3.30.30. Embedded Quality for Submission Processing (EQSP) System

Management Assistant

1. Search/view employee profiles within their site.

2. Create/edit employee profiles with span of control.

3. Change a manager profile to an employee profile.

4. Move employees to the correct Organization, Department and/or Team.

Quality Reviewer

1. Create a DCI within assigned Site and Operation.

2. View a DCI they created within their Site and Operation.

3. Edit and delete DCIs they created within five business days from the start of the review. Exception: Learning Curve

Note: Contact the EQSP Site Administrator to delete older reviews.

4. View the Single Event Sample Pull Report for a review they created.

Quality Review Lead

1. Create an Employee review sample product for all review types.

2. Search/View any DCI within their assigned Site

3. Search/View any DCI within their assigned Site and Operation.

4. Delete high Quality, Individual Performance team defect and Managerial/OJT DCI.

5. View and Print Quality Reports (Core Reports) Single Event Sample Pull Reports.

6. View/Print/Export to Excel Learning Curve sample report, and sampling report within Site/Operation.

Quality Review Manager

1. Create and edit the profile information of EQSP Employee roles within their span of control.

2. Edit profile information of EQSP Quality Reviewer roles within their span of control.

3. Create a DCI within assigned Site and Operation.

4. View, add or modify information pertaining to the Release/Recall for the Team in which they are assigned.

5. View any DCI they created at any time.

6. View any DCI created by a Quality Reviewer, who they manage, at any time.

7. View any DCI created by a Quality Reviewer for an employee they manage.

8. Edit any DCI they created within 14 calendar days. Except LC = five calendar days of the completion of that review.

9. Edit any DCI created by a Quality Reviewer or for an employee, who they manage, within 14 calendar days of the completion of that review.

10. Delete Product Reviews.

11. Delete any DCI they created within 14 calendar days of the completion of that review.

12. Delete any DCI created by a Reviewer or for an employee, they manage, within 14 calendar days from the start of that review.

Note: Contact the EQSP Site Administrator to delete older reviews.

13. Request an Ad-hoc Individual Performance Report (IPR) for employees they manage.

14. View CORE/MEPS reports and listings systemically generated and sent to Control-D as indicated in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

15. Search and view Quality Base Points for employees in their site.

16. Search and view Efficiency Base Points for employees in their site.

17. Search or view learning curve information for the employee and programs in which the employees work by program or SEID.

18. Create and view the Single Event Individual Employee and Cumulative Individual Performance reports on reviews created by a Quality Reviewer they manage.

19. Manage Sample Screen.

20. View Team, Department, Operations, and Director’s Reports.

Team Manager

1. Create and view Individual Performance, Product, and Managerial/OJT reviews for employees they manage.

2. View any reviews performed by a Quality Reviewer they manage.

3. Edit and delete for 14 calendar days of the completion of that review.

Note: Contact the EQSP Site Administrator to delete older reviews.

4. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

5. Complete employee time/volume IPR adjustments for employees they manage.

6. View, add or modify information pertaining to the Release/Recall for the Team in which they are assigned.

7. Search and view Quality Base Points for employees in their site.

8. Search and view Efficiency Base Points for employees in their site.

9. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Operation and Function.

Department Managers

1. Create DCIs for Managerial/OJT or Product Feedback review on an employee within their span of control.

2. View any DCI created for employees within their span of control.

3. Edit Managerial/OJT and Product Feedback DCIs they created within 14 calendar days.

4. Delete DCIs they created for Managerial/OJT, and Product Feedback review within five business days of the completion of that review without considering holidays and weekends.

Note: Contact the EQSP Site Administrator to delete older reviews.

5. Create employee profile and edit the profile information of any employee within their span of control.

6. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

7. Complete employee time/volume IPR adjustments for employees they manage.

8. Search and view Quality Base Points for employees in their site.

9. Search and view Efficiency Base Points for employees in their site.

10. View, add or modify information pertaining to the Release/Recall for the Department in which they are assigned.

11. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Operation and Function.

Operation Manager and Site Director

1. View any DCI created for employees within their span of control.

2. Create employee profile and edit the profile information of any employee within their span of control.

3. View EQSP Core Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

4. Complete employee time/volume IPR adjustments for employees they manage.

5. View, add, or modify information pertaining to the Release/Recall for the Operation/Site in which they are assigned.

6. Request Release/Recall Final Listing for the Operation in which they are assigned (Operation Manager only).

7. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Operation and Function.

8. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

9. View, add, and revise Efficiency Base Points within their span of control.

10. Search and view Quality Base Points for employees in their site.

11. Search and view Efficiency Base Points for employees in their site.(Operation Managers can add and revise Efficiency Base Points for their Operation).

12. Create Release Recall.

Planning and Analysis

1. Create DCIs for Product Feedback review.

2. View Product Feedback review DCIs they created.

Note: Contact the EQSP Site Administrator to delete older reviews.

3. View EQSP Core Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

4. Planning & Analyst Staff Manager only: Create and edit the profile information of an employee that they manage, including assigning permission to that employee.

Headquarters’ Manager/Analyst

1. View EQSP Core Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

2. Search and view Efficiency Base Points for employees in their site.

Site Assistant

Add, view, modify, delete, and lock profile information for employees in their site.

Release/Recall Only

View, add or modify information pertaining to the Release/Recall for the Operation/Site in which they are assigned.

Site EQSP Administrators

1. Create DCIs for Individual Performance, Product, Team Defect, Managerial/OJT reviews for employees at their site.

2. View, edit, and delete DCIs they created or created by employees at their site at any time.

3. Add, modify, and lock employee profile information for their site.

4. Create and edit the profile information for any employee at their site.

5. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

Ops MEPS Administrator

1. Create Product Feedback DCIs for employees at their site.

2. View, edit, and delete Product Feedback DCIs created at their site at any time.

3. View employee profile information for their site.

4. Complete employee time/volume IPR adjustments for employees they manage.

5. View Quality Base Points.

6. View, add and revise Efficiency Base Points.

7. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Site.

8. View Learning curve sample and Sample report.

9. Request Release/Recall Final Listing for the Site.

10. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

System Administrator/MEPS Coordinator

1. Create DCIs for Individual Performance, Product, Team Defect, Managerial/OJT reviews for employees at all sites.

2. View, edit, and delete DCIs created at any site at any time.

3. Add, modify and lock employee profile information at all sites, including headquarters.

4. Unlock an employee's account at all sites including headquarters, if they fail to login after three attempts.

5. Reset an employee’s access at all sites including headquarters.

6. Create and edit the profile information for any employee at all sites including headquarters.

7. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Permissions - Responsibilities.

8. Complete employee time/volume IPR adjustments as requested.

9. View, add, and revise Quality Base Points.

10. View, add and revise Efficiency Base Points.

11. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for all sites.

12. Request Release/Recall Final Listing for any site.

13. Add, modify, and delete EQSP DCIs (including End of Year form changes).

220
SOI

Opportunities generally revolve around:

• Transcribing or entering data from tax returns, schedules, and other documents

• Interpreting information from documents which data to enter

360
Imaging

Opportunities generally revolve around:

• The scanning, re-scanning, validating, verifying, associating, releasing, restricting, and quality reviewing tax exempt documents that are imaged for public inspection.

130
Pre-Batching

The Batch/ Block Tracking System (BBTS) Section on the DCI is for the creation of the Form 1332 with RPSID and batch ticket for RRPS input.

140
Extracting/ Secondary Sort

Opportunities generally revolve around:

• Expediting all remittances to a Deposit activity

• Reducing mail delivery time for pipeline processing

• Identifying and controlling all documents to be processed

Sorting Documents could be coded as multiple or repeated opportunities.

The Candling Section of the Extraction DCI may be utilized as a stand-alone DCI when the series of actions are limited to only those within the Candling Section.

Visually verified opportunities:

• Scan for checks

• Form Type

160
Remittance Perfection

Opportunities generally revolve around:

• Inputting payments received via tax returns, ES coupons, or various documents such as receipts, notices and Levy payments

• Interpreting from documents which data and codes to enter

170
Manual Deposit

Opportunities for Manual Deposit revolve around the:

• Review of Forms, documents and remittances

• Generation/Assignment of DLNs

• Preparation and generation of Form 813 (Document Register)

• Preparation and generation of Form 813-A (Recapitulation of Document Register.)

• Numbering of returns, documents, and remittance

• Encoding of remittances

• Assignment of Trace ID numbers

• Preparation and generation of deposit tickets (TGAnet/Manual DT-SF 215-A.)

