FISCAL YEARS 1997 - 1998 WORK PLAN

UNDER THE STRATEGIC PLAN

FOR

PERSONNEL ACTION DOCUMENTATION

AND RECORDKEEPING

Prepared by the U.S. Office of Personnel Management

Office of Workforce Information

February 1997
 Project numbers were taken from the Strategic Plan and are listed for reference. As noted in 1

the Plan, projects were not listed in a strict chronological order but were often arranged to show the

interconnected nature of some projects. Project 1 was completed in December 1996; project 4 was

completed in January 1997.

INTRODUCTION

The Office of Personnel Management has developed a Strategic Plan for Personnel

Action Documentation and Recordkeeping. This Plan sets the long-term goal and

direction for personnel documentation requirements in the Federal workforce. The

project numbers and titles in this work plan are taken from the Office of Personnel

Management’s Strategic Plan for Personnel Action Documentation and

Recordkeeping.

This work plan contains the projects the Office of Personnel Management expects to

undertake in fiscal years 1997 and 1998. The background information and statement

of work expand on the project descriptions in the Strategic Plan . The project 1

schedules are estimates; completion of the projects will depend on the resources the

Office of Personnel Management and the agencies are able to commit to them.

The Statement of Work for each project includes an opportunity for all stakeholders to

review any proposals for changes in policy, guidance, and operational procedures.

The scheduled projects are:

Flexibility in Processing Requests for Personnel Actions (Project 2);

Redefinition of Official Personnel Actions (Project 3);

Alternatives to the Standard Form 50 for Informing Employees of Personnel

Actions (Project 5a);

Reducing the Number of Standard Form 50 Remarks (Project 5b);

Electronic Transfer of Preliminary Employment Information (Project 6).
1997-8 WORK PLAN 1 PROJECT NO. 2

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Project Number: 2

Title: Flexibility in Processing Requests for Personnel Actions

Objectives:

1. Determine if Governmentwide mandatory use of the Standard Form 52 is

justifiable on the basis of cost or other criteria. 

2. Determine what, if any, standards should exist for the data element content of

an agency-designed personnel action request. 

3. Determine Governmentwide policy on control and accountability in processing

requests for personnel actions.

Background:

For many and perhaps all agencies, the manual personnel action processing

environment no longer exists. Additionally, the Office of Personnel Management is

delegating to agencies more human resources management decision-making

flexibilities than it has in the past. These changes call into question the assumption

that there is an inherent benefit in requiring a standard form and standardized

processing system for requesting personnel actions. Any standardization must

demonstrate “added value.” In this project we will review the need for a standardized

personnel action request process.

Statement of Work: 

1. Define the Office of Personnel Management’s needs for information on agency

initiation, approval and certification of requests for personnel action. Select and

prepare information gathering methods and techniques such as interview guidelines,

questionnaires, and organization of focus group meetings.

2. Gather data from the Office of Personnel Management program offices and legal

advisors. 
1997-8 WORK PLAN 2 PROJECT NO. 2

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

3. Complete a draft proposal on: 

a. whether to continue or discontinue the Standard Form 52;

b. in the absence of a Standard Form 52, whether and what to prescribe as

standard data content for a personnel action request;

c. Governmentwide policy, if any, on agency control and accountability over

the initiation, approval and certification of personnel actions.

4. Circulate the draft to Office of Personnel Management stakeholders.

5. Circulate the draft to other appropriate parties.

6. Prepare the proposal in final as an update to THE GUIDE TO PROCESSING

PERSONNEL ACTIONS and if appropriate, as a revision to title 5 Code of

Federal Regulations.

Resources: Office of Personnel Management Staff

Schedule: 

Tasks Target Date

1. Define information needs and techniques for gathering Third quarter,

that information fiscal year 1997

2. Gather data from Office of Personnel Management Third quarter,

stakeholders fiscal year 1997

3. Draft proposal for action to be taken Third quarter,

fiscal year 1997

4. Coordinate review of draft with Office of Personnel First quarter, fiscal

Management and agencies year 198 

5. Prepare changes, if any, to THE GUIDE TO First quarter, fiscal

PROCESSING PERSONNEL ACTIONS year 1998

6. Prepare amendments and revisions, if any, to the Code Second quarter

of Federal Regulations. fiscal year 1998
1997-8 WORK PLAN 3 PROJECT NO. 3

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Project Number: 3

Title: Redefinition of Official Personnel Actions

Objectives:

1. Identify the employment events that should constitute official personnel actions.

2. Establish requirements that differentiate events reported to the Central

Personnel Data File from events documented in the Official Personnel Folder.

