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OWCP PROCEDURE MANUAL

 PART 4 - PLANNING AND EVALUATION

LIST OF CHAPTERS

 

 4-0100 . . . . . . Introduction (to be added)

 4-0200 . . . . . . OWCP Annual Operational Plan

 

 4-0300 . . . . . . Accountability Reviews

 4-0400 . . . . . . Quarterly Review & Analysis 

4-0200 - OWCP ANNUAL OPERATIONAL PLAN

TABLE OF CONTENTS

 Paragraph Subject Trans. No. Date

 1 Overview 94-11 2/93 

 2 The Development Process 94-11 2/93 

 3 General Content and Format 94-11 2/93 

 4 Guidance 94-11 2/93 

1. Overview. This chapter explains the purpose and development process of OWCP’s

Operational Plan. The Operational Plan is the agency’s annual statement of goals and objectives

for workload productivity and performance. The Operational Plan contains staffing allocations,

and output, timeliness, and other workload targets and standards for each of the Federal

Employees’, Longshore and Harbor Workers’, Coal Mine Workers’, Energy Employees

Occupational Illness Compensation, and Vocational Rehabilitation programs. Individual district

office and nationwide performance against operational plan goals are tracked, measured, and

evaluated through the Quarterly Review and Analysis (QR&A) process (see Part 4, Chapter

4-400).

The Operational Plan is developed within the context of OWCP’s budget and long-range

strategic planning. In that regard, output goals must be consistent with the level of committed in
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the applicable budget submission to the Office of Management and Budget and to Congress.

Further, the Chief Financial Officers Act of 1990 required annual financial statements which

include performance measurements reflective of program efficiency and effectiveness. These

statements include measures common to the Government’s pension and social security programs,

such as the timeliness and accuracy of the adjudication and payment of benefits which are part of

OWCP’s operational planning and quality review processes.

2. The Development Process. 

a. Responsibilities

The National Office program head is responsible for the development of the respective

individual program plan. The Director of the Division of Policy, Planning and Standards

(DPPS) is responsible for the Vocational Rehabilitation plan. DPPS is responsible for

setting timetables, providing staff support to the programs, coordinating development

among the program heads and the regional directors, and issuing the Operational Plan.

b. General Timetable

Development of the Operational Plan occurs during the fourth quarter of the fiscal year

prior to the plan year. The plan is first produced in preliminary form in the National

Office and is issued by the Director in July to OWCP’s regional directors for comment.

The plan is issued in final form by the end of August. The plan year begins on October 1,

and ends on the following September 30. Performance toward achievement of the plan is

reviewed each quarter.

3. General Content and Format. The core of the operational planning process is the formulation

by the OWCP divisions of staffing allocations, output and inventory targets, and timeliness

standards. Staffing allocation formulas generally base the distribution of personnel on the

amount of work to be done in each geographic area. Workload measures are selected to produce

performance outcomes which support program objectives and initiatives. The divisions must set

obtainable goals for workload measurement which will provide fair and accurate assessments of

performance.

New workload measures, new formulas, and revisions are proposed to field managers and other

in the Preliminary Operational Plan. The National Office responds to comments received and

presents its decisions in the Final Operational Plan. The plan also contains the programs’

workload-related objectives and initiatives, definitions of the workload measures, reporting

instructions, and other relevant information.

The Operational Plan follows the standard format below. Part I presents detailed narratives of
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the subject areas, rationale and comments on new proposals, and discussion of final decisions;

Part II presents in a brief statement each of the individual workload measures. Part III presents

definitions, tables, formulas, report forms, and supplementary information.

 Part I. DISCUSSION

-Objectives and Initiatives

-FTE Resource Allocation

-Output and Inventory Measures

-Timeliness Standards

-Reporting Requirements

-Other discussion

 Part II. WORKLOAD MEASUREMENTS

-Output and Inventory Measures

-Timeliness Measures

 Part III. ATTACHMENTS

-tables and formulas

-definitions

-report forms

4. Guidance. 

a. Objectives and Initiatives are presented individually in bullet-point fashion.

Described here are the programs’ ongoing or plan year specific workload objectives

and specific initiatives underway or planned to support and further those objectives.

b. Staffing Allocations distribute Federal full time equivalencies (FTE) to field and

national office units. Allocations are usually based upon set formulas which weigh

various workloads common to each geographic unit. Other factors may also be

considered when making allocation decisions. Allocation formulas, their outcome, and

the final distribution are discussed at length in Part I of the Operational Plan.

c. Output and Inventory Measures set targets, expressed as either a count or a

percentage, in various performance categories. Outputs could include actions initiated

or completed; inventories could include such things as actions pending, cases in a

particular status, overpayments, etc.

d. Timeliness Standards set the timeframe for which a percentage of workload actions

must be completed. Many timeliness measures include more than one performance
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tier. This recognizes that not all actions of the same category can be completed

within the same timeframe.

e. Reporting Requirements are placed upon the responsible reporting unit for the

production and submission of the reports by a specified date, usually within the first

few days of the close of each quarter. Included in this are both automated and manual

reports. When applicable, the plan will contain copies of new or revised versions of

manual reports.

f. Definitions identify the data source and the system codes, and explain the

terminology, used for each workload measure, and identify action or status dates used

to measure timeliness.

g. Tables and Formula are generally numeric presentations of staffing distributions,

workload targets and workload projections.

4-0300 ACCOUNTABILITY REVIEWS

TABLE OF CONTENTS

Paragraph Subject Trans. No. Date

1 Purpose and Scope 95-1 11/94

2 Overview 95-1 11/94

3 Scheduling 95-1 11/94

4 Staffing and Review Coordination 95-1 11/94

5 Off-Site Preparation 95-1 11/94

6 On-Site Review 95-1 11/94

7 Post-Review Activities 95-1 11/94

8 Quarterly Review of Form AR-10 95-1 11/94

9 FECA Management Review 95-1 11/94

10 Management Review of 

 Rehabilitation Quality 95-1 11/94

 Exhibits

1 AR-1: Accountability Review Findings 95-1 11/94

2 AR-10: Corrective Action Progress 

 Report 95-1 11/94

3 Management Review Items 95-1 11/94
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4 Sample Sizes and Allowable Error Rates 95-1 11/94

5 Selecting a Sequential Sample 95-1 11/94

6 Sample Memorandum 95-1 11/94

1. Purpose and Scope. This chapter describes National Office accountability review procedures

that the Office of Workers’ Compensation Programs (OWCP) uses to monitor work quality,

timeliness, and administrative efficiency in the four programs that it oversees: Federal

Employees’ Compensation (FEC), Black Lung (BL), Energy, and Longshore (LS). It also

incorporates information regarding the FECA management review, an off-year supplement to the

accountability review, and the rehabilitation quality management review. 