• Balancing of Forms Form 813/Form 813-A, forms/documents, remittances, and deposit tickets.

180
Batching

The DCI has two sections Assembly and BBTS:

• Assembly is the action of counting, identifying and placing the work on a cart/wagon for BBTS input.

• The section BBTS is for the creation of Form 9382 and includes the input of opportunities such as program code, tax class, received date, estimated quantity, etc.

210
Code and Edit

210
RAIVS (4506T)

The DCI has three sections General Information for Pre- processing, Correspondence, Unprocessable Related Items. The Opportunities generally revolve around:

• Request received from taxpayers or their representatives on form 4506T

• Request for a Transcript of Tax Return

• Completeness of request

• Identification and authentication of taxpayer

• Proper authorization for disclosure and accuracy of data input to TDS

360
Imaging

The DCI has three sections:

1. The Correspondence Imaging System is the action of scanning the document, and includes the input of opportunities such as batch class and size, document type, category code, program code, document and envelope position, etc,.
   

2. The Batch Cover Sheet, Form 13503 is for the creation of Form 13503 Cover sheet, and includes the batch name, scanner operator initials and the volume scanned.
   

3. The Batch Verification is the action of verification of the batch to be scanned. The opportunities include blank page, original document, and statute cleared date.

460
ICT Validation

Opportunities generally revolve around: The section Validate Scanned Documents is the action of validating documents scanned into the Correspondence Imaging system.
The opportunities include:

• TIN

• Name control

• Tax period

• Document type

• Category code

• Program

• CSR number

• Sequence number

• Poor quality image

• Etc.

550
Document Preparation

The DCI has four sections Preparing Documents,Assembly, Batch Cover sheet - Form 13503, and Miscellaneous.

The section Preparing Documents is the action of preparing the documents to be scanned into the Correspondence Image System. The opportunities include:

• Staples, paper clips or rubber bands

• ICT received date

• Damaged or torn document

• Self stick note

• Original document unreadable

• Photocopied document

• Oversized enveloped

• Multiple taxpayers

720
Receiving, Sorting, and Miscellaneous

Opportunities generally revolve around :

• Sorting the mail receipts

• Disassemble documents for scanning

• Inserting document separator sheets

• Creating Batch Cover Sheets

790
Tax Account Support Activity
3949A

The DCI has five sections:

1. Section A: Person or Business Reported

2. Section B: Alleged Violation

3. Section C: Reporter’s Information

4. Miscellaneous

5. Routing

380
ITIN Real Time System (RTS)

Opportunities generally revolve around :
• Processing request using the RTS system

530
Pulling Returns and Documents

Opportunities generally revolve around:

• Pulling Returns from the ITIN suspense wall

• Association of CP 566's

720
Receiving Sorting and Miscellaneous

The DCI has six sections:

1. Folders

2. Document Sort

3. Assembly

4. Edit

5. Batch Slip Document

6. Sort

790
Tax Account Support Activity

Opportunities generally revolve around;

• Preparing Documents to be filed.

• Stripping CP notices, undeliverables, Form W-7's and etc.

  Example: Situation: Clerk prepared application to be sent to Files for retention and failed to remove all original supporting identification documentation to be mailed back to the applicant per instructions in IRM 3.21.263.

Coding: In the Assembly section of the program 33350 code the Location Attachments and Opportunity Original Documentation with the defect type as Omitted and the defect description Action.

190
Numbering

Opportunities generally revolve around:

• Visual verification of the information entered on Form 9382 and 1332 and editing of the block/batch volume

• Numbering the returns in sequential order according to block size

• Ensure the DLN is legible

• Ensuring the correct DLN is numbered on every return in the block

• Ensuring all documents in the block are the same form type for the assigned program number

210
Code and Edit
710
1040X

Prior year opportunities should always be coded as NA when reviewing current year returns.

