronically into EPAYS.

Using the Automated SF52 System, program offices should be able to prepare and manage their
Requests for Personnel Action, SF52s, interactively with the use of computer terminals or PCs.
Information on Agency employees should be available from the current EPAYS master file to reduce
data entry and to provide the most up-to-date data available. Actions should be electronically routed
to all appropriate individuals in both the program and human resources offices. Access to any action
should be restricted by user "profiles" that will define the scope of access for each user of the system.
The actions should be "signed" electronically based on user profiles (in accordance with EPA
standards regarding electronic signature). The system should provide additional capabilities such
as:

       Q Tracking the progress of actions.
       G Sending courtesy copies of an action.
       Q Routing actions for concurrence.
       Q Viewing appropriate actions.
       Q Deleting actions.

The SF52 processing system  must comply with OPM's FPM Supplement 296-33, The Guide to
Processing Personnel Actions, and EPA Human Resources Policies. The system must be "decen-
tralized" in nature providing for use Agency-wide as a standard national administrative system for
each EPA location (Headquarters, Regions and Laboratories) that process their own SF52s.

The system must also comply with OIRM technical standards in terms of its programming language,
data manager,  telecommunications monitor and operating characteristics.  The system need  not
necessarily be centralized anditmay be desirable that certain functions operate in a local areanetwork
(LAN) environment.  In fact, the different operating environments encountered throughout  the
Agency may require the system to operate on different platforms (e.g., a LAN for selected Regions
                                       Page 4-4

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                               SF52 Functional Requirements
or Program Offices and the IBM mainframe for others).

4.3  Key Operating Requirements

The SF52 system should automate the various phases of requesting andprocessing a personnel action.
The system should include the following:

1. A Request for Personnel Action, SFS2, should be entered into the system at the requesting office
   level. The system should recognize those individuals in each program office who are authorized
   to initiate (input) a request, sign as a requesting official, and/or sign as an approving official

2. The system should automatically provide current employee personnel information, eliminating
   entry of the "from" information on the request and requiring entry of only that information which
   changes as a result of the requested action on the "to" portion of the action.

3. The system should allow for electronic signature.

4. The system should provide electronic forwarding of the SF52 between individuals who must
   provide data or sign the request.

5. The system should  automatically route the SFS2  to personnel security, if required, or the
   appropriate servicing human resources office after the approving official signs the request

6. The system should automatically route the SF52 to the first appropriate HR specialist (or team)
   for data input and/or approval as required based on the type of action requested by the program
   office.

7. The system should control input (change/update) based on the functional authority of the person
   attempting to update the SF52.

8. The system should control the routing of the SF52 to specific individuals based on functional
   authority and other criteria that identifies the individuals authority.

9. The system should identify the "normal" routing of an SFS2 and the functional areas (i.e.,
   Classification, Staffing, Team Leader, Processing) where action should be taken. The system
   should allow the current user to "interrupt" tine normal routing when circumstances warrant (e.g.,
   the action can be returned to Classification by a staffing specialist when an eligible candidate is
  not found at the grade level specified on the initial request).

10. The system should produce EPAYS update transactions for submission on a daily basis.

4.4 SF52 Functional Requirements

The SF52 requirements are documented from a perspective of the different system user types
                                      Page 4-5

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                               SF52 Functional Requirements
involved during the life-cycle of an SF52 (i.e., the point of creation of an SFS2 until it is entered into
EPAYS) and the functions which can be performed during various processes. This approach
effectively identifies the flow of the SF52 in the system and the functionality required for the various
users. Appendix AS documents several related general system concepts which may also assist with
the design and development of an SF52 system.

4.4.1 System User Types

The user system types reflect the stops the SFS2 must pass through in order to gather the required
data and signatures, and to comply with the required regulatory process and evaluation. The system
user types include:

       Q Viewer- a user given the authority toreceive and review a courtesy copy of the SF52. The
         "real" SF52 continues on its route, it is not held while the Viewer reviews it. The Viewer
         does not change it, sign it and can not send it to anyone else.

       Q Initiator - a user given the authority to create/initiate an SF52. The Initiator can not sign
         it and must send it to a Requesting Official for review and signature.

       Q Requesting Official - a user given the authority to create/initiate an SFS2. The Requesting
         Official can sign the SFS2 for those personnel within the authorized organizational
         hierarchy. The system will begin tracking all activities related to the SF52 once it is sent
         by the Requesting Official.

       Q Obligating Official - a user given the authority to verify the availability of funding for the
         action. The Obligating Official can sign the SFS2 and complete the appropriation code.
         The progress of the SF52 will  be stalled while under the ownership of the Obligating
         Official.

       Q Reviewing Official - a user given the authority to concur on the SF52. The Reviewing
         Official can not sign the SFS2.  The progress of the SF52 will be stalled while under the
         ownership of the Reviewing Official.

       Q Approving Official - a user given the authority to approve the SFS2. The Approving
         Official must sign the SFS2 before it can be sent to the Human Resources Office. The
         progress of the SF52 will be stalled while under the ownership of the Approving Official.

       Q Personnel Security - a user given the authority to determine position sensitivity for any
         newly established positions and to ensure that the  individual assuming the position
         satisfies the security requirements. The progress of the SFS2 will be stalled while under
         the ownership of the Personnel Security although certain actions can proceed without the
         completion of the security work (e.g., recruitment while the position is being filled) when
         the SFS2 is sent to Human Resources.

       Q Classifier - a human resources specialist given the authority to evaluate the SFS2 in terms


                                      Page 4-6

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                               SF52 Functional Requirements
         of the duties and responsibilities of the position and to assign a title, occupation series and
         grade to it. The progress of the SF52 will be stalled while under the ownership of the
         Classifier.

       Q Staffer - a human resources specialist given the authority to complete the employee related
         fields and to conduct recruitment activities associated with filling the position.  The
         progress of the SF52 will be stalled while under the ownership of the Staffer.

       Q Team Leader/Supervisor - a human resources supervisor given the authority to review and
         approve the work completed by the classifier and staffer prior to sending the SFS2 to
         processing where it will be released to EPAYS. The progress of the SF52 will be stalled
         while under the ownership of the Team Leader/Supervisor.

       Q  Processor - a human resources staff given the authority to perform final review and
         approval prior to releasing the SF52 into EPAYS. The progress of the SF52 will be stalled
         while under the ownership of the Processor.

       Q System Administrator - a user given authority to perform system administration functions
         such as maintain authority levels and relocate the ownership of an SFS2 from one user to
         another.

4.4.2 Functions

The functions reflect what can be done to the SF52.  The functions which the system should provide
include:

       Q Create Action - initiating an SFS2 by completing all prescribed data elements with the
         exception of the appropriation code and personnel security.

       Q Hold Action - maintaining ownership of the SFS2 while impeding its progress in the
         system. An SFS2 being held is still considered active in the system.

       Q Discard Action - eliminating a courtesy copy from the system.

       Q Add Data - adding additional data to the SFS2. The data elements for which the user is
         given access are controlled by their authority level.

       Q Change Data - changing existing data elements previously completed on the SFS2. The
         data elements for which the user is given access are controlled by their authority level.

       Q Delete Action - deleting (remove) an SF52 from the system.

       Q Sign Action - electronically signing an SFS2.

       Q Send Action - forwarding an SF52 to the next processing stop. This may include sending
                                       Page 4-7

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                               SF52 Functional Requirements
         courtesy copies or returning the SF52 to a lower level for correction or reconsideration.

       G Receive Action - receiving an SF52 sent by another system user.

       G View Action - looking at the data in an SFS2.

       G Print Action - creating a hardcopy of the SFS2 (the system is intended to be paperless so
         this function should be used infrequently, restricted or even eliminated)

       Q Request Report - generate reports about SF52s related to ones organization

       G Suspend Action - putting an SF52 on hold or effectively withholding processing on the
         action (e.g., recruit actions during a freeze).  The action is not considered active while
         suspended.

       G Reinstate Action - placing a previously suspended SFS2 back into the process.

       G Release to EPA YS - having the system generate the appropriate EPA YS transactions to
         update the EPAYS master files, and to allow EPA YS to generate an SFSO and prepare the
         CPDFdata.

       G Request Status - requesting the tracking history (i.e., activities and stops which occurred
         to the SF52) information contained in the sytem for the SF52 and any remarks/comments
         recorded while an individual had ownership.

       G Maintain Authority - creating and updating information about the system users.

       G Change Action Ownership - moving the SFS2 from one user to another (e.g., when an SFS2
         is stalled because the owner is on vacation).

These functions should be controlled based on the authority level of the user. The table in Figure
4.4.1 shows the relationship between the system user types and functions.

4.4 J  Ownership Concept

To maintain the security and the integrity of the SF52s being processed in the system, an "ownership"
concept must be employed.  This means that, like in a paper system, who ever holds an SFS2 is the
only one that can effect any changes to it while they have it. Therefore, the system should apply the
same concept by "locking out" other users from accessing an SFS2 that is not in their "electronic
mailbox".  For example, when an SF52 is initiated in the Program Office, the action  should be
considered as "owned" by the user who is initiating the action (i.e., the SF52 is in the user's mailbox).
Information should only be changed or deleted by the individual who "owns" the SF52. When an
action is "forwarded", the system should transfer ownership (i.e., the SF52 is now in a different
individual's mailbox  and can only be changed or deleted by the new owner). Users should act
(initiate, update, sign, etc.) on an SFS2 as soon as possible and then sendit to the next level for further
                                       Page 4-8

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                               SF52 Functional Requirements
Functions Cross-referenced to System User Types
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                               5F52 Functional Requirements
14 and above. The system should also control access to personnel actions and the routing of actions
based on the involved users':

       Q Organization code

       Q Submitting office number

       a Grade

Any action that meets a user's profile parameters can be viewed or included in reports requested by
that user regardless of who currently owns the action. Also, the status of any such action should be
accessible.

4.4.5  Data Requirements

The SF52 can be used to initiate approximately 120 different personnel actions. Consequently, there
are over ISOdifferent data elements required to document the various actions. For example, a recruit
action may begin with a simple request for eligibles and in the case of a new hire require nearly every
available data element. The data elements required for the different categories of NOACs are listed
in Appendix A14. An SFS2 Data Dictionary .published under separate cover, provides a description
and attributes of each data element. Appendix A9 lists the data elements and their page reference
number in the data dictionary.

The initiation of an action should require the minimum number of data elements. Most actions can
be initiated with a combination of the following data elements:

       Type of Personnel Action Being Requested
       Social Security Number
       Name
       Position Title
       Series
       Pay Plan
       Grade
       Step
       Salary
       Organization Code
       Location
       PD Number
       Account Number
       Effective Date
       Not-To-Exceed Date

The remainder of data elements required for the specific SF52 will be provided by the human
resources specialists who process the action.  They will require access to every SFS2 data element,
although not every data element is required for every action (Appendix A14).
                                      Page 4-10

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                                SF52 Functional Requirements
Exhibit El provides a "first generation" prototype with screens that contain data elements to support
the various system user types. The prototype also demonstrates the flow of an SF52 from point of
initiation through entry into EPA YS. The prototype will assist with funherrefinement and the design
of an operational SF52 system.

4.4.6  Forwarding and Routing

When an action is to be forwarded, the system should display a list of all users that the action can
be sent to (including for view only). The user should be able to select the individuals to receive the
action. Prior to forwarding, the action should be electronically signed if appropriate.  The system
should validate that the user receiving the action is authorized to get it and to perform the function
for which it is being sent (e.g., the system should not allow an SF52 to be sent for approval to a user
in the same organization but without the authority to approve it).

Anyone in the SF52 process should be able to send a copy of an "owned" action to another authorized
individual for signature, review/concurrence orinformation purposes (i.e., courtesy copy). Concur-
rence may be required for monitoring FTEs or when someone needs to be informed of all SF52 actions
prepared within their organization. The forwarding of an action to any user other than a Viewer
should impede the progress of the action, requiring that the receiver logon to the system and take
positive action (including forwarding). Viewing should not stop the progress or processing of the
action since it serves as information only and should not require/allow signature or forwarding.

When "forwarding" an SF52 action to human resources, the system should verify that all required
signatures have been obtained and determine which servicing human resources office should receive
the action based on the employee's organization code. Program office personnel should be able to
monitor the status of actions as they progress through the human resources organization; however,
the program office should not be allowed to make changes/updates after the action has been
forwarded to the servicing human resources office. If problems exist, the servicing human resources
office should return the action to the program office or make the changes, as appropriate.

SF52 actions are considered to be "active" any time prior to submission to EPAYS. Once an action
has been sent to EPAYS and the EPAYS master file has been updated, the SF52 information should
be transferred to a "history" file.

4.4.7  Electronic Signature

One of the requirements of the system will be to provide users with a secure and reliable method of
approving documents as they are passed from one system user to the next. Traditionally an SFS2
document requires the signature of requesting officials, approving officials and human resource
specialists. In the system, an electronic signature function will be  required to record the approval
of these individuals. The system should maintain a record of the signatures to support regulatory
documentation, audit and historical reporting requirements.  Electronic signature should comply
with EPA standards (an EPA committee is in the process of defining electronic signature standards)
and be approved by OPM as a legal technique for the signature of personnel action documents created
                                       Page 4-11

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                                SF52 Functional Requirements
and processed electronically.  Note: The prototypes contained herein have electronic signature
functions, however, they were developed prior to an Agency standard and are not considered
adequate for the purposes of a production system.

4.4.8  Identification of an SF52

A "control number" should be used by the SF52 system to uniquely identify each SF52. This number
should be system generated upon completion of initial data entry. Once an SFS2 is recorded in the
system, it should be accessible by:

       Q Selecting the action from a list presented by the system.

       Q Using the SF52 system control number.

       Q Selecting the action by the SSN or Name, if available.

4.4.9  Tracking

In the context of the SF52 system, tracking means maintaining a record of all movements of the SF52
within the system. Tracking should begin at the point that a Requesting Official sends it. It should
provide a clear record of what has happened to the SF52, who signed it, who presently has the action,
and how long each user had it.  SF52s kept more than a reasonable amount of time should be
periodically identified. The system should analyze the time frames that records are being held by
users and print "redline" analysis or send ticklers to notify users to take action.  Notification of
delayed SF52s should be presented on the user's screen in the form of a message.

The following events, at a minimum, should be recorded for purposes of tracking an SF52:

       Date originated in the Program Office
       Date approved in the Program Office
       Date of 2nd level approval in Program Office
       Date of budget approval
       Date of security approval
       Date received in human resources office
       Date to classifier
       Date to staffer
       Date to DEU
       Date to OPM
      Date job analysis completed
       Date vacancy announcement opened/closed
      Date cleared displaced employees list
      Date certification received from DEU/OPM
      Date certification returned to DEU/OPM
      Date certification sent to Program Office
      Date certification returned from Program Office
                                       Page 4-12

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                               SF52 Functional Requirements
       Effective date of action
       Date to processing
       Date to EPAYS/TAPP

4.4.10 Reporting

The system must produce tracking, workload, statistical, historical and management reports. The
system must also support program office inquiries for status information on personnel actions
currently in-process. The system should provide an ad hoc reporting capability to allow users to
request listings and information about the SF52s processed in the system (e.g., the number of action
processed for a specific program office). The majority of the reporting requirements of the system
should be met through the ad hoc reporting facility. The following lists several standardized reports
which should be available from the system:

       History of an SF52
       Summary of Completed Actions by Organization
       Completed Actions by Organization
       Completed Actions by Individual
       Actions Suspended
       Actions Being Held in Excess of xx Days
       Completed Actions by Type
       Open Actions By Type
       Open Actions by Individual
       Gains/Losses of FTEs by Organization
       "Redline" Analysis

4.4.11 System Interfaces

The SF52 system will require an interface with EPAYS, the major repository of EPA personnel/
payroll data. Data must be retrieved from EPAYS (or an extract file) to provide current information
about the employee referred to on the SFS2 and to provide historical SF52 activity (referred to as
SF7 data) to assist the human resources specialist review and process the action. The system must
also generate EPAYS transactions for each SFS2 which has passed through all signature levels and
satisfies all regulatory requirements as applied by the human resources specialist. The system should
apply as many EPAYS  and CPDF edits (Appendices A9, A10, Al 1 and A14) as possible prior to
releasing the SF52 to EPAYS.

4.4.12 Edit and Validation

To ensure that SF52s processed by the system are complete and accurate, the system should perform
comprehensive edits (e.g., numeric, relational, valid item, etc.) which are consistent with EPAYS
and CPDF edits (Appendix A10 and the SF52 Data Dictionary). The system should also validate that
all required fields for each NO AC are present (Appendix A14). A full SF52 edit should occur in
conjunction with the release of the SFS2 to EPAYS to reduce any risk that the generated EPAYS
transactions will not pass the nightly edit routine.
                                      Page 4-13

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                                SF52 Functional Requirements
 4.4.13 Operating Platforms

 There are 16 locations which process SF52s. The SF52 system supporting each location will require
 an electronic link between the human resources office and each system user within its serviced
 community.  There is no requirement for every system user to be linked electronically across
 organizational boundaries. Each location must also be linked to EPAYS to send completed SFS2s
 and to have access to personnel/payroll data (this data may be distributed).  Figure 4.4.2 graphically
 shows the required linkages.
                                      IBM MF RTF
                             EPAYS
                               Possible
                               Distributed
                                nnel/Payroll
                               Database
    Organization 1
                        Organization 2
Organization 1
Organization 2
                                   Figure 4.4.2
4.4.14 Security/Privacy

Personnel information (SSN and name) must be maintained in a secure environment as prescribed
by the 1974 Privacy Act. Since the SF52 system will contain this information, adequate security must
be provided in terms of access to the system as well as access to the SF52s contained in the system.
Authorized system users should only have access to SF52s related to their organization. Userprofiles
should be used to provide an adequate means of control over system and SFS2 access.

In addition, the EPAYS data that will be required (e.g., distributed to Program Offices) for query and
display fields on the SFS2 must also be maintained in a secure environment To minimize the need
for this type of data, a minimal number of data elements should be required from the Program Offices
in order to initiate a personnel action. The remaining SF52 data elements which should be retrieved
from EPAYS will only be retrieved at the time the  SF52 arrives in the human resources office.
                                       Page 4-14

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                                SF52 Functional Requirements
However, even with a minimal number of data elements, the system will require that selected
personnel data elements be accessible at the Program Office level. This data must be maintained in
a secure environment which satisfies the 1974 Privacy Act.

4.4.15 Related Documents

Although the automation of the SF52 will provide a significant benefit to the Agency, there are
additional supporting documents whose automation would even further enhance the overall process.
Many of these documents are required for specific personnel actions (e.g., a staffing requisition form
for a recruitment action or a position sensitivity analysis form when an action relates to a position
which has not been previously established). These documents will continue to be sent through the
internal mail system or hand-delivered.  To some degree, this parallel process may impede the
processing of the electronically transmitted SFS2 until the required documents arrive.

Many of the documents are simple and suitable for automation. The documents could be completed
electronically and appended to the SF52. The documents could be automated as future enhancements
to the baseline SF52 system. Appendix Aid contains a list of additional documents which should
be evaluated for future automation.

Another key document required in order to processnearly every SF52 is a Position Description (PD).
The PD describes the duties and responsibilities comprising the work assignment of a position to
which an employee is assigned. The automation of this document, however, would be a major
undertaking.
                                      Page 4-15

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SF52 Functional Requirements
 Intentionally left blank.
      Page 4-16

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                              Award Functional Requirements
                 5.0 Award Functional Requirements
5.1  Current Environment

The current Award process within EPA is manual and relies on the internal mail system or hand-
delivery to move the Award through the process. There are over 18,500 awards processed per year
throughout the Agency (Appendix AS). There are 16 EPA locations which process Awards.

Cash Awards (Appendix A13) are initiated
in program offices and forwarded to Hu-
man Resources once the Award has been
officially authorized by the appropriate
requesting office official. This signature
implies that budget and any other required
approvals have been secured. Figure 5.1.1
provides an overview of the Award pro-
cessing flow.

Once the Award reaches the human re-
sources office it is evaluated in terms of the
regulatory requirements. If it is  deter-
mined that it complies, the award is granted
and, if appropriate, itis entered intoEPAYS.
                                                      Figure 5.1.1
The data is entered into EPAYS via 3
TAPP data entry screens.  EPAYS gener-
ates OPM data and an SF50, if requested.

5.2. Scope of the Proposed System
An Award processing system for EPA should automate the entire flow of an Award within the
Agency, starting with its initiation in the requesting office, through its processing in human resources,
to its ultimate entry into EPAYS.  The system should provide for the "paperless" initiation,
processing, tracking and routing of the Award.

