1.1.16  Small Business/Self Employed Division (Cont. 1)

1.1.16.4 
Campus Compliance Services

1.1.16.4.4 
Campus Filing & Payment Compliance (F&PC)

1.1.16.4.4.2  (03-24-2014)
ACS/ACS Support and Telephone Operations

  1. The mission of ACS/ACS Support and Telephone Operations is to provide Servicewide policy guidance and analysis of program trends on collection processes as they relate to Campus F&PC issues and operations.

  2. The Program Manager, ACS/ACS Support and Telephone Operations reports to the Director, Campus F&PC.

  3. To accomplish the mission, the Program Manager, ACS/ACS Support and Telephone Operations:

    1. Provides oversight to ensure that campus ACS collection programs are coordinated and consistent.

    2. Develops and supports development of Campus ACS Collection work plans.

    3. Recommends policy and redesign processes affecting the collection process.

    4. Provide oversight to core collection policies that apply to majority of general program staff and taxpayers

    5. Provides oversight and establishes guidelines for high profile programs (e.g. Collection Due Process).

    6. Develops and coordinates implementation of policy and procedural changes affecting customer rights and delivery of Restructuring and Reform Act of 1998 requirements.

    7. Conducts data analysis on program trends and determines causality and makes recommendations to improve procedures, policy and/or systems.

    8. Documents development and coordinates implementation on Campus F&PC policy and procedural decisions as they pertain to issues such as collection of unpaid assessments and Collection Re-engineering. Coordinates and communicates new or revised policies and their impact on campus operations.

  4. The mission of the Campus Telephone Operations is to provide service, support and technology for SB/SE Compliance to achieve their desired service levels for all telephone, and electronic media inquiries; and monitor accomplishments, within agreed resource and staffing parameters.

    1. Ensures national uniformity and consistency for compliance services provided at Campus ACS, Exam, Automated Underreporter (AUR), Centralized Case Processing (CCP), and Specialty sites for telephone systems.

    2. Identifies emerging issues at Campus ACS, Exam, AUR, CCP, and Specialty telephone sites and develops a uniform approach providing input to campus operations and Policy for action on telephone systems and scheduling.

    3. Distributes and routes incoming overflow calls based on resource availability.

    4. Balances service delivery for taxpayer initiated telephone inquiries and working ACS inventory.

    5. Coordinates with the Joint Operations Center (JOC) on overflow traffic routing and scheduling resources based on volume.

    6. Identifies corporate opportunities for improved JOC related services.

    7. Plans and coordinates the development of contingency routing strategies for Campus/ACS, Exam, AUR, CCP and Specialty telephone operations, and implements those plans in the event of a local or national emergency or systemic issue.

1.1.16.4.4.3  (03-24-2014)
Centralized Operations

  1. The mission of Centralized Operations is to provide Servicewide guidance on collection processes that are common to large groups of taxpayers with similar characteristics, develop and implement program policies, strategies, and objectives, and provide analysis of program trends on collection processes as they relate to Payment Compliance issues and operations.

  2. The Program Manager, Centralized Operations reports to the Director, Campus F&PC and oversees the following programs:

    • CCP – Centralized Case Processing

    • CLP – Centralized Lien Processing

    • COIC – Centralized Offers in Compromise

    • Restitution Based Assessments

    • DATL – Doubt as to Liability

    • MOIC – Monitoring Offers in Compromise

    • TFRP– Trust Fund Recovery Program

  3. To accomplish the missions of each program, the Program Manager, Centralized Operations:

    1. Ensures that campus centralized programs are coordinated and consistent.

    2. Develops and supports the development of assigned program work plans.

    3. Formulates and revises policy and redesign processes affecting the centralized collection processes.

    4. Documents and coordinates procedural guidelines and policies.

    5. Provides oversight on high profile programs and establishes appropriate guidelines (e.g., COIC, TFRP, and Restitution Base Assessments).

