3.24.202. Supervisory Operator's Manual

(1) This IRM is the primary, official source of IRS instructions to ISRP Clerk Supervisory staff. The use of this IRM is for the administration, organization, and operation of the ISRP program. It details procedures, instructions and guidelines for the daily operations for ISRP divisions and functions.

(1) The Budget and Accounting Act of 1950 requires the heads of each department and agency to set up and support adequate systems of internal controls.

(2) The amendment of the act in 1982 with the Federal Manager's Financial Integrity Act (FMFIA) Public Law 97–255 requires:

1. The Comptroller General to prescribe the internal accounting and administrative control standards.

2. Each executive agency to conduct annual evaluations of its systems of control, using guidelines set by the Office of Management and Budget (OMB) Director.

3. Each executive agency to send an annual statement to the President and Congress on the status of the IRS's system of internal controls.

(1) Mail Management Data Conversion handles the information in this IRM.

(2) The Director of Submission Processing handles policy related to this IRM.

(3) The Field Director and Supervisor’s Operation Manager has the primary responsibility for monitoring and tracking ISRP system workflow and processing and employee monitoring and tracking.

(1) Program Reports: This IRM instructs managerial staff (SOPs) in retrieving ISRP system data on the employees which report to them.

(2) Program Effectiveness: Supervisory Operators properly monitor reports to ensure accuracy of subsidiary or individual records maintained in the operating unit to determine effectiveness. Any data balancing issues encountered are successfully resolved.

(1) The Elevated Access Management Section (EAMS) manages all ISRP user accounts to activate new accounts, reinstate disabled accounts, and deactivate accounts by using the Business Entitlement Access Request System (BEARS) process.

(2) This IRM supplies instructions to support internal controls for ISRP Supervisor Operator’s Management Reports.

(1) Management has the primary responsibility for providing a system. All personnel have a responsibility for understanding and ensuring internal controls are functioning as intended.

(2) The goal is to maintain a reasonable balance in the IRS’s systems of internal control. When properly applied, internal controls improve effectiveness and make work easier.

(3) Headquarters or another part of the IRS office area may request changes to work procedures due to error situations, imperfections in operating methods or modification to instructions. If this occurs, the supervisory personnel are responsible to follow up and see that changes are implemented.

(4) To aid you in carrying out your internal control responsibilities, below is a listing of a condensed version of the key standards of controls developed by the General Accounting Office (GAO).

(1) For a comprehensive listing of acronyms, terms and definitions found in this IRM section, please see the table below.

(1) IRM 1.4, Resource Guide for Managers

(2) IRM 3.24.202.4, Management Reports

(3) Exhibit 3.24.202-1, Questions & Answers (Q&A) for Supervisors

(4) Exhibit 3.24.202-2, ISRP Manager’s Reference Guide

(5) Exhibit 3.24.202-3, ISRP Manager’s Report Guide

(6) IRM deviations must be sent in writing following instructions from IRM 1.11.2.2, Internal Management Document System - Internal Revenue Manual Process, IRM Standards, and elevated through appropriate channels for executive approval.

(7) IRMs are located on the Servicewide Electronic Research Program (SERP) at the following site http://serp.enterprise.irs.gov/homepage.html. Specific instructional links are available on the IMF Data Conversion Research Portal found at http://serp.enterprise.irs.gov/databases/portals/sp/imf/data-conversion/data-conversion.html.

(8) The IRS adopted the Taxpayer Bill of Rights in June 2014. Employees are responsible for being familiar with and acting per taxpayer rights. See IRC 7803(a)(3) and the following site for additional information about the Taxpayer Bill of Rights, https://www.irs.gov/taxpayer-bill-of-rights.

(1) When working overtime during a weekend, holiday, or on a day that is typically outside the scope of a normal workday (e.g., working a Friday night for a Sunday - Thursday shift), the need for End Of Day (EOD) processing may exist. Successful posting is dependent on each Site’s Data Conversion Operation (DCO) notifying Enterprise Operations (EOps) when EOD processing is necessary. EOD processing affects ISRP downstream processing and various other support functions.

(2) Once DCO determines the need for ISRP EOD processing, the site must supply notification as outlined below.

1. Open an Incident ticket and assign to the group listed below. A separate ticket must be opened for each day requested.
   EOPs assignment group - Wintel Server Product and Application Support 4A

2. Issue an email to the following groups and individuals.
   EOPS-ECC-WSSB-TSS-SPSAD-SP-PPB-ISRP
   &IT ACIOEOPS-SOSD-AMB-ISRP

(1) The Elevated Access Management Section (EAMS) manages all ISRP user accounts to activate new accounts, reinstate disabled accounts and deactivate accounts by using the BEARS process.