2. Overview. Regular accountability reviews provide national, regional, and district office

management with an objective analysis of operations and the information they need to measure

performance and eliminate potential problem areas. Each program has quantitative standards

and qualitative standards that ensure that each office within a program is reviewed on the same

basic criteria. Qualitative standards are usually tied to specific written procedures. In every

review, the review team leader and District Director are responsible for a spirit of cooperation

between the review team and district staff while the review is being conducted. When this

happens review serves the positive purpose for which it was intended.

3. Scheduling. Accountability reviews are scheduled on a fiscal year basis by the four National

Office program divisions. Each division should try to review its district offices biannually with

National office review teams (contingent on staff and funding availability) and must submit a

memorandum proposing the review schedule for the following fiscal year to the Office of the

Deputy Assistant Secretary for Workers’ Compensation by August 20th annually. The Division

of Planning, Policy, and Standards (DPPS) resolves any conflicts and forwards a combined

OWCP schedule to the Office of Management, Administration and Planning (OMAP).

4. Staffing and Review Coordination. The program selects a team leader and the necessary team

members. If rehabilitation activities are included in the review, DPPS assigns a team member

for this purpose who performs his or her review activities under the direction of the program

team leader. The team leader is responsible for coordinating review activities and

communication with regional and district office managers.

5. Off-Site Preparation. Off-site preparation begins after staffing selections but never less than

sixty (60) days prior to the scheduled review date.
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a. Local Arrangements. The team leader makes arrangements for on-site work space

with the Regional Director or the District Director. Review team members

require a work area, supplies, clerical support (if available), access to automated

data processing equipment and personal computers. Files scheduled for review

are placed in the work area and separated according to the particular review

standard for which they are selected. The team leader also ensures entry to the

worksite. He or she provides team members with all appropriate travel and work

site information three to four weeks prior to the scheduled review date.

b. Review Parameters. The team leader sets the period of time that the review covers

(usually the 12 months of four quarters prior to the review date), the

accountability standards to be reviewed and any known special issues that

management has asked the review team to consider. 

c. Off site Review and Analysis. The team leader assembles and reviews program

productivity and performance data. As part of this information gathering process,

the team leader may also confer with regional, district office, or DPPS staff.

(1) Data Collection. The team leader collects performance data which may

include print-outs, previous accountability review reports, any corrective

actions, Quarterly Review & Analysis (QR&A) feedback, operational plans,

and other reviews and analysis regarding the office including National

office reviews, regional reviews, OIG, and GAO audits and any action plans

resulting from those reviews or audits. Data collection should begin about

sixty days prior to the review.

(2) Off Site Analysis and Report. After reviewing the data, the team leader

prepares a written “off-site” report that contains any significant findings

such as unresolved issues from previous reviews, QR&A issues or workload

statistics which may have a direct bearing on the upcoming review.

(3) 30 Day Notice. This notice is usually addressed to the Regional

Director and signed by the appropriate program head with copies including

attachments to the District Director and contains the review dates, the name

and office telephone number of the team leader, the number of people on the

team, and the parameters of the review including any special issues. It

should state that additional issues may be identified during the review and

should also include any special instructions. These might be arrangements

for clerical support, work space, and supplies; any special information

needed for the district office prior to the review; the proposed on –site

schedule including the opening conference and the close-out; and the

tentative team member assignments. The “off-site” report is attached to the

30 day notice.
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This notice must be mailed 30 days prior to the review date. 

e. Review Team Instructions. The team leader starts considering team member

assignments at least six weeks prior to the review. These assignments take into

account each team member’s experience and expertise. Approximately three to

four weeks prior to the scheduled review date, the team leader notifies team

members of their assignments, provides them a copy of the appropriate

standard(s) and other program specific documents (training materials,

instructions, worksheets), and advises them to obtain and review both automated

system data and program procedural directives that may related to their review

assignment. 

f. Case Selection. Two to three weeks prior to the scheduled review date, the team

leader obtains copies of print-outs that list cases appropriate for review under

each accountability review standard. The case selections are made using either

the random sampling technique contained in the ESA Manual of Administrative

Instructions, Appendix AR-14, or another valid statistical method.

As close to the scheduled review date as possible (the district office must have a

reasonable amount of time to locate, pull, and organize the requested cases during

regular work hours), the team leader notifies the district office in writing of the cases

selected.

6. On-Site Review. The team leader is responsible for coordinating and managing the on-site

review. The pace and structure of the review should promote a continual flow of information

between the team and office management staff and an atmosphere in which the team members

can accomplish their tasks in the most efficient way possible.

a. Meetings. The team leader is responsible for a number of meetings during the

review. These include the opening conference, team meetings, other management

meetings, the close-out conference and a post-close-out meeting.

(1) Opening Conference. Shortly after arriving on site, the team leader

conducts a conference with office management and with team members if

they have arrived. In this initial meeting, the team leader goes over the

review schedule and agenda, reiterates the purpose of the review, and

explains any special issues and meets regional or district office staff. The

District Director is asked to name one or two supervisors who will be

available to review any problem cases. At the end of the meeting the team

leader, together with the District Director, arranges any clerical support,

inspects the review team’s work site for space and supplies, and makes

any last minute requests or adjustments. 

 
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(2) Team Meetings. In the afternoon of the first day, the team leader

meets with all the team members to explain duties, go over assignments,

explain the lay-out of the cases for review, and make all necessary

introductions to regional and district office staff. At this time, the team

leader also provides team members with pre-prepared Forms AR-1

(Accountability Review Findings: Exhibit 1. Longshore program will

continue to use current procedures and the existing form AR-1 until such

time as its automated case management system is able to accommodate

percentage performance measures). Team members use this form to

record their findings for each standard.

The team leader meets daily with the entire team to determine the findings

to date, to listen to any suggestions for corrective action, and to assess the

amount of work completed. Work assignments may need to be adjusted

on the basis of these meetings.

(3) Management Meetings. The team leader holds periodic meetings with

management to apprise them generally of findings to date. Worksheets

are shared as review categories are completed. At this time the team

leader also explores potential corrective actions with the office managers. 

 

(4) Close-out Conference. The team leader conducts the close out

conference and gives a summary of the findings and the corrective actions.

The team members give a verbal overview of their findings on each

standard. The conference attendees are provided with a copy of the

Accountability Review Report (see 6b below) which includes a brief

executive summary of review results, Forms AR-1, worksheets for errors

that the team leader and the district office manager feel are significant

enough to be included in the formal report, and a list of proposed

corrective actions. District office staff who attend this conference should

be allowed time to ask questions.

(5) Post Close-out Meeting. The team leader may meet with the regional

and district director and National Office program head to define any

unresolved difference, clear proposed corrective actions with the regional

and National Office management, and to determine any additional

corrective actions that may be needed.

b. Accountability Review Report. The elements of the accountability review

report are listed in 6a(4) above. Each element is prepared during the course of the

review by either the team leader or individual team member (Because the

DLHWC review teams are extremely small, they will continue to provide a

comprehensive oral report, and Corrective Action List (see 6b(4) below) at the
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closeout. A written accountability review report, consisting of the elements

described below, will follow within 10 days of the on-site review completion

date).