The objective of the award system is to reduce, if not eliminate, the need for extensive review and
evaluation of the award in the human resources office.  The system should perform as many
regulatory edits as possible. This will require access to EPAYS and historical award information.

The system must service two distinct user groups:

1. Program Offices: This pan of the system will be used by the requesting offices (i.e., program
   offices) to:
                                      Page 5-1

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                              Award Functional Requirements
       A. Initiate an award.
       B. Track the movement of awards until all processing is completed and the award is effected.
       C. Produce reports of both pending and completed awards.

2. Human Resources Offices: This part of the system will be used by the servicing human resources
   offices.

       A. Review the award, if required.
       B. Track the receipt and processing of awards.
       C. Produce reports of both pending and completed awards.
       D. Feed the award electronically into EPAYS.

Using the Automated Award System, program offices should be able to prepare and manage their
Awards interactively with the use. of computer terminals or PCs. Information on Agency employees
and their award history should be available from the current EPAYS master file to reduce data entry
and to provide for the regulatory edits. Awards should be electronically routed to all appropriate
individuals in both the program and human resources offices. Access to any award should be
restricted by user "profiles*' that will define the scope of access for each user of the system. The
Awards should be "signed" electronically based on user profiles (in accordance with EPA standards
regarding electronic signature).  The system should provide additional capabilities such as:

       G  Tracking the progress of an Award.
       Q  Sending courtesy copies of an Award.
       Q  Viewing appropriate Awards.
       Q  Deleting an Award.

The Award processing system must comply with EPA's 3130 Awards Manual and OPM require-
ments.  The system must be "decentralized" in nature providing for use Agency-wide as a standard
national administrative system for each EPA location (Headquarters, Regions and Laboratories) that
process their own Awards.

The system must also comply with OIRM technical standards in terms of its programming language,
data manager, telecommunications monitor and operating characteristics.  The system need not
necessarily be centralized anditmay be desirable that certain functions operate inalocalareanetwork
(LAN) environment.  In fact, the different operating environments encountered throughout the
Agency may require the system to operate on different platforms (e.g., a LAN for selected Regions
or Program Offices and the IBM mainframe for others).

53 Key Operating Requirements

The Award system should automate the various phases of requesting and processing a personnel
Award. The system should include the following:
                                      Page 5-2

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                               Award Functional Requirements
 1. An Award should be entered into the system at the requesting office level. The system should
   recognize those individuals in each program office who are authorized to initiate (input) an award,
   sign as a requesting official, and/or sign as an approving official.

 2. The system should automatically provide current employee personnel information and edit the
   Award for regulatory compliance.

 3. The system should allow for electronic signature.

 4. The system should provide electronic forwarding of the Award between individuals who must sign
   the Award.

 5. The system should automatically route the Award to the appropriate servicing human resources
   office after the approving official signs the request

 6. The system should automatically route the Award to the appropriate HR specialist (or team) for
   review and approval, if required.

 7. The system should control input (change/update) based on the functional authority of the person
   attempting to update the Award.

 8. The system should control the routing of the Award to specific individuals based on functional
   authority and other criteria that identifies the individuals authority.

 9. The system should produce EPAYS update transactions for submission on a daily basis.

 5.4  Award Functional Requirements

 The Award requirements are documented from a perspective of the different system user types
 involved during the life-cycle of an Award (i.e., the point of creation of an Award until it is entered
 into EPAYS) and the functions which can be performed during various processes. This approach
 effectively identifies the flow of the Award in the system and the functionality required for the various
 users. Appendix A8 documents several related general system concepts which may also assist with
 the design and development of an  Award system.

5.4.1 System User Types

The user system types reflect the stops the Award must pass through in order to gather the required
data and signatures, and to comply  with the required regulatory process and evaluation.  The system
user types include:

      G Viewer - a user given the authority to receive and review a courtesy copy of the Award.
         The "real" Award continues on its route, it is not held while the Viewer reviews it. The
         Viewer does not change it, sign it and can not send it to anyone else.
                                     Page 5-3

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                               Award Functional Requirements
       Q Initiator - a user given the authority to create/initiate an Award. The Initiator can not sign
          it and must send it to a Requesting Official for review and signature.

       Q Requesting Official-a user given the authority tncreatft/jniriatp.an Awatiri  TheRequesting
          Official can sign the Award for those personnel within the authorized organizational
          hierarchy. The system will begin tracking all activities related to the Award once it is sent
          by the Requesting Official.

       Q Obligating Official - a user given the authority to verify the availability of funding for the
          Award. The Obligating Official can sign the Award and complete the account number.
          The progress of the Award will be stalled while under the ownership of the Obligating
          Official.

       Q Approving Official - a user given the authority to appmve ttip. Award  The Approving
          Official must sign the Award before it can be sent to the Human Resources Office. The
          progress of the Award will be stalled while under the ownership of the Approving Official.

       Q Human Resource Specialist - a human resources specialist given the authority to review
          and approve the Award and to release it to EPAYS.  The progress of the Award will be
          stalled while under the ownership of the human resources specialist.

       Q System Administrator - a user given authority to perform system administration functions
          such as maintain authority levels and relocate the ownership of an Award from one user
          to another.

5.4.2 Functions

The functions reflect what can be done to the Award. The functions which the system should provide
include:

       Q Create Award - initiating an Award by completing all prescribed data elements with the
         exception of the appropriation code and personnel security.

       Q Hold Award - maintaining ownership of the Award while impeding its progress in the
         system.  An Award being held is still considered active in the system.

       Q Discard Award - eliminating a courtesy copy from the system.

       Q Add Data - adding additional data to the Award. The data elements for which the user is
         given access are controlled by their authority level.

       Q Change Data - changing existing data elements previously completed on the Award. The
         data elements for which the user is given access are controlled by their authority level.
                                      Page 5-4

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                              Award Functional Requirements
       Q Delete Award - deleting (remove) an Award from the system.

       Q Sign Award - electronically signing an Award.

       Q Send A ward - forwarding an Award to the next processing stop. This may include sending
         courtesy copies or returning the Award to a lower level for correction or reconsideration.

       Q Receive Award - receiving an Award sent by another system user.

       Q View Award - looking at the data in an Award.

       Q Print Award - creating a hardcopy of the Award (the system is intended to be paperless
         so this function should be used infrequently, restricted or even eliminated)

       Q Request Report - generate reports about Awards related to ones organization

       Q Release to EPAYS - having the system generate the appropriate EPAYS transactions to
         update the EPAYS master files.

       Q Request Status - requesting the tracking history (i.e., activities and stops which occurred
         to the Award) information contained in the system for the Award.

       Q Maintain Authority - creating and updating information about the system users.

       Q Change Award Ownership - moving the Award from one user to another (e.g., when an
         Award is stalled because the owner is on vacation).

These functions should be controlled based on the authority level of the user. The table in Figure
5.4.1 shows the relationship between the system user types and functions.

5.4 J  Ownership Concept

To maintain the security and the integrity of the  Awards being processed in the system, an
"ownership" concept must be employed. This means that, like in a paper system, who ever holds an
Award is the only one that can effect any changes to it while they have it. Therefore, the system should
apply the same concept by "locking out" other users from accessing an Award that is not in their
"electronic mailbox". For example, when an Award is initiated in the Program Office, the Award
should be considered as "owned" by the user who is initiating the Award (i.e., the Award is in the
user's mailbox). When an Award is "forwarded", the system should transfer ownership (i.e., the
Award is now in a different individual's mailbox). Users should be notified on their screen when
an Award is in their mailbox awaiting an action on their part. The system should also track who has
the Award, when they received it and when they forwarded it
                                      Page 5-5

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                               Award Functional Requirements
Functions Cross-referenced to System User Types

FuftdftK*
Create Award
Hold Award
DacardCopy
Add Data
Change Data
Delete Award
Sign Award
Send Award
Receive Award
View Copy
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Request Report
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Maintain
Authority Levels
Change Award
Ownership
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                                    Figure 5.4.1
5.4.4  System Access
Access and functional capability assigned to a user of the Award system should be controlled by a
"user profile". The user profile should serve several functions:

       Q Define the authority level of the user.

       Q Control system access (system security).

       Q Direct Award forwarding and routing.

       Q Control the electronic signature process.

       Q Control access to Awards contained in the system.
                                        Page 5-6

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                               Award Functional Requirements
A user may require several profiles in the system based on their required duties and access authority.
For example, a user may be an approving official for grades 1-13 and a requesting official for grades
14 and above. The system should also control access to personnel Award and the routing of Award
based on the involved users':

       Q Organization code

       Q Submitting office number

       Q Grade

Any Award that meets a user's profile parameters can be viewed or included in reports requested by
that user regardless of who currently owns the Award. Also, the status of any such Award should
be accessible.

5.4.5  Data Requirements

The initiation of an Award requires the following data elements:

       Type of Award Being Requested
       Social Security Number
       Name
       Period of performance (From/To)
       Account Number
       Tangible Amount of Benefit
       Amount of Award
       Hours
       Justification
       Person to Receive Check

Additional data elements are required to evaluate the Award. The system should retrieve the required
data elements from EPAYS for purposes of the regulatory edits. These data elements include:

       Time off YTD
       Salary
       Current Performance Rating
       Cash Awards YTD

Exhibit E2 provides a "first generation" prototype with screens that contain data elements to support
the various system user types. The prototype also demonstrates the flow of an Award from point of
initiation through entry into EPAYS. The prototype will assist with furtherrefinementandthe design
of an operational Award system.
                                       Page 5-7

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                               Award Functional Requirements
5.4.6 Forwarding and Routing

When an Award is to be forwarded, the system should display a list of all users that the Award can
be sent to (including for view only). The user should be able to select the individuals to receive the
Award. Prior to forwarding, the Award should be electronically signed if appropriate. The system
should validate that the user receiving the Award is authorized to get it and to perform the function
for which it is being sent (e.g., the system should not allow an Award to be sent for approval to a user
in the same organization but without the authority to approve it).

Anyone in the Award process should be able to send a copy of an "owned" Award to another
authorized individual for signature or information purposes (i.e., courtesy copy). The forwarding
of an Award to any user other than a Viewer should impede the progress of the Award, requiring that
the receiver logon to the system and take positive action (including forwarding). Viewing should
not stop the progress or processing of the Award since it serves as information only and should not
require/allow signature or forwarding.

When "forwarding" an Award to human resources, the system  should verify that all required
signatures have been obtained and determine which servicing human resources office should receive
the Award based on the employee's organization code.  Program office personnel should be able to
monitor the status of Award as they progress through the human resources organization; however,
the program office should not be allowed to make changes/updates after the Award has been
forwarded to the servicing human resources office. If problems exist, the servicing human resources
office should return the Award to the program office.

An Award is considered to be "active" any time prior to submission to EPAYS. Once an Award has
been sent to EPAYS and the EPAYS master file has been updated, the Award information should
be transferred to a "history" file.

5.4.7 Electronic Signature

One  of the requirements of the system will be to provide users with a secure and reliable method of
approving Awards as they are passed from one system user to the next Traditionally an Award
document requires the signature of requesting officials, obligating official and approving officials.
In the system,  an  electronic signature function will be required to record the approval of these
individuals. The system should maintain a record of the signatures to support regulatory documen-
tation, audit and historical reporting requirements. Electronic signature should comply with EPA
standards (an EPA committee is in the process of defining electronic signature standards) and be
approved by OPM as a legal technique for the signature of Award documents created and processed
electronically. Note: The prototypes contained herein have electronic signature functions, however,
they  were developed prior to an Agency standard and are not considered adequate for the purposes
of a production system.

5.4.8 Identification of an Award

A "control number" should be used by the Award system to uniquely identify each Award. This
                                        Page 5-8

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                              Award Functional Requirements
number should be system generated upon completion of initialdata entry. Once an A ward is recorded
in the system, it should be accessible by:

       G Selecting the Award from a list presented by the system.

       Q Using the control number.

       G Selecting the Award by the SSN or Name, if available.

5.4.9 Tracking

In the context of the Award system, tracking means maintaining a record of all movements of the
Award within the system. Tracking should begin at the point that a Requesting Official sends it. It
should provide a clear record of what has happened to the Award, who signed it, who presently has
the Award, and how long each user had it. Awards kept more than a reasonable amount of time should
be periodically identified. The system should analyze the time frames that records are being held
by users and print "redline" analysis or send ticklers to notify users to take action. Notification of
delayed Awards should be presented on the user's screen in the  form of a message.

The following events, at a minimum, should be recorded for purposes of tracking an Award:

       Date originated in the Program Office
       Date approved in the Program Office
       Date of 2nd level approval in Program Office
       Date of budget approval
       Date received in human resources office
       DatetoEPAYS/TAPP

5.4.10  Reporting

The system must produce tracking, workload, statistical, historical and management reports. The
system must also support program office inquiries for status information on Awards currently in-
process. The system should provide an ad hoc reporting capability to allow users to request listings
and information about the Awards processed in the system (e.g., the number of A ward processed for
a specific program office). The majority of the reporting requirements of the system should be met
through the ad hoc reporting facility. The following lists several  standardized reports which should
be available from the system:

       History of an Award
       Summary of Completed Awards by Organization
       Completed Awards by Organization
       Completed Awards by Individual
       Awards Being Held in Excess of xx Days
       Completed Awards by Type
       Open Awards By Type
                                       Page 5-9

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                               Award Functional Requirements
       Open Awards by Individual

5.4.11 System Interfaces

The Award system will require an interface with EPAYS, the major repository of EPA personnel/
payroll data. Data must be retrieved from EPAYS (or an extract file) to provide current information
about the employee referred to on the Award and to provide historical Award activity to permit the
system perform the regulatory edits. The system must also generate EPAYS transactions for each
Award which has passed through all signature levels and satisfies all regulatory requirements as
applied by the system and human resources specialist

5.4.12 Edit and Validation

To ensure that Awards processed by the system are complete and accurate, the system should perform
edits (e.g., numeric, relational, valid item, etc.) which are consistent with the regulatory require-
ments.

5.4.13 Operating Platforms

There are 16 locations which process Awards. The Award system supporting each location will
require an electronic link between the human resources office and each system user within its serviced
community.  There is no requirement for every system  user to be  linked electronically across
organizational boundaries. Each location must also be linked to EPAYS to send completed Awards
and to have access to personnel/payroll data (this data may be distributed).  Figure 5.4.2 graphically
shows the required linkages.

5.4.14 Security/Privacy

Personnel information (SSN and name) must be maintained in a secure environment as prescribed
by the 1974 Privacy Act Since the Award system will contain this information, adequate security
must be provided in terms of access to the system as well as access to the Awards contained in the
system. Authorized system users should only have access to Awards related to their organization.
User profiles should be used to provide an adequate means of control over system and Award access.

In addition, the EPAYS data that will be required (e.g., distributed to Program Offices) for query,
regulatory edits and display fields on the Award must also be maintained in a secure environment.
This data must be maintained in a secure environment which satisfies the 1974 Privacy Act
                                       Page 5-10

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                               Award Functioned Requirements
                                       IBM MF RTP
                            EPAYS
                               Possible
                              Distributed
                              rsonnel/Payroll
                               Database
QrgamzaDon 1
Organizaoon 2
                                     Organization 1
Organization 2
                                       Figure 5.4.2
                                         Page 5-11

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Award Functional Requirements
  Intentionally left blank.
         Page 5-12

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             Appendix Al
EPARSS Functional Decomposition Diagram

-------
                    ng
J
                                                                                               Transfer
                                                                                J
                                                                       I
                                                       EPt
1
                                                                                                          AMISC,
Reassign

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                                                                                                                                6PW
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                                                                                                                  Recruit
                                                             I
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                               I
                                                     Accretion'
P|  (    Register | f    rajao  |  f    ivlpp   | [    DhU   |
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-------
EPAHSS
       J
                         IVB
Transfer
Reinstate
I
                                                                          Awards
                                                                    I
                                                                                                        ]i PQCflSS ^k


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                                                                                                              *1
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                                                                                                                _1-

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           Counsel)
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increoso.
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Onentatior
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 Process
I
 I

-------
             Appendix A2
EPARSS Functional Decomposition Diagram
              Definitions

-------
Application Development Workstation
Object Summary Report
03-30-1992   01:23:48 PM   NEWUSER   EPARSS                          Page 1

   icess:  Accretion

   Definition
   An increase in the job duties and responsibilities which result in a
   bonus,  promotion,  within grade step increase and/or a reclassification
   of the position.

   PROPERTY              VALUE

   Last Update           1991/11/26 10:50 NEWUSER
   Created               1991/11/21 12:28:04 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Promotion

Process:  Admin and Corrective Actions

   PROPERTY              VALUE

   Last Update           1992/03/27 19:57 NEWUSER
   Created               1992/03/27 19:57:51 NEWUSER

   ASSOCIATION           TYPE                   NAME


Process:  Applicant Tracking

   Definition
   The process of tracking "unsolicited" applicants which have  applied for
   a job or have sent a resume/SF171 to EPA. These may result from  job
   fairs,  mail-ins,  etc.

   PROPERTY              VALUE

   Last Update           1991/11/26 14:16 NEWUSER
   Created               1991/11/08 09:23:16 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                EPARSS

Process:  Awards

   Definition
   The processing of awards, either monetary or in a written  form,  which
   are given to employees for exemplary service or performance.


    /ledgeWare, Inc.

-------
Object Summary Report                                                Page  2


   PROPERTY              VALUE

   Last Update           1991/11/26 08:17 NEWUSER
   Created               1991/11/15 13:28:13 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Process SES Awards
                                                Process Honor
                                                Process On-the-Spot
                                                Process EPA3130
   Is Part Of            Process                Program Request for Service

Process: Benefit Administration

   Definition
   Personnel actions that support the choice and assignment of employee
   benefits such as health insurance, disability insurance, life
   insurance, sick leave/ etc.

   PROPERTY              VALUE

   Last Update           1992/03/27 20:15 NEWUSER
   Created               1991/11/08 09:07:24 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Program Request for Service

Process: Career Ladder

   Definition
   A pre-defined increase which an employee is entitled to as a result of
   satisfying the length of service and performance requirements of the
   position.


   PROPERTY              VALUE

   Last Update           1991/11/26 10:53 NEWUSER
   Created               1991/11/08 09:38:28 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Promotion

Process: Career Ladder Certification

   Definition


KnowledgeWare, Inc.

-------
Object Summary Report                                                Page 3
   This process is initiated by OHRM/HROs to move an employee from their
   existing grade to the next grade when the length of time and
   performance requirements in a career ladder position have been
   satisfied.

   PROPERTY              VALUE

   Last Update           1991/12/05 17:52 NEWUSER
   Created               1991/11/15 12:55:39 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                HR Initiated Actions

Process: Change Retirement Systems

   Definition
   The processing of an action to transfer an employee from one
   retirement benefit program to another (i.e., prior retirement program
   to FERS).

   PROPERTY              VALUE

   Last Update           1991/11/26 09:54 NEWUSER
   Created               1991/11/15 12:48:47 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Retirement Administration

Process: Change Status

   Definition
   Processing of personnel actions consisting of details, miscellaneous
   job changes, conversions, reassignments, separations and miscellaneous
   changes

   PROPERTY              VALUE

   Last Update           1992/03/29 08:11 NEWUSER
   Created               1991/12/05 18:04:21 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Promotion
                                                Misc. Change
                                                Separation
                                                Reassignment
                                                Conversion
                                                Detail & Misc Job Change
   Is Part Of            Process                Process SF52s


KnowledgeWare, Inc.

-------
Object Summary Report                                                Page 4

Process: Competitive

   Definition
   All civilian  positions in the Federal Government that are not
   specifically excepted from the Civil Service laws by or under statute,
   by the President, or by 0PM under Rules VI or IX

   PROPERTY              VALUE

   Last Update           1992/03/27 20:18 NEWUSER
   Created               1991/12/05 18:05:32 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                DEU
                                                MPP
                                                Register
                                                Direct Hire
   Is Part Of            Process                Recruit

Process: Conversion

   Definition
   The transfer of an employee from one appointment to another appoinment
   within the Agency without a break in service in excess of three days.

   PROPERTY              VALUE

   Last Update           1991/11/26 11:53 NEWUSER
   Created               1991/11/26 11:50:45 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Change Status

Process: Detail & Misc Job Change

   Definition
   A temporary assignment of an employee to a different position for a
   specified period of time,  with the employee returning to their regular
   duties at the end of the detail

   PROPERTY              VALUE

   Last Update           1992/03/27 20:05 NEWUSER
   Created               1991/12/05 18:16:28 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Change Status


KnowledgeWare,  Inc.