1. Complete a BEARS request for each user. A list of users cannot be submitted with one BEARS request.

2. Perform only one action at a time.

   Example: One BEARS request to activate an account; one BEARS request to remove or deactivate an account; one BEARS request to reinstate an account due to failure to timely self-certify.

3. Avoid using acronyms in BEARS.

   Example: Use Supervisory Operator when requesting SOP actions.

Note: For Transaction Management System (TMS) users only: EAMS will open the ticket after the BEARS request is received for the TMS account. EAMS will first create the Active Directory object, then submit a ticket to the ISRP Incident group, Wintel Server Product and Application Support 4A, to add the account to the TMS Application. Once the ticket is closed by Wintel Server Product and Application Support 4A, EAMS will complete the BEARS processing.

(2) Notify EAMS staff via email at &IT ACIOEOPS-SOSD-AMB-ISRP if you have unforeseen recalls or return to duty (RTD) via e-mail to allow EAMS to schedule appropriate staff. Send all new hire and RTD schedules by site to EAMS as soon as they are available to inform EAMS of an increase in ISRP account related activities.

(3) The Incident ticket process is used to unlock accounts/reset passwords and request Supervisory Operator group reassignments. Follow the steps below to open a ticket:

1. From IRS Service Central select Technical Help → Password Issue → ISRP Password or Supervisor User ID (SOP).

2. Clearly describe what action is needed in the description and avoid acronyms.

   Example: Use Supervisory Operator when requesting SOP actions.

3. For unlock and reset passwords, only list one user per ticket. Only list one action per ticket.

4. For Supervisory Operator reassignments, a list of multiple users can be included.

(4) The Incident process for ISRP Hardware Issues is as follows:

1. From IRS Service Central select Technical Help → Computer and Peripheral Issue → ISRP/SCRIPS Hardware.

2. Begin the description field with the Site and Project Identifiers (i.e., "KCSC ISRP"). Clearly state what action is needed in the description and avoid acronyms.

(5) The Incident process for ISRP Software Issues is as follows:

1. From IRS Service Central select General Software Issue → ISRP/SCRIPS Software.

2. Begin the description field with the Site and Project Identifiers (i.e., "KCSC ISRP"). Clearly state what action is needed in the description and avoid acronyms.

(1) To ensure refunds of one hundred million dollars or more are expedited and handled efficiently, follow these procedures:

1. Input the return as normal, making sure to enter any editing (pencil or otherwise) made by Code & Edit or Accounting.

2. Verify Action Code (ACT C) 341 is input. If not present, input ACT C 341.

(1) To help ensure manual refunds are handled efficiently and prompt, follow these procedures:

1. Input the return as normal, making sure to enter any editing (pencil or otherwise) made by Code & Edit or Accounting.

2. Verify Computer Condition Code (CCC) "O". If not present, input CCC "O".

(1) Once profiled as a Supervisor, access the Supervisory Functions Window by selecting the Windows key → ISRP folder → Supervisory Functions. While it has the basic features of a Windows application, these features are customized in ISRP. The following paragraphs describe the functions on the Supervisory Functions window.

3.24.202.2.1.2 (01-01-2023)

Supervisor Log

(1) When you access the SOP application, the Supervisor Log window opens automatically. This window, illustrated below, tracks and displays all your actions as you work. This enables you to review your work for the current session. Use this window to verify that you have successfully set Key Verification (KV) indicators, released or purged blocks, etc.

(1) For Programs 15501 and 45501, Form 3753 Manual Refund Posting Voucher, identified by a TC 840 in the Batch Header, Key Verification (KV) must be set at 100% prior to a Clerk entering the batch of work due to the high volume of errors and the fallout rate for the schedule number (SCH#).

(1) This section provides instructions for Key Verification.

3.24.202.2.3.2 (01-01-2021)

Setting the Criteria

(1) You access the options to set KV criteria through Controls→Set KV Options→Set KV Indicators on the Supervisory Functions window. The Set KV Indicators dialog box appears as shown below:

(2) To set the KV criteria:

Task

Steps

Set KV Criteria

Select Controls→Set KV Options→Set KV Indicators on the Supervisory Functions window. (The Set KV Indicators dialog box appears). Enter the desired set of criteria. For example, enter a program number, user ID., etc. The system will not allow you to enter combinations which are not specified. Select Start. Your KV indicators file is updated, and the status says "done". Select OK. The dialog box closes.

(3) Altering KV criteria when EOPs are logged on to the system may cause blocks to go to invalid status. Therefore, set KV indicators before the shift begins when fewer EOPs are logged on to the system. Clear KV indicators at the end of the shift to minimize impact to the SOP's KV file.