    6. Develops and coordinates implementation of policy and procedural changes affecting customer rights

    7. Conducts data analysis on program trends and determines causality and makes recommendations to improve procedures, policy and/or systems.

    8. Develops and coordinates implementation of Payment Compliance policy and procedural decisions as they pertain to centralized programs.

    9. Documents and coordinates procedural guidelines and policies.

    10. Develops and delivers mission-oriented services and strategies.

    11. Identifies and resolves emerging issues, and actively improves processes with a keen focus on customer service.

    12. Develops and coordinates strategies to apply appropriate treatment for non-compliance with the tone, treatment and timing of interaction appropriate to the non-compliance risk posed by the taxpayer.

    13. Communicates new or revised policies and their impact on centralized campus operations.

    14. Identifies emerging business practices, tax issues, customer behavior, and potential areas of non-compliance.

    15. Provides input to the SB/SE Operating Division Strategic Plan.

    16. Coordinates with other Operating Divisions to provide support and guidance.

1.1.16.4.5  (03-24-2014)
Campus Reporting Compliance (CRC)

  1. The mission of CRC is to provide Servicewide policy guidance on reporting compliance processes that are common to large groups of taxpayers with similar characteristics. Develop and implement program policies, strategies and objectives.

  2. The Director, CRC reports to the Director, CCS.

  3. To accomplish the mission, the Director, CRC Policy:

    1. Oversees program coordination for campus examination programs and procedures.

    2. Documents and coordinates procedural guidelines and policies.

    3. Develops and delivers mission-oriented services and strategies, identifies and resolves emerging issues, and actively improves processes with a keen focus on customer service.

    4. Develops and coordinates strategies to apply appropriate treatment for non-compliance with the tone, treatment, and timing of interaction appropriate to the non-compliance risk posed by the taxpayer.

    5. Communicates new or revised policies and their impact on campus operations.

    6. Identifies emerging business practices, tax issues, customer behavior, and potential areas of non-compliance.

    7. Provides input to the SB/SE Operating Division Strategic Plan.

    8. Coordinates with other Operating Divisions to provide support and guidance

    9. Provides oversight on high profile programs and establishes appropriate guidelines.

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

    • Program Manager, IMF Document Matching

    • Program Manager, BMF Document Matching

    • Program Manager, Exam Policy/Field Support.

    • Program Manager, Planning & Performance Monitoring

    • Program Manager, Workload Selection & Delivery

    • Program Manager, Information Return Document Matching

1.1.16.4.5.1  (03-24-2014)
IMF Document Matching

  1. The mission of IMF Document Matching is to provide Servicewide policy guidance on compliance processes that relate to campus IMF document matching operations.

  2. The Program Manager, IMF Document Matching reports to the Director, CRC.

  3. To accomplish the mission, the Program Manager, IMF Document Matching:

    1. Sets policy, establishes procedures and guidelines, and provides training and oversight for remote compliance programs including IMF AUR, Combined Annual Wage Reporting (CAWR), Federal Unemployment Tax Act (FUTA).

    2. Develops remote oversight processes and procedures featuring key business performance indicators.

    3. Ensures that policies are applied consistently across remote sites (compliance campuses).

    4. Revises policies as required and redesigns processes as necessary resulting from legislative changes.

    5. Monitors Customer Satisfaction for improvement opportunities.

    6. Develops resource allocations and monitors campus IMF Document Matching work plans.

    7. Reviews campus Organizational Structure to ensure consistency.

    8. Monitors monthly financial developments within Campus Operations.

    9. Identifies campus IMF Document Matching workload, providing oversight and program coordination.

    10. Monitors new starts, work in progress, and closures to ensure Business Operating Division performance goals are met.

    11. Provides input to the SB/SE Division Strategic Plan.

1.1.16.4.5.2  (03-24-2014)
BMF Document Matching

  1. The mission of BMF Document Matching is to provide Servicewide policy guidance on compliance processes that relate to campus BMF document matching operations.