-------
Object Summary Report                                                Page 5

Process: DEU

   Definition
   The Office of Personnel Management approval to operate  a  specific
   official position series recruiting, testing and hiring facility

   PROPERTY              VALUE

   Last Update           1992/03/29 09:00 NEWUSER
   Created               1991/12/05 18:08:37 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Competitive

Process: Direct Hire

   Definition
   0PM approved Agency recruiting plan which expedites the recruitment of
   persons for appointments to positions in shortage occupations

   PROPERTY              VALUE

   Last Update           1992/03/27 20:07 NEWUSER
   Created               1991/12/05 18:07:10 NEWUSER

   \SSOCIATION           TYPE                   NAME

   Is Part Of            Process                Competitive

Process: Disciplinary Actions

   Definition
   The processing of disciplinary actions being brought against employees
   who have violated Agency or Federal rules or who have demonstrated
   unsatisfactory performance.

   PROPERTY              VALUE

   Declared Root         N
   Last Update           1991/11/26 09:13 NEWUSER
   Created               1991/11/08 09:06:09 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Program Request for Service

Process: EPARSS

   Definition


KnowledgeWare, Inc.

-------
 Object  Summary Report                                                Page 6
    The  EPA Personnel Action  Request and Servicing  System  (EPARSS)  is the
    component  of the Integrated Human Resources System  (IHRS) which
    automates  all  incoming  requests for human resources  services.  The scope
    of the system  includes  the  automation of the request from the  point of
    the  initiation in the program office through its processing  in
    OHRM/HR Offices until it  is entered automatically into  the EPAYS/TAPP
    system.

    PROPERTY              VALUE

    Declared Root         Y
    Last Update           1991/11/26 14:26 NEWUSER
    Created               1991/11/08 09:24:21 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Involves              Entity Type            History, SF52 Processing
                                                SF52
                                                SF182
                                                Awards  SF3130
                                                Performance Appraisal
                                                GARL
                                                Benefit
                                                Course  Registration
                                                Course  Catalog
                                                Training Costs
                                                Training History
                                                Employee
                                                NOA History
                                                Applicant
                                                Vacancy Announcement
                                                Position Description
                                                Positions
                                                1-page  Registration
                                                Pending Training  Registration
                                                Pending SF52 Action
                         Relationship Type      NOA History Tracks Actions
                                                   Related to Employee
                                                Awards  SF3130 Given to Employe

                                                Awards  SF3130 Recorded in NOA
                                                   History
                                                Training History  Has Training
                                                   Costs
                                                SF182 Requests  training for
                                                   Employee
                                                Course  Registration Registers
                                                   from SF182
                                                Applicant  May become an Employ
e
                                                Employee Has a  Positions


KnowledgeWare, Inc.

-------
 Object  Summary  Report
n
n
   Consists of
Process
Process: HR Initiated Actions

   Definition
                      Page 7
Vacancy  Announcement  Initiated
    by  SF52
Positions Have  Position
    Description
Applicant Apply for Positions
Applicant Apply to Vacancy
    Announcement
Course Registration Registers
    for Course Catalog
Employee Have Benefit
SF52 Effects Employee
Performance Appraisal Describe

    Employee
History, SF52 Processing Track

    SF52
Employee Has Training History
SF182  Creates Training History
Position Description  Decribes
    duties of Employee
Employee Effected by  GARL
Vacancy  Announcement  Duties
    described by Position
    Description
NOA History Created by SF52
Performance Appraisal Creates
    NOA History
Employee Generates 1-page
    Registration
1-page Registration Registers
    Course Registration
1-page Registration Generates
    Training History
NOA History Created by GARL
Pending  SF52 Action Created by
    SF52
SF182  Creates Pending Training
    Registration
1-page Registration Creates
    Pending Training Registrati

SF52 Change Position  Descripti

HR  Initiated Actions
Program  Request for Service
Applicant Tracking
             ,  Inc.

-------
 Object Summary Report                                                Page 8
   This includes the processes involved with the initiation of personnel
   actions by OHRM/HR Offices which result in SF52s. For example,
   automatically informing employees of their eligibility for certain
   increases.

   PROPERTY              VALUE

   Last Update           1991/12/05 17:47 NEWUSER
   Created               1991/11/15 12:53:18 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Probation Certificates
                                                Performance Data
                                                Career Ladder Certification
                                                Within Grade Increase
                                                Orientation
                                                Pay Adjustment
                                                Service Computation Date
   Is Part Of            Process                EPARSS

 Process: Labor/Emp Relations & Counseling

   Definition
   The conduct of union negotiations throughout the agency, the active
   participation and involvement in establishing programs that improve the
   morale and welfare of EPA employees and the provision of alcohol and
   drug abuse counseling and support

   PROPERTY              VALUE

   Last Update           1992/03/27 20:12 NEWUSER
   Created               1991/12/05 18:00:56 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Program Request for Service

Process: Mass Transfer

   Definition
   The processing of an action which transfers an external organizational
   unit into EPA.  This action results in the incorporation of new
   employees within the Agency.  Group Action Request Lists  (GARL) are
   prepared to execute the mass transfer of the new employees to the
   Agency.

   PROPERTY              VALUE

   Last Update           1991/11/26 09:21 NEWUSER
   Created               1991/11/21 12:21:56 NEWUSER


KnowledgeWare,  Inc.

-------
 Object  Summary Report                                                Page 9

    ASSOCIATION           TYPE                   NAME

    Consists of           Process                Process  to  EPAYS/TAPP
                                                Prepare  GARL
    Is Part Of            Process                Reorganization

 Process: Misc. Change

    Definition
    The  processing of actions considered  "simple"  in nature  which  require
    some limited classification or staffing function for  their execution.

    PROPERTY              VALUE

    Last Update           1991/11/26 14:19 NEWUSER
    Created               1991/11/08 11:12:40 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Is Part Of            Process                Change Status

 Process: MPP

    Definition
    The  consideration of an employee for a vacant  position on the  basis of
    oersonal merit.  Vacant positions are normally filled through
    ompetition with applicants being evaluated and ranked for the position
    oased on their experience, education, skills and performance record

    PROPERTY              VALUE

    Last Update           1992/03/29 08:22 NEWUSER
    Created               1991/12/05 18:08:36 NEWUSER

   ASSOCIATION           TYPE                   NAME

    Is Part Of            Process                Competitive

Process: NACI Process

   Definition
   The investigation of applicants and new employees for
   non-sensitive/low-risk Federal positions by means of a mame check
   through national investigative files and voucher inquiries

   PROPERTY              VALUE

   Last  Update           1992/03/29 08:26 NEWUSER
   Created               1991/11/15 12:52:44 NEWUSER
KnowledgeWare,  Inc.

-------
Object Summary Report                                               Page 10
   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Orientation

Process:  Non-Competitive

   Definition
   Personnel actions based on prior service and made  without regard to
   Civil  Service registers of eligibles or to  the priorities required for
   making temporary appointments outside the register

   PROPERTY              VALUE

   Last Update           1992/03/29 08:17 NEWUSER
   Created               1991/12/05 18:05:33 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Temporary Appointment
                                                Reinstatement
                                                Transfer
                                                Other Non-Comp Appointment
   Is Part Of            Process                Recruit

Process:  Orientation

   Definition
   The initial processing of a new employee to include the explanation  of
   the various benefits that are available, the review of Civil Service
   plicies and procedures, the review of Agency policies such as work
   hours, time off, travel, and the preparation of NACI forms

   PROPERTY              VALUE

   Last Update           1992/03/29 08:47 NEWUSER
   Created               1991/12/05 17:54:13 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                NACI  Process
   Is Part Of            Process                HR Initiated Actions

Process:  Other Non-Comp Appointment

   Definition
   Personnel actions based on prior service and made  without regard to
   Civil  Service registers or to the priorities required for making
   temporary appointments outside the register

   PROPERTY              VALUE
KnowledgeWare, Inc.

-------
 Object Summary Report                                                Page 11
   Last Update           1992/03/29 08:56 NEWUSER
   Created               1992/03/21 13:09:52 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Non-Competitive

 Process: Pay Adjustment

   Definition
   Any increase or decrease in an employees rate of basic pay when there
   is no change in the duties and responsibilities of the employees
   position.  A pay adjustment may include a change in the  employee's step
   or a change in the system under which the employee is paid

   PROPERTY              VALUE

   Last Update           1992/03/29 09:02 NEWUSER
   Created               1991/12/05 17:54:12 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                HR Initiated Actions

Process: Performance Data

   Definition
   "Specific NOAC' s related to an individuals current performance level
   ouch as a PMRS denial within-grade  (891) or a performance level update
   (009)

   PROPERTY              VALUE

   Last Update           1992/03/29 08:50 NEWUSER
   Created               1991/11/15 12:55:39 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                HR Initiated Actions

Process:  Prepare GARL

   Definition
   The preparation of the Group Action Request List (GARL)  to execute the
   mass transfer of employees.

   PROPERTY              VALUE

   Last Update           1991/11/26 14:20 NEWUSER
   Created               1991/11/23 10:31:41 NEWUSER
             ,  Inc.

-------
Object Summary Report
   ASSOCIATION           TYPE

   Is Part Of            Process
Process:  Probation Certificates
                                            Page 12
                       NAME

                       Mass Transfer
                       Realignment
   Definition
   The process within OHRM/HR Offices for the automatic preparation of a
   probation certificate for employees which have satisfied the length of
   service and performance requirements of their probationary period.
   PROPERTY

   Last Update
   Created

   ASSOCIATION

   Is Part Of
VALUE

1991/11/26 14:30 NEWUSER
1991/11/15 12:55:40 NEWUSER
TYPE

Process
NAME

HR Initiated Actions
Process: Process 1-page Registration
   Definition
   The processing of the 1-page registration form used to register
   employees for in-house training courses.  The courses may be cost or
   no-cost type courses.  The 1-page forms are compiled onto Group
   Training Forms (which become the registration lists for the course).
   PROPERTY

   Last Update
   Created

   ASSOCIATION

   Consists of

   Is Part Of
VALUE

1991/11/26 08:52 NEWUSER
1991/11/19 10:56:47 NEWUSER
TYPE

Process

Process
NAME

Process No-cost  Training
Process Cost  Training
Validate  Training Registration
Process: Process Cost Training
   Definition
   The processing of 1-page registration forms for internal courses which
   cost the "employee" to attend.  The form requires accounting
   information which must be provided to finance.
   PROPERTY

   Last Update
   Created
VALUE

1991/11/26 14:20 NEWUSER
1991/11/19 10:56:45 NEWUSER
KnowledgeWare, Inc.

-------
Object Summary Report                                                Page 13

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Process  1-page Registration

Process: Process EPA3130

   Definition
   The processing of awards recorded via form EPA3130. These awards
   include Special Acts, Sustained Superior Performance, QSI and Time-off.

   PROPERTY              VALUE

   Last Update           1992/03/30 13:18 NEWUSER
   Created               1991/11/23 10:39:50 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Awards

Process: Process Honor

   Definition
   The processing of a Honor award.

   PROPERTY              VALUE
        Update           1991/11/26 08:33 NEWUSER
   Created               1991/11/23 10:39:51 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Awards

Process: Process No-cost Training

   Definition
   The processing of 1-page resistration forms for internal courses which
   have no costs associated with attendence.

   PROPERTY              VALUE

   Last Update           1991/11/26 08:56 NEWUSER
   Created               1991/11/19 10:56:46 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Process 1-page Registration

Process: Process On-the-Spot
KnowledgeWare,  Inc.

-------
Object Summary Report                                                Page 14
   Definition
   The processing of ON THE SPOT awards which were given to employees for
   a special performance.


   PROPERTY              VALUE

   Last Update           1991/11/26 08:31 NEWUSER
   Created               1991/11/23 10:39:50 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Awards

Process: Process Retirement

   Definition
   The processing of a personnel action which retires or seperates an
   employee from duty at the Agency under circumstances which entitles
   them to an immediate annuity.


   PROPERTY              VALUE

   Last Update           1991/11/26 14:21 NEWUSER
   Created               1991/11/15 12:48:48 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Retirement Administration

Process: Process SES Awards

   Definition
   The processing of awards, such as Bonus, SES Performance or SES Rank
   {meritorious and distinguished service), for SES employees.

   PROPERTY              VALUE

   Last Update           1992/03/30 13:20 NEWUSER
   Created               1991/11/23 10:39:52 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Awards

Process: Process SF182

   Definition
   The processing of an SF182 requesting registration for external
   training or the Project Officer Course.  This process includes the


KnowledgeWare, Inc.

-------
Object Summary Report                                                Page 15
   distribution of the forms and the validation that the course was
   actually taken by the employee before notification of Finance for
   payment.

   PROPERTY              VALUE

   Last Update           1991/11/26 08:46 NEWUSER
   Created               1991/11/19 10:56:46 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Validate Training Registration

Process: Process SF52s

   Definition
   The processing of personnel actions recorded on SF52s.

   PROPERTY              VALUE

   Last Update           1991/11/26 09:36 NEWUSER
   Created               1991/11/23 10:08:56 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Recruit
                                                Change Status
   Is Part Of            Process                Program Request for Service

Process: Process to EPAYS/TAPP

   Definition
   The final review of the personnel action and the entry of it into
   EPAYS/TAPP.  EPAYS/TAPP prints the SF50 which is then reviewed to
   ensure that it matches the personnel action which initiated it.

   PROPERTY              VALUE

   Last Update           1991/11/26 09:24 NEWUSER
   Created               1991/11/23 10:16:10 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Mass Transfer
                                                Realignment

Process: Program Request for Service

   Definition
   The processing of all personnel requests for service including SF52s,
   SF182s, awards, etc.


KnowledgeWare, Inc.

-------
 Object  Summary Report

    PROPERTY

    Last Update
    Created

    ASSOCIATION

    Consists of
                                            Page 16
VALUE

1991/12/05 17:46 NEWUSER
1991/11/26 16:48:18 NEWUSER
TYPE
Process
    Is Part Of
Process: Promotion
Process
NAME

Benefit Administration
Disciplinary Actions
Training Administration
Retirement Administration
Reorganization
Awards
Labor/Emp Relations & Counseli

Process SF52s
EPARSS
   Definition
   The change of an employee to a higher grade within the same job
   classification system and pay schedule or to a position with a higher
   rate of basic pay in a different job classification system and pay
   schedule.
   PROPERTY

   Last Update
   Created

   ASSOCIATION

   Consists of
VALUE

1991/11/26 10:42 NEWUSER
1991/11/08 09:28:56 NEWUSER
TYPE
Process
   Is Part Of            Process

Process: Realignment
NAME

Accretion
Temporary Promotion
Career Ladder
Change Status
   Definition
   The processing of reorganization packages approved by MOD.  This
   results in the realignment of an organization and the transfer of the
   employees from the old organizational unit to the new one. Group Action
   Request Lists  (GARL) are prepared to execute the mass transfer.
   PROPERTY

   Last Update
   Created
VALUE

1991/11/26 09:18 NEWUSER
1991/11/21 12:21:56 NEWUSER
KnowledgeWare, Inc.

-------
 Object  Summary Report                                                Page 17

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Process  to  EPAYS/TAPP
                                                Prepare  GARL
   Is Part Of            Process                Reorganization

 Process: Reassignment

   Definition
   The  change of an employee from one position to  another without
   promotion or change to a lower grade.


   PROPERTY              VALUE

   Last Update           1991/11/26 10:14 NEWUSER
   Created               1991/11/08 09:30:19 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Change Status

 Process: Recruit

   Definition
   The processing of actions which require the advertisement of  a position
   'nd the evaluation of the candidates applying to fill the position.


   PROPERTY              VALUE

   Last Update           1991/11/26 14:24 NEWUSER
   Created               1991/11/08 09:28:41 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Non-Competitive
                                                Competitive
   Is Part Of            Process                Process SF52s

Process: Register

   PROPERTY              VALUE

   Last Update           1991/12/05 18:08 NEWUSER
   Created               1991/12/05 18:08:36 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Competitive


KnywledgeWare,  Inc.

-------
 Object Summary Report                                                Page 18

 Process: Reinstatement

   PROPERTY              VALUE

   Last Update           1991/12/05 18:07 NEWUSER
   Created               1991/12/05 18:07:11 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Non-Competitive

 Process: Reorganization

   Definition
   The processing of group actions resulting from the reorganization of an
   ogranizational unit within EPA approved by MOD, legislated change,
   Presidential orders, etc.  These changes typically result in mass
   transfers affecting numerous employees.

   PROPERTY              VALUE

   Last Update           1991/11/26 09:12 NEWUSER
   Created               1991/11/08 09:34:14 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Mass Transfer
                                                Realignment
   Is Part Of            Process                Program Request for Service

 Process: Retirement Administration

   Definition
   The processing of a personnel action which affects retirement or the
   retirement benefits of an employee.

   PROPERTY              VALUE

   Last Update           1991/11/26 14:24 NEWUSER
   Created               1991/11/08 14:16:55 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Process Retirement
                                                Change Retirement Systems
                                                Retirement Counseling
                                                Retirement Projection
   Is Part Of            Process                Program Request for Service

Process:  Retirement Counseling


KnowledgeWare,  Inc.

-------
 Object Summary Report                                                Page 19

   Definition
   The process of counseling employees on the annuity benefits  and  options
   which they are eligible for upon retirement.

   PROPERTY              VALUE

   Last Update           1991/11/26 09:55 NEWUSER
   Created               1991/11/15 12:48:47 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Retirement Administration

 Process: Retirement Projection

   Definition
   The process of calculating a projection of the retirement  benefits  to
   which an employee would be eligible for upon retirement at a specified
   point in time or age.

   PROPERTY              VALUE

   Last Update           1991/11/26 09:57 NEWUSER
   Created               1991/11/15 12:48:46 NEWUSER

   ASSOCIATION           TYPE                   NAME

   ^s Part Of            Process                Retirement Administration

Process: Separation

   Definition
   The processing of actions which remove an employee from the  rolls of
   the Agency without the eligibility of an immediate annutiy.   These
   actions include resignation,  discharge, death, and termination.

   PROPERTY              VALUE

   Last Update           1991/11/26 10:35 NEWUSER
   Created               1991/11/08 09:30:41 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Change Status

Process:  Service Computation Date

   Definition
   The date,  either actual or constructed, which is used to determine
   leave accrual rate,  length of service for retirement, or retention


KnuwledgeWare,  Inc.

-------
Object Summary Report                                                Page 20
   standing for a RIF.  Prior creditable civilian or military service is
   used in establishing the Service Computation Date

   PROPERTY              VALUE

   Last Update           1992/03/29 08:36 NEWUSER
   Created               1991/12/05 17:54:11 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                HR Initiated Actions

Process: Temporary Appointment

   Definition
   An appointment made for a limited period of time and with a specific,
   predetermined not-to-exceed date

   PROPERTY              VALUE

   Last Update           1992/03/29 08:38 NEWUSER
   Created               1991/12/05 18:07:11 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Non-Competitive

Process: Temporary Promotion

   Definition
   A temporary change in position for a limited time period and with a
   not-to-exceed date.


   PROPERTY              VALUE

   Last Update           1991/12/05 18:07 NEWUSER
   Created               1991/11/08 09:37:48 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                Promotion

Process:  Training Administration

   Definition
   The processing of training actions for employees requesting to attend
   either in-house or external training courses/programs.  These requests
   are typically recorded on an SF182 for external courses or a 1-page
   registration form for in-house training.
KnowledgeWare, Inc.

-------
 Object  Summary  Report                                                 Page 21

    PROPERTY              VALUE

    Last Update           1991/11/26  08:39 NEWUSER
    Created               1991/11/08  09:03:01 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Consists of           Process                Validate  Training Registration
    Is Part Of            Process                Program Request  for  Service

 Process: Transfer

    Definition
    A change of  an employee, without  a break in service of one  full
    workday/ from a position in one agency to a position in another
    agency.  These actions are normally processed as a termination by the
    losing agency and as a transfer by the gaining agency

    PROPERTY              VALUE

    Last  Update           1992/03/29  08:43 NEWUSER
    Created               1991/12/05  18:07:09 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Is Part Of            Process                Non-Competitive

    -ess: Validate Training Registration

    Definition
    The process of reviewing the course registration (SF182  or  1-page
    registration) request to ensure that required accounting, course  and
    employee data has been recorded.