Background:

The Office of Personnel Management defines official personnel actions in THE GUIDE

TO PROCESSING PERSONNEL ACTIONS. Each personnel action is identified by a

nature of action code that describes the employment event (e.g., appointment,

promotion). All personnel actions are documented for long-term retention in the Official

Personnel Folder and are reported to the Central Personnel Data File. The two

requirements are joined; i.e., if the occurrence of an employment event is to be

reported to the Central Personnel Data File, it will be identified as an official personnel

action and it must also be documented in the Official Personnel Folder. The two

requirements serve different purposes. Official Personnel Folder documentation is

designed to record events in an individual’s employment history that have long-term

consequences on his/her rights and benefits, while Central Personnel Data File

reporting is designed to meet Governmentwide statistical information needs. 

Agency payroll and personnel information systems use personnel actions (nature of

action codes) to input data and initiate internal processes such as generating

retirement reporting (e.g., Standard Form 2806). 

An initial Office of Personnel Management review indicated that some of the events

now identified as official personnel actions may not be needed either as long-term

Official Personnel Folder documentation or as Central Personnel Data File statistical

information. Other events may be needed only for statistical information (Central

Personnel Data File) and not for long-term Official Personnel Folder documentation.
1997-8 WORK PLAN 4 PROJECT NO. 3

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Eliminating processing and documentation requirements for events that are no longer

properly identified as official personnel actions will improve personnel office operations. 

Implicit in this project is the assumption that agency payroll/personnel information

systems are flexible enough to report actions to the Central Personnel Data File

without producing Official Personnel Folder documentation (i.e., Standard Form 50's). 

If that assumption is inaccurate then the Central Personnel Data File/Official Personnel

Folder link must be retained. 

Statement of Work:

1. Identify the employment events that are currently defined as official personnel

actions.

2. Conduct an internal Office of Personnel Management review to determine

whether each event should be part of the long-term Official Personnel Folder

documentation, reported to the Central Personnel Data File, both, or neither.

3. Send results of internal review and any proposed changes in the definition of

official personnel actions to the agencies for comment from both human resources

management and information processing perspectives.

4. Consolidate agency responses into final proposal.

5. Publish procedures to implement proposal.

Resources: Office of Personnel Management staff to coordinate project. Office

of Personnel Management and agency officials to review,

comment, and provide formal/informal guidance.
1997-8 WORK PLAN 5 PROJECT NO. 3

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Schedule:

Tasks Target Date

1. Identify current definitions Third quarter,

fiscal year 1997

2. Conduct review within Office of Personnel Management Third quarter,

fiscal year 1997

3. Send review results to agencies for comments Fourth quarter,

fiscal year 1997

4. Consolidate comments and prepare proposed First quarter, fiscal

procedures year 1998

5. Clear proposed procedures within Office of Personnel Second quarter,

Management and publish fiscal year 1998
1997-8 WORK PLAN 6 PROJECT NO. 5a

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Project Number: 5a

Title: Alternatives to Standard Form 50 for Informing Employees of

Personnel Actions

Objective: Develop Governmentwide policy requirements for using means

other than the paper copy Standard Form 50 to notify employees

of personnel actions.

Background:

During an employee’s career, a number of actions occur that impact on his or her

rights, benefits, and working conditions. The actions may be required by legislation,

directed by agency management, or initiated by the employee. Although all of these

actions may impact the employee, not all of them are “personnel actions” within the

context of this project. For example, completion of the initial probationary period

confers certain rights under adverse action procedures but it is not a personnel action.

Personnel actions are employment events: 

documented under rules published in The Office of Personnel

Management’s Operating Manual THE GUIDE TO PROCESSING

PERSONNEL ACTIONS;

recorded on Standard Forms 50, “Notifications of Personnel Action”; and

maintained as long-term documents in the Official Personnel Folder.

For personnel actions, the Standard Form 50 serves as the official notice to the

employee that a specific event occurred, the effective date of that event, and an

explanation of how that event changed his/her conditions of employment. The Office of

Personnel Management allows agencies to use specified alternatives to the Standard

Form 50 for a limited number of personnel actions. These alternatives are used both

as Official Personnel Folder documentation and employee notification.

