Part 1. Organization, Finance and Management

Chapter 1. Organization and Staffing

Section 13. Wage and Investment (Cont. 2)

1.1.13  Wage and Investment (Cont. 2)

1.1.13.10 
Customer Assistance, Relationships and Education

1.1.13.10.6 
Field Assistance

1.1.13.10.6.4  (03-01-2007)
Field Assistance Area Directors

  1. The mission of the Field Assistance Area Directors is to oversee all Field Assistance activities within specified geographic areas with the primary objective of ensuring consistency and quality of program execution.

  2. To accomplish the mission, Field Assistance Area Directors:

    1. Perform program reviews

    2. Monitor and analyze quality data

    3. Monitor and analyze balanced measures

    4. Coordinate training activities

  3. The Field Assistance Territory Managers report to the Field Assistance Area Directors.

1.1.13.10.6.4.1  (09-01-2005)
Field Assistance Territory Managers

  1. The mission of the Field Assistance Territory Managers is to oversee activities of Field Assistance groups in a specified geographic territory and ensure consistency of training, program execution, services and facilities.

  2. To accomplish the mission, Field Assistance Territory Managers:

    1. Manage and monitor the quality and quantity of work

    2. Maintain working relations with other BODs

    3. Ensure appropriate and timely training for front-line employees

    4. Allocate and utilize non-financial resources among groups efficiently

    5. Interact with other operating units for shared services needs (recruiting, facilities, etc.)

    6. Coordinate with personnel and other BODs

  3. Field Assistance Group Managers, report to Field Assistance Territory Managers.

1.1.13.10.6.4.1.1  (03-01-2007)
Field Assistance Group Managers

  1. The mission of the Field Assistance Group Managers is to provide face-to-face assistance, education and compliance services to customers with a preference for face-to-face interaction with the IRS.

  2. To accomplish the mission, Field Assistance Group Managers:

    1. Respond to account inquiries

    2. Accept payments

    3. Provide tax law assistance

    4. Recommend and input account adjustments

  3. Field Assistance Group Managers support Compliance activities by:

    1. Releasing Notices of Federal Tax Lien and Notices of Levy when appropriate

    2. Working streamlined Offers in Compromise (OICs)

    3. Analyzing financial data and determining appropriate disposition of accounts

    4. Working Collection cases

1.1.13.11  (03-01-2007)
Customer Account Services

  1. The mission of Customer Account Services (CAS) is to:

    1. Actively pursue satisfaction of CAS customers through lawful resolution of customer issues.

    2. Timely process tax returns and related submissions, payments and refunds while providing information and assistance on customer account and tax law inquiries.

    3. Provide prompt notification of problems and errors related to taxpayer accounts in a manner that provides quality service, meets W&I customers needs, and promotes voluntary compliance and customer confidence in the organization.

  2. The Director, Customer Account Services, reports to the Commissioner, W&I. The organizational symbols for CAS are SE:W:CAS.

  3. To accomplish the mission, the Director, CAS:

    1. Develops operating unit strategy for processing returns and assisting taxpayers with specific account inquiries and adjustments.

    2. Develops and implements measures for the CAS function that balance customer satisfaction, employee satisfaction and business results.

    3. Processes the tax returns of the W&I customer.

    4. Manages tax law, account and compliance phone calls for both W&I and SB/SE through JOC Operations.

    5. Ensures accurate maintenance of the W&I master file and prompt resolution of account errors.

    6. Operates centralized toll free customer service call sites and correspondence units.

    7. Develops strategy for technology implementation issues in concert with Business Systems and Information Systems.

    8. Monitors workload and effectiveness of submission processing and customer service patterns and develops strategies to focus CAS activities.

    9. Monitors workload and effectiveness of CAS and allocates resources among processing and accounts management.

    10. Prepares budget requests.

    11. Ensures unit goals, strategy, and organizational policies are clearly communicated to all employees.

    12. Participates in equal employment and diversity program activities.

  4. The following managers report to the Director, CAS:

    • Chief, CAS Finance

    • Chief, Program Coordination and Support

    • Director, Submission Processing (SP)

    • Director, Accounts Management (AM)

    • Director, Joint Operations Center (JOC)

    • Chief, Business Strategist and Business Architect

    • Chief, Project Management Office

    • Director, Program Analysis

1.1.13.11.1  (09-01-2005)
CAS Finance

  1. The mission of CAS Finance is to:

    1. Coordinate all issues related to operational planning, budget formulation, and financial plan execution.

    2. Assist the Director, CAS by managing the financial resources for CAS, including tracking resource usage against targets.

    3. Conduct CAS financial reviews and develop recommendations to resolve issues within the existing financial resources.

  2. To accomplish the mission, CAS Finance:

    1. Coordinates the development of budget initiatives.

    2. Formulates the operating unit's budget and resource allocation.

    3. Coordinates the integration of business plans and the budget process.

    4. Manages the execution of the operating unit's financial plan.

  3. The following managers report to the Chief, Finance:

    • Chief, Formulation and Control

    • Chief, Plan and Execution

    • Chiefs, Center Support

1.1.13.11.1.1  (09-01-2005)
Formulation and Control

  1. The mission of Formulation and Control is to manage the budget formulation activities for the CAS organization.

  2. To accomplish the mission, Formulation and Control:

    1. Manages the process of formulating multiple year budgets consistent with CAS business plan.

    2. Coordinates CAS responses to GAO financial audits and participates in all audits both internal and external that require financial information.

    3. Formulates the operating units budget and resource allocation.

    4. Coordinates the integration of the business plan and the budget process.

    5. Provides advice and assistance to CAS in developing and executing sound business cases.

1.1.13.11.1.2  (09-01-2004)
Plan and Execution

  1. The mission of Plan and Execution is to manage the execution of the CAS financial plan.

  2. To accomplish the mission, Plan and Execution:

    1. Tracks resource usage against targets (Labor, FTE)

    2. Conducts financial reviews

    3. Manages reimbursable programs

    4. Manages funding for mission critical contracts

1.1.13.11.1.3  (09-01-2005)
Center Support

  1. The mission the Center Support teams is to provide necessary financial support to campus organizations to execute the business plan.

  2. To accomplish the mission, Center Support teams:

    1. Establish the financial policies for campus organizations

    2. Manage the execution of the financial plan for each campus organization

    3. Certify funding for all purchase requests on a campus

    4. Provide advice and assistance as required to purchase a card and travel card holders

    5. Provide advice and assistance with Requisition Tracking System

    6. Coordinate reviews of overage and unliquidated obligations and commitments for multiple fiscal years and multiple customers

    7. Advises campus organizations on processes to obtain goods and services through a matrix of organizations

1.1.13.11.2  (03-01-2007)
Program Coordination and Support

  1. The mission of Program Coordination and Support is to:

    1. Integrate, coordinate, and support programs throughout CAS. Ensure programs are reflective of taxpayer behaviors, needs, and characteristics to improve overall customer service and achievement of strategic objectives.

    2. Coordinate filing season readiness for the Director, CAS, working with sub offices to ensure readiness plans are in place and target deadlines are met.

    3. Conduct operational performance assessments of the CAS units and reports findings in business reviews.

    4. Provide support to the Director, CAS by overseeing the integration of policy and planning throughout CAS.

  2. To accomplish the mission, Chief, Program Coordination and Support:

    1. Analyzes the impact of legislation on overall CAS operation and ensures functions implement legislation and regulations by taking actions to carry out congressional intent.

    2. Oversees the integration of policy throughout CAS.

    3. Ensures that policies are reflective of taxpayer behaviors, needs and characteristics to improve overall compliance and customer service.

    4. Ensures that policies incorporate compliance and taxpayer education concerns and needs.

    5. Evaluates audit findings from TIGTA, and GAO, reports and identifies resources necessary to address recommendations.

    6. Serves as the Management Information Systems focal point for CAS activities.

    7. Maintains the IRM for CAS.

    8. Monitors the status of strategic and business planning, including balanced measures.

    9. Provides the Director, CAS support for employee training across the CAS organization, to ensure all mandatory training is conducted and sub offices establish appropriate training plans.

    10. Provides guidance and liaison activities with subordinate program management staffs within SP and AM.

    11. Controls the Employee Complaint Management System (ECMS) and employee complaint cases for the CAS organization using the national electronic database.

    12. Ensures the CAS organization complies with position management guidelines and policies.

  3. The Chief, Program Coordination and Support also oversees the Program Managers, Quality Process and Procedures and the Centralized Quality Review Staff.

1.1.13.11.2.1  (09-01-2005)
Quality Process and Procedures

  1. The mission of Quality Process and Procedures is to:

    1. Provide oversight of all CAS quality review activities

    2. Develop new and innovative quality review/assurance methods while complying with CAS quality policies and procedures

    3. Advise CAS management of quality review data results and trends

    4. Update the Quality IRM for all CAS product lines, Quality Measures, and Embedded Quality

  2. To accomplish the mission, the Quality Process and Procedures:

    1. Oversees quality reviews of CAS program activities

    2. Ensures that quality review data/trend Management Information System (MIS) results are shared with CAS management

    3. Ensures CAS management is advised of the need for quality improvement actions

1.1.13.11.3  (03-01-2007)
Submission Processing

  1. The mission of Submission Processing (SP) is to:

    1. Process tax returns, related documents, and payments at the W&I SP Centers (Andover, Atlanta, Austin, Cincinnati, Fresno, Kansas City, Ogden and Philadelphia)

    2. Ensure functional implementation of legislation and regulations in a manner that carries out congressional intent

    3. Provide executive leadership, oversight and direction in the design, development, delivery and consistency of application of paper and electronic filing policies and procedures between centers

    4. Improve business practices and technology, and monitor adherence to work plans and filing season assignments at the SP Centers

  2. The Director, SP, is responsible for planning, managing, directing and executing activities at the eight W&I SP Centers.