  2. The Program Manager, BMF Document Matching reports to the Director, CRC

  3. To accomplish the mission, the Program Manager, BMF Document Matching:

    1. Sets policy, establishes procedures and guidelines, and provides training and oversight for remote compliance programs including BMF AUR.

    2. Develops remote oversight processes and procedures featuring key business performance indicators.

    3. Ensures that policies are applied consistently.

    4. Revises policies as required and redesigns processes as necessary resulting from legislative changes.

    5. Monitors Customer Satisfaction for improvement opportunities.

    6. Develops resource allocations and monitors campus BMF Document Matching work plans.

    7. Reviews campus Organizational Structure to ensure consistency.

    8. Monitors monthly financial developments within Campus Operation.

    9. Identifies campus BMF Document Matching workload, providing oversight and program coordination.

    10. Monitors new starts, work in progress, and closures to ensure Business Operating Division performance goals are met.

    11. Provides input to the SB/SE Division Strategic Plan.

1.1.16.4.5.3  (03-24-2014)
Exam Policy/Field Support

  1. The mission of Exam Policy/Field Support (EP/FS) is to provide Servicewide policy guidance on compliance processes that relate to campus examination operations and support Field Exam and Specialty programs in SB/SE & Large Business & International (LB&I).

  2. The Program Manager, EP/FS reports to the Director, CRC.

  3. To accomplish the mission, the Program Manager, EP/FS:

    1. Sets policy, establishes procedures and guidelines, and provides training and oversight for remote compliance programs including Correspondence Examination, Tax Equity and Fiscal Responsibility Act (TEFRA), Frivolous Return Program (FRP), Exam Centralized Case Processing (CCP) and Campus Specialty Programs.

    2. Develops remote oversight processes and procedures featuring key business performance indicators.

    3. Ensures that policies are applied consistently across remote sites (compliance campuses).

    4. Revises policies as required and redesigns processes as necessary resulting from customer feedback, identified best practices, and legislative changes.

    5. Acts as a liaison between Campus Examination and Field offices regarding field support processes.

    6. Monitors quality measures for paper and phone processes for improvement opportunities.

    7. Provides significant input to the SB/SE Division Strategic Plan.

1.1.16.4.5.4  (03-24-2014)
Planning and Performance Monitoring

  1. The mission of Planning and Performance Monitoring is to create & monitor adherence to the Campus Examination work plan and to assist in certain program responsibilities.

  2. The Program Manager, Planning and Performance Monitoring reports to the Director, CRC.

  3. To accomplish the mission, the Program Manager, Planning and Performance Monitoring:

    1. Sets policy, establishes procedures and guidelines, and provides training and oversight for the Earned Income Tax Credit (EITC) program in conjunction with the EITC Program Office.

    2. Develops remote oversight processes and procedures featuring key business performance indicators

    3. Ensures that policies are applied consistently across remote sites (compliance campuses).

    4. Revises policies as required and redesigns processes as necessary resulting from legislative changes.

    5. Monitors Customer Satisfaction for improvement opportunities.

    6. Develops and monitors resource allocations and campus Examination work plans.

    7. Reviews campus Organizational Structure to ensure consistency.

    8. Monitors monthly financial developments within Campus Operations.

    9. Monitors new starts, work in progress, and closures to ensure Business Operating Division performance goals are met.

    10. Provides significant input to the SB/SE Division Strategic Plan.

1.1.16.4.5.5  (03-24-2014)
Workload Selection and Delivery

  1. The mission of Workload Selection and Delivery is to select and deliver inventory for Campus Examination in a centralized environment, and set direct assignment criteria for routing of examination work.

  2. The Program Manager, Workload Selection and Delivery reports to the Director, CRC.

  3. To accomplish the mission, the Program Manager, Workload Selection and Delivery:

    1. Provides centralized oversight and program coordination of workload selection and classification for campus compliance functions.