Agencies have identified a need to use alternatives to the Standard Form 50 to notify

employees of personnel actions. It is expected that alternative notification methods

would improve both operating efficiencies (e.g., greater timeliness) and customer

satisfaction (e.g., providing more tailored information on the action taken).
1997-8 WORK PLAN 7 PROJECT NO. 5a

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Using means other than the Standard Form 50 to notify employees of personnel

actions is one method of increasing agencies’ operating flexibilities. It is part of a

process that should facilitate automated recordkeeping by reducing mandatory use of

standardized forms for all personnel processing. This project is part of that process

but focuses solely on means of providing information to employees. It does not directly

address recordkeeping requirements.

Statement of Work:

1. Gather and review background information (definitions of personnel actions,

Standard Form 50 requirements, agency experience with various methods of employee

notification for personnel, payroll, and other events).

2. Group personnel actions according to the character of the event being

documented.

3. Develop a matrix defining the information currently given the employee on the

Standard Form 50 for each grouping of personnel actions.

4. Determine whether methods other than the Standard Form 50 may be used to

notify employees of each grouping of personnel actions and, if so, what requirements

the notification must meet (e.g. content and privacy protections).

5. Consolidate determinations into proposed Governmentwide requirements.

6. Submit proposal for review among all stakeholders (Office of Personnel

Management, agencies, employee organizations).

7. Analyze comments received in step 6 and revise proposal as necessary.

8. Submit final proposal to the Office of Personnel Management for final clearance

and issuance of any necessary policy guidance.

Resources: Agency led work group of 5 to 7 Office of Personnel Management

and agency representatives. 

Schedule: Begin during fourth quarter, fiscal year 1997. Specific tasks and

target dates are to be determined by the work group.
1997-8 WORK PLAN 8 PROJECT NO. 5b

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Project Number: 5b

Title: Reducing the Number of Remarks on the Standard Form 50,

Notification of Personnel Action.

Objectives:

1. Identify remarks the Office of Personnel Management no longer requires be on

the Standard Form 50 and rescind them. 

2. Identify remarks that should be documented for permanent retention on the

Standard Form 50, because they are needed to determine employee rights and

benefits. 

3. Identify remarks that not need not be documented for permanent retention on

the Standard Form 50, because they meet transitory information needs which

typically alert employees of changes documented elsewhere on the Standard

Form 50 or on other documents. 

Background:

Some agencies wish to substitute a summary record for the individual Standard Forms

50 filed in Official Personnel Folders. Because of the volume of remarks and the size

of their text, the efficiency of such a summary may be defeated (i.e., a summary might

occupy as much space as the several Standard Forms 50 it replaces). In this project

we wish to review all required remarks to determine how that volume may be reduced. 

We expect to find that some required remarks are no longer needed and may be

rescinded immediately. 

Of the required remarks that are still needed, some may be documented on the

Standard Form 50 for permanent retention to provide information or clarification of

changes that bear on making determinations about an employee’s rights and benefits. 

Other remarks may be transitory in nature because they function only as an alert,

usually to the employee, of a change coded elsewhere on the Standard Form 50 or

another document (e.g., Ineligible for life insurance). We will identify and classify

needed remarks to one or the other of these categories. 
1997-8 WORK PLAN 9 PROJECT NO. 5b

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

In another project, Alternatives to Standard Form 50 for Informing Employees of

Personnel Actions, we will decide whether the Standard Form 50 will be the required

form of employee notification for all personnel actions, and, if not, the acceptable

alternatives. The employee notification in whatever form will contain all required

remarks. 

In a future project included in the Strategic Plan, we will establish, as appropriate,

formats for documenting personnel actions in the Official Personnel Folder. These

formats may include only the remarks required for permanent retention as identified in

this project. 

Statement of Work:

1. Compile an inventory of required remarks; in that inventory, identify when the

remark is used and whether the remark information is captured elsewhere on the

Standard Form 50 or other Official Personnel Folder document.

2. Determine how work will be organized (e.g., start with remarks on appointments;

categorize remarks as meeting transitory or permanent information needs, etc.).

3. Identify remarks that are no longer needed in any form or format. Coordinate

their cancellation within the Office of Personnel Management; issue an update to THE

GUIDE TO PROCESSING PERSONNEL ACTIONS.