  3. To accomplish its mission, the Director, SP implements short- and long-range program policies, strategies and objectives specific to CAS Processing including:

    1. Providing oversight for the processing of paper and electronic individual returns and related payments and refunds

    2. Directing processing operations in dedicated SP centers and other processing staff in Service Center Recognition Image Processing System (SCRIPS) and Information Returns Processing (IRP)

    3. Designing and developing programs to solve complex issues relating to the standards for taxpayer submissions, receipt of those submissions, and financial transfers

    4. Providing executive leadership and direction through subordinate executives and managers that are geographically located nationwide

    5. Delegating sufficient authority to subordinates to effectively manage their resources and to provide a supportive environment for creativity and innovation

    6. Coordinating program activities with other top level IRS executives or other federal agencies to prepare Servicewide policies, address cross-functional issues, develop strategies, and ensure consistency of approach

    7. Implementing the development of activities to build leveraged partnerships and collaborate with stakeholders to increase taxpayer education and clarify tax code issues

    8. Managing all human, physical, information technology, and financial resources assigned to SP and allocating these resources in accordance with overall strategies to further the accomplishment of specific goals

  4. The following managers report to the Director, SP:

    • Chief, IMF Policy & Procedures Branch

    • Chief, BMF Policy and Procedures Branch

    • Chief, Tax Payment Management Branch

    • Chief, Program Management/Process Assurance Branch

    • Chief, E-Submissions Branch

    • Chief, ITIN Program Office

    • Project Management Officer (PMO)

    • SP Field Directors (Andover, Atlanta, Austin, Cincinnati, Fresno, Kansas City, Ogden, and Philadelphia)

1.1.13.11.3.1  (09-01-2005)
IMF Policy and Procedures Branch

  1. The mission of the IMF Policy and Procedures Branch is to provide policy, procedures and guidance on Individual Master File (IMF) taxpayer activities relative to SP systems and tax return processing, and to monitor the effectiveness and efficiency of field SP sites.

  2. To accomplish its mission, the Chief, IMF Policy and Procedures Branch:

    1. Provides IMF policy, procedures, and guidance to the Director, SP

    2. Determines business requirements and provides program direction for SP systems, IMF tax returns and related documents, and accounting programs within the IMF SP Centers

    3. Provides operational oversight for the SCRIPS; the Service Center Automated Mail Processing System (SCAMPS); the Multifunctional Document Handling System (MDHS)-MUFFY; and the Integrated Submission and Remittance Processing System (ISRP)

    4. Ensures the timely and accurate mailing of taxpayer notices

  3. The following managers report to the Chief, IMF Policy and Procedures Branch:

    • Chief, Document Perfection/Input Correction Section

    • Chief, IMF Notices and Files Section

    • Chief, Receipt and Control Section

    • Chief, Data Conversion Section

1.1.13.11.3.1.1  (09-01-2005)
Document Perfection/Input Correction Section (formerly Form 1040 Section)

  1. The mission of the Document Perfection/Input Correction Section is to provide business requirements and program direction in all aspects of processing IMF tax returns and related documents processing including:

    • Code and editing and error resolution

    • Resolving of unpostable and entity conditions

    • Taxpayer contact for additional information

  2. To accomplish the mission, the Chief, Document Perfection/Input Correction Section supervises a staff which:

    1. Develops policy, procedures and guidance for submission processing of IMF tax returns and related documents in the areas of Code & Editing, Error Resolution (ERS), Direct Deposit, Math Error Authority, Rejects, Entity, Extensions, Amended Return Processing, Adoption Tax Identifying Number (ATIN) and Unpostables

    2. Determines business requirements for necessary systems

    3. Prepares IRM and procedures and Requests for Information Services (RIS)

    4. Updates and changes automated systems with Modernization and Information Technology Services (MITS)

    5. Provides guidance for the preparation of SP training material and ensures material is kept current

    6. Evaluates new legislation and prepares changes to processing requirements

    7. Ensures consistency between all pipeline processing IRMs and system requirements

1.1.13.11.3.1.2  (09-01-2005)
IMF Notices and Files Section

  1. The mission of the IMF Notices and Files Section is to ensure timely and accurate mailing of the 100 million notices that the Service issues to taxpayers and their Powers of Attorney (POAs) every year; to provide oversight of the Multifunctional Document Handling System known as MUFFY ( a computer assisted document inserter/sealer used to insert notices and other information into envelopes for mailing to taxpayers) and to provide oversight of the Service Center Automated Mail Processing System - SCAMPS, (the system used to open and sort mail).

  2. To accomplish its mission, the Chief supervises a staff which:

    1. Develops policy, procedures and guidance for Correspondence Problem Resolution and Notice Review

    2. Prepares IRMs and procedures and Requests for Information Services (RIS)

    3. Performs Notice problem identification, resolution, and reporting

    4. Develops Work Plan assumptions for Notices

    5. Performs studies of the Notice Review process for modernization activities and performs Notice Redesign/ Modernization coordination

    6. Supports the Service Disaster Relief Program with Notice processing procedures

    7. Studies the Notice process to identify points of error and reduce errors

    8. Performs the Notice Review/CARE Joint Employee Use Initiative

    9. Administers the Reduce Unnecessary Filings (RUF) program

    10. Supports the Notice Discussion web page and Notice Web site development

    11. Works with Modernization and Information Technology Services (MITS) to update and change automated systems

    12. Provides guidance for the preparation of SP training material and ensures training material is kept current

    13. Evaluates new legislation and prepares changes to processing requirements

    14. Monitors, oversees and provides standards and guidance for printing and mailing operations at the W&I SP Campuses.

    15. Provides instructions for presorting and preparing mail to obtain automation discounts; coordinates actions with local and national U.S. Postal Service officials

    16. Acquires and implements new inbound and outbound automated mail sorting equipment and ensures coordination with originators, programmers, suppliers, handlers and stakeholders (i.e. Notice Gatekeeper, Accounts Management) who deal with taxpayer Notices

    17. Develops and maintains the Notice Review Processing System (NRPS) and On Line Notice Review (OLNR)

    18. Develops and maintains files and records management programs

    19. Coordinates with local and national US National Archives and Records Administration (NARA) personnel

    20. Develops policy, procedures and guidance for SCAMPS

1.1.13.11.3.1.3  (09-01-2005)
Receipt and Control Section

  1. The mission of the Receipt and Control Section is to provide guidance and support to the Submission Processing Receipt and Control functional areas in the Centers and to develop and administer policies and strategies that improve their overall operations

  2. To accomplish its mission, the Chief, Receipt and Control Section supervises a staff which:

    1. Supports Service activities for modernization of notice processes

    2. Supports the Service Disaster Relief Program in regards to notice issuance, production and delivery procedures

    3. Maintains the Media Transport and Control IRM which contains instructions for the production, printing, distribution, processing and mailing of notices, letters, registers, listings, forms and transcripts within and between the Submission Processing Campuses, Notice Print Sites, Headquarters (HQ), area offices, other agencies, taxpayers, and their representatives; this IRM includes specificity regarding mailing envelopes, return envelopes, and undeliverable mail procedures

    4. Develops and maintains policies, procedures and guidance regarding assigned program responsibilities and disseminates such to stakeholders, using appropriate communication methods including, but not limited to, memorandums, IRM updates, information alerts and the Submission Processing Intranet web site

    5. Identifies needs to create and modify Information Systems (IS) programming due to reasons including but not limited to legislative, regulatory, procedural, efficiency and modernization changes

    6. Initiates, prepares, and submits Requests for Information Services (RIS)

    7. Monitors and coordinates activities relating to the development, production, testing and implementation of IS programming changes

    8. Provides guidance in the preparation and maintenance of training materials

    9. Through established protocol, coordinates with representatives of the GAO and the Treasury Inspector General for Tax Administration Office of Audits (TIGTA/OA)

1.1.13.11.3.1.4  (09-01-2005)
Data Conversion Section

  1. The mission of the Data Conversion Section is to provide the systems needed to capture, electronically, paper tax information, and related documents

  2. To accomplish its mission, the Chief, Data Conversion Section supervises a staff which:

    1. Develops policy, procedures and guidance for submission processing of tax information, including IMF & and Business Master File (BMF) in the Integrated Submission and Remittance Processing (ISRP) and Service Center Recognition/Image Processing System (SCRIPS) systems

    2. Determines business requirements for necessary systems, i.e., ISRP, Remittance Transaction Research (RTR) system, and SCRIPS

    3. Prepares IRM and procedures and Requests for Information Services (RIS)

    4. Updates and changes automated systems with Modernization and Information Technology Services (MITS)

    5. Provides guidance for the preparation of SP training material and ensures material is current

    6. Evaluates new legislation and prepares changes to processing requirements

    7. Ensures consistency between all pipeline processing IRMs and system requirements

1.1.13.11.3.2  (09-01-2005)
BMF Policy and Procedures Branch

  1. The mission of the Business Master File (BMF) Policies and Procedures Branch is to provide support and guidance for the integration and coordination of BMF policies, programs and procedures for submission processing as well as for specific International accounts management; ensures policies and procedures are reflective of BMF taxpayer behaviors, needs and characteristics to improve overall compliance and customer service.