    2. Develops standardized policy and program direction for ordering, classifying, and delivering returns.

    3. Sets direct assignment criteria for routing of examination work to the campuses.

    4. Provides coordination between Field Exam and the campuses in support of case building and any workload flowing between the two functions.

    5. Oversees the development of decision support tools to shift the emphasis to risk-based compliance by profiling major customer segments and developing multi-functional strategic treatments to improve compliance behavior patterns.

    6. Provides coordination in support of Fed/State workload flowing between the states and the campuses.

    7. Provides significant input to the SB/SE Division Strategic Plan.

1.1.16.4.5.6  (03-24-2014)
Information Return Document Matching (IRDM)

  1. The mission of IRDM is to provide Servicewide policy guidance on compliance processes that relate to campus operations working Correspondence Examination IRDM cases.

  2. The Program Manager, IRDM reports to the Director, CRC.

  3. To accomplish the mission, the Program Manager, IRDM:

    1. Sets policy, establishes procedures and guidelines, and provides training and oversight for remote compliance programs including IRDM.

    2. Develops remote oversight processes and procedures featuring key business performance indicators.

    3. Ensures that policies are applied consistently.

    4. Revises policies as required and redesigns processes as necessary resulting from legislative changes.

    5. Monitors Customer Satisfaction for improvement opportunities.

    6. Develops resource allocations and monitors campus IRDM work plans.

    7. Reviews campus Organizational Structure to ensure consistency.

    8. Identifies campus IRDM workload, providing oversight and program coordination.

    9. Monitors new starts, work in progress, and closures to ensure Business Operating Division performance goals are met.

    10. Provides input to the SB/SE Division Strategic Plan.

1.1.16.4.6  (03-24-2014)
Campus Compliance Operations

  1. The mission of the Campus Compliance Operations (5) is to help America's taxpayers understand and meet their tax responsibilities by applying the tax law with integrity and fairness in examinations and collections.

  2. Each Campus Compliance Operations Director is responsible for managing the day-to-day operations of all activities for Campus Compliance Operation. Campus Compliance Operations conducts remote examinations of taxpayer returns, collects taxpayer accounts in balance due status, and secures delinquent returns.

  3. The Directors in Brookhaven, Cincinnati, Memphis, Ogden, and Philadelphia are responsible for the processing of SB/SE workload and report to the Director, CCS within the SB/SE Division.

  4. To accomplish the mission, the Campus Compliance Operations Director:

    1. Oversees day-to-day operations for remote examination and collection activities, ACS, Document Matching, and Area office support as well as formulating short and long-range program policies, strategies, and objectives.

    2. Coordinates program activities with the Director, CCS to prepare Servicewide policies, establish criteria for selection and receipt of cases, address cross-functional issues, develop strategies, and ensure consistency of approach.

    3. Directs statistical analysis and evaluation of the elements comprising Compliance's balanced measures.

    4. Ensures that key 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 the customers; coaches subordinate managers; and assists in the resolution of complex issues.

    5. Directs the development of activities to build leveraged partnerships and collaborates with stakeholders to increase taxpayer knowledge and clarify tax code issues.

1.1.16.4.6.1  (03-24-2014)
Campus Compliance Operation(s) 1 and Higher

  1. The mission of Campus Compliance Operation(s) 1 and Higher is to help America's taxpayers meet their tax obligations by applying the tax law with integrity and fairness in examinations and collections.