For Section (Miscellaneous), Location (Miscellaneous) and Opportunity (Sequence order):

• Code N when the parent return and all schedules and attachments are NOT in proper transcription order

• Leave as NA when reviewing a single page return

Items that are not opportunities:

• A line should not have and does not have an entry

• A non T-line has an entry but requires no TE action

• No coding is required and none is there

Visually verified opportunities:

• T-lines and T-COMPUTE lines

• Sequence of Schedules and Forms

• Sequence Number

• Signature

• Tax Period

220
SOI Editing

Opportunities generally revolve around:

• Transcribing or entering data from tax returns, schedules, and other documents

• Interpreting from documents which data to enter

390
Entity Control

Opportunities revolve around:

• Establishing an Entity

• Maintaining a Entity

• Perfecting taxpayer accounts

Entity Follows procedures from the following IRMs:

• BMF 3.13.2

• IMF 3.13.5

• EO 3.13.12

• EP 3.13.36

550
Support Activity

The DCI has four sections:

1. Validate 9382 and 1332

2. Folder

3. Sort

4. Tax Form

Opportunities Revolve around:

• Removing staples

• Blacking out Extraneous information & consecutive for ID numbers

• Editing

• Repairing rips/tears of holes

• Ensuring pages are in the correct order and in the right direction to be scanned.

770/780
Correspondence

There are two different DCIs for Correspondence:

1. Correspondence Typing is used by typing/clerical units who input letters into IDRS

2. Correspondence Forms is used by teams who complete correspondence request forms (e.g., Form 6001, Form 3696, etc.) and correspondence forms (e.g., Form 3531, Form 6800, etc.)

Opportunities generally revolve around:

• Paragraph selections and fill-ins

• Selection of the correct letter

• Typing correct and complete information to generate a letter

• Corresponding when appropriate

Visually verified opportunities:

• TIN, MFT and Tax Period

• Name Lines

• Address, City, State and Zip Code

• Signature Code

.

230
ISRP

Block Header:

• To select the Block Header for review, click the Schedule box on the Review Header Screen and select Form 1332 from list of schedules

• The Block Header should be included in the review as an attachment to the first document sampled within a single block/folder of work.

• It should not be counted as part of the sampling count, but should be considered as an attachment to the first document sampled within a single block/folder of work. Exception: If a resume block is selected and the employee being reviewed is not responsible for the Block Header, then the Form 1332 should not be selected for review.

Must Enter Fields:

• Must Enter Fields are opportunities only when an entry is present or an entry is input when no entry is present. The input of F7 or zero(s) to by-pass a must enter field is not an opportunity.

• For example, RPC is a must enter field.

  1. If an RPC is not edited on the tax return, but one is input, the opportunity should be coded as "N" with defect type "incorrect."

  2. If an RPC is edited on the tax return, but is not input, the opportunity should be coded as "N" with the defect type "omitted."
     Omission of transcription data for a field may impact coding for subsequent fields:

     • If a transcriber omits an entry for a field, this action may prevent subsequent fields from becoming must enter fields. When this happens, the subsequent fields would not be considered opportunities, if the field is blank. For example: the dependent check box only becomes an opportunity when the name control or SSN are also input.

     • This Opportunity will only be coded "N" if an employee enters or fails to enter a section which has data required to be transcribed.
       
       Examples:

     1. If an employee failed to transcribe a section with significant entries present on a document, code "N" Omitted for the opportunities that were not transcribed. Code "N" Omitted if the Blank Section should have been transcribed and was not.

     2. If an employee enters information in a section which has no data to be transcribed. Code field with the erroneous entry as "N" Incorrect.

440
RRPS

Opportunities generally revolve around:

• Inputting payments received via tax returns, ES coupons, or various documents such as receipts, notices, and Levy payments.

• Interpreting from documents which data and codes to enter

Items are not opportunities when:

• A line should not and does not have an entry.

• A "Must" enter field has no significant entry. Must Enter Fields are opportunities if:
  

• There is a significant entry and there should be.

• There is no entry and there should be.

Must Enter Fields are not opportunities if:

• There is no significant entry and there should not be (the must enter field is blank or zero).

470/480
SCRIPS

These returns are scanned through SCRIPS. If the information is not picked up by the scanner, the data transcriber (DT) is responsible for inputting this information. For example, the scanner did not pick up the information on line 10. The DT was required to input Line 10, but incorrectly input the entry on Line 11. Code an incorrect entry for Line 11.

550
Post Doc Prep

For Post-Doc Prep, defects generally revolve around:

• Preparing documents for Files

• Perfection of Document Locator Numbers (DLN)

DLN sequencing Items are not opportunities when:

• The IRM does not address the item.

Many of the decisions you make about opportunity identification will involve required actions per the IRM. Required action:

• There is no action and there should be.

790
RAIVS/IVES

Opportunities generally revolve around:

• Requests received from taxpayer or their representatives on Form 4506, Request for Copy of Tax Return or Form 4506.