    PROPERTY              VALUE

    Last Update           1991/11/26  08:41 NEWUSER
    Created               1991/11/19  10:56:44 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Consists of           Process                Process 1-page Registration
                                                Process SF182
    Is Part Of            Process                Training Administration

Process: Within Grade Increase

   Definition
   This process is initiated by OHRM/HR Offices to increase an employee's
   rate of basic pay by advancement from one step of grade to the next


             ,  Inc.

-------
Object Summary Report                                                Page 22
   after the employee meets the requirements for length of service and
   performance.

   PROPERTY              VALUE

   Last Update           1991/11/26 14:36 NEWUSER
   Created               1991/11/15 12:55:38 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Part Of            Process                HR Initiated Actions
KnowledgeWare, Inc.

-------
          Appendix A3
EPARSS Entity Relationship Diagram

-------
SF52
             c© Apprais
                               Histooy
-ejiy
   oimouinic@m
                                                          -ef]
                                                    SF3130
                                                               GARL
                                                                  o
                                                                 -a-
                                                              Posifioo

                                                                                i~i  i—in
                                                                                              Costs

-------
  r
                                                                                                               -\
•History SF
12 Process
            -eg]
                 SFUSi
                                Gouirse
                                  -©
                               11-page
                                                                -H
                                                            raioing Reg
                                               Couirs®



-------
               Appendix A4
EPARSS Entity Relationship Diagram Definitions

-------
Application Development Workstation
Object Summary Report
03-29-1992   10:36:57 AM   NEWUSER

  tity Type: 1-page Registration
            EPARSS
                     Page 1
   Definition
   The simplified and quick 1-page form that is filled  out by employees
   and used by the Training staff to register EPA employees  for  in-house
   training of no cost courses.  Data from the 1-page forms  is then
   transcribed onto Group Training Forms which then become course
   registration lists.
   PROPERTY
VALUE
   Purpose
   Last Update
   Created

   ASSOCIATION

   Registers
   Generates
   Creates
   Is Involved in
   Registers

Entity Type: Applicant
FUNDAMENTAL
1992/03/27 19:01 NEWUSER
1991/11/21 10:16:17 NEWUSER
TYPE

Entity Type
Entity Type
Entity Type
Process
Entity Type
NAME

Course Registration
Training History
Pending Training Registration
EPARSS
Employee
   Definition
   Individuals that ask to be considered for a job with  an  agency.  These
   individuals may be a current employee of the agency,  an  employee of
   another agency, or not currenly employed by any agency.
   PROPERTY
VALUE
   Purpose
   Last Update
   Created

   ASSOCIATION

   May become an
   Apply for
   Apply to
   Is Involved in
FUNDAMENTAL
1992/03/27 19:04 NEWUSER
1991/11/15 15:21:57 NEWUSER
TYPE

Entity Type
Entity Type
Entity Type
Process
Entity Type: Awards SF3130
NAME

Employee
Positions
Vacancy Announcement
EPARSS
   Definition
   The SF3130 Form is the vehicle to record information which is used to
   /ledgeWare,  Inc.

-------
 Object Summary Report                                                Page 2
   make an award for an employee.  The types of awards that can be made
   using the SF3130 include the Special Acts award, the Sustained Superior
   Performance award, the Quality Service award and the Time-Off award

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:09 NEWUSER
   Created               1991/11/15 15:21:49 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Given to              Entity Type            Employee
   Recorded in           Entity Type            NOA History
   Is Involved in        Process                EPARSS

Entity Type: Benefit

   Definition
   Benefits such as health insurance,  life insurance, disability
   insurance, annual leave, sick leave, and retirement that are available
   to agency employees

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:12 NEWUSER
   Created               1991/11/15 15:21:51 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Involved in        Process                EPARSS
   Relate to             Entity Type            Employee

Entity Type: Course Catalog

   Definition
   A list of all in-house and external training courses, either cost or
   no-cost,  that are available to EPA employees

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:14 NEWUSER
   Created               1991/11/15 15:21:53 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Involved in        Process                EPARSS
   Describes             Entity Type            Course Registration
KnowledgeWare, Inc.

-------
 Object  Summary  Report
 Entity  Type:  Course  Registration
                                             Page  3
    Definition
    The preparation  of  SF182  or  1-page  registration forms to officially
    register  and  gain approval to  attend  a  training course
    PROPERTY

    Purpose
    Last Update
    Created

    ASSOCIATION

    Registers from
    Registers for
    Is  Involved in
    Created by

 Entity Type: Employee
VALUE

FUNDAMENTAL
1992/03/27 19:17  NEWUSER
1991/11/15 15:21:52  NEWUSER
TYPE

Entity Type
Entity Type
Process
Entity Type
                NAME

                SF182
                Course  Catalog
                EPARSS
                1-page  Registration
   Definition
   Individuals who work for and are paid for by  a government  agency
   PROPERTY

   Purpose
   Last Update
   Created

   ASSOCIATION

   Has a
   Have
   Has
   Effected by
   Generates
   Is Involved in
   Has
   Receives
   Requests training on
   Was an
   Effected by
   Receives
   Has

Entity Type: GARL
VALUE

FUNDAMENTAL
1992/03/27 19:18 NEWUSER
1991/11/15 15:21:56 NEWUSER
TYPE

Entity Type
Entity Type
Entity Type
Entity Type
Entity Type
Process
Entity
Entity
Entity
Entity
Entity
Entity
Entity
Type
Type
Type
Type
Type
Type
Type
NAME

Positions
Benefit
Training History
GARL
1-page Registration
EPARSS
NOA History
Awards SF3130
SF182
Applicant
SF52
Performance Appraisal
Position Description
   Definition
   Group Action Request List which is prepared from a reorganization order,
KnowledgeWare,  Inc.

-------
 Object  Summary  Report                                                Page 4
    PROPERTY              VALUE

    Purpose               FUNDAMENTAL
    Last Update           1991/11/21 10:25 NEWUSER
    Created               1991/11/15 15:21:51 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Is Involved  in        Process                EPARSS
    Effects               Entity Type            Employee
    Creates               Entity Type            NOA History

 Entity  Type: History,  SF52  Processing

    Definition
    The  actions  that  occur as the result  of an SF52 being processed within
    the  Human Resources office and normally reflected  in the  form of a  NOAC
    or a series  of NOAC's

    PROPERTY              VALUE

    Purpose               FUNDAMENTAL
    Last Update           1992/03/27 19:23 NEWUSER
    Created               1991/11/15 15:21:46 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Tracks                Entity Type            SF52
    Is Involved  in        Process                EPARSS

 Entity  Type: NOA History

    Definition
    A list of Nature  of Actions that pertain to a  specific  employee that
    are  maintained on an SF7

    PROPERTY              VALUE

    Purpose               FUNDAMENTAL
    Last Update           1992/03/27 19:26 NEWUSER
    Created               1991/11/15 15:21:57 NEWUSER

    ASSOCIATION           TYPE                   NAME

    Tracks Actions        Entity Type            Employee
      Related to
    Created by            Entity Type            SF52
                                                GARL
    Is Involved  in        Process                EPARSS
    Tracks                Entity Type            Awards SF3130
   Created by            Entity Type            Performance  Appraisal


KnowledgeWare,   Inc.

-------
 Object Summary Report                                                Page 5

 Entity Type: Pending SF52 Action

   Definition
   A personnel action that has been originated and  is  in  the processing
   cycle awaiting a specific approval or an other external  action

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:28 NEWUSER
   Created               1991/11/21 10:31:23 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Created by            Entity Type            SF52
   Is Involved in        Process                EPARSS

 Entity Type: Pending Training Registration

   Definition
   A request for training,  FormSF182, that is in the processing cycle
   awaiting a specific approval or other external action

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:30 NEWUSER
   Created               1991/11/21 10:31:23 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Is Involved in        Process                EPARSS
   Created by            Entity Type            SF182
                                                1-page Registration

Entity Type: Performance Appraisal

   Definition
   An employee evaluation that is performed on an annual  basis that rates
   the employee's performance,  Evaluations are performed  on all agency
   employees annually

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:34 NEWUSER
   Created               1991/11/15 15:21:50 NEWUSER

   ASSOCIATION           TYPE                   NAME
KuOwledgeWare,  Inc.

-------
 Object Summary Report
   Describes
   Creates
   Is Involved in
Entity Type
Entity Type
Process
Employee
NOA History
EPARSS
                                            Page 6
Entity Type: Position Description
   Definition
   A comprehensive description of the duties and responsibilities of an
   employee.  Each Agency employee has a specific position description
   PROPERTY

   Purpose
   Last Update
   Created

   ASSOCIATION

   Decribes duties of
   Is Involved in
   Describe duties of
   Decribes
   Changed by

Entity Type: Positions
VALUE

FUNDAMENTAL
1992/03/27 19:37 NEWUSER
1991/11/15 15:21:59 NEWUSER
TYPE

Entity Type
Process
Entity Type
Entity Type
Entity Type
NAME

Employee
EPARSS
Positions
Vacancy Announcement
SF52
   Definition
   The officially authorized number of staff, identified by position, that
   the Agency is allowed to recruit,hire and maintain on the rolls
   PROPERTY

   Purpose
   Last Update
   Created

   ASSOCIATION

   Have
   Is Involved in
   Has
   Have

Entity Type: SF182
VALUE

FUNDAMENTAL
1992/03/27 19:39 NEWUSER
1991/11/15 15:22:00 NEWUSER
TYPE

Entity Type
Process
Entity Type
Entity Type
NAME

Position Description
EPARSS
Employee
Applicant
   Definition
   An 0PM approved form that is used by employees to request attendance at
   either in-house or external training, which may be either cost or
   non-cost
   PROPERTY
VALUE
KnowledgeWare, Inc.

-------
Object Summary Report                                                Page 7

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:42 NEWUSER
   Created               1991/11/15 15:21:48 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Requests training     Entity Type            Employee
      for
   Creates               Entity Type            Training History
                                                Pending Training Registration
   Is Involved in        Process                EPARSS
   Registers             Entity Type            Course Registration

Entity Type: SF52

   Definition
   An 0PM approved form that is used to originate and approve all
   personnel transactions affecting an agency employee

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:43 NEWUSER
   Created               1991/11/15 15:21:47 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Effects               Entity Type            Employee
   Change                Entity Type            Position Description
   Is Involved in        Process                EPARSS
   Initiates             Entity Type            Vacancy Announcement
   Tracked by            Entity Type            History, SF52 Processing
   Creates               Entity Type            NOA History
                                                Pending SF52 Action

Entity Type: Training Costs

   Definition
   The costs associated with internal and external training taken by an
   employee.  Accounting information must be maintained and provided to
   Finance

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:45 NEWUSER
   Created               1991/11/15 15:21:54 NEWUSER

   ASSOCIATION           TYPE                   NAME
KnowledgeWare, Inc,

-------
Object Summary Report                                                Page 8
   Is Involved in        Process                EPARSS
   Cost                  Entity Type            Training History

Entity Type: Training History

   Definition
   A record of each training course that has been taken by an employee

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:46 NEWUSER
   Create'd               1991/11/15 15:21:55 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Has                   Entity Type            Training Costs
   Is Involved in        Process                EPARSS
   Tracks                Entity Type            Employee
   Created by            Entity Type            SF182
                                                1-page Registration

Entity Type: Vacancy Announcement

   Definition
   The formal advertisement of an unfilled personnel position with the
   intent to hire and fill the position.  Based on the type of
   announcement, the position can be open to bid by all federal employees
   or it may only be open to local agency employees

   PROPERTY              VALUE

   Purpose               FUNDAMENTAL
   Last Update           1992/03/27 19:50 NEWUSER
   Created               1991/11/15 15:21:58 NEWUSER

   ASSOCIATION           TYPE                   NAME

   Initiated by          Entity Type            SF52
   Duties described by   Entity Type            Position Description
   Is Involved in        Process                EPARSS
   Have                  Entity Type            Applicant
KnowledgeWare, Inc.

-------
         Appendix A5
NO AC Frequency Analysis for CY91

-------
NOAC Frequenc      ysis for CY91
NOW

001
009
too
101
10B
11!
119
117
130
132
140
Ml
143
143
141
120
IM
190
293
300
301
va
104
312
317
330
350
362
03
354
355
1H
367
3U
388
450
460
473
480
HO
591
tat
BIB
817
(40
541
542
(48
MB
B70
MO*

C4n»Uton
ptmnunot ItM upltt
cnwAppaMnurt
C4»« Coidnral AffoMnn
nnnnmr Amnmin HIE
THnpowy AppoMmwt - PER
AfpotamiMNTE
Sunmr AppoHmwl NTE
TnrniM
Mm Trvaftr
RaMMMnml .CVMT
RrtMtfemOT - C vt«r ComMofid
BE9C4n«At»«*|]liM
RaMmm . SEB C«MC
sea MnK>Mf AppMnM
EXKUhB ftpcnlMlMit
EX«cuOra »fvoMniM< HIE
PIMOral AfCMImin NIE
Rstumtoixiy
RMMnM.MjMKiy
RMtwnMJ • OWbMjr
Rofrtncn - Vbfertvy
HMIrancnl - tlA
R4«gn«ni-I.W
RMgrann
RMKwri
Dum
T«flii1rullon - Affl h
TxmlulM-ul
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T«imln4tlM
oaamy, oumg pnmui p-oo
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LWOPNTE
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sauna NTE
Coovwiton lo c v«r Appo*An«*
Conrankm to C ««f CcnHond Afpofrttnw*
Convtnlon 10 T«npx4ry Appoklmgrt NTE
Conwnfan to AfpoHmtm NTE
COfwvnkm to SumoiOT AffnMiiwrt NTE
Cofwaston to R»bmatoni«nl • Cmtt
Comgtton to RtlraUMiiMI • C*MT Connortal
Coiwanlon to SES Career AppoHmin
CMivankm to 8£ 8 NoncvMr AffnMmom
Convanfan to SEB LknHMl Twm Apf»*«m9f4 NTE
c«(iv«nton to EXKUDM AppoHnwt

Tortfi
3
>«47
49
1.044
7
5
310
MO
313
0
«7
33
3
1
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353
804
5
294
1
13
150
8
19
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-------
                                                                                          NORC  Frequency Analysis  for CK91
  _n9_
 ...711..-
  773
 J77
  en
...wo....
 torn.
        Cam«rrfan>ECTajft«%pdi»n»nMre
        Rwrafon
        EnsUXCPHTE
        aiJSHH"-
        Stt!!0™.!*™!1....
        togplmtmA
        seyios-
        OgtaVMRil
        D«*<_tf WMn(™*lr»_
        PWRBIMthe,

        **«•__
        ?H*Sl_
        ^'.^'.^."^^•.Nr^r.,.
        TwmlngiO^I a»iBtfw>IBW«y
        DnlndpluHll
        T^idniilipMiAu Cii)]ltriMII
                                           __ra__
                                            ia
                                           __ a__
                                           _§ai_
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  •77
                                           _WBI_

                                            111
                                           0>,70I
           773

           172
                 JfSL
                  133
                                                            U79
                                                            tM4i     a	in
                                                                                          wra
                                                                                                               ..*•»_
                                                                                                                      JUS..
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                                                                                                                                                            tin
                                                                                                                                                                 -_*ei_

-------
    Appendix A6
Nature of Action Codes

-------
                 Nature of Action Codes
NOAC     NOAC TITLE

HOO       HONOR AWARD
LOO       LETTER OF COMMENDATION
POO       CONVERSION SEP
P01       CONVERSION INPUT
P98       GENERAL PAY RAISE
TOO       TRAINING
001       CANCELLATION
002       CORRECTION
005       RECREATION OR RESUB OF A RECORD
007       CORRECTION OF CURRENT FILE
009       PERFORMANCE LEVEL UPDATE
010       DELETION FROM FILE
022       CURRENT APPT AUTHINTTILIZATION
100       CAREER APPT
101       CAREER-COND APPT
102       CAREER EXEC ASSIGN
103       CAREER EXEC ASSIGN-COND
104       NONCAREER EXEC ASSIGN
107       EMERGENCY APPT
108       TERM APPT NTE
112       TEMP APPT-PER
115       APPTNTE
117       SUMMER APPT NTE
120       O/S LTD APPT
122       O/S LTD APPT NTE
124       APPT-STATUS QUO
128       LIMITED EXEC ASSIGN
130       TRANSFER
132       MASS TRANSFER
140       REINS-CAREER
141       REINS-CAREER COND
142       SES CAREER APPT
143       REINS-SES CAREER
145       TRANSFER-SES CAREER
146       SES NONCAREER APPT
147       TRANSFER-SES NONCAREER
148       SES LTD TERM APPT NTE
149       SES LTD EMERGENCY APPT NTE
170       EXC APPT
171        EXC APPT NTE

-------
 190        PROVISIONAL APPT NTE
 280        PLACEMENT IN PAY STATUS
 292        RTD
 300        RETIREMENT-MANDATORY
 301        RETIREMENT-DISABILITY
 302        RETIREMENT-VOLUNTARY
 303        RETIREMENT-SPECIAL OPTION
 304        RETIREMENT - ILIA
 312        RESIGNATION-ILIA
 317        RESIGNATION
 330        REMOVAL
 350        DEATH
 351        TERMINATION-SPONSOR RELOCATING
 352        TERMINATION-APPT IN
 353        TERMINATION-MIL
 354        TERMINATION-DISABILITY
 355        TERMINATION-EXP OF APPT
 356        TERMINATION-INVOLUNTARY
 357        DISC DURING PROS/TRIAL
 386        DISCHARGE
 430        PLACEMENT IN NONPAY STATUS
 450        SUSPENSION-NTE
 452        SUSPENSION-INDEFINITE
 460        LWOP NTE
 462        LWPNTE
 471        FURLOUGH
 472        FURLOUGH NTE
 473        LWOP - MIL
 480        SABBATICAL NTE
 500        CONV TO CAREER APPT
 501        CONV TO CAREER-COND APPT
 502        CONV TO CAREER EXEC ASSIGN
 503        CONV TO CAREER EXEC ASSIGN-COND
 504        CONV TO NON-CAREER EXEC ASSIGN
 507        CONV TO EMERGENCY APPT
 508        CONV TO TERM APPT NTE
 512        CONV TO TEMP APPT-PER
 515        CONV TO APPT NTE
 517        CONV TO SUMMER APPT NTE
520        CONV TO O/S LTD APPT
522        CONV TO O/S LTD APPT-NTE
524        CONV TO APPT-STATUS QUO
528       CONV TO LIMITED EXEC ASSIGN
540       CONV TO REINS-CAREER
541       CONV TO REINS-CAREER COND
542       CONV TO SES CAREER APPT

-------
543       CONV TO REINS-SES CAREER
546       CONV TO SES NONCAREER APPT
548       CONV TO SES LTD TERM APPT NTE
549       CONV TO SES LTD EMER APPT NTE
570       CONV TO EXC APPT
571       CONV TO EXC APPT NTE
590       CONV TO PROVISIONAL APPT NTE
702       PROMOTION
703       PROMOTION NTE
713       CHG TO LOWER GRADE
721       REASSIGNMENT
740       POSITION CHANGE
741       POSITION CHANGE NTE
750       CONTINUANCE NTE
760       EXTOFAPPTNTE
761       EXT OF SUMMER APPT NTE
762       EXT OF SES APPT NTE
765       EXT OF TERM APPT NTE
769       EXT OF PROMOTION NTE
770       EXT OF POSN CHG NTE
772       EXT OF FURLOUGH NTE
773       EXTOFLWOPNTE
780       NAME CHANGE FROM
781       CHG IN WORK SCHEDULE
782       CHG IN HOURS
790       REALIGNMENT
792       CHG IN DUTY STATION
800       CHG IN DATA ELEMENT
803       CHANGE IN RETIREMENT PLAN
810       CHANGE IN ALLOWANCE/DIFFERENTIAL
815       RECRUITMENT BONUS
816       RELOCATION BONUS
818       AUTHORIZED AUO
866       TERM OF GRADE RETENTION
872       TIME OFF AWARD
873       FOREIGN LANGUAGE AWARD
874       GAINSHARING AWARD
875       SUGGESTION AWARD
876       INVENTION AWARD
877       SPEC ACT OR SERVICE AWARD
878       SES RANK AWARD
879       SES PERFORMANCE AWARD
880       CHANGE IN TENURE GROUP
881       FEGLI CHANGE
882       CHG IN SCO
883       CHANGE IN VET PREF