 

(1) Cover Memorandum/Executive Summary. The Team leader prepares

a memorandum for transmitting the written report to the OWCP Director.

He or she may also prepare a brief executive summary consisting of

general information about the review itself: review dates, team

composition, any special issues to be considered, etc; general review

results and an assessment of office performance during the review period;

and any error or finding that the team leader and district office manager

agree should be highlighted in the report. The Executive Summary should

not exceed one and one-half pages in length. 

(2) Form AR-1. The team members prepare a form AR-1 (see 6a(2)

above) for each standard reviewed (Longshore procedures do not require a

review rating at this time).

(a) The “Findings” section of the AR-1 details the review team’s

analysis and findings regarding the office’s performance under the

particular standard being considered. Where practical, specific

cases with errors are identified, along with the nature of the

error(s), in the “Findings” section.

 

(b) The “Others Significant Findings” section discusses any trend

or finding that is not specifically covered by, but is related to, the

standard. This section is also the place to indicate that an office

has corrected a performance deficiency during the course of the

review, eliminating the need for further action. 

(c) The “Improvement Since the Last Accountability Review”

section highlights significant improvements in performance and, as

appropriate, discusses the effectiveness of corrective actions from

the previous review. 

(3) Worksheets. Reviewers use worksheets to summarize their findings

for each case or set of cases they review. Worksheets provide the basic

data for completing form AR-1 (see 5b(2) above). The team leader relies

on worksheets to answer any questions about the finding after the review

is finished. At a minimum, each worksheet, regardless of program, must

clearly state the standard, the identifying case number, the finding, the

name(s) if the reviewer, the date of the close-out, and, if appropriate, why

the case failed to meet standard.
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(4) Corrective Action List. Each program standard has a threshold

requirement for acceptable performance. Failure to meet the threshold

requirement triggers a corrective action in the absence of mitigating

circumstances. A corrective action is a plan to eliminate substandard

performance.

7. Post-Review Activities. The review team, district office, and regional and National Office

management complete all post-review activities within 30 days of the close-out conference,

including developing corrective action plans if this was not done during the course of the review.

If agreement has been reached with the regional director during the post close-out meeting (see

6a(5) above) on a proposed corrective actions, there is no need for further action on the part of

the team leader. The district office manager and regional director complete and submit Form

AR-10 (Corrective Action Progress Report: Exhibit 2) as required (see OWCP Procedure

Manual, Chapter 4-400, Quarterly Review & Analysis. All the information needed to complete

the form is available in the accountability review report. 

 

a. Report is Final. If the parties agree with the review findings and proposed

corrective actions, the team leader sends DPPS a copy of the report within seven

days of returning from the review with a draft memorandum for the Director,

OWCP’s signature stating that the report is now final and any proposed corrective

actions are in place. After signature, the memorandum is distributed to regional

and district office directors, National Office program heads, and the team leader

within ten days of the report’s arrival in DPPS. A copy of the report is retained

with the memorandum in the Director’s file.

b. Region Files Rebuttal. If there is disagreement regarding the review findings, the

regional director notifies the team leader within seven days of the close-out conference

that he or she intends to submit a rebuttal. The rebuttal is due to the team leader within

15 days of the close-out conference (for DLHWC, this will be within 15 days of the

written report issue date). It clearly states all the reasons for disagreement. The team

leader has 15 days from the receipt of the rebuttal to prepare and issue a response to the

regional director, district director, and National Office program head. This response

clearly states the reasons for agreement or disagreement with the regional office’s

position. The team leader forwards the response, a copy of the rebuttal, and a transmittal

memorandum for the signature of the Director, OWCP to DPPS. After the Director has

signed and the response is issued, the package is filed as an addendum to the original

report. 

8. Quarterly Review of Form AR-10. The corrective actions stemming from an accountability

review are revisited each quarter as part of the Quarterly Review and Analysis process. The

regional director submits a status report on each open action with the quarterly data submission.

During the conference call, the regions are notified whether corrective actions are considered
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closed or require further reporting. If there is no conference call, actions are closed by notifying

the regional director in the final quarterly report. 

9. FECA Management Review. In FECA, each district office is required to conduct a biannual

quality review. For some items, the National Office supplies universe from ADP reports. For

other items, the universes are derived at the district office level. The items for review are listed

in Exhibit 3, which also shows where the reports for each item are generated.

a. Relation to Accountability Review. Each district office reviews the quality of

the claims and fiscal actions consistent with standards and procedures used for

accountability reviews. 

 

b. Time Frames. Approximately one year after each office’s most recent

accountability review, the National Office generates a report listing cases for

management review in that office, and the review is conducted promptly upon

receipt of the case listings. Interim reviews are performed special items which

were found deficient during an accountability review. 

c. Sample Size. A table for determining statistically valid sample sizes for

reviews is shown in Exhibit 4. These samples are not to be used for evaluation of

individual employees. A sequential sample should be selected in accordance with

the instructions contained in Exhibit 5.

d. Preparation and Release of ADP Reports. The reports to the district offices are

similar to the computer listings used in accountability reviews. In the district

office’s reports, however, the listings of cases are subdivided where possible

based on individual claims unit case number breakdowns, and where possible the

time parameters used for case selections are shorter then those used by the

National Office. 

e. Forms. The worksheet and AR-1 forms used in accountability reviews are

available from the National Office. The results of case reviews are recorded on

the worksheets and the findings of the supervisor’s reviews are explained on the

AR-1 forms. Both sets are forwarded to Assistant District Director. 

f. Higher-Level Review. The Assistant District Director (or other designee)

reviews a twenty-five percent sample if the office-wide findings.

The higher-level reviewer also uses the accountability review worksheets and the

AR-1 forms to report findings. These reports, along with the reports of the first

line supervisors, are submitted to the DD.

The DD reviews the findings of the supervisors and managers and assesses then

adequacy of any corrective actions. Management review documentation is
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retained until the next accountability review, at which time the findings are

discussed by the team leader and district office management. 

g. Error Rate. For the purpose of determining internal corrective actions, a

provisional error rate of 15% is acceptable in all categories. Because of varying

sample sizes, the error rate of 15% can only be applied with certainty when the

entire universe has been sampled. The allowable error rates will vary from 15%

to 24% (see Exhibit 4).

The formula for determining the maximum error rate limit has a confidence level

of 95% that any findings which exceed the stated values indicated that on office

or unit does not meet the standard for that item.

h. Reports. A review should be completed within two months of the date on the

printouts released by the National Office. 

(1) If corrective actions are required, Form AR-10 is prepared and

submitted to the National Office, along with copies of the worksheets for

items 2a and 3f. Updated AR-10s are submitted to the National Office as

part of the QR&A process within five working days following the close of

each quarter as long as the corrective actions remain open.

(2) If no corrective actions are required, a memorandum stating that the

review has been completed is submitted to the National Office. A sample

form for this purpose is provided as Exhibit 6. 