• Request for Transcript of Tax Return

• Actions an employee took to complete their duties, e.g., validating requests that are processable; completing requested actions and notifying the taxpayer.

EQSP provides one main DCI and several optional DCIs (schedules) to record quality review results for Return and Income Verification Services (RAIVS). Main DCI – Tax Account support Activity (790). Code when the tax examiner is required to validate a taxpayer request that may consist of:

• Review of the proper fee amount received

• Completeness of request

• Identification and authentication of taxpayer

• Proper authorization for disclosure and accuracy of data input to TDS

270
Error Resolution

Whenever possible, code the point of error and do not code subsequent "ripple" defects.

To resolve the case, the tax examiner is required to:

• As the documents are returned, enter the date received at the bottom of the charge-out.

• Associate charge-out from the appropriate control area with the document.

• If the record is in the Unworkable Suspense Inventory, use CC ACTVT to transfer the record to the workable file.

• The following day use ERS 13-42 for assigning the record or refer to local procedures.

290
Unpostables/ID Theft

Whenever possible, code the point of error and do not code subsequent "ripple" defects.

310
Research

Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill requests for documents received from IRS employees for returns that have been sent to FRC and to re-file those documents to.

• EQSP provides one DCIs for FRC to record quality review results in Input Correction Function 520 Program 37500. Code for accuracy when the employee is required to request and re-file documents with FR.

• There are no schedules.

340/350
CARE
ERS
Rejects

Whenever possible, code the point of error and do not code subsequent "ripple" defects.

360
Correspondence Imaging

Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill request for documents received from IRS employees.

• EQSP provides one DCI for CIS to record quality review results in Input Correction Function 360.

• Code for accuracy when the employee is required to prepare and scan documents input to CIS.

• There are no schedules.

390
Entity Unpostables

Whenever possible, code the point of error and do not code subsequent "ripple" defects.

510
Cycle Control

Opportunities generally revolve around:

• Receiving documents from mainline processing and preparing them for filing.

• EQSP provides four DCIs for FRC to record quality review results in Input Correction Function 510:

  1. Document Preparation (00000)

  2. Shelving (00001)

  3. 5147 IDRS Association (00002)

  4. Listing (00004)

• Code for accuracy when the employee is required to request and refile documents with FRC.

• There are no schedules.

520
Central File Control

Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill requests for documents received from IRS employees for returns that have been sent to FRC and to refile those documents to.

• EQSP provides one DCIs for FRC to record quality review results in Input Correction Function 520 Program 37500.

• Code for accuracy when the employee is required to request and refile documents with FRC.

• There are no schedules.

530
Pulling Returns

Opportunities generally revolve around:

• Actions an employee takes to complete a request received from various functions within the IRS, including all sites and area offices.

• EQSP provides four DCIs for Pulling Returns and Documents to record quality review results in Input Correction Function 530.

540
Re-filing Returns

Opportunities generally revolve around:

• Actions an employee takes to complete refilling requests received from various functions within the IRS, including all sites and area offices.

• EQSP provides one DCIs for re-filing returns and documents to record quality review results in Input Correction Function 530.

590
Special Search

Opportunities generally revolve around:

• Actions an employee took to locate requested returns or documents. The scope and sequence (how for to go in searching and where to go in searching) varies with the circumstances of each search, but do not close the case until all likely sources of information have been checked.

• EQSP provides one DCI for Special Search to record quality review results in Input Correction Function 590 Program 00000.

• Code for accuracy when required to locate return/document.

• There are no schedules.

710
ID Theft

Whenever possible, code the point of error and do not code subsequent "ripple" defects:

• The tax examiner reviewed the assigned math error notices for accuracy and determined the notices were correctly issued.

• Tax examiner entered P in ONLR to release the notices. The return should be coded into EQSP as: first opportunity coded "Y" to indicate a completed review.

710
Notice Review

Whenever possible, code the point of error and do not code subsequent "ripple" defects:

710
Tax Account Activity

CP Notices

There are six DCIs for Tax Account Activity CP notices:

• Entity

• CP 108

• CP 267

• Credit Transfer

• Correspondence

• Miscellaneous

770/780
Correspondence

There are two different DCIs for Correspondence:

1. Correspondence Typing is used by typing/clerical units who input letters into IDRS.

2. Correspondence Forms is used by teams who complete correspondence request form (e.g., Form 6001, 3696, etc.) and correspondence forms (e.g., Forms 3531, 6800, etc.).