  2. To accomplish its mission, the Chief, BMF Policies and Procedures:

    1. Formulates short- and long-range program strategies and objectives for programs related to BMF taxpayers

    2. Establishes business requirements and provides program direction for all aspects of processing BMF, International, and Non-Master File (NMF) returns, documents and payments including receipt, sorting, numbering, code and edit, data entry, error resolution, unpostables, notice issuance, and files retention

    3. Coordinates program activities with other senior program managers and analysts to integrate Servicewide policies, address cross-functional issues, develop strategies, and ensure consistency of approach

    4. Works with the Learning and Education organization to deliver specific functional training and coordinates training efforts with field when specific specialized expertise is needed to develop training

    5. Coordinates all activities related to IRM updates, publishing and distribution

    6. Responds to GAO and TIGTA on program related issues

    7. Responds to Employee Suggestions and various Congressional inquiries

  3. The following managers report to the Chief, BMF Policies and Procedures Branch:

    • Chief, Code and Edit/ERS Section

    • Chief, BMF Notices/Misc. Forms Section

    • Chief, Entity, Unpostables and Rejects Section

    • Chief, Service Center Accounting Section

1.1.13.11.3.2.1  (09-01-2005)
Code and Edit/ERS Section

  1. The mission of the BMF Code and Edit/ERS Section is to provide support and guidance for the full range of planning, directing, managing and executing activities specific to the processing of BMF Tax Returns (excluding Form 1065, U.S. Return of Partnership Income, and Form 1041, U.S. Income Tax Return for Estates & Trusts).

  2. To accomplish the mission, the Chief, BMF Code and Edit/ERS:

    1. Participates in the formulation of short- and long-range program strategies and objectives for BMF Returns

    2. Provides business requirements and program direction for all aspects of processing BMF returns and documents (except fiduciary, partnership, NMF and International returns), including code and edit, error resolution and notice/letter issuance

    3. Performs independently and/or provides leadership to ad hoc groups who conduct special studies, investigations, or projects

    4. Analyzes technical, operational and administrative problems which exist or may arise in one or more offices or programs relating to BMF Returns

    5. Performs independently and/or provides leadership to ad hoc groups who conduct special studies, investigations or projects

1.1.13.11.3.2.2  (09-01-2005)
BMF Notices/Miscellaneous Forms Section

  1. The mission of the BMF Notices/Miscellaneous Forms Section is to provide the processing functions, along with accounts management, procedures on processing returns, preventing problems through consistent guidance to stakeholders and taxpayers, and increasing compliance and fairness; this section also provides procedural guidance for the BMF Notice Review process

  2. To accomplish the mission, the Chief, BMF Notices/Miscellaneous Forms:

    1. Participates in the formulation of short- and long-range program policies, strategies and objectives for BMF Notices/Miscellaneous Forms

    2. Analyzes technical, operational and administrative problems relating to Partnerships, Trusts and International Tax Returns

    3. Revises business requirements and program direction for all aspects of partnership, fiduciary and International returns and documents including receipt, sorting, numbering, code and edit, data entry, error resolution, unpostables, notice issuance, and file retention

    4. Performs independently and/or provides leadership to ad hoc groups who conduct special studies, investigations, or projects

    5. Provides guidance for the execution of processing related to International taxpayers for primarily BMF returns

    6. Facilitates the U.S. Possession and Tax Treaty Information agreements

    7. Addresses the unique processing needs of International taxpayers

1.1.13.11.3.2.3  (09-01-2005)
Entity Unpostables/Rejects Section

  1. The mission of the Entity Unpostables/Rejects section is to provide support and guidance for the full range of planning, directing, managing and executing activities specific to Entity Unpostables/Rejects and K-1 processing

  2. To accomplish the mission, the Chief, Entity Unpostables/Rejects:

    1. Participates in the formulation of short- and long-range program strategies and objectives for Entity Unpostables/Rejects and K-1 processing

    2. Provides business requirements and program direction for all aspects of processing Entity Unpostables, Rejects and K-1s

    3. Performs independently and/or provides leadership to ad hoc groups who conduct special studies, investigations or projects

    4. Analyzes technical, operational and administrative problems which exist or may arise in one or more offices or programs relating to Entity Unpostables, Rejects or K-1 processing

    5. Performs independently and/or provides leadership to ad hoc groups who conduct special studies, investigations, or projects

1.1.13.11.3.2.4  (09-01-2005)
Service Center Accounting Section

  1. The mission of the Service Center Accounting Section is to provide support and guidance for the full range of planning, directing, managing and executing activities specific to Service Center accounting programs.

  2. To accomplish the mission, the Chief, Service Center Accounting Section:

    1. Participates in the formulation of short range and long range program strategies and objectives for Service Center Accounting

    2. Provides business requirements and program direction to all campuses for recording, reporting and accounting of all revenue received

    3. Provides linkage to the Chief Financial Officer (CFO) function on excise tax certification

    4. Analyzes technical, operational and administrative problems relating to the Service Center Control File (SCCF), Unidentified Remittance File (URF), Dishonored Check File (DCF), Excess Collection File (XSF), Credit and Account Transfer Program, Quick, Prompt and Jeopardy Assessment Program, Non-Master File (NMF) Program and other accounting programs

    5. Performs independently and/or provides leadership to ad hoc groups who conduct special studies, investigations or projects

1.1.13.11.3.3  (09-01-2005)
Tax Payment Management Branch

  1. The mission of the Tax Payment Management Branch is to provide business requirements and program direction for receiving, processing and controlling IMF paper payments and for collecting remittance information through Lockboxes.

  2. To accomplish its mission, the Chief, Tax Payment Management Branch supervises a staff which:

    1. Creates policies and procedures for the development and deployment of electronic methods of collecting taxes, promotes and encourages electronic methods as the preferred form of payment, and coordinates, monitors and collaborates with a variety of IRS and private sector organizations in matters pertinent to electronic payments

    2. Provides policy, procedures and guidance in the development of system, security and processing requirements for the Lockbox Program; conducts the annual Lockbox Conference; calculates and provides Program Completion Dates (PCDs) for Lockboxes; conducts security reviews and coordinates Lockbox issues with other IRS functions

    3. Ensures the processing and deposit requirements of the Lockbox Processing Guidelines (LPG) are followed by the Lockbox network, conducts training sessions, serves as liaison between the Lockbox and IRS functional operations, develops, updates and performs reviews of Data Collection Instruments (DCIs), and monitors the quality of Lockbox processing

    4. Works with Lockbox Coordinators and banks to resolve production software and procedural problems

    5. Coordinates timely printing and mail-out of tax packages, correct envelope addresses, and testing of pre-printed vouchers between Lockbox, vendors and Publishing and Distribution

    6. Coordinates with Financial Management Service (FMS) and Lockbox Coordinators to obtain data for the re-bidding of contract(s) to finalize the Lockbox Processing Guidelines (LPG)

    7. Analyzes the April Peak Processing Readiness Report

    8. Analyzes monthly Quality Review Measures

    9. Prepares the Monthly Lockbox Performance Report and provides to FMS

    10. Notifies FMS of any action plans resulting from unacceptable ratings of Lockbox performance

    11. Reviews and analyzes Lockbox Daily Production Reports

    12. Monitors and ensures that all theft cases are resolved properly and timely in accordance with the LPG and IRM 3.0.230.10., Lockbox Daily Mail-Out Package

    13. Analyzes on-site Quality, Security/Surveillance, and Internal Control and Deposit Requirement reports submitted by coordinators for their Lockboxes during the mini- and April processing peaks

    14. Participates with FMS and IRS Security in unannounced on-site physical security reviews, as outlined in the Security Memorandum of Understand (MOU), and coordinates with FMS to advise banks of deficiencies and corrective actions

    15. Follows up with FMS on recommendations to and from the Lockboxes per conference(s), Planning Analysis and Decision Support Systems (PADS) reports, etc.

    16. Conducts the annual Lockbox Conference

    17. Calculates the Program Completion Date (PCD) for each depositary and monitors production reports to determine bank adherence to PCD time frames

    18. Determines the affect of transition on Lockbox Programs and works with FMS to determine workload redistribution of Lockbox sites

    19. Participates in annual IRS Trade Shows

  3. The following managers report to the Chief, Tax Payment Management Branch:

    • Electronic Payment Section

    • Lockbox Policy and Procedures Section

    • Lockbox Field Section

1.1.13.11.3.3.1  (09-01-2005)
Electronic Payment Section

  1. The mission of the Electronic Payment Section is to create policies and procedures for the development and deployment of electronic methods of collecting taxes, to continue improving and supporting existing electronic methods, and to promote and encourage electronic methods as the preferred form of payment.