10. Management Review of Rehabilitation Quality. This review should be conducted in every

FECA and Longshore district office in the year in which a National Office Review is not

performed. It should also be performed if a National Office accountability review of

rehabilitation issues does not take place. It consists of randomly sampling vocational

rehabilitation cases and reviewing the Rehabilitation Specialist’s (RS) management of

rehabilitation counselors. Results are reported to the Regional Director, with a copy submitted

to the Division of Planning, Policy and Standards (DPPS) in Washington, D.C.

a. Review Preparation. To prepare for the review, the designated review uses:

(1) the OWCP Procedure Manual Part 3- particularly chapters 3-201, 3-300,

3-400 and 3-700; and (2) the counselor certification guidelines (Red Book revised

June, 1993). Copies can be obtained or questions regarding the standards

answered by calling the Branch of Medical Standards and Rehabilitation. 

b. Standards. The timeliness and quality of rehabilitation services, the equitable

use of available counselors and the quality of the management of counselors by

the RS and measured using standards 4a-f of the FECA accountability review
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manual and standard 10 of the Longshore manual. 

c. Worksheets. Worksheets are available from DPPS in the National Office. 

d. Universe and Samples. The size of the universe of cases for a particular item

and the sample size which is adequate for a statistically valid sample is

determined from Exhibit 5. The sample is drawn from the most recent month’s

automated reports. If the office has more than one RS, samples are selected so

that each RS’s work is sampled in proportion to workload size. The Counselor

Referral Log is used to review RS counselor management issues.

 

e. Reporting. The reviewer prepares a summary report for the Regional Director

which includes, for each standard, the size of the universe of cases, the

statistically valid sample size, the number of cases reviewed, the error rate and a

discussion of the types of errors and other significant findings noted. The

Director, DPPS, Room s3524, Frances Perkins Building receives a copy of the

report.

f. Corrective Actions. Office management will use corrective actions to address

problems that emerge during the review. Management review reports and any

corrective actions will be examined as part of the bi-annual National Office

accountability process. 

Exhibit 1, Page 1 of 2: 

AR-1: ACCOUNTABILITY REVIEW FINDINGS

DATES OF REVIEW:

OFFICE REVIEWED:

REVIEWING OFFICE:

STANDARD(s): [Standard number and description]

Quality 

 Quantity 

Timeliness 

Acceptable Rating: % 
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Rating for Review: % 

Sample Size: Number of cases reviewed: 

Number of cases with errors: 

FINDINGS:

REVIEWER(s): DATE: 

[signature of review team member(s)] [date of

close-out conference]

AR-1

OWCP Tr. No. 95- Page 1 of 2 Exhibit 1

October 1994

Exhibit 1, Page 2 of 2:

AR-1: ACCOUNTABILITY REVIEW FINDINGS

CONTINUATION OF FINDINGS:

OTHER SIGNIFICANT FINDINGS:

IMPROVEMENTS SINCE LAST ACCOUNTABILITY REVIEW:
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CIRCUMSTANCES BEYOND MANAGEMENT CONTROL: [This section is to be used only

if the reviewer has found that there have been exceptional circumstances totally beyond the

control of the manager which have prevented the meeting of the standard.]

OWCP Tr. No. 95- Page 2 of 2 

October 1994

Exhibit 2: 

AR-10: CORRECTIVE ACTION PROGRESS REPORT

CORRECTIVE ACTION PROGRESS REPORT

 To be added at later date...

OWCP Tr. No. 95-

October 1994 

Exhibit 3: 

MANAGEMENT REVIEW ITEMS

Review Provided

Item by Subject

2a NO Initial Payments

2b NO Memos and Compensation Orders

2c DO Reconsiderations

2d DO Remands

3a NO/DO Medical Development

3b NO Occupational Case Processing 

3c NO/DO Identification of Cases for Conferencing 

3d DO Quality of Conference Memos

3e NO Response to COP Controversions 

3f NO Initial Adjudications

4a NO/DO Medical Interventions

4b NO/DO WEC Determinations

4c NO Nature/Extent of Disability

4d NO Employment and Dependency

4e DO Rotation of Referee Specialists

4f DO QCM Cases
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4g DO Nurse Services

5a DO Overpayment Processing

5b DO Overpayment Waivers

5c DO Accounts Receivable Review/Write-Offs

5d DO Timeliness of Notification

5e DO Timeliness of Final Decision

6a NO Third Party Identifications

6b NO Third Party Processing/Monitoring

9a DO Cash Receipts

9b DO Automated Fund Control

9c DO DMS Maintenance

9d DO Health Benefits Procedures

10a DO FECS Status Codes and Dates

10b NO TPCUP Codes

10c NO ICD-9 Codes

10d NO QCM Codes

10e NO/DO Recurrence Codes

11a DO Bill Processing

11b DO BPS Transactions Reviews

11c DO BPS History Updates

11d DO Bypass Codes

12a DO ACPS Payment Authorization/Keying

12b NO Management Authorization for ACPS

12c DO ACPS History Updates

13a DO Proper Forms for Bill Submissions

13b DO Bill Screening

13c DO Separation of BP Functions

13d DO Separation of ACPS Functions

13e DO Validation of Address Changes

OWCP Tr. No. 95- Page 1 of 1 

October 1994 

Exhibit 4:

SAMPLE SIZES AND ALLOWABLE ERROR RATES

 ALLOWABLE

UNIVERSE SAMPLE ERROR

 (N) SIZES (n) RATES (%)

 0-34 same 15
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 40 34 19

 50 34 21

 60 34 22

 70 34 22

 80 34 23

 90 34 23

 100 34 23

 110 34 23

 120 34 24

 130 34 24

 140 34 24

 150 34 24

 160 34 24

 170 34 24

 175 34 24

 200 35 24

 225 36 24

 250 37 24

 300 37 24

 325 38 24

 350 38 24

 400 39 24

 450 39 24

 500 39 24

 600 40 24

 700 40 24

 800 41 24

 900 41 24

 1000 41 24

 1100 41 24

 1200 41 24

 1300 41 24

 1400 41 24

 1500 42 24

 1600 42 24

 1700 42 24

 1800 42 24

 1900 42 24

 2000 42 24

 2100 42 24

 3000 42 24

 4000 42 24

 5000 42 24
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 18

 6000 42 24

 7000 42 24

 8000 42 24

 9000 42 24

 10000 42 24

OWCP Tr. No. 95- Page 1 of 1 

October 1994

Exhibit 5:

SELECTING A SEQUENTIAL SAMPLE

Selecting an approximately equal number of sample cases for each Claims Examiner (CE)

involves drawing a sequential selection of sample cases from the universe of cases listed for each

element of the review. All that is required is to determine the sequential order of the sample

cases and the starting point (case number).

For example, assume that a universe consists of 600 cases which are listed on a computer

printout by ascending triple terminal digits or in alphabetical order, and that the cases are

sequentially numbered from 1 through 600. Also assume that the sample size is 40. The

sequential sample order is obtained by dividing the sample size into the universe size, i.e., 40

into 600. 