(1) Occasionally, blocks in ISRP will become "locked". That is, the EOP cannot enter any data or RESUME original entry of the block. Two situations which will cause a locked block are:

• The system experiences some type of failure while the EOP is working the block.

• The EOP exits the data entry application "ungracefully" by not logging off appropriately using the <F9> key.

(2) Releasing a block makes a block available for further processing. It does not delete any data or the Document Locator Number (DLN).

(3) Purging a block removes all block data from ISRP. Only the OPSTATS data related to the EOP who entered the block will remain. This is the only way to purge a DLN for re-use within the system. When a block is rejected, the DLN is not immediately made available for re-use. It will be available for re-use after End of Shift is run. Only this Supervisory Function, "Purge Block" option, makes the DLN available for re-use. Extreme care must be taken in purging and releasing blocks to ensure that the block is in the desired status after this process.

(4) The following table will help you to determine the status of a block within the ISRP system. This table will also help in determining the status of blocks on the age list. The numbers refer to the related block status number. Numbers are provided so that the correct number/status can be reported to the Systems Administrator (SA) if you have trouble purging/releasing the block. "block_status_num" is the title of the column in the ISRP database.Block Status Definitions

(5) Blocks which are in the following statuses cannot be purged or released:

• IN_EXPORT

• PROCESSING_COMPLETE

• BLOCK_DELETED

• INVALID

• BLK_REJ_AT_TRANSPORT

3.24.202.2.4.1 (01-01-2021)

Purge Block

(1) Purging a block removes all information from ISRP, including the DLN. OPSTATS data will be retained. Two types of data can be purged: production and training.

Note: Never purge training (OEK) data.

(2) Blocks in the following statuses cannot be purged:

• IN_OE

• IN_KV

• IN_BE

If a block in any of these statuses becomes locked, use the Release Block option to release it.

(3) The Purge Block option is accessed through the Supervisory Functions window under "CONTROLS".

(4) To purge a block, take the following actions:

Task	Steps
Purge a Block	Select Controls→Purge Block on the Supervisory Functions window. Enter the DLN, RPSID, or GPPID for the block to be purged. Verify that Purge Production Data is selected. Select OK.

3.24.202.2.4.2 (01-01-2015)

Release Block

(1) The Release Block function is used to make a locked block available for continued processing. A block can become locked due to system error, or from an EOP's failure to exit an application appropriately. Only blocks in the following statuses may be released:

• IN_OE

• IN_KV

• IN_BE

(2) The Release Block option is accessed through the Supervisory Functions window. Releasing a block must be done on the specific workstation where the last work was done on the block, and requires two steps:

1. Enter the desired DLN, Remittance Processing System Identification (RPSID), or General Purpose Program Identification (GPPID) through the Release Block dialog box, shown below.

2. Enter the desired (target) status for the block through the Release Block Status dialog, shown below.

(3) To release a block:

Task	Steps
Releasing a Block	Select Controls→Release Block on the Supervisory Functions window. Enter the DLN, RPSID, or GPPID for the locked block. Select OK. Select the desired status for the block. Select OK

(4) The table below shows the valid block states to which a block can be released, based on its current state:

Current State	New State
IN_OE	OE_Partial
IN_KV	KV_Partial
IN_BE	OE_Partial OE_Complete KV_Partial Format_Pending

(5) If the current block status is IN_BE, a "Release Block Status — IN_BE" window will appear. This window provides additional information to assist you in determining the correct target status for the block. This window is shown below:

(6) To release a block for which the current status is IN_BE, take the following steps:

Task	Steps
Release block where current state is IN_BE	Select Controls→Release Block from the Supervisory Functions window. Enter the DLN, RPSID, GPPID. Select OK. Release Block Status dialog box appears. Verify prior block status. Select the desired status. Select OK. A confirmation message appears. Select OK. The dialog box closes.

(1) Automatic Report -Automatically generated and printed report in the computer room as part of the End of Shift/Day processing.

(2) Batch - Cart batch number. Generated from Receipt and Control Operation. Contains blocks of documents.

(3) Block Document Locator Number - Twelve-digit prefix to identify a block.

(4) Blocks Completed Production - A listing of all blocks in the current inventory that have completed OE/KV, and Data Edit and Validation (DED01) formatting. Does "not" show that blocks were posted to good tape.

(5) Consolidated OPSTATS - Report showing operator statistics for all programs and operators from a single shift.

(6) Document Count - Number of documents in a block. For reporting purposes, and for document counts in OPSTATS, the block header will be counted in the block document total. The header will not be counted as a document for down-stream (legacy) processing.