  2. The Chief(s), Campus Compliance Operation(s) 1 and Higher report to the Campus Compliance Operations Director and are responsible for a number of programs. Some of the major programs include:

    1. Correspondence Examination

    2. Earned Income Tax Credit (EITC) Program

    3. Automated Collection System (ACS)

    4. Delinquent Return (TDI) Program

    5. Balance Due (TDA) Program

    6. Installment Agreement Programs

    7. Substitute for Return (SFR)/Automated Substitute for Return (ASFR) Programs

    8. Combined Annual Wage Reporting (CAWR)/Federal Unemployment Tax Act (FUTA) (SB/SE only)

    9. IMF and BMF Automated Underreporter (AUR) Programs

    10. Revenue Protection Strategy Program

    11. Tax Equity & Fiscal Responsibility Act (TEFRA) Program

    12. Centralized Case Processing (CCP)

    13. Centralized Insolvency Operation (CIO)

    14. Specialty Tax Operations

  3. To accomplish its mission, Campus Compliance Operation(s) 1 and Higher:

    1. Manages remote Examination and Collection activities including telephone and correspondence transactions.

    2. Conducts examinations of taxpayer returns to determine proper tax liability.

    3. Reviews accounts for appropriate credit claims as part of the revenue protection strategy.

    4. Responds to taxpayer calls concerning taxpayer delinquent accounts and investigations.

    5. Works with taxpayers to establish a payment plan to ensure tax liabilities are met.

    6. Completes returns and calculates taxes owed for taxpayers who do not submit returns.

    7. Verifies discrepancies between Social Security Administration information and taxpayer returns.

    8. Verifies discrepancies between income reported by taxpayer returns and income reported in information reporting documents.

    9. Supports TEFRA Partnership Examinations.

    10. Provides oversight for all case processing activities including Examination Support and Processing and Collection Support Function.

    11. Coordinates with local Bankruptcy courts, trustees, District Counsel, SB/SE and other operating divisions on insolvency cases as needed.

    12. Processes fuel tax claims.

    13. Ensures accuracy of excise tax trust funds.

1.1.16.5  (03-24-2014)
Enterprise Collection Strategy

  1. The mission of Enterprise Collection Strategy (ECS) is to ensure one voice for the servicewide Collection organization. ECS collaborates with and supports the servicewide Collection organization by analyzing, monitoring and delivering Collection inventory. ECS ensures the effective, fair and equitable application of the tax laws across all Collection operations housed in different operating units by establishing, communicating and monitoring the policies, strategies, work plans and goals for the servicewide Collection organization.

  2. The Director, ECS reports to the Commissioner, SB/SE Division.

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

    1. Ensures that the ECS mission, principles and vision remain current and support the IRS mission.

    2. Partners and collaborates with Field Collection, SB/SE Filing and Payment Compliance and W&I Filing and Payment Compliance on all Collection activities.

    3. Formulates policies and procedures for the servicewide Collection organization.

    4. Directs and oversees special projects and project initiatives.

    5. Develops short, intermediate and long range servicewide Collection program strategies, policies and objectives.

    6. Coordinates work plans, budget development and requests across the servicewide Collection organization.

    7. Manages issues affecting collection and compliance across all operating units, works with the other Collection operating units to develop and implement consistent and fair treatment of all taxpayers.

    8. Provides continuous coordination and supports the servicewide Collection organizations by ensuring that the appropriate integrated mechanisms and technology are in place to jointly implement and deliver programs.

    9. Participates and conducts ECS functional operational reviews.

    10. Develops alternative compliance treatments appropriate for the non-compliance risk posed by a taxpayer.

    11. Consolidates data on enterprise performance data, providing analysis and reports on indicators.

    12. Conducts analysis of data and identifies trends for servicewide Collection operations to determine risk-based strategies.

    13. Is responsible for Enterprise Collection Strategy’s Business Resumption Plan in the event of an emergency.

    14. Coordinates Collection responses to internal and external audits and Most Serious Problems.

    15. Prioritizes and coordinates the development of Collection outreach with Communications & Liaison.

  4. The following executives report to the Director, ECS:

    • Director, Collection Analytics, Automation, Inventory Selection and Delivery

    • Director, Collection Policy

    • Director, Collection Strategy and Organizational Performance

    • Director, Enterprise Collection Planning and Governance

1.1.16.5.1  (03-24-2014)
Collection Analytics, Automation, Inventory Selection and Delivery

  1. The mission of the office of Collection Analytics, Automation, Inventory Selection and Delivery (CAISD) is to use technology and strategies to select and route collection cases for efficient and effective resolution, oversee programs, policy, and systems for various aspects of Collection, provide end user tools to help manage and process cases, all in an effort to improve productivity, increase revenue, and improve taxpayer voluntary compliance.