The result, which is 15, indicates that the random sample of 40 cases can be obtained by

sequentially selecting every 15th case in the universe of 600 cases. The starting point may be

chosen by arbitrarily picking a number from one through 15. Assuming that the random starting

point chosen is five, the 40 sample cases would be selected by checking off every 15th case

listed starting with case #5.

If the office has 20 CEs and each is responsible for 30 of the 600 cases listed, then the sequential

method of selecting sample cases will result in two sample cases being selected from each CE's

universe of 30 cases. If cases within a universe are distributed unevenly among the CEs, the

cases in the sample selected by this method will tend to be distributed accordingly.

OWCP Tr. No. 95-

October 1994 Page 1 of 1 

Exhibit 6:

SAMPLE MEMORANDUM
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MEMORANDUM FOR: THOMAS M. MARKEY

 Director for 

 Federal Employees' Compensation

FROM: DISTRICT DIRECTOR

SUBJECT: Completion of Management Review

The NAME OF DISTRICT OFFICE has completed its management review for the reports

generated by the National Office and transmitted to us on DATE. All required levels of

supervisory or management review have been performed and the findings have been documented

consistent with the instructions in FECA PM Chapter 8-201.

OWCP Tr. No. 95- Page 1 of 1 Exhibit 6

October 1994

4-0400 - QUARTERLY REVIEW & ANALYSIS

TABLE OF CONTENTS

Paragraph Subject Date Trans. No.

 Table of Contents 01/95 95-02

1 Purpose 01/95 95-02

2 Collection of Preliminary Data 01/95 95-02

3 Management Conference Calls 01/95 95-02

4 Submission of Corrective Action Plans 01/95 95-02

5 Quarterly Performance Report 01/95 95-02

6 QR&A Process Schedule 01/95 95-02

7 Program Instructions 01/95 95-02

Exhibits

1 Time Frames for Preliminary

 Data Submission 01/95 95-02

2 AR-10 01/95 95-02

3 Feedback Report 01/95 95-02

4 CA-80 01/95 95-02

5 List of Data Sources (FEC) 01/95 95-02

6 List of Data Sources (Longshore) 01/95 95-02

 List of Data Sources (Black Lung) 01/95 95-02
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 20

1. Purpose. This chapter describes and provides the instructions for conducting OWCP’s

Quarterly Review & Analysis (QR&A). The QR&A provides for the tracking, reporting and

analysis of field office performance in carrying out fiscal year operating plans. Through analysis

of new incoming and current workload inventory, the QR&A process also assists management in

budget planning for future resource needs.

Major features of the QR&A process include the early compilation of performance related data,

the increasing automation of data collection, and a focus on performance exceptions and positive

and negative trends. Discussion and appraisal of performance is conducted together by national

and regional management through teleconferences. Development of written, effective corrective

action plans by the district offices is accompanied by positive feedback from the National office.

2. Collection and Analysis of Preliminary Data. The QR&A process begins at the close of each

quarter with the scheduled generation of preliminary data from automated and manual sources in

either the National or Regional offices and the submission by the regions where relevant of

updated accountability review AR-10’s (Exhibit 2). The data is analyzed by program staff in the

National and Regional Offices to identify performance problems, improvements, and positive

and negative trends.

a. Division Directors are responsible for ensuring that all preliminary automated data are

timely submitted to DPPS according to the schedule of timeframes for performance data

availability shown in Exhibit 1. For those QR&A data not available on automated

systems, division directors will obtain the data from the regions and will ensure that

DPPS receives the manual data. Division directors are to analyze their preliminary

performance data and AR-10’s to identify significant issues for conference call

discussions. 

b. Division of Planning Policy and Standards. At the close of each quarter, DPPS will

issue a call via E-mail for manual workload and performance reports and AR-10s. DPPS

is responsible for compiling all data from the individual programs and distributing it in

QR&A format to the Division Directors, Deputy Assistant Secretary (DAS), Deputy

Director, and Regional Directors; for scheduling the agenda setting meetings in the

National Office (NO); and for transmitting a teleconference schedule and agenda to each

region.

c. Regional Directors are responsible for the timely submission of manual workload and

performance reports and AR-10s via E-mail to DPPS according to the timeframes

specified in Exhibit 1; for transmission of automated data where applicable; for

reviewing preliminary QR&A data as soon as it is received from the National Office; and

for ensuring that their staff is fully prepared for the management conference calls. The

latter includes: (a) making sure that appropriate staff participate in conference calls; (b)
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 21

analyzing performance results and proposing corrective actions; and (c) providing

comments and confirmation on corrective actions agreed to previously. 

3. Management Conference Calls. Conference calls are held among management and staff of

the National and Regional Offices to discus significant quarterly or year-to-date performance

issues, proposed corrective actions plans, and the status of implementing accountability review

corrective actions. Performance issues generally are negative deviations from program plan or

declines in performance over a significant period and inadequate progress in implementing

accountability review corrective actions. The conference calls are conducted over a three

working day period where possible.

a. Definition of Deviation. A significant deviation, in the case of Output, Inventories

and Debt Management, is defined as any negative variance in excess of ten percent. The

Timeliness standards as represented in the program plans must be met, with no allowable

variance, for the district office to be considered to have met its performance goals. For

discussion purposes, all timeliness standards are analyzed on a cumulative as well as a

quarterly basis. However, the district office is considered to have met the standard for

the planning year if the cumulative statistics equal or exceed the goal. When quarterly

statistics begin to equal or exceed the goal while the cumulative statistics do not, it

should be taken as an indication that the district office’s corrective actions are having a

positive effect. 

b. Criteria for Discussion of Problems in Conference Call. The decision to include an

item in the conference call with a particular region will take into consideration such

factors as whether or not a district office’s performance deviates significantly from plan

on either a quarterly or cumulative basis, whether there are downward performance

trends, whether the performance issues have been previously discussed, and whether the

current correction actions have been ineffective. Not all workload deviations discussed

will require the submission of a corrective action (CA) plan. However, any CA plan

required for submission following the conference call will confirm the agreements

reached. 

c. Corrective Action. A corrective action is defined as a positive measure planned to

remedy a performance shortfall, and which describes the course of action to accomplish a

particular goal according to a specified timeframe. 

4. Submission of Corrective Action Plans. Where appropriate, corrective action(s) for workload

and performance deviation(s) will be jointly agreed to during the conference call. The Region

will then prepare and submit to DPPS its CA plan(s) which include written confirmation of

corrective actions agreed upon during the conference call. CA plans are to be submitted only for

those issues agreed to during the conference calls. 
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When an accountability review corrective action has been the subject of a conference call and a

revised or additional corrective action is recommended, the National Office may also require a

modified AR-10.