  2. To accomplish the mission, the Chief, Electronic Payment Section supervises a staff which:

    1. Coordinates the development of initiatives related to electronic payments with the Federal Management System (FMS), Federal Reserve Bank (FRB), Modernization & Information Technology Services (MITS), a Treasury Financial Agent (TFA) (Bank of America) and other impacted operations

    2. Continuously monitors and manages multiple types of electronic payments, including
      Automated Clearing House (ACH) Credit/Debit,
      Bulk Provider, Batch Provider,
      FEDTAX,
      Same-Day Wires,
      Railroad Retirement Board (RRB),
      Single-Debit, etc.;
      many of these applications are part of the Electronic Federal Tax Payment System (EFTPS)

    3. Develops roles & responsibilities for the TFA, as well as creates and provides the TFA with program requirements for electronic payment programs and initiatives

    4. Collaborates with stakeholders, such as other customers, and with business partners (FMS and MITS), to develop strategies for meeting operational goals

    5. Ensures that programs and applications, and their users, adhere to strict security and disclosure policies; the section works closely with a security contractor, Mitre, to accomplish this

    6. Works in conjunction with two credit card processors (Link2Gov Corporation and Official Payments Corporation) in offering this option for paying taxes

    7. Monitors transactions related to electronic payments including, processed, scheduled and cancelled payments

    8. Requests, reviews, creates and tracks a host of reports related to electronic payments

    9. Monitors and ensures that all electronic payment programs are fully operational

    10. Works closely with the TFA to resolve problems such as rejected files, equipment malfunctions, etc.

    11. Provides voice response scripts and standard response language used by IRS and TFA customer service representatives

    12. Requests, provides input for, and participates in various types of marketing surveys related to electronic payments

    13. Supports Marketing and Media and Publications by reviewing and updating material related to electronic payments; also works closely with a marketing contractor, OTA, to produce various materials made available to taxpayers such as payment request letters, cover letters, guides, etc.

    14. Provides content for various websites, such as IRS.gov/efile and ETA/EFTPS/E-Payments.

    15. Maintains IRM 3.17.277, Electronic Payments, and reviews and provides input to other IRMs, such as IRM 21 (EFW and Credit Card sections), IRM 5.19.9 , Automated Levy Program, and others

    16. Coordinates with MITS, FMS and TFA to ensure various testing is performed such as Customer Review Group (CRG), Independent Validation and Verification (IV&V), Participants Acceptance Test (PAT), and Systems Acceptability Test (SAT)

    17. Conducts training and provides guidance to Submission Processing functional areas such as the ELF Campuses

    18. Responds to TIGTA and GAO regarding any questions and recommendations for policies, programs and procedures related to electronic payments

1.1.13.11.3.3.2  (09-01-2005)
Lockbox Policy and Procedures (LLP) Section

  1. The mission of the Lockbox Policy and Procedures (LPP) Section is to provide policy, procedures and guidance on the development of system, security and processing requirements for the Lockbox Program.

  2. To accomplish the mission, the Chief, Lockbox Policy and Procedures (LLP) Section supervises a staff which:

    1. Coordinates the development of new work for the Lockbox program and required process changes with Lockbox Field Operations, other impacted operations, FMS, and the Lockbox network

    2. Determines each year if there are any Lockbox computer program changes required and provides recommendations and modifications to the annual program update

    3. Coordinates with MITS, FMS, Lockbox Depositaries, and Submission Processing Campuses to ensure Systems Acceptability Testing (SAT) is performed annually

    4. Provides Media & Publications address information for each Lockbox site and Submission Processing Center for timely printing and mail-out of tax packages

    5. Maintains Lockbox and Submission Processing Campus tax form and payment address information on the official IRS.gov web site

    6. Coordinates testing of pre-printed vouchers between lockbox and vendor in conjunction with Media & Publications

    7. Coordinates any new or updated processing changes with FMS, obtains data for the re-bidding of contracts, and finalizes the Lockbox Processing Guidelines (LPG)

    8. Participates in the annual Lockbox Readiness process conducted by Lockbox Field Operations

    9. Determines, in conjunction with FMS and Lockbox Field Operations, if any actions need to be taken as a result of the performance measures lockbox ratings

    10. Maintains and updates the LPG with new or revised policies and procedures

    11. Monitors all theft cases to ensure timely and proper resolution according to the LPG and IRM 3.0.230, Lockbox Processing Procedures

    12. Conducts the annual Lockbox Conference and participates in quarterly Lockbox conferences with FMS

    13. Calculates the Program Completion Date (PCD) for each Lockbox based on expected volume of work and provides PCD information to each Lockbox

    14. Provides Lockbox PCD information for each Lockbox to the SP headquarters Program Management/Process Assurance Branch

    15. Responds to findings by the TIGTA and GAO which recommend Lockbox policy and process changes

    16. Ensures Lockbox program coordination with TIGTA, the Situation Awareness and Management Call Center (SAMC), and IRS/FMS Security staffs

    17. Performs security reviews in conjunction with FMS and IRS Mission Assurance and Security Services (MA&SS)

1.1.13.11.3.3.3  (09-01-2005)
Lockbox Field Operations (LFO) Section

  1. The mission of the Lockbox Field Operations (LFO) Section is to ensure that the processing and deposit requirements stated in the Lockbox Processing Guidelines (LPG) are followed by the lockbox network

  2. To accomplish its mission, the Chief, Lockbox Field Section, supervises a staff which:

    1. Assists the Lockbox Policy and Procedures (LPP) Section in the annual revision of the Lockbox Policy Guidelines (LPG)

    2. Participates in the LPG bi-annual review with the LPP Section and FMS

    3. Provides comments and recommendations for updates on the LPG based on field experiences

    4. Provides technical assistance to Lockbox sites, campus employees, management, and other parties utilizing the LPG

    5. Provides processing training (upon request by the banks) to bank employees and temp hires

    6. Conducts filing season readiness meetings between banks and Submission Processing Centers

    7. Updates the Filing Season Lockbox Readiness Review Plan template to reflect needed changes on an annual basis

    8. Distributes the Filing Season Readiness Review Plan to each Lockbox site with established time frames for completion

    9. Conducts an analysis of Readiness Plans to ensure processing requirements are addressed

    10. Coordinates the resolution of required changes, concerns or issues with each Lockbox site prior to the start of the new calendar year

    11. Ensures adequate supplies are on hand at each Lockbox site to meet processing needs (excludes LTO tapes)

    12. Conducts pre- and post-peak meetings with each Lockbox site and respective Submission Processing Campuses

    13. Performs administrative and procedural reviews using the Data Collection Instrument (DCI) at Lockbox sites during peak processing periods

    14. Develops new DCIs for on-site Submission Processing Center (SPC) reviews as new work is brought into the Lockbox program

    15. Updates Administrative and Procedural DCIs to accurately reflect new requirements and/or changes in the LPG

    16. Compiles and analyzes data from on-site and SPC DCI reviews to monitor the quality of Lockbox processing

    17. Updates the Daily Production Report as new work is brought into the Lockbox program

    18. Monitors on a daily basis productivity and inventories using the Daily Production Report submitted by each Lockbox site and the OCR Daily Report

    19. Coordinates resolution of issues identified with the Lockbox sites and FMS

    20. Prepares a weekly production report during the January peak period

    21. In conjunction with LPP and FMS, develops specific quality improvement and control programs

    22. In conjunction with LPP and FMS, analyzes travel reports generated from program review visits

    23. Works in concert with LPP and FMS to conduct quarterly meetings with each bank site to review their performance and provides additional training and/or training aids for bank sites if quality improvement is needed

    24. Supports the Statistic of Income (SOI) analysts with the anomaly detection process; see separate MOU with Research, Analysis, and Statistics of Income (RAS) organization

    25. Provides input to LPP on issues of concern and makes recommendations on ways to improve bank site oversight

    26. As needed, provides full Lockbox Coordinator support to a contingency site

1.1.13.11.3.4  (09-01-2005)
Program Management and Process Assurance Branch

  1. The mission of the Program Management and Process Assurance Branch is to act as the SP central coordination point for both internal and external program reviews and reports (including GAO and TIGTA), to react to reports and findings by ensuring recommendations are implemented, to act as the key focal point for communications with other operating units and divisions as they relate to SP programs and activities, to support and monitor program effectiveness and resource usage in the SP Centers, and to determine resource allocations through the Work Plan/Work Schedule process.

  2. To accomplish the mission, the Chief, Program Management and Process Assurance supervises a staff which:

    1. Provides support and oversight to the SP Centers in the areas of Business Resumption, Space, Filing Season Readiness (FSR), National Standard Applications (NSA), Request for Information Services (RIS), Security, Recruitment, Training, the SP web site, Business Measures, and Employee Satisfaction Survey

    2. Provides assistance and technical advice to Centers, and monitors them to ensure timely, accurate, and efficient program delivery

    3. Prepares Work Plans and Work Schedules for SP programs and activities including forecasting resource needs and tracking resource utilization

  3. The following managers report to the Chief, Program Management and Process Assurance Branch:

    • Chief, Coordination and Support Section

    • Chief, Monitoring Section

    • Chief, Resource Section

1.1.13.11.3.4.1  (09-01-2005)
Coordination and Support Section

  1. The mission of the Coordination and Support Section is to provide support, coordination and oversight to the SP Centers and headquarters SP staffs in the areas of Business Resumption/Continuity, Management Controls Accountability Program (MCAP), Space and Property, Employee Satisfaction Survey, Physical and Remittance Security, RIS, IRM, Recruitment, Training, Filing Season Readiness, the SP Intranet, IRS.gov, and GAO and TIGTA coordination.