Opportunities generally revolve around:

• Paragraph selections and fill-ins

• Selection of the correct letter

• Typing correct and complete information to generate a letter

• Typing correct and complete information to generate a letter

• Corresponding when appropriate

340
ERS (EFTPS)

Site Specific (Kansas City and Ogden)

410
Accounting Activity

Opportunities revolve around:

• Preparation and/or verification of all documents and data for input to Revenue Accounting Control System (RACS).

410
Journalization

Journal Numbers include activity counts, posting numbers, system dates and dollar amounts for a specific ledger posting to IRS accounts. The opportunities revolve around:

• Stamping source documents with journal numbers.

• Routing appropriate forms and supporting documents to receiving campuses.

• Verifying the extract received on a monthly basis.

410
General Ledger

General Ledger accounts require maintenance and internal controls necessary to ensure compliance with requirements of the IRS, DOT, and GAO. The opportunities revolve around:

• Printing items related to each tax class under current assessments

• Computing, entering and combining correct assessment data

• Changing and entering erroneous journals

• Verifying the 23C date

• Posting the reverse of the original journal and pasting correct assessments

• Balancing Forms 813 to Forms 3809

• Journaling to the appropriate General Ledger

• Routing Forms 3245 with Form 813 to Batching in a brown folder

• Routing the duplicate Form 813 and Form 3809 to the appropriate Accounting function

• Attaching adding machine tape and entering data on RACS

• Balancing the total monetary balance of the appropriate General Ledger accounts in each site to the balance of each MF account

• Noting each Ledger entry with the cycle of the TEP, new unpostables, corrected and reclassified Unpostables schedule number of the 1098, 1185, Z listings and cycle of refunds

• Journaling corrected and reclassified Unpostables

• Investing new items to prevent aged items

• Checking off General Ledger debits and credits

• E-mailing Forms 6198

Fresno only (Paper check deposit processing):

• Balancing and entering data to General Ledger accounts

• Highlighting unapplied external leads

• Stamping journal numbers on Form 3809 and DT’s

• Completing Forms 3210

• Copying and routing Form 3809

410
Trace ID Reconciliation

Trace ID’s identify Deposit Tickets and their corresponding payments using a 20 digit number made from 14 characters related to the corresponding Deposit ticket and six characters representing the Detail Payment Transaction Record for an individual payment. The opportunities revolve around:

• Verifying Trace ID is present

• Verifying Form 2158 includes Trace ID

• Assigning Trace ID’s

• Routing Deposit Tickets

• Verifying Form 3245 includes Deposit Tickets and Trace ID’s

• Using correct Trace ID for counterfeit bill cases

• Verifying and inputting Trace ID’s into RRACS

• Preparing dummy debit vouches

• Verifying and Journaling Deposit Tickets from OTC net

• Contacting Deposit and providing Trace ID’s

• Entering Trace ID error codes

• Contacting functions causing Trace ID mismatches

• Verifying actions taken to prevent mismatches

• Referring Trace ID mismatches on cash processed in the CARE Field Assistance (FA) TAC’s Area Office Analysts

420
Automated Manual Assessment

Opportunities for AMA revolve around:

• Validation of Form 2859 for taxpayer data, transaction entries, and math calculations

• Generation of Document Locator Number (DLN)

• Input of Form 2859 information

• Creation and printing of Form 3552C - Prompt Assessment Billing documents.

• Printing of Form 813 (Document Register), listing Form 2859 assessment amounts, totals, and annotation of general ledger accounts for journalization.

420
Automated Non-Masterfile

When the Accounting Technician processes a request in error or omits processing the correct request per the taxpayer information input, the quality reviewer should limit coding to the following opportunity to prevent a ripple effect:

(Request processed) When the Accounting Tech fails to process the Form 2859, but should have:

• Code the opportunity “Request processed” as “N”, Omitted, Processing.

420
Dishonored Checks

• Add checks to establish the case on DCF.

• Balance and verify entries and make corrections to amounts input erroneously.

• Research and identify audit trail of original credit.

• Apply debits to taxpayer accounts.

• Redeposit returnable checks.