5. Quarterly Performance Report. The OWCP Quarterly Performance Report, the record

document for the QR&A, consists of 1) a National Program Summary; 2) any corrections to the

Workload and Performance data tables; 3) updated AR-10s; 4) a summary of conference call

topics; and 5) feedback reports (Exhibit 3) for each region that addresses corrective actions

proposed for any performance or accountability review shortfalls. 

a. Division Directors are responsible for the analysis of the regional corrective action

plans submitted for their respective programs and preparation of feedback reports which

are submitted to DPPS according to the schedule in Paragraph 6, below. 

6. QR&A Process Schedule

a. Immediately following the close of each quarter, DPPS issues a call for manual

reported data (e.g., CA-80, Exhibit 4) and accountability review AR-10s. DPPS also

issues a schedule for the entire quarter’s QR&A cycle which includes tentative dates for

the management conference calls.

b. Preliminary data from automated and manual reporting systems are AR-10s is

generated by each program and submitted to DPPS according to the submission schedule

(Exhibit 1). If no unusual system problems occur, the Workload and Performance

Reports are completed by DPPS by the 12th workday following the close of the quarter

distributed to the National and Regional Directors. 

c. Upon receipt of the preliminary data, National and Regional Offices complete their

analysis within five work days. Meetings will be held among the OWCP Director and

Division Directors to develop an agenda for the Management Conference Calls. 

d. Immediately following these meetings, DPPS confirms with the regions via E-mail

whether or not a conference call is required and provides an agenda listing by program

the main topics to be discussed.

e. Conference calls take place among senior managers over a three-day period beginning,

optimally, by the 20th workday following the close of a quarter. 

f. Regional offices submit CA plans and modified AR-10’s within ten working days

following their conference call. The Director, DPPS must approve any extension of this

timeframe. Submission should be transmitted to the Director, DPPS via E-mail whenever

possible. Large documents should be sent via “Pouch” mail using the address below:
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 23

U.S. Department of Labor

Employment Standards Administration

Office of Workers’ Compensation Programs

Room C-3315

200 Constitution Avenue, N.W.

Washington, D.C. 20210

Attn: Director, Division of Planning, Policy and Standards

g. National Office programs and DPPS prepare and issue to the Regional Directors the

Quarterly Performance Reports, which include Feedback Reports, no later then 40

working days following the close of the quarter.

It is important that all parties follow the schedule closely. Although it is understood that

circumstances may arise beyond the control of managers, any slippage is the schedule

creates a domino effect that lessens the value of the process as a proactive management

tool.

7. Special Instructions by Program

a. Longshore. The majority of the QR&A data is obtained from the Sequent System at

the end of each month through automated LHWCA District Office Statistical Report

(LS-3) and the automated Workload and Performance Standards Reports. A copy of the

LS-3 file for each office except Honolulu is transferred automatically to the National

Office by the Sequent System on the evening of the third work day of the new month. It

is important that the district office run the report on the afternoon of the last workday of

the month or make it the first item of business on the morning of the first workday of the

new month. Any last minute changes or additional inputs must be completed no later

than COB the third work day of the new month. 

The LS-3’s, Supplemental Statistical Report, a manual report, must be completed and

faxed to the Longshore Division Director by no later than COB the third workday of the

new month.

Since the Honolulu office is not on the Sequent system a hard copy of the LS-3, the

Workload and Performance Standards Report, and the LS-3s should be faxed to the

Longshore Division Director no later that COB the third workday of the new month. The

Honolulu office must also submit the monthly back-up tape(s) and the back up status

listing. These should be submitted for receipt no later than close of business on the fifth

work day of each month.

b. FECA. QR&A statistics are compiled from the monthly MIS reports, QCM report,
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 24

Recurrence Adjudication Summary, H&R and ECAB Cases Requested reports, Bill

Payment System reports, DMCS Aging Summary, CA-80s, and Completed Claims

Reports (for Timely Payment Standard). Monthly FECS-MIS reports are used to

determine input, and timeliness for those measures available from the MIS system.

Because there is some variance between the monthly reports and the quarterly reports,

only the monthly FECA-MIS reports are used for QR&A reporting purposes. 

c. Vocational Rehabilitation. The National Office uses the district office RH-1 summary

reports to tract FECA rehabilitation performance for rehabilitation cases. The figure for

Total Rehabilitated Cases is used for the actual total.

FECA and Longshore Rehabilitation Specialists will submit Form OWCP-12 to DPPS by

the seventh calendar day following the end of the quarter. RS’s needs only submit two

items: referrals made to the RS in the quarter and new cases opened in the quarter. Data

for the prior FY (second column) is not required. DPPS will make summary statistical

data available to the Longshore and FECA Division Directors by the fifteenth calendar

day following the close of the quarter and will recommend conference call agenda items

in conjunction with Longshore and FECA.

d. Black Lung. All data is generated by the automated system. Data for the timeliness

standards is obtained from the MIS #7 Report. Performance on the Claimant Dept

Management Standard is measured from balances of aged debts in status codes “0”

through “3” showing on the BLBM 0660, A/R Aging Report. MIS #7 and the BLBM

0660 Reports are distributed to the National, regional and district offices after the

weekend following the close of the quarter. 

Each district office should also review the Exception Report to MIS #7 which lists case actions

completed outside the timeliness standard. Actions which were delayed for reasons beyond the

office’s control should be listed by standard affected and case number with a brief explanation

for the deviation, and telefaxed to DCMWC’s Branch of Standards, Regulation and Procedures

by the 10th calendar day following the end of the quarter. The program Director must approve

any extension of this timeframe for exception reporting. Approved extensions must be

transmitted to DPPS by the 16th work day following the end of the quarter. 

Exhibit 1: 

TIME FRAMES FOR SUBMISSION OF PRELIMINARY DATA TO DPPS

OWCP -- ALL PROGRAMS

 o Accountability Review AR-10 updates are due from the Regional Directors to
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 25

DPPS, with

 copies to the Division Directors, by the fifth workday following the end of the

quarter. 

FECA

 o Manual reports (CA-80) due by fifth work day of the month following the end of

the quarter.

 o TPCUP due by tenth calendar day of the month following the end of the quarter.

 o Automated reports (MIS) due within first five calendar days of the month.

 o Bill pay reports due last Thursday of the month.

 o All other ad hoc automated reports due by the fifth workday following the end of

the quarter.

BLACK LUNG

 o MIS Reports are due by fifth work day of the month following the end of the

quarter.

 o Requests for exceptions are due by the tenth calendar day following the end of the

quarter. 

 Approved exceptions are due in DPPS by the 16th calendar day following the end

of the quarter.

LONGSHORE

 o Automated monthly reports (LS-3 and Workload and Performance Standards

Report) and the

 manual Supplemental Statistical Report (LS-3s) are due by the fifth work day of

the month.