4. Identify remarks that:

a. provide information which may should be retained permanently to make

determinations about employee rights and benefits;

b. meet a transitional information need by providing the employee with

notice of a change documented elsewhere on the Standard Form 50 or

another document. 

5. Coordinate these findings within the Office of Personnel Management and

among the agencies. 

6. Issue results of review identifying remarks as required in the Official Personnel

Folder documentation (permanent) or not (transitory).

Note: Tasks 3 and 4 may be completed in stages; findings may be released in stages

as well, impacting scheduled target dates. 
1997-8 WORK PLAN 10 PROJECT NO. 5b

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Resources: Office of Personnel Management led with agency officials to

review, comment, and provide formal/informal guidance.

Schedule:

Tasks Target Dates

1. Establish inventory of remarks Fourth quarter,

fiscal year 1997

2. Determine how work will be organized Fourth quarter,

fiscal year 1997

3. Conduct review First quarter, fiscal

year 1998*

4. Coordinate findings within the Office of Personnel Second quarter,

Management fiscal year 1998*

5. Issue updates to THE GUIDE TO PROCESSING Second quarter,

PERSONNEL ACTIONS to delete unnecessary remarks fiscal year 1998*

6. Coordinate determinations on permanent/transitory Second quarter,

remarks with agencies fiscal year 1998*

7. Issue determinations on permanent/transitory Third quarter,

remarks. fiscal year 1998*

* Action may be taken in increments for groups of remarks before review of the entire

remarks inventory is completed. Dates reflect first increment in each task. 
1997-8 WORK PLAN 11 PROJECT NO. 6

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Project Number: 6

Title: Electronic Transfer of Preliminary Employment Information

Objectives:

1. Define a process for electronic transfer of preliminary employment information

among personnel offices.

a. Project must define security standards adequate to protect the

employee's privacy.

b. Project may define information content and format.

2. Test the process and collect information on advantages and disadvantages of

the process.

Background:

When an office is hiring someone from another Federal agency or office and does not

have the applicant's Official Personnel Folder, they may gather basic information to

process the appointment from the losing office. Personnel offices use the Standard

Form 75, Preliminary Employment Data, to verify key information and obtain data

required to process the appointment in their internal personnel processing systems. 

Personnel offices can request and receive the information by phone or by mail.

The Standard Form 75 includes information from files other than the Official Personnel

Folder - for example, security data, payroll data, and Thrift Savings Plan data. The

gaining personnel office may request all of the information on the Standard Form 75,

only part of the Standard Form 75 information (indicated by circling the item numbers

for the information requested), or more information than usual by making a special

request in block 9 of the Standard Form 75. 

Some agencies have expressed an interest in receiving preliminary employment

information in an electronic format to save rekeying data into their personnel

processing systems. Use of electronic transfers would be an additional option for

those offices able to create and accept such information. Lessons learned from

experience with these transfers would form a basis for electronic transfer of more

complete personnel information.
1997-8 WORK PLAN 12 PROJECT NO. 6

U.S. OFFICE OF PERSONNEL MANAGEMENT FEBRUARY 1997

Statement of Work:

1. Gather and review background information (Standard Form 75, Privacy Act

notices for the systems of records covering Standard Form 75 data, Governmentwide

security requirements for electronic transmission of personal data, current agency

practices).

2. Determine the content and format for the request for preliminary employment

information and the response. Content and format may follow the Standard Form 75

pattern which allows variations in the request or may require use of a single,

predetermined format or may allow agencies to set the format on an ad-hoc basis.

3. Develop security standards for electronic transfer. Standards must ensure both

the confidentiality and integrity of the information being transferred. 

4. Obtain appropriate reviews of the proposals developed in steps 2 and 3 and

develop plans to test electronic transfer under those proposals.

5. Test electronic transfer at several personnel offices. Gather information to

evaluate the tests (e.g., accuracy, security, customer satisfaction, cost).

6. Evaluate test results and revise original proposals as necessary to incorporate

lessons learned.

7. Submit revised proposals for review among all stakeholders.

8. Consolidate results of review; revise proposals as necessary; submit entire

package to the Office of Personnel Management for final clearances and issuance of

any required policy guidance.

Resources: Agency led work group of Office of Personnel Management and

agency representatives, including operational level personnel staff

and those with expertise in computer security.

Schedule: Begin fourth quarter fiscal year 1997. Specific tasks and target

dates to be set by workgroup.