(7) Edit Block Proof List - Blocks successfully processed by DED01, and sent on to good tape to GMF.

(8) End of Day - Processing period which occurs after the end of shift processing for the last shift of the day and prior to the start of the first shift of the next day.

(9) End of Shift - Processing period that occurs after all work for a single shift has been completed and prior to the start of the next shift for the day. The end of shift is the process to prepare data for input to downstream processing.

(10) Format Parameter Package Validation - DED01 process in which blocks are formatted prior to being put on to good tape.

(11) Header - For reports, standard header information consists of:

• Program/Run/File# — This information identifies the specific report.

• Service Center Name

• Page #

• Date (in mmddccyy format)

(12) Invalid Blocks - All blocks in the current inventory that have completed original entry and key verification, but failed the DED01 formatting process. These blocks will have a status of 12.

(13) On Demand Reports - Reports that can be created by an operator, supervisor, or systems administrator on request. Report is displayed on a workstation with a print option. Printing is accomplished by a printer located on the floor. The entry operator can access only one on-demand report — OPSTATS. It is displayed within the application. Supervisors and Systems Administrators can access various reports, displayed in a Windows environment.

(14) Processing Complete - Status of blocks which indicates that the blocks were formatted successfully and were put on good tape.

(15) Segmented Report - Reports which contain more data than can fit on one page. Pages will be displayed in a repeating fashion, grouped by a unique characteristic.

(1) Automatic reports are generated by the system. They are made available to the SOPs at the beginning of the following shift. (SAs must run end of shift for the reports to generate). Automatic reports and their related Program/Run/File numbers.

3.24.202.4.2.5 (01-06-2017)

ISRP End of Shift Edit Block Proof List

(1) The report provides a list of all completed blocks successfully processed and placed on the GMF Pipeline Data (GMF01) and GPP Data (GMF02) tape.

Fields on Report	Definition
DATE	Date report generated
TIME	Time report generated
BATCH	Cart Batch Number
ABC	Alphanumeric Block Control
BLOCK DLN	12-digit Document Locator Number prefix for the block
DOC COUNT	Document count (from block header)
BOB CODE	Block Out of Balance Code, computed from raw data
FORMAT	4-digit format code from PRP used by the Parameter File during GMF tape processing
MFID	Master File System ID from Header Validation File
SOP	User ID of supervisor that owns the block of work
FTYPE	File Type: IS for ISRP and IR for RPS

3.24.202.4.2.6 (01-01-2021)

Edit Block Proof List by Supervisor

(1) This is the same report as the Edit Block Proof List, but grouped by the Supervisor responsible for the completed blocks. The report provides a list of all completed blocks successfully processed and placed on the GMF tape.

Fields on Report	Definition
SUPERVISOR	User ID of supervisor that own the block of work
DATE	Date report generated
TIME	Time report generated
BATCH	Cart Batch Number
ABC	Alphanumeric Block Control
BLOCK DLN	12-digit Document Locator Number prefix for the block
DOC COUNT	Document count (from block header)
BOB CODE	Block Out of Balance Code, computed from raw data
FORMAT	4-digit format code from PRP used by the Parameter File during GMF tape processing
MFID	Master File System ID from Header Validation File
FTYPE	File Type: IS for ISRP and IR for RPS

(1) On-Demand reports are created upon request and displayed at the workstation, with a print option. Following are the available On-Demand reports, and their related numbers and who may access report.

(1) To view an on-demand report, select Reports from the SOP window. A drop-down menu will appear. You can then select the desired report from the menu. Select OK when the report dialog box indicates the report is ready.

(1) Once you have accessed the report, you may print it. To print the full report (not just what is shown on the window), take the following actions:

(1) You can save an on-demand report you have created by selecting File→Save As. Enter a preferred name, and select Save or Enter. To access the file you saved, select File→Save As, and select the file. Select Open to view the file. To save space in your directory, delete the saved files that are no longer needed. To do this select the file, and select Delete.

(1) The SuperSOP utility provides ISRP supervisors with the ability to generate a batch status report in various formats. The report will query the inventory database for batches, status, and the EOP data. The report can be sorted in a variety of formats. This utility may be used as needed but should be checked to ensure blocks are in the anticipated status. This report opens in a browser window and is a "snapshot" of the data at the time the report was selected. To see updated information, you must refresh the report by clicking "View Report" again or pressing the "refresh" rounded arrow on the toolbar, or pressing <Ctrl> + <R>.

(2) Locked blocks will appear in the last status before they were locked.

(3) A SOP purge removes a block immediately.