-------
885       SUSTAINED SUPERIOR PERF AWARD
888       DENIAL OF WITHIN GRADE INC.
889       PMRS PERFORMANCE AWARD
891       PMRS MERIT INC
892       QUALITY STEP INC
893       WITHIN-GRADE INC
894       PAY ADJ
895       LOCALITY ADJUSTMENT
899       STEP ADJ
901       ADD TO SF-7
902       DELETE FROM SF-7
903       CHANGE SF-7
905       CHG IN POSITION NUMBER
907       CHG IN APPROPRIATION
930       DETAIL NTE
931       EXT OF DETAIL NTE
932       TERMINATION OF DETAIL
940       DETAIL-ROTATIONAL ASSIGNMENT
941       EXTENSION DETAIL-ROTATIONAL ASSIGNMENT
942       TERMINATION DETAIL-ROTATIONAL ASSIGNMENT
950       DETAIL TO ANOTHER AGENCY
951       EXTENSION OF DETAIL TO ANOTHER AGENCY
952       TERMINATION OF DETAIL TO ANOTHER AGENCY
960       DETAIL TO WHITE HOUSE
961       EXTENSION OF DETAIL TO WHITE HOUSE
962       TERMINATION OF DETAIL TO WHITE HOUSE
963       DETAIL TO CAPITOL HILL
964       EXTENSION OF DETAIL TO CAPITOL HILL
965       TERMINATION OF DETAIL TO CAPITOL HILL
966       ADMINISTRATIVE CHANGE
970       DETAIL TO OMB
971       EXTENSION OF DETAIL TO OMB
972       TERMINATION OF DETAIL TO OMB
980       COMPLETION OF SUPVSRY/MGR PROBATION PERIOD
987       TSP CODE CHANGE

-------
             Appendix A7
NO AC Cross-reference to EPARSS Functions

-------
     NO AC Cross-reference to EPARSS Functions
NOAC      Description

            Awards
HOO         HONOR AWARD
LOO         LETTER OF COMMENDATION
815         RECRUITMENT BONUS
816         RELOCATION BONUS
872         TIME OFF AWARD
873         FOREIGN LANGUAGE AWARD
874         GAINSHARING AWARD
875         SUGGESTION AWARD
876         INVENTION AWARD
877         SPEC ACT OR SERVICE AWARD
878         SES RANK AWARD
879         SES PERFORMANCE AWARD
885         SUSTAINED SUPERIOR PERF AWARD
889         PMRS PERFORMANCE AWARD
892         QUALITY STEP INC

            Conversion
500         CONV TO CAREER APPT
501         CONV TO CAREER-COND APPT
502         CONV TO CAREER EXEC ASSIGN
503         CONV TO CAREER EXEC ASSIGN-COND
504         CONV TO NON-CAREER EXEC ASSIGN
507         CONV TO EMERGENCY APPT
508         CONV TO TERM APPT NTE
512         CONV TO TEMP APPT-PER
515         CONV TO APPT NTE
517         CONV TO SUMMER APPT NTE
520         CONV TO O/S LTD APPT
522         CONV TO O/S LTD APPT-NTE
524         CONV TO APPT-STATUS QUO
528         CONV TO LIMITED EXEC ASSIGN
540         CONV TO REINS-CAREER
541         CONV TO REINS-CAREER COND
542         CONV TO SES CAREER APPT
543         CONV TO REINS-SES CAREER
546         CONV TO SES NONCAREER APPT
548         CONV TO SES LTD TERM APPT NTE
549         CONV TO SES LTD EMER APPT NTE
570         CONV TO EXC APPT

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 571          CONVTOEXCAPPTNTE
 590          CONV TO PROVISIONAL APPT NTE

             Misc. Changes
 280          PLACEMENT IN PAY STATUS
 292          RTD
 430          PLACEMENT IN NONPAY STATUS
 450          SUSPENSION-NTE
 452          SUSPENSION-INDEFINITE
 460          L WOP NTE
 462          LWP NTE
 471          FURLOUGH
 472          FURLOUGH NTE
 473          LWOP - MIL
 480          SABBATICAL NTE
 713          CHG TO LOWER GRADE
 740          POSITION CHANGE
 741          POSITION CHANGE NTE
 750          CONTINUANCE NTE
 760          EXT OF APPT NTE
 761          EXT OF SUMMER APPT NTE
 762          EXT OF SES APPT NTE
 765          EXT OF TERM APPT NTE
 769          EXT OF PROMOTION NTE
 770          EXT OF POSN CHG NTE
 772          EXT OF FURLOUGH NTE
 773          EXT OF LWOP NTE
 780          NAME CHANGE FROM
 781          CHG IN WORK SCHEDULE
 782          CHG IN HOURS
 792          CHG IN DUTY STATION
 810          CHANGE IN ALLOWANCE/DIFFERENTIAL
 818          AUTHORIZED AUO
 866          TERM OF GRADE RETENTION
 930          DETAIL NTE
 931          EXT OF DETAIL NTE
 932          TERMINATION OF DETAIL
 940          DETAIL-ROTATIONAL ASSIGNMENT
 941          EXTENSION DETAIL-ROTATIONAL ASSIGNMENT
 942          TERMINATION DETAIL-ROTATIONAL ASSIGNMENT
 950          DETAIL TO ANOTHER AGENCY
 951          EXTENSION OF DETAIL TO ANOTHER AGENCY
 952          TERMINATION OF DETAIL TO ANOTHER AGENCY
960          DETAIL TO WHITE HOUSE
961         EXTENSION OF DETAIL TO WHITE HOUSE
962         TERMINATION OF DETAIL TO WHITE HOUSE

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 963         DETAIL TO CAPITOL HILL
 964         EXTENSION OF DETAIL TO CAPITOL HILL
 965         TERMINATION OF DETAIL TO CAPITOL HILL
 970         DETAIL TO OMB
 971         EXTENSION OF DETAIL TO OMB
 972         TERMINATION OF DETAIL TO OMB

            Non-SF52 NQACs
 POO         CONVERSION SEP
 P01         CONVERSION INPUT
 P98         GENERAL PAY RAISE
 001         CANCELLATION
 002         CORRECTION
 005         RECREATION OR RESUB OF A RECORD
 007         CORRECTION OF CURRENT FILE
 010         DELETION FROM FILE
 022         CURRENT APPT AUTHJNTTILIZATION
 800         CHG IN DATA ELEMENT
 803         CHANGE IN RETIREMENT PLAN
 880         CHANGE IN TENURE GROUP
 881         FEGLI CHANGE
 882         CHG IN SCD
 883         CHANGE IN VET PREF
 893         WITHIN-GRADE INC
 894         PAY ADJ
 895         LOCALITY ADJUSTMENT
 899         STEP ADJ
 901         ADD TO SF-7
 902         DELETE FROM SF-7
 903         CHANGE SF-7
 905         CHG IN POSITION NUMBER
 907         CHG IN APPROPRIATION
 966         ADMINISTRATIVE CHANGE
 980         COMPLETION OF SUPVSRY/MGR PROBATION PERIOD
 987         TSP CODE CHANGE

            Promotion
 702         PROMOTION
703         PROMOTION NTE

            Performance
009         PERFORMANCE LEVEL UPDATE
 888         DENIAL OF WITHIN GRADE INC
891          PMRS MERIT INC

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            Reassignment
721         REASSIGNMENT

            Recruitment
100         CAREER APPT
101         CAREER-COND APPT
102         CAREER EXEC ASSIGN
103         CAREER EXEC ASSIGN-COND
104         NONCAREER EXEC ASSIGN
107         EMERGENCY APPT
108         TERM APPT NTE
112         TEMPAPPT-PER
115         APPT NTE
117         SUMMER APPT NTE
120         O/S LTD APPT
122         O/S LTD APPT NTE
124         APPT-STATUS QUO
128         LIMITED EXEC ASSIGN
130         TRANSFER
132         MASS TRANSFER
140         REINS-CAREER
141         REINS-CAREER COND
142         SES CAREER APPT
143         REINS-SES CAREER
145         TRANSFER-SES CAREER
146         SES NONCAREER APPT
147         TRANSFER-SES NONCAREER
148         SES LTD TERM APPT NTE
149         SES LTD EMERGENCY APPT NTE
170         EXC APPT
171         EXC APPT NTE
190         PROVISIONAL APPT NTE
500         CONV TO CAREER APPT
501         CONV TO CAREER-COND APPT
508         CONV TO TERM APPT NTE
512         CONV TO TEMP APPT-PER
515         CONV TO APPT NTE
517         CONV TO SUMMER APPT NTE
540         CONV TO REINS-CAREER
541         CONV TO REINS-CAREER COND
542         CONV TO SES CAREER APPT
543         CONV TO REINS-SES CAREER
546         CONV TO SES NONCAREER APPT
548         CONV TO SES LTD TERM APPT NTE
549         CONV TO SES LTD EMER APPT NTE
570         CONV TO EXC APPT

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571          CONVTOEXCAPPTNTE
590          CONV TO PROVISIONAL APPT NTE
702          PROMOTION
703          PROMOTION NTE
721          REASSIGNMENT

             Reorganisation
790          REALIGNMENT

             Separation
300          RETIREMENT-MANDATORY
301          RETIREMENT-DISABILrrY
302          RETIREMENT-VOLUNTARY
303          RETIREMENT-SPECIAL OPTION
304          RETIREMENT - ILIA
312          RESIGNATION-ILIA
317          RESIGNATION
330          REMOVAL
350          DEATH
351          TERMINATION-SPONSOR RELOCATING
352          TERMINATION-APPT IN
353          TERMINATION-MIL
354          TERMINATION-DISABILITY
355          TERMINATION-EXP OF APPT
356          TERMINATION-INVOLUNTARY
357          DISC DURING PROB/TRIAL
386          DISCHARGE

             Training
TOO          TRAINING

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     Appendix A8
General System Concepts

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                     General System Concepts
A8.1 Users
"Users" of the Automated SF52 system are individuals who prepare (type) the Requests
for Personnel Action (SF52s), those who sign the requests as Requesting and/or
Approving Officials and those who actually process the personnel action. Anyone who
needs to review/manage SFS2 actions can also do so using the automated system.

A8.2  Action Ownership

When an SF52 is initiated in the Program Office, the action should be considered as
"owned" by the user who is initiating the action (i.e., the SF52 is in the user's mailbox).
Information should only be changed or deleted by the individual who "owns" the SFS2.
When an action is "forwarded", the system should transfer ownership (i.e., the SF52 is
now in a different individual's mailbox and can only be changed or deleted by the new
owner). Users should act (initiate, update, or sign) on an SF52 as soon as possible and
then forward it to the next level for further processing, review, correction, signature, etc.
Users should be notified on the screen when an SFS2 is in their mailbox awaiting an
action on their part. The system should also track who has the SFS2, when they received
and when they forwarded it.

A83 System Access

Access and functional capability assigned to a user of the Automated SFS2 system should
be controlled by a "user profile." The user profile serves several functions:

       1. Defines the authority level of the user.

       2. Controls  system access (system security).

       3. Directs action forwarding and routing.

       4. Controls  the electronic signature process.

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 Within the system various authority levels are required for the different system users:
Authority
Level Code
1
2
3
4
0
5
6
7
8
Authority
Secretary/Administrative assistance
Requesting official
Reviewing official
Approving official
Viewer = A viewer can only "look" at actions.
Actions cannot be initiated, received, etc.
Classifier
Staffer
Team Leader/Supervisor
Final Processor
 Access to the various actions and the routing of actions should also be controlled by a
 user's:

       1. Organization code
       2. Submitting office number

 The system should also monitor the employment status of individuals who have
 authorized access. If an SF52 is  submitted to change the organization assignment of a
 user or to separate a user, the system should automatically flag the user profile record and
 not allow that user access to the SF52 system after the effective date of the action.  The
 system should permit a system administrator to reassign ownership of actions remaining
 in the mailbox of a separated employee or those that are unable to complete their duties
 in a timely manner (e.g., on vacation, sick leave).

 A user may require several profiles in the system based on required duties and access
 authority. For example, a user may be an approving official for grades 1-13 and a
 requesting official for grades 14 and above.  The system should control access to
 personnel actions at the appropriate level for the user.

 A8.4  User Profile

 The user profile should be comprised of the following elements to adequately provide for
 system security, controlled access to personnel actions, electronic signature and proper
 routing of actions within the Agency.

USER ID:    The User ID is used to access the Automated SFS2 system and to identify
             the persons who are authorized to perform the various personnel functions
             in the system. If a human resources specialist requires access to SF52s in
             more than one functional section (e.g., Staffing and Processing), he/she

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             must have a profile record entered into the file for each functional section.
             Users may use different ID's for each functional section or they may use
             the same ID. If the same ID is used, the user will be provided an option to
             specify which functional section he/she wishes to work in. The "section
             level" code will determine which system screens are provided for viewing
             and/or updating. When the same ID is used for more than one functional
             section, the system does not partition which actions were forwarded for
             Classification, Staffing and/or Processing (i.e., all actions that are
             currently owned by the user are accessible when called for by control
             number). Functional section may be designated any time during a
             terminal session.

NAME:      Name of the user.

TITLE:      The official title for persons who are authorized to sign SF52s as
             requesters and/or approvers.

SOCIAL SECURITY NUMBER:   The social security number of the user. The SSN is
             used to prevent employees from entering information about themselves or
             after they have left the Agency. Actions entered into the system as a
             "requested personnel action" will flag the "profile(s)" when the action is a
             separation or when a change in the organization code occurs for a user
             who is authorized to input or sign a request for personnel action.  The
             user will not be allowed to enter actions once the "profile expiration date"
             is reached.

REGION:    The region code/personnel office location code that identifies the
             servicing personnel office where the user is located.

PROFILE EXPIRATION DATE:   When an SFS2 that changes the organization code
             (reassignment, promotion, etc.) or separates (resignation, termination,
             etc.) a user (who has an access authorization record in the system) is
             processed, the system should automatically move the effective date of the
             personnel action to the "profile expiration date" when the transaction is
             submitted  to EPAYS. Once the expiration date is reached, the user will no
             longer be allowed access to the records in the system.

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AUTHORITY LEVEL:     Identify the functional processes that the user can perform:
Authority
Level Code
1
2
3
4
0
5
6
7
8
Authority
Secretary/Administrative Assistance. An initiater
can input an SF52 and can update the SFS2 as
long as he/she still "owns" the record.
Requesting Official. A requester can input an
SF52, can update the SFS2, and can sign the
SF52 as a requesting official.
Reviewing Official. A reviewer can only review
and concur or not concur with a requested action.
(Cannot input or update an SF52.
Approving Official. An approver can input an
SF52, can update the SF52, and can sign the
SFS2 as an approving official.
Viewer. A viewer can only "look at" action or
lists of action. The "browse," "status,",
"completed actions," and "reports" options are
made available to the viewer.
Classifier. Can perform classification functions.
Staffer. Can perform staffing functions.
Team Leader/Supervisor. Review and approve
the action prior to sending it to processing.
Final Processor. Final review and signature to
release action to EPAYS.
             NOTE: If a person is to have access to SF52s in more than one security
             level (e.g., a person is an "approver" for grades 01 through 12 and is a
             "requester" for grades 13 through SES), he/she must have a profile record
             established for each security level. The same User ID may be used for
             these profile records.

HRO LEVEL: Identify the personnel level code as one of the following:
Code
1
2
Definition
The entry point in a functional section (i.e., the system
should automatically send the SF52s to this individual as
the first routing stop in the functional section). A first
routing point must also be further defined by indicating
the applicable organization code range.
Secondary routing point (i.e., actions can be routed to
this person by another HRO user).

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MINIMUM ORGANIZATION CODE:    Identify the lowest organization code (in a
             range of codes) for which the user can initiate (input), receive, or review
             SF52s.

MAXIMUM ORGANIZATION CODE:    Identify the highest organization code (in a
             range of codes) for which the user can initiate, receive, or review SF52s.

             NOTE: If a single organization code range does not cover all serviced
             organization codes for an individual, you must establish additional profile
             records for each break in the organization code range. For example a
             Classifier may service organization codes 40000000 thru 40900170 and
             organization codes 42000000 thru 42999999.  The person would have 2
             profile records that are identical except for the "minimum" and
             "maximum" organization codes.

INITIALS:   If authority level is "8" (Processing), give a 2-character initial preference.
             Unique initials must be assigned to each user (or for each different user
             ID). The initials are used as a pan of the Document Control Number on
             transactions created for EPAYS.

GRADE (LOWEST): If personnel level is "1", identify the lowest grade (in a range of
             grades) that the user can receive actions for processing.

GRADE (HIGHEST):If the personnel level is  "1", identify the highest grade (in range of
             grades) that the user can receive actions for processing.

SPECIALIST: Used to identify specialist who are authorized to electronically sign the
             SF52 as approved for a functional section.  (Not to be confused with
             "final" approval which indicates the action meets all regulatory
             requirements.)
Code
1
0
Specialist Indicator
Functional Specialist - Can indicate Section approval
Other - Cannot approve as a functional specialist

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SYSTEM ADMINISTRATOR:     Used to identify supervisors and their supervisory
             level within the system for specific system administration activities.
              Code
Supervisory Level
                       Functional Section Supervisor. A supervisor can reassign
                       actions within their assigned functional section.
                       Regional Personnel Officer and/or designee. A Personnel
                       Officer/designee can reassign actions within their
                       regional office or can forward actions to another regional
                       personnel office.	
                       National level.  Used only by the EPA Personnel Officer
                       and/or the Functional System Administrator(s).	
FINAL APPROVAL SIGNATURE: Used to identify users who are authorized to sign
             with "final approval" indicating that the SFS2 action meets regulatory
             requirements.
Code
1
0
Definition
Authorized
Not authorized
PAY PLAN:  The first character of a pay plan(s) is used to assure that appropriate first
             routing occurs for actions that affect experts, consultants, or SES
             employees.

A8.5 Functions By User Type

Listed below are the functions that a program office user should be able to perform based
on the user authority level when the user "owns" an SFS2 action (i.e., the action is in
their mailbox):
Program Office Authority Levels
FUNCTIONS
Sign as approving official
Sign as requesting official
Initiate a personnel action
Update an action
Delete an action
View an action
Obtain status of an action
Forward an action
Obtain reports on actions
Approving
Official
X
X
X
X
X
X
X
X
X
Requesting
Official

X
X
X
X
X
X
X
X
Sec/Admin


X
X
X
X
X
X
X
Concur





X
X
X
X
Viewer





X
X

X

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Access to all data in the system should be based on user profiles. Only actions that meet
a user's profile parameters (organization code, submitting number) can be accessed by
that user. Only the "owner" of an action can update, delete, or forward that action.

Any action that meets a user's profile parameters can be viewed by that user regardless of
who owns it. Also the status of any such action should be accessible.  The status should
provide a history of what has happened to an action since its initiation.

A8.6  Forwarding and Routing

When an action is  to be forwarded, the system should display a b'st of all users that the
action can be sent to (including for view only). The user should be able to select the
individuals to receive  the action and send it. Prior to forwarding, the actions should be
electronically signed if appropriate.

When "forwarding" an SF52 action to human resources, the system should determine
which servicing human resources office should receive the action based on the
employee's organization code. Program office personnel should be able to monitor the
status of actions as they progress through the human resources functions and processes;
however, the program office should not be allowed to make changes/updates after the
action has been forwarded to the servicing human resources office. If changes are
required, the servicing human resources office should return an action to the "Approving
Official"  in the program office or make the changes, as appropriate.

SF52 actions are considered to be "active"  any time prior to submission to EPAYS.
Once an action has been sent to EPAYS and the EPAYS master file has been updated,
the SF52 information should be transferred to a "history" file.

A8.7  Control Numbers

A "control number" should be used by the SFS2 system to uniquely identify each SF52.
This number should be system generated upon completion  of initial data entry.  Once an
SF52 is recorded in the system, it should be recallable for further activity by:

      (a) Selecting the action from a list presented by the system.

      (b) Using the SF52 system control number.

      (c) Selecting the action by the SSN, if available.

A8.8  Routing Copies

Anyone in the SF52 process should be able to send a copy of an "owned" action to
another authorized individual for information purposes (viewing) or "concurrence".
Concurrence may be required for monitoring FTEs and someone needs to be informed of
all SFS2 actions prepared within the organization. Concurrence copy should impede the

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progress of an action, requiring that the individual logon to the system and take positive
action (including forwarding). Viewing should not stop the progress or processing of the
action since it serves as information only and should not require signature or forwarding.
Copies should be sent only to individuals whose profiles allow them access to the action.

A8.9 Electronic Signature

The Automated SF52 system will require an electronic signature function.  Electronic
signature should comply with EPA standards and be  approved by OPM as a legal
technique for the signature of personnel action documents created and processed
electronically. The prototypes contain electronic signature functions, however, they were
developed prior to an Agency standard and are not considered adequate for the purposes
of the actual system.