  2. To accomplish the mission, the Chief Coordination and Support Section supervises a staff which:

    1. Provides assistance to and directly supports the SP Functional Council (SPFC) and on an ad hoc basis, the W&I Divisional National Partnering Council (DNPC), and coordinates the Employee Satisfaction Survey process with SP centers and headquarters

    2. Coordinates cross unit issues for SP sites, and acts as liaison with Site Coordinators and Planning and Analysis (P&A) Chiefs in the Centers

    3. Coordinates administrative duties including operational space issues, physical moves, and equipment needs for the SP headquarters staff in Cincinnati, Ohio

    4. Serves as key point of contact for space and property issues in the SP centers; acts as liaison when other business units are affected

    5. Acts as the key focal point for communications with other operating units and divisions as related to SP programs and activities

    6. Provides guidance to the centers for the Annual Assurance Review (AAR), which includes the Management Controls Accountability Process (MCAP) and the Management Accountability Review (MAR) programs

    7. Provides program support to the center campuses for the Business Resumption/Business Continuity and Physical and Remittance Security Programs

    8. Maintains the SP Web Site on the IRS Intranet, which supports the SP mission and provides relevant tools, information and communications to functions across all operating division BODs; serves as content manager for the SP content on IRS.gov

    9. Provides advice and assistance to center management in recruitment and other personnel-related issues, acts as liaison with W&I HCO; monitors Centers’ progress in meeting recruitment needs and coordinates the Office of Government Ethics, OGE Form 450, Confidential Financial Disclosure Report, reporting requirements

    10. Researches and coordinates training policies and procedures, coordinates training requests that require input from SP headquarters and campuses, serves on the SP Education Council, coordinates annual training needs assessment and coordinates training for SP headquarters personnel

    11. Serves as a member of the National Standards Applications (NSA) Support Team and provides direct support to the NSA Board and the SP representative to that board

    12. Provides support to headquarters and coordinates with MITS regarding program changes through the RIS process

    13. Coordinates with headquarters and Media & Publications to ensure the timely update and issuance of SP IRMs

    14. Coordinates the SP Division Filing Season Readiness (FSR) plan and the Servicewide FSR plan, and provides support to the three co-chairs on the Executive Steering Committee

    15. Acts as the central coordination point for GAO and TIGTA contacts, reviews, and reports

1.1.13.11.3.4.2  (09-01-2005)
Monitoring Section

  1. The mission of the Monitoring Section is to provide assistance and technical advice to SP Centers and to ensure timely, accurate and efficient program delivery.

  2. To accomplish the mission, the Chief, Monitoring supervises a staff which:

    1. Provides oversight to Centers regarding program delivery, efficiency and effectiveness

    2. Monitors processing in the SP Centers to ensure consistency, track performance, and prepare reports

    3. Conducts conformance reviews and site assistance visits, prepares reports, and validates site performance

    4. Provides direction and oversight for Quality programs, including the Total Employee Performance System (TEPS), Incentive Pay, Gainsharing, and the Process Analysis System (PAS)

    5. Provides direction and oversight to ensure consistency on Business Measures data gathering and reporting by the centers

    6. Recommends goals for, and tracks Business Measures results, analyzes data, prepares reports, initiates quality initiatives, and identifies Best Practices

    7. Prepares IRM procedures for SP Business Measures, TEPS, Incentive Pay, Gainsharing, and SC Monitoring Reports

    8. Prepares RIS for support of Business Measures, TEPS, Incentive Pay, and Gainsharing in coordination with MITS

    9. Prepares reports, and Management Information Systems (MIS) requests for SP activities

    10. Coordinates Filing Season Readiness reviews at the site level and reviews site readiness plans

    11. Develops measures for the SP organization

    12. Reviews and analyzes trend data to recommend areas of focus for the SP and CAS Directors

    13. Monitors the implementation of legislation affecting SP operations

    14. Maintains the Business Measures web page on the SP Web Site on the IRS Intranet that defines Business Measures methodologies and goals, displays SP measure results, and provides relevant tools, information, and communications to SP functions and all SP Centers

1.1.13.11.3.4.3  (09-01-2005)
Resource Section

  1. The mission of the Resource Section is to develop and review work plans (WP) and work schedules (WS) for all SP programs and activities; to coordinate preliminary strategic planning and budget formulation proposals for SP Centers; to generate the Cost Estimate Reference IRM and the Workload Scheduling IRM, and to provide staff support in the preparation and review of cost benefit analysis.

  2. To accomplish the mission, the Chief, Resource Section supervises a staff which:

    1. Develops and reviews WP and reviews WS for all SP programs and activities

    2. Coordinates cross functional issues with Statistics of Income (SOI), Large and Mid-Sized Business (LMSB), Tax Exempt and Government Entities (TE/GE), Small Business/Self-Employed (SB/SE), Agency-Wide Shared Services (AWSS), Modernization and Information Technology Services (MITS), and Criminal Investigations (CI) for inclusion in WP and WS

    3. Forecasts workload based on projections from Research to anticipate and plan for growth

    4. Solicits assumptions from customers, researches and validates, as necessary, and determines impact on resources

    5. Conducts annual WP Review Conferences

    6. Conducts annual WS Review Conferences to refine WP estimates

    7. Supports and monitors program effectiveness and resource usage in the SP Centers

    8. Prepares SP input for the Strategic Planning processes which determine the SP Centers’ long-range budgets; ensures budget allocations are adjusted to reflect increased/decreased Paper or e-file volumes or changed systemic, procedural or legislative assumptions

    9. Authors IRM 3.30.10, Cost Estimate Reference, and IRM 3.30.127 , Workload Scheduling

    10. Provides staff support for the review and development of cost benefit analyses

    11. Provides training on WP, WS and costing techniques, as requested

    12. Owns the System for Automated Work Schedules (SAWS), the Program for Automated Work Plans (PAWS), the work scheduling and cost estimate IRMs and the OP 500 Projects

    13. Recommends goals for and tracks SP Efficiency Measure Results, analyzes data, and prepares reports for input into the BPRS and PAC 2B Report and critical measures

    14. Supports and monitors program effectiveness and resource usage in the SP Centers and coordinates all financial reviews at the program level and provides input to CAS Finance

1.1.13.11.3.5  (09-01-2005)
E-Submissions Branch

  1. The mission of the E-Submissions Branch is to ensure functional implementation of the IRS electronic filing system for Individual Master File (IMF) and Business Master File (BMF) returns and to manage the operations of completed electronic tax administration products

  2. To accomplish the mission, the Chief, E-Submissions Branch supervises a staff which:

    1. Coordinates annual product maintenance

    2. Oversees product preparation for the filing season

    3. Monitors and supports the filing season

    4. Conducts post filing season assessment

    5. Participates in the Nationwide Tax Forums and other professional conferences

    6. Supports e-file marketing campaigns by providing subject matter experts (SMEs) on e-file requirements and products

  3. The following managers report to the Chief, E-Submissions Branch:

    • Chief, Individual e-file Section

    • Chief, Business e-file Section

1.1.13.11.3.5.1  (09-01-2005)
Individual e-file Section

  1. The mission of the Individual e-file Section is to ensure timely, accurate and efficient program delivery of IMF e-file requirements for a successful filing season.

  2. To accomplish the mission, the Chief, Individual e-file Section supervises a staff which:

    1. Researches and enables the forms and schedules in the Form 1040 family that are not yet included in the 1040 e-file program

    2. Coordinates annual e-file product maintenance for regular e-file, Electronic Transmitted Documents (ETD), Code and Edit functionality, and reformat for Generalized Mainline Framework (GMF)

    3. Manages the implementation of the Participants Acceptability Testing System (PATS) program

    4. Ensures PATS specifications and electronic filing specifications ( Publication 1436, Test Package for Electronic Filers of Individual Income Tax Returns) are updated annually and published timely

    5. Evaluates new legislation and determines its impact on e-file requirements

    6. Prepares RIS and tracks Branch RISs

    7. Coordinates and monitors filing season readiness activities for the branch

    8. Responds to ad hoc requests not falling into a specific program responsibility in the Branch

    9. Provides on-site support for filing season start-up at designated Hub Sites

    10. Oversees the Electronic Transmitted Documents (ETD) System file specifications

    11. Ensures updates and changes to the ETD system file specifications are kept current

    12. Ensures electronic filing file specifications ( Publication 1346, Electronic Return File Specifications and Record Layouts for Individual Tax Returns) are updated annually and published timely

    13. Ensures IMF e-file Electronic Management System (EMS) requirements are updated

    14. Provides Integrated Data Retrieval System (IDRS) and Tax Return Data Base (TRDB) research support within the Branch

    15. Serves as a program consultant on current W&I and SB/SE marketing of e-file programs

    16. Oversees both the electronic and paper signature requirement for the 1040 e-file program including processing
      Form 8453, U.S. Individual Income Tax Declaration for an IRS e-file Return and Form 8453-OL, U.S. Individual Income Tax Declaration for an IRS Online e-file Return ,
      and managing the requirements of the self-select personal identification number (PIN)

    17. Participates in Quality Review (QR) and on-site testing

    18. Oversees alternative signature requirements for the 1040 e-file program, including jurat requirements

    19. Manages the requirements for the Practitioner PIN programs

    20. Responds to ad hoc requests not applicable to a specific branch section or analyst

1.1.13.11.3.5.2  (09-01-2005)
Business e-file Section

  1. The mission of the Business e-file Section is to provide program management and oversight for the submission, processing and distribution of electronic business returns.