  2. The Director, CAISD reports to the Director, Enterprise Collection Strategy.

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

    1. Maintains an ongoing quantitative review program of field and campus operations at the national, field area and field territory level to evaluate programs and provide assistance.

    2. Develops input data for the Commissioner’s Quarterly Business Performance Review and quarterly presentations to the IRS Oversight Board.

    3. Provides input to the Commissioner, SB/SE Division and the CFO for resource planning and budget formulation and execution.

    4. Plans, designs, implements and maintains management information systems or inventory selection systems from:

      • Master File

      • Integrated Data Retrieval System (IDRS)

      • Automated Lien System (ALS)

      • Inventory Delivery System (IDS)

    5. Coordinates with the office of Business Systems Planning and Information Technology (IT) to develop and maintain automated systems support

    6. Provides standard policy and program direction for selection of cases and delivery of inventory for Collection.

    7. Sets direct assignment criteria for priority and routing of work.

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

    • Program Manager, Automated Programs

    • Program Manager, Collection Analytics, Routing and Selection

    • Program Manager, Collection Case Delivery

    • Program Manager, Nonfiler Inventory and Analysis

    • Program Manager, Strategic Analysis and Modeling

1.1.16.5.1.1  (03-24-2014)
Automated Programs

  1. The mission of Automated Programs (AP) is to identify and use streamlined automated processing opportunities to efficiently collect delinquent taxes at all levels of the collection enterprise.

  2. The Program Manager, AP reports to the Director, CAISD.

  3. To accomplish the mission, the Program Manager, AP:

    1. Administers end-to-end oversight to include program development, establishment of policy, training, communications and problem resolution for automated levy programs:

      • Federal Payment Levy Program (FPLP)

      • State Income Tax Levy Program (SITLP)

      • Alaska Permanent Fund Dividend Program (AKPFD)

      • Federal Employee/Retiree Delinquency Initiative (FERDI)

      • Electronic Automated Collection System Guides (e-ACSG and e-ACSSG)

1.1.16.5.1.2  (03-24-2014)
Collection Analytics, Routing and Selection

  1. The mission of Collection Analytics, Routing and Selection (CARS) is to analyze and manage IRS’ Collection business rules to implement policy and executive direction for the collection inventory. CARS develops and leverages business intelligence, decision analytics, predictive modeling and business rules management software to maintain the Inventory Delivery System and the Tax Delinquent Account (TDA) and Tax Delinquent Investigation (TDI) programs. CARS ensures that collection inventory is placed in the most effective treatment stream at the appropriate time.

  2. The Program Manager, CARS reports to the Director, CAISD.

  3. To accomplish the mission, the Program Manager, CARS:

    1. Supplies cases based on consistent risk scoring/priority selection criteria.

    2. Develops standardized program direction and implement assignment criteria for routing of collection work, and monitor workload as it pertains to the assignment of collection cases.

    3. Implements policies related to case identification and selection.

    4. Coordinates with other offices to evaluate impact of workload vs. collection results and the impact of procedural changes on workload issues.

    5. Develops and enhances existing automated inventory delivery systems.

    6. Coordinates on-going maintenance and end-user needs with IT and other developers for TDA/TDI Analysis and IDS.

    7. Documents and coordinates procedural guidelines and policies for TDA/TDI Analysis and IDS.

1.1.16.5.1.3  (03-24-2014)
Collection Case Delivery

  1. The mission of Collection Case Delivery (CCD) is to provide standard program direction for delivery of inventory for collection and set direct assignment criteria to route and deliver collection work. Develops, deploys and monitors the systemic delivery and prioritization of collection cases or inventory and ensures timely and accurate lien information. Provides customer service and support for the ALS and ENTITY systems and coordinates with other programs to provide policy guidance that ensures overall business objectives are met.