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    Appendix A9
SF52 Data Element List

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SF52 Data Element List
(Cross Reference to Data Dictionary)
Names
Academic Discipline Code
Account Number
Action Code
Action
Alien Resident/Non-Resident Code
Annuity Indicator
Approved By
Approve Personnel
Appointment Limitation Date
Appointment for a Limited Number of Days
Appointed for a Limited Number of Hours
Limited Dollars
Appointment Authority- 1 Current
Appointment Authority-2 Current
Appointment - 90 Day Indicator
Authentication Date
Authority Code 1
Authority Code 2
Authority Code 3
Authority Code 4
Bargaining Unit Status
Citizenship Status Code
Contract Personnel Name
Control Number
COLA/POST Differential Code
Competitive Area Code
Competitive Level Code 1
Competitive Level Code 2
Competitive Level Code 3
Corrections Date Field 1
Corrections Date Field 2
Corrections Date Field 3
Corrections Date Field 4
Counted/Not Counted Code
Contract Personnel Phone
Contract Remarks 1
Contract Remarks 2
Contract Remarks 3
DD Page No
1
1
1
2
2
2
3
3
4
4
4
4
5
5
6
6
7
7
8
8
9
10
10
11
11
11
12
12
13
13
13
14
14
14
14
15
15
15

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 Annuity Amount - CSC Monthly	.15
 Current Performance Level Indicator	16
 Performance Score (Current)	16
 Performance Rating Date (Current)	16
 Date of Birth	16
 Departmental Field Code	17
 Designated Agent Number   	17
 Educational Level Code	18
 Employee Obligation Code	18
 Employee Office Location Code	19
 Enter (Operator) Remarks 1	19
 Enter (Operator) Remarks 2	19
 Enter (Operator) Remarks 3	20
 Excepted Service Beginning Date	20
 FAME Supervisor Code	20
 Financial Disclosure Coverage Code	20
 Federal Employee Group Life Insurance Code	21
 Federal Emp. Health Benefits Code	22
 FERS Coverage	22
 File Location Code	               22
                                                        23
                                                        23
                                                        23
Fair Labor Standards Act Code 1	           23
Fair Labor Standards Act Code 2	24
Fair Labor Standards Act Code 3	                24
Former Name	            25
From an Agency	^	      25
From an Existing Action Number	25
From an Existing Grade           	       26
From an Existing Position Number 	26
From an Existing Series	26
From an Existing Step	26
from Supervisor Code 27
Frozen Service in Years
Frozen Service in Months
Frozen Service in Days
Functional Classification Code
Functional Title
Geographic Location Code
Duty Station Location Code
Geological Letter Code
Grade or Level
Grade or Level-2
27
27
28
28
28
29
29
29
29
30

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Grade or Level-3
Handicap Code
Initiate
Leave Transfer Code
Last Equivalent Increase Date
Lump Sum Instruction Code
Leave Eligibility Code
Leave Transfer Code
Master Item Corrections Field Name 1
Master Item Corrections Field Name 2
Master Item Corrections Field Name 3
Master Item Corrections Field Name 4
Military Service Date Retired
Military Service-Creditable Years and Months
Merit Promotion Selectee Code
Name of Employee
Not To Exceed Date
Nature of Action Code 1
Nature of Action Code 2
Occupational Code 1
Occupational Code 2
Occupational Code 3
Organization Code
Old Organization Code
Own Name
PatcoCode
Pay Basis
Pay Plan Code
Pay Rate Determination Code
Proposed Effective Date of Action
Date Employee Became Permanent
Permanent/Temporary Code
Position Effective Date
Position Number 1
Position Number 2
Position Number 3
Position Occupied Code
Position Title
Personnel Remarks 1
Personnel Remarks 2
Personnel Remarks 3
Present Position (Date Entered)
CSRC Coverage at Appointment
Probationary Period Beginning Date
.30
31
32
33
33
33
33
34
34
34
34
35
35
35
36
36
36
37
37
37
38
38
39
40
40
41
42
42
44
44
45
45
45
45
46
46
47
47
48
48
48
48
49
49

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Race and National Origin Indicator
Requesting Entry Date
Remarks 1
Remarks 2
Remarks 3
Requested By
Retained Pay Plan Code
Retained Grade or Level
Retained step or rate
Retirement System Code
Routing Name
Routing SSN
Routing Remarks 1
Routing Remarks 1
Routing Remarks 3
Request Sending Date
Requesting Title
Salary
Work Schedule Code
Sensitive
Service Computation Date (Leave)
Series
Sex Code
Position Sensitive Code
Shift Differential Code
Shift Differential 2nd shift increment
Shift Differential 3rd Shift Increment
Shortage Category Code
Submitting Office Number
Special Program Identifier Code
Service Computation Date (RIF)
Social Security Number
Scheduled (Paper) Salary
Standby and Administratively
Status
Step or Rate
Nature of Action Shredout Code 1
Nature of Action Shredout Code 2
Summer Appointment Code
Supervisory/Non-supervisor Code
Career Qualifying Service Begin Date
Service Year Beginning Date
Tenure Group Code
Tenure Subgroup Code
.49
49
50
50
51
52
52
53
53
54
55
55
55
56
56
56
56
57
58
58
58
58
59
59
59
60
61
62
62
62
64
65
65
65
66
66
67
67
67
67
68
68
68
69

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Tickler
Tickler!
Tickler 3
Tickler 4
TicklerS
Tickler 6
Tickler Date
Tickler Date 2
Tickler Date 3
Tickler Date 4
Tickler Date 5
Tickler Date 6
To the New Field
TSP Service Computation Date
TSP Status Date
Appointment Type Code
Uniform Eligibility Code
Uniform component designation and pay
Vietnam Era Veteran Indicator
Veterans Preference Category
Part-time Hours
Within-grade Increase Control Code
Year Highest Degree Attained
70
71
72
73
74
75
76
76
77
77
78
78
78
79
79
80
80
81
81
81
82
82
82

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    Appendix A10
SF52 Relationship Edits

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                         SF52 Relationship Edits
Relationship edits should be performed after all data entry is completed and the action is ready for
submission to final processing for entry/release to EPAYS. The edits should be as consistent and
comprehensive as those used for the CPDF. This will help ensure the minimal rejection rate from
EPAYS and OPM. These edits must be validated at system development time to ensure they are
complete and up-to-date with current EPAYS and CPDF requirements. Many of the relational edits
which should be included in the system are listed below:
1. ANNUITY AMOUNT - CSC MONTHLY          If nature of action is within the 100 thru 199 or
                                               500 thru 599 range and annuitant indicator is 1
                                               then annuity amount-CSC monthly must be
                                               numeric and greater than 0.

2. APPOINTMENT LIMIT                         If nature of action code is in the 500 thru 599
                                               range and tenure group is 1 or 2 and position
                                               occupied code is 1 and type of appointment is
                                               01 or 02 then appointment limitation code
                                               should be 00 arjd appointment limitation should
                                               be blank or 0000 and service year begin date
                                               should be blank or 000000 and appointment not-
                                               to-exceed date should be blank or 00000.

3. APPOINTMENT DATA:  (TENURE GROUP, TYPE OF APPOINTMENT, AND POSITION
                                               OCCUPIED  BASED ON NATURE OF
                                               ACTION CODE)
                                               a.  If the first nature of actions code is 117 then
                                               tenure group code must be 0 and type of
                                               appointment code must be 03 and position
                                               occupied code must be 1 or 2.

                                               b.  If the first nature of actions code is 130 then
                                               tenure group code must be 1 or 2 and type of
                                               appointment code must be 01 or 02 and position
                                               occupied code must be 1 or 2.

                                               c.  If the first nature of actions code is 132 then
                                               tenure group code must be 0,1,2, or 3 and type
                                               of appointment code must be within the range
                                               of 01 thru 14 and position occupied code must
                                               be 1,2,3, or 4.

                                               d.  If the first nature of actions code is 142 then
                                               tenure group code must be 0 and type of
                                               appointment code must be 12 and position
                                               occupied code must be 3 or 4.

                                               e.  If the first nature of actions code is 143 then
                                               tenure group code must be 0 and type of
                                               appointment code must be 12 and position
                                               occupied code must be 3 or 4.

-------
 f. If the first nature of actions code is 145 then
 tenure group code must be 0 and type of
 appointment code must be ? 12 and position
 occupied code must be 3 or 4.

 g. If the first nature of actions code is 146 then
 tenure group code must be ?0 and type of
 appointment code must be 13 and position
 occupied code must be 3 or 4.

 h. If the first nature of actions code is 147 then
 tenure group code must be 0 and type of
 appointment code must be 13 and position
 occupied code must be 3 or 4.

 i. If the first nature of actions code is 148 then
 tenure group code must be 0 and type of
 appointment code must be 14 and position
 occupied code must be 3 or 4.

 j. If the first nature of actions code is 149 then
 tenure group code must be 0 and type of
 appointment code must be 14 and position
 occupied code must be 3 or 4.

 k. If the first nature of actions code is 170 then
 tenure group code must be 1,2, or 3 and type of
 appointment code must be 01,02, or 03 and
 position occupied code must be 2.

 1. If the first nature of actions code is 517 then
 tenure group code must be 0 and type of
 appointment code must be 03 and position
 occupied code must be 1 or 2.

 m. If the first nature of actions code is 542 then
 tenure group code must be 0 and type of
 appointment code must be 12 and position
 occupied code must be 3 or 4.

 n. If the first nature of actions code is 543 then
 tenure group code must be 0 and type of
 appointment code must be 12 and position
 occupied code must be 3 or 4.

o. If the first nature of actions code is 546 then
 tenure group code must be 0 and type of
appointment code must be 13 and position
occupied code must be 3 or 4.

p. If the first nature of actions code is 548 then
tenure group code must be 0 and type of

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4. AUTHORITY (LEGAL)
5. AUTHORITY  FOR APPOINTMENTS
6. AGENCY EOD DATE
7. CURRENT APPOINTING AUTHORITY
appointment code must be 14 and position
occupied code must be 3 or 4.

q. If the first nature of actions code is 549 then
tenure group code must be 0 and type of
appointment code must be 14 and position
occupied code must be 3 or 4.

r. If the first nature of actions code is 570 then
tenure group code must be 1,2, or 3 and type of
appointment code must be 01,02, or 06 and
position occupied code must be 2.

s. If the first nature of actions code is 571 then
tenure group code must be 0 or 3 and type of
appointment code must be 03 and position
occupied code must be 2.

L  If the first nature of actions code is 880 then
tenure group code must be 1 or 3 and type of
appointment code must be within the range of
01 thru 14 and position occupied code must be 1
or 2.

a. If one of the legal authority codes is YBM
and if pay plan is WG then grade must be 01
through 05.
If nature of action code is within the 100 thru
199 or the 500 thru 599 range then Authority
Code, Pay Plan, Occupation Code, Grade,
Position Occupied Code, Handicap Code,
Tenure Group Code, Veteran Preference Code,
Vietnam Era Veteran Code, and Education
Level Code are edited as shown below.

If Nature of Action Code is within the 100 thru
199 range then Agency EOD Date must be a
valid calendar date and must be equal to the
nature of action effective date.

a. If nature of action is in the 100 thru 199 or
500 thru 599 range then the first current
appointing authority code must be the same as
the first legal authority and the second current
appointing authority code must be the same as
the second legal authority.

b. If nature of action is in the 700 thru 799
range and from bureau code is NOT blank then
the first appointing authority code must be filled
(cannot be blank); BUT must NOT be the  same
as the first legal authority.

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 8. DATE OF BIRTH (DOB)
 9. EDUCATION LEVEL
10. EFFECTIVE DATE
11. FROZEN CSR SERVICE
 a. If Nature of Action Code is 300 then
 effective date year must be 50 or more years
 later than birth date year.

 b. If Nature of Action Code is within the 100
 thru 199 range then effective date year must be
 IS or more years later than birth date year.

 a. If Nature of Action Code is within the 100
 thru 199 or 500 thru 599 range and tenure is 1
 or 2 then education level must not be blank.

 b. If Nature of Action Code is within the 100
 thru 199 or 500 thru 499 range then and pay
 plan is ES then education level must not be
 blank.

 c. If Nature of Action Code is within the 100
 thru 199 or 500 thru 599 range and education
 level greater than 12 then academic discipline
 cannot be blank and year degree cannot be
 blank.

    d. If Nature of Action Code is within the
 100 thru 199 or 500 thru 599 range and
 education level equal  to or less than 12 then
 academic discipline must be blank and year
 degree must be blank.

 a. If Nature of Action Code  is 117 or 517 then
 effective date must be between 05/13/xx and
 09/30/xx inclusive.

 b. If Nature of Action Code is 171 and legal
 authority is WWM or ZWM then effective date
 must not be between 05/13Ax and 08/31/xx
 inclusive.

 c. If Nature of Action Code is 171 and pay plan
 is GW, YW, or WW then effective date must
 not be between 05/13/xx and 08/31/xx
 inclusive.

 a. If nature of action is in the 100 thru 199
range or the 500 thru 599 range or is 803 then
 frozen CSR service must not be blank.

b. If nature of action is in the 700 thru 799
range and the from bureau  is not blank then
frozen CSR service must not be blank.

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12. GRADE
a. If pay plan is WL then grade must be 01 thru
15.
13. HANDICAP (REPORTABLE)
14. HEALTH BENEFITS PRORATION INDICATOR
15. INTERMITTENT WORKDAYS
c. If pay plan is WS then grade must be 01 thru
19.

e. If pay plan is GM then grade must be 13 thru
15.

f. If pay plan is GG, or GS then grade must be
01 thru 15.

g. If pay plan is WG then grade must be 01 thru
15.

h. If pay plan is EX then grade must be 01 thru
05.

i. If pay plan is GW then grade must be 01 thru
04.

j. If pay plan is FC then grade must be 01 thru
14.

k. If one of the legal authorities is J8M and pay
plan is GG or GS and Nature of Action Code is
170 or 570 then grade must be 01  thru 09.

If nature of action code is within the 100 thru
199 or the 500 thru 599 range and one of the
legal authorities is WTM, WUM, or YKM then
importable handicap code must be between 06
and 94 inclusive.

a. If nature of action code is in the 100 thru 199
range OR is 781 and the to work schedule is P
then the health benefits proration indicator must
be 0 (zero) or 1.

b. If nature of action code is 781 and the from
work schedule is equal to P and the to work
schedule is F, I, G, H, or J than the health
benefits proration indicator must be 0.

If nature of action code is 781 and the from
work schedule is I or J and the fcj work schedule
is F, G, H, P, Q, R, or T then intermittent
workdays for total government service must be
0000;

If nature of action code is 781 and the from
work schedule is I or J and the ]& work schedule
is F, G, H, P, Q, R, or T and tenure group is 2
then if intermittent workdays for probation is

-------
 16. PAY BASIS
 17. PAY PLAN
18. PAY RATE DETERMINANT
 not blank in the EPAYS record it must be 000 in
 the SF-52 record and if intermittent workdays
 for career tenure is not blank in the EPAYS
 record it must be 000 in the SF-S2 record;

 If nature of action code is 781 and the from
 work schedule is I or J and the & work schedule
 is F, G, H, P, Q, R, or T and tenure group is 1 or
 2 then if intermittent workdays for within grade
 increase is not blank in the EPAYS record it
 must be 000 in the SF-52 record.

 If to pay plan is equal to GS, GG, GW, GM, ES,
 or EX then the to pay basis must be PA.

 If the first position of the to pay plan is W or X
 then the to pay basis must be PH.

 If the to pay plan is El, ED, EE, EF, EG, or EH
 then the to pay basis must be PD.

 If the to pay plan is ZZ then  the to pay basis
 must be WC.

 If pay basis is WC then salary must be 000000.

 a. If Nature of Action Code  is 142,143,145,
 146, 147, 148,149,480,542,543,546,548,
 549, or 762 then pay plan must be ES.

 b. If Nature of Action Code  is 889 or 891 then
 pay plan must be GM.

 c. If pay plan is YV then effective date must be
 between 05/13/xx and 09/30/xx inclusive.

 d. If pay plan is GW.YW, or WW and Nature
 of Action Code begins with 1 or 5 then Nature
 of Action Code must be 171  or 571.

 e. If Nature of Action Code  is 893, pay plan
 must not be GM.

 f. If nature of action code is  within the 100 thru
 199 or the 500 thru 599 range and pay plan is
 GM or ES then date entered PMRS/SES must be
 a valid calendar date equal to or earlier than the
effective date of the action.

a. If pay rate determinant is 4 then pay plan
may not be GS or may not begin with W or X.

b. If Pay plan is ST or EX then pay rate
determinant must be S or 0.

-------
19. POSITION OCCUPIED
 c. If pay rate determinant is 8 then pay plan
 must be GG, GM, or GS.

 
-------
 21. PREVIOUS RETIREMENT COVERAGE         a. If nature of action code is in the 100 thru 199
                                                 range OR the 500 thru 599 range then previous
                                                 retirement coverage must be N or P.

                                                 b. If nature of action code is in the 700 thru 799
                                                 range and the from bureau is NOT blank then
                                                 previous retirement coverage must be N or P.

 22. RETAINED GRADE, RETAINED PAY PLAN, RETAINED STEP, AND SALARY
                                                 a. If nature of action code is 740 or 741 and
                                                 pay rate determinant is A, B, E, F, U, or V then
                                                 retained grade must not be blank in the SF-52
                                                 record and retained pay basis must not be blank
                                                 in the SF-52 record and retained pay plan must
                                                 not be blank in the SF-52 record and retained
                                                 step must not be blank in the SF-52 record.

                                                 b. If nature of action code is 866 then pay rate
                                                 determinant cannot be A, B, E, F, U, or V and
                                                 retained grade must be 00 in the SF-52 record
                                                 and retained pay basis must be 00 in the SF-52
                                                 record and retained pay plan must be 00 in the
                                                 SF-52 record and retained step must be 00 in the
                                                 SF-52 record.
 23. RETIREMENT CODE
24. SERVICE COMPUTATION DATE (LEAVE)
25. SHIFT DIFFERENTIAL AND PAY PLAN
 a. If position occupied is 1 and tenure is 1 or 2
 then retirement system code must NOT be 5, G,
 J.W.orX.

 b. If Nature of Action Code is 100,101,500,
 501,540, or 541 then retirement system  code
 must be 1,6, C, M, R, or T.

 a. The service computation date must be earlier
 than or the same as the effective date.

 b. If the Nature of Action Code begins with 1
 and creditable military service is greater than
 0000 then the service computation date must be
 earlier than the effective date.

 c. Service computation date must be 16  or more
 years later than the date of birth.

 a. If nature of action code is in the 100 thru 199
 range and pay plan is WG, WL, WS, XP, XL, or
 XS then shift differential code must be 1 and
 2nd shift rate must be 0075 and 3rd shift rate
 must be 0100.

b. If nature of action code is in the 500 to 799
range and the first position of the from pay plan

-------
26. SPECIAL PROGRAM IDENTIFIER
is G and the IQ pay plan is WG, WL, WS, XP,
XL, or XS then shift differential code must be 1
and 2nd shift rate must be 0075 and 3rd shift
rate must be 0100.

c.  If nature of action code is in the 500 to 799
range and the flam pay plan is WG. WL, WS,
XP, XL, or XS and the first position of the IQ
pay plan is G then shift differential code must
be 0 in the SF-S2 record, and 2nd shift rale must
be 0000 in the SF-S2 record and 3rd shift rate
must be 0000 in the SF-S2 record.

a.  If nature of action code is 171 or 571 and
current appointing authority is WWM and
veteran preference is 1 then special program
identifier must be 54.

b.  If nature of action code is 171  or 571 and
current appointing authority is WVM then
special program identifier must be 55.

c.  If nature of action code is 171 or 571 and
current appointing authority is WWM and
veterans preference is greater than 1 then
special program identifier must be 53.

d.  If nature of action code is 170 or 570 and
current appointing authority is YAM then
special program identifier must be 57.

e.  If nature of action code is 170 or 570 and
current appointing authority is Y1M, Y2M,
Y3M, YBM, or YGM then special program
identifier must be 62.

f.  If nature of action code is 170,171,570, or
571 and current appointing authority is WTM,
WUM, YKM then special program identifier
must be 67.

g.  If nature of action code is in the  100 thru 199
range and current appointing authority is not
equal to WWM, YAM, Y1M, Y2M, Y3M,
YBM, or YGM and Vietnam era veteran is
equal to V and veteran preference is greater
than 1 then special program identifier must be
61.

h.  If nature of action code is in the 500 thru 599
range and tenure group is 1 or 2 and position
occupied code is  I  and from pay plan is GW,
WW, or YV and veteran preference is 1 then
special program identifier must be 00 and

-------
                                                 position schedule or statute must be 0 and the
                                                 appointment not-to-exceed date must be 000000
                                                 and appointment limit code must be 00.