  2. To accomplish the mission, the Chief, Business e-file Section supervises a staff which:

    1. Administers the Electronic Tax Administration Research and Analysis System (ETARAS)

    2. Coordinates posting of e-file volumes to e-file Reports web site

    3. Prepares MIS reports for various internal and external W&I and SB/SE customers

    4. Reviews and analyzes trend data to recommend areas of focus for paper processing and electronic filing processing

    5. Ensures annual maintenance activity for Fed/State e-file products

    6. Provides support to the states for the Fed/State program and supports the annual Federal Tax Administrators (FTA) symposium

    7. Serves as a program consultant on current W&I and SB/SE marketing of e-file programs

    8. Participates (gathers data and acts as consultant) on various research projects

    9. Prepares RISs

    10. Participates in Quality Review (QR) and on-site testing

    11. Responds to ad hoc requests not applicable to a specific branch section or analyst

    12. Manages the implementation of the Business Acceptability Testing System (BATS) program and ensures BATS specifications and electronic filing specifications including
      Publication 1437, Procedures for the 1041 e-file Program U.S. Income Tax Returns for Estates and Trusts,
      Publication 1438, File Specifications, Validation Criteria & Record Layouts for the Form 1041, e-file U.S. Income Tax Return for Estates & Trusts,
      Publication 1524, Procedures for the 1065 e-file Program: U.S. Return of Partnership Income, and
      Publication 1525, File Specifications, Validation Criteria and Record Layouts for 1065 e-file Program) are updated annually and published timely

1.1.13.11.3.6  (09-01-2005)
Individual Taxpayer Identification Number (ITIN) Program Office

  1. The mission of the Individual Tax Identification Number (ITIN) Program Office is to ensure ITINs are issued timely to qualifying individuals and used only for tax administration purposes. This is accomplished through enhancing safeguards, increasing public outreach and education, developing improved methods and procedures to apply for and process ITIN applications, and improving technical training and work processes for IRS employees. These tasks are done to advance the overall Service goal of customer satisfaction, educational outreach and compliance within applicable tax laws.

  2. To accomplish the mission, the ITIN Program Manager supervises a staff which:

    1. Develops and implements an annual strategic and program plan that details or references the activities of each functional area including Customer Assistance, Relationships and Education (CARE), and Compliance

    2. Works with CAS to monitor the processing of applications ( Form W-7, Application for IRS Individual Taxpayer Identification Number) and returns to ensure that all work is timely and accurately completed

    3. Develops, tests, and implements new procedures to facilitate improved ITIN processing and the proper use of ITINs

    4. Works with other functions or independently to develop and maintain relationships with external stakeholders (community based organizations, acceptance agents, and practitioners) to promote and facilitate the proper use of ITINs

1.1.13.11.3.7  (09-01-2005)
Project Management Office

  1. The mission of the Project Management Office is to drive implementation of major modernization initiatives impacting campuses within the Operating Division.

  2. To accomplish the mission, the Project Management Office:

    1. Develops and maintains overall implementation plans for SP Centers

    2. Facilitates development of site-specific implementation plans with Center transition teams

    3. Coordinates and monitors transition/consolidation activities within SP at campus locations

    4. Disseminates communications regarding transition issues to internal stakeholders

    5. Ensures coordination within the Operating Division and support operations

    6. Ensures implementation approach provides for visible and measurable progress

1.1.13.11.3.8  (03-01-2007)
Field Directors, Submission Processing Centers

  1. The mission of the Field Directors, Submission Processing (SP) Centers is to provide America's taxpayers with top-quality customer service by timely and efficiently processing all Individual Master File (IMF) and Business Master File (BMF) returns tax returns, documents, payments and refunds, including processing of International returns in Philadelphia, Pennsylvania.

  2. To accomplish the mission, the Field Directors, SP:

    1. Oversee day-to-day operations for SP

    2. Formulate short- and long-range program policy guidance, strategies and objectives.

    3. Coordinate program activities with the Director, CAS, and Director, SP, to prepare Servicewide policy guidance, address cross-functional issues, develop strategies and ensure consistency of approach

    4. Direct statistical analysis and evaluation of the elements comprising SP's business measures

    5. Ensure that subordinate managers operate as an effective management team and that all management functions are handled in an equitable and responsive manner to meet the needs of customers

    6. Coach subordinate managers and assist in the resolution of complex issues

  3. The following Operations report to the Field Directors, SP Centers:

    • Site Coordinator

    • Receipt and Control Operation

    • Data Conversion Operation

    • Document Perfection Operation

    • Input Correction Operation

    • Planning and Analysis

    • Accounting Control/Services Operation

    • SOI Operation (Cincinnati and Ogden only)

1.1.13.11.3.8.1  (09-01-2005)
Site Coordinator

  1. The mission of the Site Coordinator is to coordinate issues impacting the campuses by representing the SP, Accounts Management, and Compliance Services Field Directors in addressing cross-functional issues and emerging areas of concern

  2. The Site Coordinators report to the SP Field Directors.

  3. To accomplish the mission, the Site Coordinators:

    1. Provide the primary support for the cross-unit coordination council by overseeing major activities that affect multiple functions with different reporting structures

    2. Serve as primary liaison to ensure administrative and logistical support is provided to all campus entities by working with Modernization and Information Technology Services (MITS), Agency-Wide Shared Services (AWSS) and other shared services

    3. Oversees and provides administrative supervision to one or more Interpreters who provide sign language interpretation for employees and visitors in all campus functions

  4. The Analytical Support staff reports to the Site Coordinator.

    Note:

    No explanation will be provided for this staff.

1.1.13.11.3.8.2  (09-01-2005)
Receipt and Control Operation

  1. The mission of the Receipt and Control Operation is to efficiently and accurately receive, batch and distribute tax returns, taxpayer correspondence, and other documents, and process payments.

  2. The Receipt and Control Operation Managers report to the SP Field Directors.

  3. To accomplish this mission, the Receipt and Control Operation:

    1. Opens all incoming mail and sorts it to the appropriate function

    2. Establishes the control systems that monitor returns processing activities

    3. Processes all remittances to maximize cash management practices and availability of funds to the United States Treasury

  4. The following Department Managers report to the Receipt and Control Operation Managers.

    • Extraction Department

    • Deposit/Batching Department

    Note:

    No explanation will be provided for these staffs.

1.1.13.11.3.8.3  (09-01-2004)
Data Conversion Operation

  1. The Mission of the Data Conversion Operation is to convert tax return information and other documents to electronic data

  2. The Data Conversion Operation Managers report to the SP Field Directors.

  3. To accomplish this mission, the Data Conversion Operation:

    1. Ensures the accurate and complete processing of documents received

    2. Inputs all fact of filing, entity, payment, and tax return information to the IRS computer system for posting to the Master File

  4. The Data Conversion Department Managers report to the Data Conversion Operation Managers.

    Note:

    No explanation will be provided for these staffs.

1.1.13.11.3.8.4  (03-01-2007)
Document Perfection Operation

  1. The mission of the Document Perfection Operation is to:

    1. Prepare tax returns and other documents for conversion to electronic data

    2. Ensure taxpayer name, address and identification numbers are updated as necessary in the IRS computer system

  2. The Document Perfection Operation Managers report to the SP Field Directors.

  3. To accomplish this mission, the Document Perfection Operation:

    1. Verifies processing ability of submitted returns

    2. Secures all missing return information from the taxpayer

    3. Prepares returns for input by Data Conversion; inputs address and other entity changes

    4. Provides support to Electronic Return Originators (EROs) and transmitters in the IMF sites that support Electronic Filing

  4. The Code and Edit/Entity Department Managers report to the Document Perfection Operation Managers.

  5. The E-Help Department Managers report to the Document Perfection Operation Managers (Andover and Austin).

    Note:

    No explanation will be provided for these Department-level staffs.

1.1.13.11.3.8.5  (03-01-2007)
Input Correction Operation

  1. The mission of the Input Correction Operation is to provide support to SP Operations by perfecting unprocessable documents and transactions.

  2. The Input Correction Operation Managers report to the SP Field Directors.

  3. To accomplish this mission, the Input Correction Operation:

    1. Perfects and resolves conditions that prevent transactions from posting to the master files

    2. Perfects documents to correct non-processable conditions

    3. Contacts taxpayers to resolve issues relating to name, address and identification number

    4. Reviews outgoing notices on a sample basis ensuring product accuracy and identifying error trends

    5. Provides support to Electronic Return Originators (EROs) and transmitters in the BMF sites supporting Electronic Filing

  4. The following Department Managers report to the Input Correction Operation Managers:

    • Error Resolution Department

    • Unpostables/Rejects Department

    • Notice Review Department

    Note:

    No explanation will be provided for these staffs.