REHABILITATION

 o Offices must transmit their RTS data within 3 work days following the end of the

calendar

 quarter.

 o RH data is run within one week after the end of the quarter.

 o OWCP-12 is due by the seventh calendar day of the month.
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 26

 

Exhibit 2:

AR-10

Office of Workers' Compensation Programs

Accountability Review Corrective Action Progress Report

Reviewer: NO: 

 RO: 

 Office Reviewed:

_________________________

Review Date: __________________ Report

Date:_____________________________

┌────────┬──────────────────────┬──────────────┬────────────────

───┬─────────┐

│ │ │ Date of │

│ │

│Standard│ │Completion or │ Action Taken

│ │

│Number │ Major Recommendation │Projected Date│ This Quarter

│ Comments│

├────────┼──────────────────────┼──────────────┼────────────────

───┼─────────┤

│ │ │ │

│ │

│ │ │ │

│ │

├────────┼──────────────────────┼──────────────┼────────────────

───┼─────────┤

│ │ │ │

│ │

│ │ │ │

│ │

├────────┼──────────────────────┼──────────────┼────────────────

───┼─────────┤

│ │ │ │

│ │

│ │ │ │

│ │

├────────┼──────────────────────┼──────────────┼────────────────
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 27

───┼─────────┤

│ │ │ │

│ │

│ │ │ │

│ │

├────────┼──────────────────────┼──────────────┼────────────────

───┼─────────┤

│ │ │ │

│ │

│ │ │ │

│ │

└────────┴──────────────────────┴──────────────┴────────────────

───┴─────────┘

Exhibit 3: 

Employment Standards Administration

 Office of Workers' Compensation Programs

 QUARTERLY REVIEW AND ANALYSIS FEEDBACK REPORT

Division of: __________________ __________ Date:

______________________ 

D

District Office: _____________________________________________ 

I. Assessment of QR&A Corrective Actions Submitted

Workload _____________ Accept Comments Attached 

Workload ______________ Accept Comments Attached 

Workload ______________ Accept Comments Attached 

Workload ______________ Accept Comments Attached 

II. AR-10 Report Assessment
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 28

III. General Comments

Exhibit 4: 

Office of Workers' Compensation Programs

 Federal Employees' Compensation

 WORKLOAD AND PRODUCTIVITY REPORT

(QR&A)

DISTRICT OFFICE _____________________ REPORTING PERIOD

__________________

*****************************************************************************

*****

 The following are "quarter only" or end-of-quarter counts.

*****************************************************************************

*****

A. INFORMAL CONFERENCES COMPLETED DURING THE QUARTER 

B. "UNKEYED" MEDICAL BILLS (EOQ) 

C. PERIODIC ROLL CASE REVIEWS (Not PRM Project Universe)

 1. NUMBER OF CASES REVIEWED 

 2. CASES ADJUSTED 2a. 28-DAY SAVINGS 

 3. CASES REMOVED 3a. 28-DAY SAVINGS 

 1st Q 2nd Q 3rd Q 4th Q

 Only Only Only Only

D. RECONSIDERATIONS

 1. APPLICATIONS RECEIVED 
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 29

 2. CASES PENDING (EOQ) 

 3. TOTAL DECISIONS MADE 

 4. DECISIONS MADE W/I 3 MONTHS 

 5. % OF TOTAL (PLAN 80%) 

 6. DECISIONS MADE W/I 5 MONTHS 

 7. % OF TOTAL (PLAN 95%) 

E. H&R AND ECAB REMAND DECISIONS

 1. NO. OF REMANDS RECEIVED 

 2. CASES PENDING (EOQ) 

 3. TOTAL NO. OF

 DECISIONS ISSUED 

 4. DECISIONS ISSUED W/I

 120 DAYS 

 5. % OF TOTAL (PLAN 80%) 

 6. DECISIONS ISSUED W/I

 180 DAYS 

 7. % OF TOTAL (PLAN 95%) 

F. ATTACH ALSO:

 1. UPDATED AR-10 (If applicable)

 2. TECHNICAL ASSISTANCE REPORT

 3. COMMUNICATIONS PERFORMANCE REPORT(S)

FORM CA-80 (Revised September 1994)

 

Exhibit 4

FECA WORKLOAD AND PRODUCTIVITY REPORT (QR&A) - Continued

DISTRICT OFFICE ______________________ REPORTING

PERIOD______________

*****************************************************************************

***

H. ASSISTED REEMPLOYMENT

1. For each claimant who began employment during the quarter through this project (see

RH1 codes E and

 V), report:
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 30

- full name

- claim number

- starting date of employment

- pre-injury job title

- new job title

- salary in new job

- new employer's name, type of enterprise

- amount of subsidy

- amount of LWEC

2. For each assisted reemployment plan closed code 5 without employment during the

quarter, provide a

 brief description of the rehabilitation effort, why the effort was terminated, and the

compensation status

 after closure (TTD, LWEC, elected OPM, etc.)

3. For each assisted reemployment plan (RH code G) closed by placement with previous

employer

 (RH code 2) or by placement with a new employer without need for wage subsidy (RH

code 4 or 6),

 report:

- full name

- claim number

- starting date of employment

- pre-injury job title

- new job title

- salary in new job

- new employer's name, type of enterprise

- amount of LWEC

 Also include a brief paragraph describing how the placement was achieved.

FORM CA-80 (Revised September 1994)

 Exhibit

4

CA-80, FECA Workload and Productivity Report - continued

Definitions

a. Description and Source. Form CA-80 (Exhibit 4) is prepared manually. While the form

is frequently revised to suit individual yearly operational plans, it typically provides district
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 31

office performance data not otherwise available to the National Office. For FY 1995 the report

includes data on conferences, "unkeyed" medical bills, periodic roll case reviews,

reconsideration and remand processing, and Assisted Reemployment. Attachments to the CA-80

include accountability review AR-10's and district office technical assistance and

communications reports.

b. Reporting Frequency and Period Reported. Form CA-80 is completed on the last

working day of each quarter. It covers all activity in the reported categories during that quarter.

c. Reporting Form. Form CA-80 should be sent via FAX or E-Mail to the Deputy Director

for Federal Employees' Compensation.

d. Definitions. Items on the form are to be reported as follows:

 A. INFORMAL CONFERENCES COMPLETED DURING THE QUARTER.

Report the

 number of conferences held by Senior Claims Examiners during the quarter.

 B. "UNKEYED" MEDICAL BILLS (EOQ). The count of medical bills taken

directly or derived

 on the last day of the quarter which have been received by the district office but

have not been

 recorded into the automated system.

C. PERIODIC ROLL CASE REVIEWS (Not PRM Project Universe).

 1. Number of Cases Reviewed. Report total number of cases on the periodic roll

and death roll

 which are examined for continuing entitlement to benefits as part of the annual

periodic review

 process.

 2. Cases Adjusted. Report number of cases on which a periodic roll review has led

to a decrease in the claimant's benefits, but in which some entitlement to benefits continues.

Typically reported would be cases in which benefits were reduced to reflect a partial earning

capacity. However, reductions in compensation for dependents no longer eligible or elimination

of an attendant allowance may be included. Cases should be reported in the quarter during

which the ACPS adjustment is made and benefits are actually changed.