                                                 i. If nature of action code is in the 500 thru 599
                                                 range and tenure group is 1 or 2 and position
                                                 occupied code is 1 and current appointing
                                                 authority is ZJM then special program identifier
                                                 must be 00 and position schedule or statute must
                                                 beO.

27. STEP                                        a. If pay plan is PC and grade is 01 thru 12 then
                                                 step must be 01 thru 10.

                                                 b. If pay plan is FC and grade is 13 then step
                                                 must be 01 thru 09.

                                                 c. If pay plan is FC and grade is 14 then step
                                                 must be 01 thru OS.

                                                 d. If pay plan is GG.GS, or GW and grade is
                                                 01 thru 15 and pay rate determinant is 0,5,6,7.
                                                 8 then step must be 01 thru 10.

                                                 e. If pay plan is CM then step must be 00 or 99.

                                                 f. If pay plan is ES then step must be 01 thru
                                                 06.

                                                 g. If pay rate determinant is 2,3,4, or
                                                 alphabetic then step must be 00 unless to pay
                                                 plan is WT.

28. SUPERVISORY OR NON SUPERVISORY INDICATOR
                                                 a. If pay plan is ES or EX then supervisory or
                                                 non supervisory indicator must be 1,3, or 8.

                                                 b. If pay plan is GM then supervisory or non
                                                 supervisory indicator must be 1,3,4, or 5.

                                                 c. IfpayplanisBL,WL,XB,orXLthen
                                                 supervisory or non supervisory indicator must
                                                 be 6.

                                                 d. If pay plan is ED, EE, EF, EG, EH, El, GW,
                                                 WB, WG. WW, XP, YV, or YW then
                                                 supervisory or non supervisory indicator must
                                                 be 8.

                                                 f. If pay plan begins with G and supervisory or
                                                 non supervisory indicator is 3 then grade must
                                                 be greater than 08.

-------
29. TENURE GROUP
30. VETERAN PREFERENCE
31. VIETNAM ERA VETERAN INDICATOR
g. If pay plan begins with G and supervisory or
non supervisory indicator is 1 then grade must
be greater than 02.

a. If legal authority is Y1M, YAM. J8M. Y2M,
or Y4M then tenure must be 2.

b. If Nature of Action Code is 170 or S70 then
tenure must be 1,2, or 3.

c. If Nature of Action Code is 760 or 761 then
tenure must be 0 or 3.

d. If Nature of Action Code is 765 then tenure
must be 3.

e. If Nature of Action Code is 892 or 893 and
to pay plan is GS then tenure must be 1,2, or 3.

f. If Nature of Action Code is 100,102,130,
140,155,157,500, 502,550, 551, or 555 then
tenure must be 1 or 2.

g. If Nature of Action Code is 101,103,141,
150,501,503,541, or 550 then tenure must be
2.

h. If Nature of Action Code is 107,108,112,
115,117,120,122,124, 128,153,154,171.
507,508, 512,515,517, 520,522, 524,528,
553,554, or 571 then tenure must be 0 or 3.

i. If pay plan is ES then tenure (TEN_GP) must
beO.

j. If pay rate determinant is A, B, E, F, J, K, U
or V then tenure must be 1 or 2.

k. If position occupied is 3 or 4 then tenure
must be 0.

a. If one of the legal authorities is LBM, LZM,
LYM, MGM, NEM, MMM, NCM, J8V, JSP,
J8R, or J8T then veteran preference category
must be 2,3,4, or 6.

b. If veterans preference is 2.3,4, or 6 then
Vietnam era veteran indicator must be N or V.

a. If one of the legal authority codes is MGM
or NCM then Vietnam era veteran indicator
code must be V aad veteran preference must be
2, 3,4, or 6.

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32. WORK SCHEDULE                         If Nature of Action Code is 430 or 280 then to
                                            work schedule must be G, H, Q, R, J, or K.

-------
Appendix All
EPAYS Tables

-------
          EPAYS TABLES Required for SF52 Validation
EPAYS
Table Mo;


01
08



12



16

17



22




23



24



26

27



38




39



51
    e name
                               Contents
Salary


Authority Code


Patco


State & City

Bus Code


Son



NOAC


Remarks Code


Retirement Code

Health Benefit


Academic Discipline



Occupation Code


Designate Agent
Salary by Grade
& Step, and Location

Authority Code and
Description

Position Category
with Occupation Code

State, City codes

Bargaining Unit
Status code

Submitting Office
Number and Office
Address

Nature of Action
Code and Description

Remarks Code and
Remarks for Inserts

Retirement Code

Health Benefit Code
and Health Plan name

Academic Discipline
Code and Discipline
Title

Series and Series
Title

Designated Agent
Code and Son
Region number

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Appendix A12
 SF52 Form

-------
Standard Fo-»«
(.j» *f»7
US OHM of Peraomei uaneaarnem
FPU r     —
                                               REQUEST FOR  PERSONNEL  ACTION
 PART A—Requesting Office    (Alto complete Ptn B. Ittma  1, 7-22. 32, 33. 3f *nd 33.)
                                                                                                                              2 Roojuoat Number
3 For Additional Information Call (Nun* and Ttuptnnt rVumoarJ
                                                                                                                                Proposed Eiwcbw Ditt
S Aden fl equalled By (Typed Menu. Till* Signature, and Raguexf flaw;
                                                                           6 Action Authorized By fTypua fame. TO». Svnmtun. ma Concummo* Dm)
 PART B —For Preparation of SF 50    (Use only codes in FPM Supplement 292-1. Show all titles in month-dmy-yeir order.)
1 Name (Lftt. Fit*. Ujdtttf)
 First Action
S-A.Coda     »& Maura of Action
                                                                          12 Social Swurrry Number
                                                                           Second Action
                                                                           6-A. CorM    6-B Hdun of Mian
                                                                                                            3  Dauol Bath
            so. UB*I AumoAr
                                                                              cod*
                                                                                      6-D LOQiI AuUwrrty
S-E Cod*
               t*g*l Auihonty
                                                                              Code
                                                                                      frf l*e«l Ailhortty
 7 FROM Portion TW» and Numter
                                                                           IS TO Position TO* and Number
 « PlyPUn
            9 OGC GOBI
                      U 6n*aim
                                            U Sibrf
                                                                           IS PayPbr.
                                                                                      17 Dec Cote
                                                                                                 it CMiBtm)
                                                                                                            19 Super RBI
                                                                                                                                           21 Piyl
 u Nun* end Location el Poanion'a Oroanlzation
                                                                           22 NIUM and LocaUon ol Pomruon't Organlntkm
 Employee Data
         I—NOM   3—10 PL Otab
         2—S PL   4—iQ Pi Camp
                                  5—10 PL Other
                                  0—10 PI./30* Camp
                                                                           24 Ttnur*
                                                                                    I—Permanent 3—.     jsed action is in compliance with statutory and regulatory requirements
                                                                           Sqnatura
                                                                                                                                       Approval Oat*
 ONTINUED ON REVERSE SIDE
                                                                        S2-1I5
                                                                                                                               ua Eddton UmnaM* Alter t&Ut»
                                                                                                                                      NSN 764MI-2W4880

-------
SF SZ (R*WM)
  PART D—Remarks by Requesting Office
(Note to Supervisors: Oo you know ol additional or conflicting reasons for the employee's resignation/retirement?
                   If "YES", please state these facts on a separate sheet and attach to SF 52)
                                                                                                                                        I NO
  PART E—Employee Resignation/Retirement
                                                               Privacy Act Statement
You are requested to furnish a specific reason (or your resignation or retirement
and a forwarding address  Your reason may be considered in any future decision
regarding your re-employment in the Federal service and may also be used to
determine your eligibility for unemployment compensation benefits. Your forward-
ing address will be used primarily to mail you copies of any documents you should
have or any pay or compensation to which you are entitled.
This Information b requested under authority of sections 301.3301. and 8506 of
title 5. U.S. Code. Sections 301 and 3301 authorize OPM and agencies to issue
                 regulations with regard to employment of individuals In the Federal service and their
                 records, while section 8506 requires agencies to furnish the specific reason for tor-
                 mination of Federal rervice to the Secretary or Labor or a State agency in connec-
                 tion with administration of unemployment compensation programs.
                 The furnishing of this information is voluntary: however, failure to provide K may
                 result in your not receiving- (1) your copies of those documents you should have:
                 (2) pay or other compensation due you; and (3) any unemployment compensation
                 benefits to which you may be entitled.
i Reason lor Resignation/Retirement (NOTE: Your reasons are used in determining possible unemployment benefits. Please be specific and avoid generaliza-
  tions. Your resignation/retirement is effective at the end of the day—midnight—unless you specify otherwise.)
2 EMCM Out  a. Your Signttura
 PART F—Remarks for SF 50
4 DIM Signed    S. FgfMittng Mftmi (Number. Sirwf. Guy. SUM. HP Coot)

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Appendix A13
Award Form

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  RECOMMENDATION FOR MONETARY AWARD
                                Submit original and two (2) copies
                                to the operating personnel office.
                * Refer to the EPA Awards Manual for individual Award Criteria *

                                      TYPE OF AWARD

    J    MERIT PAY CASH AWARD. A performance-based cash award granted for significant
         accomplishments related to the individual's Performance Agreement.

    D    SPECIAL ACT OR SERVICE A WARD. Given to an individual or group for significant
         one-time achievements related to official employment. The amount of award is based on
         the value of tangible and/or intangible benefits accruing from the special act or service.

    D    SUSTAINED SUPERIOR PERFORMANCE CASH A WARD. Given in recognition of
         continued  high quality performance of the duties of  the employee's position which
         substantially exceeds performance standards. Amount of award is determined according
         to a percentage of base pay.

    D    QUALITY  WITHIN-GRADE INCREASE. An additional within-grade increase granted
         for sustained high quality performance which is expected to continue in the future.
                                    INFORMATION ON RECIPIENT
 NAME (For group awards attach separate list of names, positions, and
 SSN's)
             POSITION TITLE. SERIES. GRADE. STEP
 ORGANIZATION AND LOCATION
SOCIAL SECURITY NUMBER
                       TIMEKEEPER NO
                                               PERSON TO RECEIVE CHECK
   ^0 OF SERVICE ON WHICH AWARD IS BASED
FROM
                       TO
                                               MONETARY AWARDS GRANTED IN
                                               LAST 52 WEEKS
                                     ACCOUNT NO TO BE CHARGED
                              AMOUNT OF CASH AWARD RECOMMENDED
  MERIT PAY
                                 SPECIAL ACT OR SERVICE
                                         SUSTAINED SUPERIOR
                                            PERFORMANCE
                  TANGIBLE
                                     INTANGIBLE
                                                           TOTAL
  OFFICIAL
RECOMMEND-
ING OFFICIAL
                         RECOMMENDING. REVIEWING. AND APPROVING OFFICIALS
                         SIGNATURE
                                                              TITLE
                                                    DATE
OBLIGATING
FUNDS
PERSONNEL
REVIEW
            D APPROVED
D DISAPPROVED
     VING
     L
>A Form 3130-1 (Rev. 11-83) Previous edition is obsolete

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 Please type off information
  &EPA
                                       United States Environmental Protection Agency
                 Recommendation and Approval of  Incentive Award
     ftions: This form is used to recommend and approve the incentive awards listed below for EPA employees. For special act and sustained
           superior performance awards, send the original and two (2J copies of this form directly to the Agency Payroll Office. For Quality

           Stop Increases and Tuna Off Awards, sand the original and two (21 copies of this form to your servicing Human Resources Office.
                                         Type of Award (please check vneJ
 I   I Special Act or Service Cash Award.  Given to an individual or group for significant one-time achievements
 I	I related to official employment. The amount of award is based on the value of tangible and/or intangible
     benefits accruing from the special act or service.  A written description of the achievement is on file in the
     recommending official's office.
            Indicate amount of tangible benefits here:  &

 I   I Sustained Superior Performance Cash Award.   Given in recognition of continued high quality performance of
 I	| the duties of the employee's position which subtantially exceeds performance standards. Amount of award is
     based on  the employee's current rating of record on file in the servicing Human Resources Office.

     Quality Within-Grade Increase.   An  additional within-grade increase granted for sustained high quality
     performance which is expected to continue in the future.  An employee may receive only one QSI  in a 52-week
     period. This award is based on a current rating of record of "outstanding" on file in the servicing Human
     Resources Office.
 D
Time Off Award.  A period of excused absence (administrative leave) granted for a superior personal effort
that contributed to increased quality and effectiveness in the awardee's office. A written description of the
achievement is on file in the recommending official's office.
     Indicate amount of time off to be granted here: ___^______ Hours.
                                              Information on Recipient
      'For group awards attach separata list of names and SSN's)
                                                   Position Title, Series. Grade, Step
                             Social Security Number
 Organization and Location
                                                         Period of Service on Which A ward is Based
                                                         From
                                                                               To
                                                  Certification

 We, the recommending and approving officials below, certify that all information on this form is accurate and complete. We further certify that
 the employeelsl named on this form fully meet the criteria for awards for which they are recommended as described above and in the EPA
 Awards Manual  We understand that any knowingly false or misleading statements may be punishable by fine or imprisonment or both under
 applicable laws.
                                       Recommending and Approving Officials
 Recommending Official (Name end Title)
                                                        Signature
                                                                                                  Date
 Approving Official (Name and Title)
                                                        Signature
                                   Date
                                  Note: Complete This Part Only For Cash Awards
 Amount of Cash Award
                        Timekeeper No.
Person To Receive Check
              Name and Title of Person Obligating Funds
                                                        Signature
                                                                                                 Date
EPA Form 3130-1T (12-91)

-------
         Appendix A14
NO AC Data Element Requirements

-------
NOAC Data Element Requirements
NOAC 800 Series f ex 8661
NOAC 866.930.931 .932.987 & 700 Series (ex 702.703.713)
NOAC 702. 703, 713
NOAC 500 Series
NOAC 200.300.400.900 te* 930.931 S32J98T)
NOAC 100 Series
TAPP
Screen
H
H
H
H
H
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
Field Name
NOAC1
NOAC2
SSN
SEQ
NAME
SF50
ORG CODE
POS SEN
BIRTH DATE
VET PREF
SERV COMP DATE
TENURE
RETIREMENT
FEGLI
FLSA
SEX
CITIZENSHIP
EFF DATE
ANNUITANT IND
WK SCHD
COMP LEVEL
COMP AREA
SHRED1
AUTH1
AUTH2
SHRED2
AUTH3
AUTH4
DATE
DAYS
HOURS
DOLS
POSITION NO
POSITION TITLE
FUNCTIONAL TITLE
EMP OFF CTY/ST
CURR APPT AUTH
PAY PLAN
OCCU CDE
GRADE

R
O
R
0
R
O
R
R
R
R
R
R
R
R
R
R
R
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X
O
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R
R
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R
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R
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R

x
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o
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R
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8
o
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0
R
R
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R
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o
o
o
o
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o
0
X
o
X

-------
NOAC Data Element Requirements
NOAC 800 Series iex 8661
NOAC 866,930,931.932.987 & 700 Series (ex 702.703.713)
NOAC 702. 703, 71 3
NOAC 500 Series
NOAC 200.300.400.900 fex 930.931 332J9&75
NOAC
TAPP
screen
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
00 Series
Field Name
STEP
SALARY
PAY BASIS
POS OCCU
FIX ACT
DES AGT
PERM/TEMP
LEO DATE
WGI CDE
SHORT
DPT/FLD
FILE LOCN
DATE AFF
QUIT CD
APTP
RIF DTE
PART TIME
TSP STATUS
TSP SDATE
TSP SCO
FERS COV
CODE
2NC INCR
3RD INCR
STANDBY
PLAN
GRADE
STEP
COLA
COMP
DESIG
GRADE
RETIRE DT
SUMMER APPOINTMENT
SPEC PRG
EMPL OBLG
LEAVE ELIG CD
LEAVE TRANSFER CD
HEALTH BENEFITS
DATE SVC YR BEGIN

R
R
R
R
R
R
R
R
O
o
R
R
O
N
X
o
o
R
X
X
X
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o
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X
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o
R
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O

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0
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0
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0
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0

0
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X
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0
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o
0
0
D
o

-------
NOAC Data Element Requirements
NOACaOO Series lex 8661
NOAC 866.930.931.932,987 & 700 Series (ex 702.703,713)
NOAC 702. 7&& 713
NOAC 500 Series
NOAC 200.398.400.900 tex 930,931 332.987)
NOAC 100 Series
TAPP
Screen i
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
Reid Name
DATE CAREER QUAL
DATE PROB PERIOD
EXCPT SVC BEGIN DATE
LUMP SUM ELIG
MONTHLY ANNUITY
RACE &NATL ORIGIN
ALIEN RES/NON-RES
FRACTIONAL PART CD
COUNTED/NOT CT
AGENCY FROM/TO
DATE PERM
PERF RATING
PERFORMANCE SCORE
DT LAST PERF RATE
PATCO
UNIFORM ELIGIBLTY
PAPER SALARY
HANDICAP CODE
DATE ENT PRES POS
FIN DIS
DT EX SERVICE BEG
SUPV/NONSUPV
VEV IND
PRD
BARG UNIT ST
FUNC CLASS
EDUC LEVEL
YR DEGR
DISC
LOCATION CDE
SON
FROZCSRS
CRED MJL SVC
CSRS COV APPT
AUTHEN DATE
TICKLER CODE1
TICKLER DATE1
TICKLER CODE2
TICKLER DATE2
TICKLER CODES

X
X
X

0
R
O
O
O
X
O
O
O
O
O
0
O
R
O
R
O
R
R
R
R
R
R

O
R
R
O
X
X
R-X
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O
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O
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X
0
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0
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0
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0
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0
D
X
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0
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0
0
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X

0
R-X
O
O
0
o
o

-------
NOAC Data Element Requirements
NOAC 800 Serks lex 8661
NOAC 866.930.931 .932.987 & 700 Series (ex 702.703/13)
NOAC 702. 7303, 71 3
NOAC 500 Series
NOAC 20a.300.4QO.dOO te* 93Q.931 .932J9&7)
NOAC 100 Series
TAPPl
Screen 4 Field Name
3 ITICKLER DATES
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
TICKLER CODE4
TICKLER DATE4
TICKLER CODES
TICKLER DATES
REMARK S1
REMARKS2
REMARKS3
REMARKS4
REMARKS5
REMARKS6
REMARKS?
FLAG1
FLAG2
FLAGS
REMARKS INSERTION!
REMARKS INSERTION2
REMARKS INSERTIONS
REMARKS INSERTION4

0
O
O
O
0
0
O
O
O
O
0
0
O
0
O
O
O
O
0

0
0
0
p
0 ,
0
O
, 0
0
0
0
0
0
0
0
p
0
0
0

0
O
O
O
0
O
O
O
0
O
O
O
O
0
O
O
O
O
0

O
O
0
9
0
O
0
O
O
O
O
p
O
0
O
0
O
O
0

O
O
O
0
O
O
0
O
O
O
O
O
O
O
O
O
O
O
O

,0
0
O
Q
0
0
0
p
0
0
O
O
0
0
0
p
0
0
O
Legend: R - Required Field
      O - Optional Field
      N - Not Allowed Field
      X - Optional Field w/ exceptions
      blank - Not Required Field
 	D - Displayed Field	

-------
  Appendix A15
Related Documents

-------
                            Related Documents
 SFS2 actions usually require an extensive amount of supporting information. This information
 is provided via additional forms and documents. The SF52 system should automate as many of
 these forms as possible to enhance the SFS2 process.  Forms that have mostly data fields are
 easily automated. Forms that have mostly narrative data or come from external organizations or
 people are more difficult to automate. However, as the design process begins for the SF52
 system, all required supporting forms should be reviewed and evaluated in terms of possible
 automation. The following list reflects many of the SFS2 supporting forms:
 PD

 SF171

 SF278

 SF115

 Special Pay/Bonus Forms for Pay Reform

 Copy of Previous SF50

 Letter of Financial Need

 Transcript

 SF140

 Consultant Form

 Notice of Results

 IPA Forms

 Notice of Benefits for LWOP

 Job Analysis

 Vacancy Announcement

 MPP Certificate

 SF39

 Checkout/Clearance Form
PD Coversheet

SF75

SF113

Training Plan

Letter of Understanding for a Temporary

Justification for Temporary Position

Letter of Good Standing in School

SF1170

SF141

Expert Form

Self-Certification Forms

SF71

Staffing Requisition

Basic Qualifications Worksheet

Rating Specification Sheet

Rating Plan

Bulletin 4

Security Sensitivity Review
Handicap Appointments

-------
  Exhibit El
SF52 Prototype

-------
            SF52 Prototype Navigational Flow


It is important that the following navigational flow charts
of the SF52  system depicted on the following five pages be
used as a guide when reviewing the attached prototype
screens.