1.1.13.11.3.8.6  (09-01-2004)
Planning and Analysis, Submission Processing

  1. The mission of the Planning and Analysis Staff is to provide support to the Field Directors, SP, ensuring that service policies, programs and procedures are applied uniformly and efficiently

  2. The Planning and Analysis Chief reports to the SP Field Director.

  3. To accomplish this mission, Planning and Analysis:

    1. Analyzes processes to identify and resolve systemic and procedural problems

    2. Coordinates specific projects or programs for the Field Director; disseminates and consolidates responses to Director's controls received from Headquarters, the Director, SP, or other areas

    3. Organizes and monitors implementation of new programs; serves as central contact point for Work Plan and budgetary matters

    4. Provides filing season oversight that facilitates the timely accomplishment of all program completion dates (PCD)

  4. The following report to the Planning and Analysis Chief:

    • Planning and Analysis Staff

    • PAS Team

    • Course Development Staff (Kansas City and Austin only)

    Note:

    No explanation will be provided for these staffs.

1.1.13.11.3.8.7  (03-01-2007)
Accounting Operation

  1. The mission of the Accounting Operation is to timely and accurately establish a record of all transactions for returns and documents processed through the Internal Revenue Service and provide special services for unique functions.

  2. The Accounting Operation Managers report to the SP Field Directors.

  3. To accomplish this mission, the Accounting Operation:

    1. Receives and verifies accounting documents

    2. Maintains and reconciles accounting records

    3. Certifies tax assessments and prepares reports

    4. Provides requirements for receiving, processing, controlling and releasing Refund Litigation and/or Potential Refund Litigation case requests from Area or Chief Counsel or their representatives upon request

    5. Maintains and reconciles Single Entry Time Reporting (SETR) and Work Planning and Control (WP&C) accounting records

    6. Provides photocopies and transcripts of returns to taxpayers and their representatives upon request

  4. The following Department Managers report to the Accounting Operation Managers.

    • Accounting Control Department
      and/or

    • Accounting Services Department

    Note:

    No explanation will be provided for these staffs.

1.1.13.11.3.8.8  (03-01-2007)
Statistics of Income (SOI) Operation

  1. The mission of Statistics of Income (SOI) Operation is to collect and process data from tax returns and other official documents so that it becomes useful information to be provided to customers in the form of tabulations, electronic data, scanned images, and publications.

  2. The SOI Operation Managers reports to the SP Field Director.

  3. To accomplish this mission, SOI Operations:

    1. Compiles information from tax returns sampled from all Submission Processing Centers

    2. Conducts Internal Revenue Service studies on the operations of the tax laws with respect to individuals, corporations, partnerships, sole proprietorships, estates, exempt organizations, trusts, and the international area

    3. Provides information used by various Federal and state agencies, corporate America, educational and research organizations, foreign governments and international organizations in decision making activities

    4. Makes data available to the general public in the form of publications and electronic databases

    5. Scans a variety of documents to support Large and Mid-Sized Business (LMSB) and SB/SE Compliance initiatives including, but not limited to, preparation of documents for court cases

1.1.13.11.3.8.9  (03-01-2007)
Individual Taxpayer Identification Number (ITIN) Operation

  1. The mission of the ITIN Operation is to:

    1. Assign Individual Taxpayer Identification Numbers (ITIN’s) to taxpayers who submit Form W-7, Application for IRS Individual Taxpayer Identification Number

    2. Submit associated tax returns into the pipeline for processing After assignment of ITIN’s

    3. Ensure taxpayer name, address and identification numbers are updated as necessary in the IRS computer system

  2. To accomplish this mission, the ITIN Operation:

    1. Reviews each Form W-7 and supporting documentation for completeness and correctness

    2. Secures all missing supporting documentation from the taxpayer

    3. Rejects those applications which lack the required supporting documentation

    4. Returns original supporting documents to the taxpayer

    5. Inputs all required data to the ITIN Real-time System

    6. Prepares associated tax returns for input by Pipeline functions by editing the ITIN(s) on the return

    7. Inputs address and other entity changes as required

  3. The ITIN Operations Manager reports to the SP Field Director

  4. The ITIN Department Managers report to the ITIN Operations Manager.

1.1.13.11.4  (03-01-2007)
Accounts Management (AM)

  1. The mission of AM is to:

    1. Provide top-quality customer service by timely and efficiently responding to taxpayer questions and helping them understand and meet their tax responsibilities

    2. Ensure functional implementation of legislation and regulations in a manner consistent with congressional intent

    3. Provide executive leadership and direction in the design, development, delivery and consistency of application of policies and procedures across multiple AM campuses and remote call sites

    4. Improve business practices and technology, and monitor adherence to work plans, program assignments, and guidance at the AM campuses and remote call sites

  2. The Director, AM, and Deputy Director, AM, report to the Director, Customer Accounts Service (CAS).

  3. To accomplish the mission, the Director, AM, and Deputy Director, AM:

    1. Plans, directs, manages, administers and executes activities specific to management of customer accounts at the campuses (Andover, Atlanta, Austin, Brookhaven, Cincinnati, Fresno, Kansas City, Memphis, Ogden, and Philadelphia) and their respective remote call sites

    2. Provides oversight for all paper, electronic and telephone inquiry programs

    3. Direct design, development, and delivery of policies and procedures for multiple customer AM sites

    4. Designs and develops programs to solve routine and complex customer account and tax-related issues

    5. Sets standards for taxpayer notification and treatment

    6. Enables taxpayers to understand and timely comply with their tax obligations through telephone and written assistance

    7. Develops format and procedures to exchange data with Submission Processing and other business units

    8. Monitors the customer accounts sites' workloads and adjust workloads among sites as needed

    9. Collaborates extensively with the Joint Operations Center (JOC) to ensure resources are planned, scheduled and used efficiently

    10. Provides executive leadership and direction through subordinate executives and managers that are geographically located nationwide

    11. Delegates sufficient authority to subordinates to effectively manage their resources and to provide a supportive environment for creativity and innovation

    12. Coordinates program activities with other top-level IRS executives to prepare Servicewide policies, address cross-functional issues, develop strategies, and ensure consistency of approach

    13. Manages all human, physical, information technology, and financial resources assigned to AM and allocate these resources in accordance with overall strategies to further the accomplishment of specific goals

    14. Minimizes impact on operations by researching, analyzing and evaluating notices and correspondence for downstream impact and providing guidance to BODs concerning timing of issue

  4. Direct reports to the Director, AM, and Deputy Director, AM, include:

    • Joint Operations Center (JOC) Representative

    • Chief, Program Management and Process Assurance (PMPA)

    • Chief, Policies, Procedures and Guidance (PPG)

    • Notice Gatekeeper (NG)

    • AM Project Management Office

    • Correspondence Imaging System (CIS) Project Management Office

    • Chief Accessibility Coordinator

    • Field Directors, AM

1.1.13.11.4.1  (03-01-2007)
Joint Operations Center (JOC) Representative

  1. The mission of the JOC Representative is to:

    1. Enhance the AM customer experience through collaboration with the JOC and the JOC Council to identify and resolve issues pertaining to telephone, correspondence, and electronic media contacts

    2. Serve as liaison between a variety of internal and external stakeholders to ensure automated systems, projects, and initiatives support the needs of the directorates and AM customers

  2. To accomplish the mission, the Joint Operations Center Representative:

    1. Identifies and resolves issues with the JOC pertaining to telephone, correspondence and electronic media interactions as they impact AM customers

    2. Ensures AM interests are met regarding Telephone Routing Interactive System (TRIS) and other interactive applications

    3. Provides support and business requirements relative to call routing to AM resources including the call centers

    4. Interacts with the Modernization Prime Systems Integration Services Contractor (also known as "PRIME" ) Office to represent the interests of AM customers in various projects and initiatives

    5. Makes daily and hourly decisions regarding the schedules and work performed by sites based on analysis of performance in the real time telephone environment

    6. Provides policy guidance related to phones for real time telephone management representing the interests of the sites with JOC management

    7. Provides primary contact with sites in the real time environment imparting business decisions regarding daily program delivery

    8. Represents AM at daily and weekly JOC conference calls on telephone and paper performance

    9. Serves as the business liaison with Modernization and Information Technology Services (MITS) relative to the roll-out or development of new technology that impacts the call center environment

    10. Identifies system or call processing deficiencies which negatively impact the customer experience and/or business results; works with the JOC to evaluate and implement solutions

    11. Identifies business requirements related to new initiatives or programs and works with internal and external stakeholders to ensure successful implementation

    12. In conjunction with PMPA and the Joint Operations Center (JOC), develops work plan assumptions relative to the Toll-Free program

1.1.13.11.4.2  (03-01-2007)
Program Management and Process Assurance (PMPA)

  1. The mission of Program Management and Process Assurance (PMPA) is to:

    1. Provide administrative support for the Director and Deputy Director, AM, and program oversight to the AM campuses to ensure consistency, efficiency and effectiveness of program delivery

    2. Monitor site schedules, evaluate workloads, and recommend changes based upon site-specific issues

    3. Assess and report quality and processing performance for all assigned phone and paper operations

  2. To accomplish the mission, Program Management and Process Assurance:

    1. Ensures balanced measures are implemented in all AM directorates

    2. Reviews and analyzes trend data to recommend areas of focus for the AM and CAS Directors

    3. Prepares responses to audit findings from TIGTA and GAO reports related to all AM directorates and provides guidance on audit follow-up procedures; ensures necessary changes are implemented as a result of these reports and findings

    4. Coordinates administrative duties, including operational space issues, physical moves, and equipment needs, position management issues, National Treasury Employees Union (NTEU) coordination, and numerous other issues and coordination across BODs as well as support functions

    5. Collaborates with the AM field directorates to ensure operations plans are developed and are integrated appropriately

    6. Provides administrative support to the Director, AM, including preparing responses to internal and external stakeholders, providing information, preparing presentations, preparing for meetings, etc.