There are three main DCIs and several accompanying DCIs listed as "schedules" used to process cases for Dishonored Checks:

1. 37300 Dishonored Checks (BDADD):

   • Code when an employee balances and adds checks to the Dishonored Check File (DCF) using IDRS.

2. 37300 Dishonored Checks (BDAPL):

   • Code when an employee applies debits from the DCF to taxpayer accounts.

3. 37300 Dishonored Checks (BDOUT):

   • Code when an employee corrects money amounts on DCF to balance totals, or when an item amount is removed from DCF.

Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for BDADD and BDAPL:

• Form 2424

• Form 3244

• Form 8157

• Form 8252

• Form 8269

• Form 8290

• Form 12993

• Form 14219

• Form 2287C

420
Manual Refunds

Opportunities revolve around:

• Validation requirements and the processing of manual refunds.

• Review requests for completeness and legibility Confirm there are no strike through or white outs.

• Verify requests are received on current form revision Review supporting documentation

• Validate authorized approving official signature and printed name.

• Confirm entry of Employee ID number and phone number.

• Verify taxpayer and tax account information verification on IDRS.

• Verify accuracy of the refund and interest amounts using COMPAC/COMPAD; identification and correction of errors prior to input to REFAP.

• Maintain case history Monitor requests weekly and process requests within required timeframe.

420
Refund Intercept

Site Specific (Ogden and Cincinnati)

550
Support Activity

Opportunities revolve around:

• All clerical duties necessary for the controlling of work within and between Service Center functional areas.

• Ensures timely input and release of adjustments on SCCF

• Validates mismatch list from satellite functions

• Validates non-received and off-cycle reports daily controls work within pipeline functions and staging of batch carts in priority order.

710
Erroneous Refund

The 710 Erroneous Refund DCI is the main DCI. This DCI will be selected when reviewing all erroneous refund cases. Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for Erroneous Refund:

• ER History Sheet

• 86C Letter

• 510C Letter

• Form 813

• Form 2209

• Form 2209-A

• Form 1099 or MISC

• Form 3244

• Form 3245

• 3064C Letter

• Form 3753

• Form 3809

• 3414C Letter

• Form 8758

• Form 12857

630
Balancing

Opportunity revolve around:

• Review of invalid transcripts and error coded control records, resolution of errors

• Preparation of correction documents, on-line research and correction of Service Center Control File

• Review and balancing of Control Data Recap, Daily Trail Balance, Revenue Receipts, tape releases, Block Proof Summary.

• Research and resolve SCCF age cases and deletes.

• Prepare and balance Form 3996, Tax Revenue Receipts Recap

• Identify and initiate General Ledger corrections for input to RACS.

710
Unidentified Remittance

• Adding remittances to the URF File.

• Researching remittances for proper disposition.

• Applying remittances from the URF.

• EQSP provides two main DCIs and several optional DCIs to record quality review results for Unidentified (UNID):

  1. 37400 Unidentified Remittance (URADD):

     • Code when an employee adds remittance to the Unidentified Remittance File (URF).

  2. 37400 Unidentified Remittance (URAPL)

     • Code when an employee applies or transfers remittances. Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for URADD and URAPL.

• Form 1687C (IDRS Letter)

• Form 2424

• Form 8765

• Form 3731C (IDRS Letter)

• Form 13154

• Form 4830

710
Excess Collection

• Adding credits to the Excess File

• Researching credits for proper disposition Applying or refunding credits to taxpayer accounts or taxpayer from Excess

• 37600 Taxpayer Account (XSADD): Code when an employee adds credits to the Excess Collection File

• 37600 Excess Collection (XSAPL): Code when an employee applies or transfers a credit

• 37600 Excess Collection (Research): Code when research is performed on open Excess Collection cases Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for XSADD and XSAPL.

• 0012C (IDRS Letter)

• 0018C (IDRS Letter)

• 0112C (IDRS Letter)

• 0135C (IDRS Letter)

• 0143C (IDRS Letter)

• 0320C (IDRS Letter)

• 1505C (IDRS Letter)

• 1687C (IDRS Letter)

• 2349CG (IDRS Letter)

• Form 8758

• Form 8765

• Form 8766 / History sheet

710
Dept. of Justice

Site Specific (Kansas City)

790
Tax Account Support Activity

Opportunities revolve around:

• Processing request for refund litigation

• Controlling cases

• Closing returned cases

• Emergency refund litigation case requests