 2a. 28-Day Savings. Report the payment cycle dollar savings resulting from all

decreases reported

 under item 2.

 3. Cases Removed. Report the number of cases on which a review resulted in the
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 32

determination

 that entitlement to Benefits has ceased and the claimant was removed from the

periodic roll. 

 Cases should be reported during the quarter in which the claimant was actually

removed from

 ACPS.

Cases in which an entitled recipient died while on the roll, or in which the office

was notified that the recipient returned to work, or in which the claimant elected a

special retirement option, may be included in this total. Cases in which benefits

terminated because a schedule award expired should not be included.

 3a. 28-Day Savings. Report the payment cycle dollar savings resulting from the

removal of cases

 reported under item 3.

D. RECONSIDERATIONS.

1. Applications Received. Report the number of cases in which an application for

reconsideration of a formal decision was received.

2. Cases Pending. Report all cases on which final action has not been completed on

pending application as of the end of the quarter.

3. Total Decisions Made. Report the number of cases in which a final action on the

claimant's application for review was completed during the quarter: denial of review,

denial of modification, or decision to modify the prior decision.

4. Decisions Made Within Three Months. Report the number of decisions made

within this time frame.

5. % of Total. Show the percentage of the total number of reconsideration decisions

issued which were made within three months.

6. Decisions Made Within Five Months. Report the number of decisions made

within this time frame.

7. % of Total. Show the percentage of the total number of reconsideration decisions

issued which were made within five months.

 E. H&R AND ECAB REMAND DECISIONS.

1. Number of Remands Received. Show the number of cases remanded by both
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 33

appellate bodies.

2. Cases Pending. Show the number of cases in which no decision subsequent to the

remand has been issued.

3. Total Number of Decisions Issued. Show the number of decisions issued.

4. Decisions Issued Within 120 Days. Show the number of decisions issued within

120 days.

5. % of Total. Show the percentage of the total number of decisions issued which

were reached within 120 days.

6. Decisions Issued Within 180 Days. Indicate the number of decisions issued within

180 days.

7. % of Total. Show the percentage of the total number of decisions issued which

were reached within 180 days.

G. ASSISTED REEMPLOYMENT.

1. Claimants Who Began Employment During Quarter. For each claimant who

began employment during the quarter, report full name, claim number, starting date of

employment, pre-injury job title, new job title, salary in new job, new employer's name

and type of enterprise, amount of subsidy, and amount of LWEC.

2. Assisted Reemployment Claims Closed Code 5 During Quarter. For each assisted

reemployment plan closed without employment during the quarter, provide a brief

description of the rehabilitation effort, why it was terminated, and the compensation

status after closure (TTD, LWEC, elected OPM, etc.)

3. Claims Closed Code 2, 4, 6 During Quarter. For each assisted reemployment plan

closed by placement with previous employer or by placement with a new employer

without need for wage subsidy, report full name, claim number, starting date of

employment, pre-injury job title, new job title, salary in new job, new employer's name

and type of enterprise, and amount of LWEC. Also, briefly describe how the placement

was achieved.

 

Exhibit 5:
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LISTING OF SOURCE DOCUMENTS

FOR INFORMATION CONTAINED IN THE

"WORKLOAD AND PERFORMANCE REPORT"

FEDERAL EMPLOYEES' COMPENSATION

 ELEMENT SOURCE 

INCOMING

Cases CreatedMIS (monthly) FECS I-2

COP CasesMIS (monthly) FECS I-2

Claims ReceivedMIS (monthly) FECS I-2

Periodic Roll CasesMIS (EOQ) FECS I-1s; 

Reconsideration Requests Received CA-80

Remands Received CA-80

Recurrence Cases Received Recurrence system download

OUTPUT AND INVENTORY

Debt Management Goals DMCS Aging Rpt.

PRM Project Initial and Final PRMS system download

 Reviews

Periodic Roll Reviews (Not-PRM Project) CA-80

Conferences Completed CA-80

Reconsideration and Remand CA-80

 Cases Processed and Pending

Unkeyed Medical Bills CA-80

UN/UD DV500

Rehabilitation Data RH-1

 Voc. Rehab.

 Perf. Report (OWCP-12)

PERFORMANCE STANDARDS

Process Traumatic cases MIS (monthly) FECS-II, rcv-adj., trau.

Process Non-Traumatic cases MIS (monthly) FECS-II, rcv-adj., non-trau.

Process Medical Bills BPO50M and Denied Bills Reports

Claims Processed for TPCUP National Summary --

 Payment (TPCUP) Paid Claims

Respond to Written MIS (monthly) FECS-II, 
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 35

 Inquiries (priority) rcv-ans

Make Reconsideration CA-80

 Decisions

Recurrence Adjudications Recurrence Adjudication Summary

H&R and ECAB Remands CA-80

Case Transfers to H&R and ECAB H&R and ECAB Requested reports

Rehabilitation Plan Vocational Rehabilitation

 QR&A Report

 

Exhibit 6:

LISTING OF SOURCE DOCUMENTS

FOR INFORMATION CONTAINED IN THE

"WORKLOAD & PERFORMANCE" REPORT

DIVISION OF LONGSHORE & HARBOR WORKERS' COMPENSATION

 ELEMENT SOURCE 

INPUT

 Lost-Time Injuries Reported Automated LS-3 (item 2a + 2b)

 Incoming Mail Received LS-3s

OUTPUT

 Lost-Time Cases Closed Automated LS-3 (item 2g)

 Cases Being Compensated Automated LS-3 (item 4a)

 Pending Case Inventory LS-3s ("Total column")

 Unattached Mail LS-3s

REHABILITATION

 Rehabilitated Closures OWCP-12 (item B3)

 Cases Opened in Quarter OWCP-12 (item B2)

 Cases Referred in Quarter OWCP-12 (item A)

PERFORMANCE

 Cases Referred for Formal Hearing Automated Workload and
OWCP-PT4 Last Change: FV083 Printed: 09/25/2007 Page: 36

 Cases First Reviewed by claims Performance Standards

 staff Report

 Section 8(f) Applications Processed

 Conferences Held

 Conference Recommendations Issued

 Responses to Written Priority Inquiries

Exhibit 7:

LISTING OF SOURCE DOCUMENTS

FOR INFORMATION CONTAINED IN THE

"WORKLOAD & PERFORMANCE" REPORT

DIVISION OF COAL MINE WORKERS' COMPENSATION

 ELEMENT SOURCE 

OUTPUT

 Debt Management Report BLBM 0660 

PERFORMANCE

Complete Initial Findings MIS #6 - 7

Complete Initial Determinations

Claimant Responses to Any Finding

 of Non-Entitlement

R.O. Denial Hearing Referrals

All Other Hearing Referrals

Reconsideration/Modification Decisions

Informal Conferences Processed

CM-1089's Processed

CM 929's Reviewed

Attorney Fees Processed

Priority Correspondence

R.O. Debt Resolution

Remands Processed

 

OWCP PM PT 4 2/23/94