    7. Provides oversight, on behalf of the AM Director and Deputy Director, on program delivery, efficiency and effectiveness

    8. Monitors work and program performance for the AM Director and Deputy Director to ensure consistency over all W&I AM directorates and to track information and prepare reports

    9. Conducts conformance review and site assistance visits, prepares trip reports, and validates site performance

    10. Coordinates technical training for sites, ensuring training plans and current material are in place to deliver training timely

    11. Identifies best practices; communicates best practices information to the sites and institutes changes across sites

    12. Ensures conformance with standardized practices from JOC direction regarding telephone operations and reporting conformance with Work Planning & Control reports and other Management Information Systems (MIS)

    13. Oversees site schedules, ensuring workload is appropriately distributed and recommends changes based on site issues

    14. Does on site monitoring and reviews of phone and paper operations and prepares reports assessing quality and process performance for all assigned programs, including phones, paper and e-mail

    15. Tracks resource usage (non-financial), hours, and volumes, ensuring accuracy of reporting data and in conjunction with performance assessments to ensure field delivery of programs as determined by CAS

  3. The following areas report to the Chief, PMPA:

    • Telephone Team

    • Paper Inventory Team

    • Administrative/Miscellaneous Team

1.1.13.11.4.2.1  (03-01-2007)
Telephone Team

  1. The mission of Telephone Team is to provide assistance to call center management and the AM Director and Deputy Director, completes conformance reviews and monitor processes and procedures for vital programs that directly affect the efficiency and effectiveness of operations, including Toll-Free, Form 4442 (Inquiry Referral ) Referrals, Referral Mail (R-Mail), Electronic Tax Law Assistance (ETLA), quality and training.

  2. To accomplish the mission, the Telephone Team:

    1. Provides guidance, assistance and direction to call centers to ensure timely, accurate and efficient program delivery

    2. Conducts conformance reviews and site assistance visits, prepares reports, and validates site performance

    3. Reports to the Chief PMPA, AM Director, and AM Deputy Director on progress toward delivering the assigned program goals as well as objectives and measures

    4. Recommends and tracks achievement of Operational Measures and Diagnostic Goals; analyzes data and champions quality initiatives

    5. Identifies and communicates best practices by establishing a best practice process through collaboration with the business unit and in cooperation with other parts of the organization

    6. Provides direction and oversight on behalf of the AM Director and Deputy Director regarding actions for the attainment of quality goals

    7. Monitors program delivery to ensure quality and consistency

    8. Reviews and analyzes trend data to recommend areas of focus

    9. Maintains a liaison with National Quality Review System (NQRS) to identify potential issues for review/analysis

    10. Monitors the implementation of new procedures and products affecting the operations

    11. Coordinates training efforts with call centers and the Learning and Education organization to ensure the appropriate training is delivered timely

    12. Researches and coordinates training policies and procedures, and training requests that impact multiple call centers within the Operating Division

    13. Coordinates training efforts within the BOD when specific specialized expertise is needed to develop or deliver training

    14. Provides guidance for the preparation of training materials

    15. Coordinates training and conducts Continuing Professional Education (CPE) for Telephone Analysts and Systems Administrators

    16. Provides support and coordination for the implementation of new business systems

    17. Conducts Filing Season Readiness reviews at the call centers and reviews site readiness plans; provides feedback on plans to directorates, incorporating the results into the AM annual filing season certification

    18. Works with call sites to ensure final half-hourly telephone staffing requirements are achievable

1.1.13.11.4.2.2  (03-01-2007)
Paper Inventory Team

  1. The mission of the Paper Inventory Team is to support the mission of Accounts Management by planning, monitoring, and improving paper inventory programs, including the Adjustments, Taxpayer Relations, Centralized Authorization File (CAF), and Reporting Agent File (RAF) programs.

  2. To accomplish the mission, the Paper Inventory Team:

    1. Ensures that all sites are prepared for each filing season

    2. Provides oversight on behalf of the AM Director and Deputy Director to AM sites regarding program execution, program effectiveness, and training delivery in AM sites in connection with these programs

    3. Provides input to the work plan (WP) and/or work schedule (WS), as requested, concerning these programs.

    4. Supports and monitors program effectiveness and training delivery in AM sites by on site monitoring and review as needed

    5. Monitors quality of paper inventory programs, identifies trends, and if necessary, advises sites of changes needed to deliver higher quality

    6. Monitors productivity, inventory levels, and aged case controls to ensure programs are efficient and taxpayers receive top quality service

    7. Participates in modernization projects as needed to ensure " fit for use"

    8. Develops Operating Division and site level program objectives

    9. Reports on progress toward delivering assigned program goals

    10. Conducts conformance and site assistance visits, provides reports, and necessary follow-up

    11. Monitors the implementation of new procedures to determine potential impacts on program delivery

1.1.13.11.4.2.3  (03-01-2007)
Administrative/Miscellaneous Team

  1. The mission of the Administrative/Miscellaneous Team is to support the mission of Accounts Management (AM) by supporting the Strategic Planning Process, monitoring AM performance measures, planning and monitoring labor resources, capturing space, furniture, and equipment needs, and capturing the needs of our employees with disabilities.

  2. To accomplish the mission, the Administrative/Miscellaneous Team:

    1. Coordinates administrative duties, including operational space issues, physical moves, and equipment needs, position management issues, NTEU coordination, and numerous other issues, including coordination across Operating Division and Human Capital Office functions

    2. Prepares responses to audit findings from TIGTA and GAO reports related to the AM campuses and provides guidance on audit follow-up procedures; ensures necessary changes are implemented as a result of these reports and findings

    3. Provides input to and answers questions on Strategic Program Plans, Congressional Budget Justifications, and the Business Performance Review System (BPRS)

    4. Provides oversight on behalf of AM Director and Deputy Director to AM sites regarding consistency of reporting to the WP&C System

    5. Develops and reviews WP and WS for all AM programs and activities

    6. Coordinates cross-functional issues with Project Offices and other BODs, to ensure inclusion in the WP and WS

    7. Provides oversight to campuses on program delivery, efficiency and effectiveness

    8. Monitors and reports to management on hiring issues

    9. Provides oversight and coordination for the Employee Satisfaction Survey, and disseminates results and analysis of that survey

    10. Coordinates with the Chief Accessibility Coordinator regarding information requests, special accommodation requests, and communication regarding accessibility issues

    11. Maintains information on AM needs for space, furniture and equipment, and acts as liaison when needed, to ensure these needs are understood by the appropriate parties

    12. Maintains all-employee information on the AM Web Site

    13. Serves as principal AM point of contact for modernization and program transition issues

1.1.13.11.4.3  (03-01-2007)
Policies, Procedures and Guidance (PPG)

  1. The mission of Policies, Procedures and Guidance (PPG) is to develop policy and procedural guidelines for all W&I AM programs.

  2. To accomplish the mission, Policies, Procedures and Guidance:

    1. Determines policy and develops procedures and guidelines for all W&I AM programs, considering field input when appropriate

    2. Prepares RIS for changes to systems related to program responsibilities and works closely with MITS to initiate changes

    3. Records, tracks, researches and responds to systems change requests

    4. Monitors, controls and responds to employee suggestions and other controlled correspondence

    5. Writes (IRM procedures related to specific program areas

    6. Writes other necessary procedures such as telephone Probe and Response Guides for telephone programs

    7. Interprets legislation and other documents and makes changes to IRM procedures and provides changes to field offices

    8. Provides WP assumptions and cost changes based on regular annual adjustments and legislative changes

    9. Coordinates training efforts with field offices and the Learning and Education organization to ensure training is delivered timely using current materials

    10. Coordinates with other functional program areas with issues having impact on their respective programs

    11. Analyzes technical, operational and administrative problems relating to W&I CAS AM programs

    12. Monitors, tracks and completes AM-related action items resulting from executive level meetings/briefings

    13. Receives, reviews, and updates GAO/TIGTA report findings and recommendations relative to procedural and work process issues

  3. The following managers report to the Chief, Policies, Procedures and Guidance:

    • Chief, Accounts

    • Chief, Individual Adjustments

    • Chief, Business Adjustments

    • Chief, Training and Miscellaneous


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