-------
SF52 Prototype Navigational Flow
                              SI
      View
      SF52
System
Admin
Return To
Main Menu
                      S4
                    CHANGE IN
                     STATUS
                     S5
                Non Competitive

-------
AWARD   I  ICANC
                      S11
                             Referenw
                             Number

-------
c
SIGN  I	*f
      JS20       I
SEND
 OK
      CANCEL
                        SEND
>,        [
      CANCEL
                                                 CANCEL/EXIT!
                                                           S23

-------
                      52
                   CHECK
                  STATUS
 MAINTAIN
AUTHORITY
  DATA
 RELOCATE
   SF52
IN PROCESS

-------
[Detail  |
;onversion
[Reassignment
Promotion
                     Misc Chang
-------
                      SF52 Set-up Procedures
The  SF52  Prototype will only  operate under MS Windows.

1. Set-up a directory  called  VB on  your  C: drive (it  must be
on the C:  drive)

2. Set-up an SF52 sub  directory under the  VB directory

3. Copy the three files from  the diskette  to the C:\VB\SF52
sub  directory:

  VBRUN100.DLL
  SF52.EXE
  PERSONEL.FLE

3. Set-up a Program Item under Windows like the  example.

  Click on  the Program  Group  that you want the SF52 icon in
  Select  File
  Select  New
  Select  Program  Item,  Select OK
  Complete  as shown below
                           Program Manager
                                                   H*
 File  Options  Window  Help
                  Program Item Properties
     Description:
     Command Line:   C:\VB\SF52VSF52.EXE
                  Cancel
                           Browse.
                      Change Icon-
    aero i ranswrnr   Microsoft word
                           wog LOKOI
         Awards
                       SF52
                                                 cessories
                                                 Paintbrush
                                                  Cardfile
                                   Cab



                                   Clock
         Entertainment Pack Two
                                    Main
     Fuji Golf
MildleWilder
 Klolski
                     Tut's Tomb
     Reversi
    PFreeCell-n
 TicTactics
  Stones
TetraVex
SkiFree
Windows Setup    Word Setup    Control Panel

             D        •
 Print Manager    DOS Prompt    AFTER DARK
 File Manager      Clipboard

-------
4. Double Click on the SF52 icon to start the SF52 Prototype

NOTE: Use the TAB key to move from one data field to the next You can also
        use the mouse.

        Attached is the mock-up personnel database available for the SF52
        Prototype. Only the SSNs included in the list can be used with the
        SF52 Prototype.

5. Enter "First" (Capital F small irst) as the User ID (password not required) and
  click LOGON

6.ClickSF52

7. Click System Administration

8. Click INITIALIZE FILES. Select Yes and then Select Yes again.  Select OK.
  This is only done the first time. It sets-up empty SF52 Prototype files. It can
  be repeated if you want to start over again at any time.

9. Click MAINTAIN AUTHORITY DATA

10. Set-up the various users of the system.

      User ID can only be between 1 and 25
      Password up to 8 characters
      Name up to 25  characters
      Org Code anything
      Signature Authority up to 8 characters, required if signing an SF52 (blank
        if a secretary or administrative assistant)
      Select the various Authorities the user can have (select as many as
        appropriate)
      Click Save

      Repeat as needed to set up all the users

11. Click Cancel/Exit until you  exit to the Log-on screen.

12. Log-on as a new user (one you just set-up) and experiment with the SF52
   Prototype.

13. Repeat steps 11 to 12 to see how an SF52 moves from one person to the next.

-------
                                                 PERSONEL.FLE
Prototype Personnel Database

SSN,Name,Title,Series,Grade, Step, Organization,Location, Account, Salary, Performance,50%NextLevel,HoursTakenTo-d
ate,AwardsTo-date

000000000,Elvis Presley,Famous Singer, 1111,12,10,12345678,Tennessee,A455gh550,"$45,000",S,+,65,4500
111111111,Hulk Hogan,Wrestler,0334,14,00,34034005,Wash   DC,A2513FGXO,"$26,500",E,,75,5300
123456789,Uncle Sam,Fed Government,0340,13,08,34034001,Chicago,A2517JGX6,"$34,350",0,+,45,4870
222222222,Mickey Mouse,Politician,1234,12,10,11111111,  Florida, 123456789,"$19,500",S,+,80,3900
333333333,Joe Gibbs,NFL Champion,0334,14,00,34034005,Wash  DC,A2513FGXO,"$39,000",S,+,80,3900
444444444,Ric Flair,Pen Inventor,0341,03,10,12345678,California,T234r5ty9,"$105,000",S,+,80,3900
555555555,Don Ho, Singer,1345,13,10,10345634, Hawaii, A452rh550, "$76,890", S,+,80,3900
666666666,Bat Man,Crime Fighter,0301,15,00,34034002,Wash   DC,A2527jGXO,"$51,123",S,+,80,3900
777777777,Spider Man,American Hero,1234,09,10,11111375,Newyork,12345rt45,"$29,875",S,+,80,3900
888888888,Captain Cook,Pirate,2310,14,07,91034005,Seattle,A2513FGXO,"$61,367",S,+,80,3900
999999999,Michael Jackson,Pop Star,0301,11,10,90912345,Hollywood,A045ery4a,"$105,000",E,+,0,0
                                                    Page

-------
            EPA Personnel Action Request And Servicing System
             Please Sign On to EPARSS
          Your UseilD 8:
              Password
This is a PROTOTYPE.  It was built to demonstrate system navigation and certain functionality. It will
also assist with identifying, refining and validating system requirements. It is not intended to be a fully
functional operational system.

The Prototype was built to be flexible and reasonably easy to change.  This permits the Prototype to be
quickly modified to reflect changes in the Human Resources community's functional requirements.
There are inefficiencies, limitations, minimal edit and validation processes, and operational constraints.
These deficiencies were intentionally left in the Prototype. Consequently, you may encounter
regularities which may not necessarily be "errors".
             EPA Personnel Action Request And Servicing System

-------
EPA Personnel Action Request And Servicing System
           System Administrator Functions


-------
             Maintain Authority For SF52 Subsystem
"serlD
Password
Name
OrgCode
Signature
Authority
Code
D Initiate


D Approve

D Obligate


LJ Process


DView


DSysAdmin


DdassiHer

D Staffer

-------
SF52 Prototype Screens

-------
            EPA Personnel Action Request And Servicing System
si
             Please Sign On to EPARSS
           Your UseilD 8:
               Password:
This is a PROTOTYPE. It was built to demonstrate system navigation and certain functionality. It will
also assist with identifying, refining and validating system requirements, it is not intended to be a fully
functional operational system.

The Prototype was built to be flexible and reasonably easy to change. This permits the Prototype to be
quickly modified to reflect changes in the Human Resources community's  functional requirements.
There are inefficiencies, limitations, minimal edit and validation processes, and operational constraints.
These deficiencies were intentionally left in the Prototype. Consequently, you may encounter
irregularities which may not necessarily be "errors".

-------
EPA Personnel Action Request And Servicing System
                                                                 S2

-------
EPA Personnel Action Request And Servicing System
                Standard Form 52
                                   SF52 Pending Action
                                                                        S3

-------
EPA Personnel Action Request And Servicing System
                                                                S3A

-------
EPA Personnel Action Request And Servicing System
                    SF52
S4


-------
EPA Personnel Action Request And Sen/icing System
                                                                 S5

-------
EPA Personnel Action Request And Servicing System
                                                                  S6

-------
                                     INFORMATION ON EMPLOYEE
  Social Security Number
  Position Title
Position Title
  cries   PayPlan   Grade Step Salary
 enes    PayPlan Grade Step Salary
IfOrgcode    Location    PD Number
                                                    rgcode.    Location,
Effective Date:
                                                                                                          S7

-------
             SF52 Select Routine
                                                                           88
LJsll
          Double Click on Your Selection.

-------
                                                                                                S9
Ustl
                                           O Approval
                                           O Obligate Funds
                                           O Hunan Resources
                                           O View Only
                                           O Back To Initiator

-------
                      JF52 Form
                                    INFORMATION ON EMPLOYEE
                                                sssssss
                                                im^m
                                                'tmSiSi
                                                ante
 ocial Security Number
                                                         PayPJan Grade Step  Salary

                                                                 ^^
cries    PayPlan   Grade Step  Salary
 Orgcode    Location    PO Number
                                                 Orgcode,    Location,
                                                888888;
Effective Dale:



-------
             SF52 Select Routine
Lisll
          Double Click, on Your Selection.
                                                                            S9B

-------
L»t1
                                            O Approval
                                            O Obligate Funds
                                            O Human Resources
                                            O View Only
                                            O Back To Initiator
S9C

-------
                       royal OTSF52 Form
                                INFORMATION ON EMPLOYEE
  odd Security Number
eries   PayPSan  GiadeStep Salaro
                                            Oigcode,    Location,
ffective Dale:
                                                                                          S10

-------
             SF52 Select Routine
                                                                          sil
lattl
          Double Click on Your Selection.

-------
                  Certification

  We, the recommending and approving officfajt
 beto*. certify that off information on this form
 if accurate and coaapfefs.
 We understand that an? knomngfr fake ormo/eadmg
statement* aiaf be puntthabie by fine or mprrtanmenf or
both under appBcabJe torn.
                                      S12
                                   Thi« Person Abeady Signed
Date
  Signature
  Authority

-------
Listl
                                            O Approval
                                            O Obligate Funds
                                            O Hunan Resources
                                            O View Only
                                            O Back To Initiate}
S13

-------
                                   INFORMATION ON EMPLOYEE
  Social Security Number
 eries    PayPlan  Grade Step Salary
Series    PayPbh Grade Step Salary
 Orgcode    Location    PD Number
                                                  rgcode.     Location.
Effective Date:
                                                                                                   S14

-------
             SF52 Select Routine
Lictl
          Double Click on Your Selection.
                                                                             SI 5

-------
                                                                                             S16
Ltttl
                                          O Approval
                                          O Obfigate Fund*
                                          O Human Resources
                                          O View Only
                                          O Back To Initiate!

-------
                 Certification

                ting and approving offiriak
 Wc.tbe
beto*. certify that off in/amatian on ttiis /turn
it accurate and complete.
fe^j undcrttand that any Jcoomrrfffp /a/re orooifeading
                                                                                                     S16A
   under applicable team
                                 This Peison Already Signed     D ate
Signature
Authority

-------
SSN
Action
PROCESS SF52 Fmi
              N
                                             Screen 1:
SF 50: £]
VelPreh f
FE6LI: [~
Clf Date:


OigCode:
"| SCO:
FLSA: []

NOAC: j | Sh
Limitations: Da
PD No: |
Functional Title:
Pay
Plan:
Series:
Pos
Leq
T«p
Uccu:
Date:
St |

1

Zl

Armuite
ted: £] A
ite:
~\ Position Tit

PC
»Sen: Q
| Tenure:
SEX: []
«t Ind; ( j Wk Gel
uth:
HOAC: |
Days: | 1
te:

Birth Date:
Citizenship:
tct 1 Com
Shred: []



I
Retirement
Q FiteLo
ip Level: f

1
en:
H3
AUK: |
flows: | 	 | Dob: |
| CurApptAuth: |
[— 	 | Emp Off Ctp/S 1
Giade:
FinAccL
Wgifd: Q
Date

TSD SDt:

SEND SF52
SAVE
Step: Q

DesAgt
Short | [ UpWHd
Mh |
quite

TsoDt | 	

SF52
GET SF52
1 i
Pen
r~j Hrf date:
A \ [ ApT
| TspScd:
Pay Ba*i«:
m/Temp: r~

p: r~~


Next Screen
Pan
I1



J

Time:
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CANCEL/EXIT
                                                                      S17

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 SSN
        Action
PROCESS SF52 Foim
               N
                                                                         Screen 2:
SI        Code.      [
Ri     t      Plan:
Unifroro SERV Comp:
Gummei Appointment
Leave Efig Cd:     Q
ABien res/Non
Counted/Not D
Pert rating:
PATCO:
Lump Sum Elig   [
Hace Hall Urig::
Fin Di«:       r~\
  D
 n
n
                                                                                                   S17A
] 2ndlncr P" |
| 	 | Grade:
| | Dewg:
Opec Pig: |
3id Incr. j |
Step: [~~|
n G
Leave Transfer Cd:
Monthly Annuity | |
Agency FiomAo: [ J
Performance Score: | |
Uniform eligibility J 1
Handicap Code: [~~]
Ut Prob Period:
Dt Ex Service Beg:
i

tade:
a Mpr
Health Be
Fractional
Datepera
D( latt Pe
Paper Sal
Date Ent
~~| Ul Uareer
Stand By:
COLA: []
Retire Dl: F

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D

JWs Q
nefiU: [ ~]
Part cd:

i:

if Rate

ary:
Pres Po«:

Uualdy:
Dt Serv Year Begin:


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                                 Previous Screen
                                         Next Screen

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SSN
        Action
       PROCESS SF52 Form
                    Name:
                                                                         Screen 3:
SUPV/NonSupv:
Edu Level:
Location Cde:
Hoz CGflC:
n


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YrDegr
~ PI* [_

Disc:
SON:
] CredMHSvc:
] B

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one: r~j

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Authcn Dole:
Code.
Date:
Date:
       Code:
Tioklcf Code;    [   [  Date:
         Code:
            Date:
Dale:
                                                          Code:
flemark Codec:
Insertions:
1
1
ZJL_
                             |	1  |	1  Flagl:  []    Flag2:  [] Flag3
                                                                                                    S18
                                   Previous toeen

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             SF52 Select Routine
Ustl
          Double Click on Your Selection.
                                                                            S19

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                  Certification

  We. the/ccomKentSng and appnnvjff offic/ait
      , co/fifr Mof off information an this form
                                       S20
 We underttand that anjr knomngtp fake orooieadmg
ttataaentt majf be puntshabte bji fine or ^jmonment of
both tinder applicable Jam.
                                   This Person Already Signed
Date
  Signature
  Authority

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                                                   S21
Listl
O Send Back




O Send to Oastffiers




O Send to Staffer





O Send To Procewoi*




O Send To EPAYS

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                          SF52 View
                                            Action:
Social Security Number
 N
             From Data
Position Tide. Serie*,Pay plan. Grade, Step, Salary
               n  n
Orgcode, Location. Pd Number
Account No
                To Data
Position Title, Series.PP, Giade, Step, Salary
I                                  I
cm
Orgcode, Loaction, Pd Number
                                            Effective Date:
                                            NTEdate
                                            Account No
                                                                                               S22

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             SR>2 Select Routine
Listl
           Double Click on Your Selection.
                                                                               S23

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System Administrator Functions
                                                         S24

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             Maintain Authority For SF52 Subsystem
UserDD
Password
OrgCode
Signature
Authority
Code
                                                                                   S25
                                              U Classifier

                                              D Staffer

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                        SF52 Tracking History
                                                               S26
SSN
N
-------
   Exhibit E2
Awards Prototype

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Award  Prototype Navigational Flow
              Sign]

              <*   JA1
LOGON

EXIT
^\^ /
I OK

CANCEL

SEND
"X
— ^
\.
CANCEL

I
CANCEUEXIT
                                                   Legend:
                                                Screen  [    J

                                                Funcdoa i     i
<3p To

Screen
Flow   .—^

SlWR
ftefereoce    >
                                                        o

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A12
A12
       Sreen
       Reference
       Number
At

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/
SEND
V,
X
CANCEL
v
I
CANCEL/EXIT
                                                                              JA12
    Legend:
Screen
Function


  a TO

  er&en
 Flow

 SWOB
 fteferc
 Number
           O
                                                                                A12
Reference     A#

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                                AWARD
                              TRADKJNO
                               HISTORY
                                                                [NOT PRO-1
                                                                I SHAMMED! A .,
                                                                V-	-r	^ A17
   Legend:
Screen
Functorv
Sasen
         O
Snew
Reference

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                     Award Set-up Procedures


 The Award Prototype will only operate under MS Windows.

 1. Set-up a directory called VB on your C: drive (it must be on the C: drive)

 2. Set-up an EPARSS sub directory under the VB directory

 3. Copy the three files from the diskette to the C:\VB\EPARSS sub directory:

   VBRUN100.DLL
   EPARSS.EXE
   PERSONEL.FLE

 3. Set-up a Program Item under Windows like the example.

   Click on the Program Group that you want the EPARSS icon in
   Select File
   Select New
   Select Program Item, Select OK
   Complete as shown below
     Command tine:  [C:\VB\EPABSS\EfWISS.EXE
                                               ControlPanel Print Manager


                                               DOS Prompt   CWjoard
                 *^        I IT   if   wfflw   ——     SBP"    *"*
   AD  Table Edtor  ATM Control Panel    EPARSS  I HPLasaJet PojJSoipt Fatffiack Plus 3.0  GL
        \2t'      ^^*   ^""
   WritB  Panftmuh  Teminal  Notepad  Recada
         TR
        Calendar Catedator   Dock   PIF Edta
4. Double Click on the EPARSS icon to start the Award Prototype

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NOTE: Use the TAB key to move from one data field to the next You can also
       use the mouse.

       Attached is the mock-up personnel database available for the Award
       Prototype. Only the SSNs included in the list can be used with the
       Award Prototype.

5. Enter "First" (Capital F small irst) as the User ID (password not required) and
  click LOGON

6. Click AWARDS

7. Click System Administration

8. Click INITIALIZE FILES. Select Yes and then Select Yes again. Select OK
  This is only done the first time. It sets-tip empty Award Prototype files. It can
  be repeated if you want to start over again at any time.

9. Click MAINTAIN AUTHORITY DATA

10. Set-up the various users of the system.

      User ID can only be between 1 and 25
      Password up to 8 characters
      Name up to 25 characters
      Org Code anything
      Signature Authority up to 8 characters, required if signing an award
        (blank if a secretary or administrative assistant)
      Delegation of Authority is the dollar amount of an award that an
        Approver can sign (only required for Approver)
      Select the various Authorities the user can have (select as many as
        appropriate)
      Click Save

      Repeat as needed to set up all the users

11. Click Cancel/Exit until you exit to the Log-on screen.

12. Log-on as a new user (one you just set-up) and experiment with the Award
   Prototype.

13. Repeat steps 11 to 12 to see how an award moves from one person to the
   next.

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                                                 PERSONEL.FLE
Prototype Personnel Database

SSN,Name,Title,Series,Grade,Step,Organization,Location,Account,Salary,Performance, 50%NextLevel,HoursTakenTo-d
ate, AwardsTo-date

000000000,Elvis Presley,Famous Singer,1111,12,10,12345678,Tennessee,A455gh550,"$45,000",S,+,65,4500
111111111,Hulk Hogan,Wrestler,0334,14,00,34034005,Wash   DC,A2513FGXO,"$26,500", E,, 75,5300
123456789,Uncle Sam,Fed Government, 0340,13,08,34034001,Chicago,A2517JGX6,"$34,350",0,+,45,4870
222222222,Mickey Mouse,Politician,1234,12,10,11111111, Florida,123456789, "$19, 500",S,+, 80, 3900
333333333,Joe Gibbs,NFL Champion,0334,14,00,34034005,Wash   DC,A2513FGXO,"$39,000",S,+,80,3900
444444444,Ric Flair,Pen Inventor,0341,03,10,12345678,California,T234r5ty9,"$105,000",S,+, 80, 3900
555555555,Don Ho,Singer, 1345, 13,10,10345634,Hawaii,A452rh550,"$76,890",S, + ,80,3900
666666666,Bat Man,Crime Fighter,0301,15,00,34034002,Wash   DC,A2527jGXO,"$51,123",S,+,80,3900
777777777,Spider Man,American Hero, 1234,09,10,11111375,Newyork,12345rt45,"$29,875",S,+,80,3900
888888888,Captain Cook,Pirate,2310,14,07,91034005,Seattle,A2513FGXO,"$61,367",S,+,80,3900
999999999,Michael Jackson,Pop Star, 0301,11,10,90912345, Hollywood,A045ery4a,"$105,000",E,+,0,0
                                                    Page 1

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