  2. The Program Manager, CCD reports to the Director, CAISD.

  3. To accomplish the mission, the Program Manager, CCD:

    1. Supplies cases based on consistent risk scoring/priority selection criteria.

    2. Implements assignment criteria for routing of collection work, and monitors workload as it pertains to the assignment of collection cases.

    3. Coordinates with other offices to evaluate impact of workload vs. collection results and the impact of procedural changes on workload issues.

    4. Maintains and supports the ALS and ENTITY systems.

    5. Coordinates and supports on-going maintenance and end-user needs with the Communication, Outreach, Systems and Solutions (COSS), IT and other developers for ALS and ENTITY.

    6. Documents and coordinates procedural guidelines and policies for ALS and ENTITY.

    7. Assists in the development and delivery of training for systems located within ALS and ENTITY.

    8. Supports various collection initiatives through the development and delivery of inventory related queries and reports to provide customers with analytical data to inform recommendations and enable educated decisions.

  4. The following manager reports to the Program Manager, CCD:

    • Manager, Automated Lien and ENTITY Customer Support (ALECS)

1.1.16.5.1.3.1  (03-24-2014)
Automated Lien and ENTITY Customer Support

  1. The mission of Automated Lien and ENTITY Customer Support (ALECS) is to provide complete customer support for the ALS and ENTITY systems to ensure that our customers have the tools necessary to improve productivity and meet all legal requirements for Notice of Federal Tax Lien filings while promoting efficient delivery and management of collection inventory.

  2. The Manager, ALECS reports to the Program Manager, CCD.

  3. To accomplish the mission, the Manager, ALECS:

    1. Ensures that all system user guides and related documentation are maintained, current and accurate.

    2. Ensures timely and effective development and delivery of ALS and ENTITY related training material and customer outreach.

    3. Ensures prompt and accurate resolution of help tickets via the *Enthelp desk and the ALS in-box.

    4. Maintains and enhances the ALS and ENTITY web sites to ensure users have access to the latest ALS and ENTITY related documentation.

    5. Provides timely assistance to Field Collection administrative professional staff to ensure timely end of month processing.

1.1.16.5.1.4  (03-24-2014)
Nonfiler Inventory and Analysis

  1. The mission of Nonfiler Inventory and Analysis (NIA) is to provide Servicewide policy guidance on SB/SE and W&I delinquent taxpayers, Nonfiler TDI return delinquency case selection, and inventory analysis on processes related to Campus Return Delinquency programs and inventories for taxpayers who are delinquent in filing tax returns. Develop and implement program policies, strategies and objectives on return delinquency programs. Provide analysis through various reports to the Director, CAISD.

  2. The Program Manager, NIA reports to the Director, CAISD.

  3. To accomplish the mission, the Program Manager, NIA:

    1. Oversees program coordination for automated nonfiler system and Campus procedures related to Compliance nonfiler programs.

    2. Provides continuous oversight and coordination of policy and inventory analysis for the servicewide Collection return delinquency programs and processes, to include ASFR and A6020(b).

    3. Identifies trends and develops strategies designed to address the needs of SB/SE and W&I delinquent taxpayers through a comprehensive approach to include education, outreach and enforcement.

    4. Develops policy and manages selection of delinquent returns for Compliance functions.

    5. Develops processes and analysis to identify delinquent filers.

    6. Reviews and analyzes program progress against enterprise plans and identifies areas for improvement.

    7. Provides input to the SB/SE Enterprise Collection Strategy Strategic Plan.

1.1.16.5.1.5  (03-24-2014)
Strategic Analysis and Modeling

  1. The mission of Strategic Analysis and Modeling (SAM) is to provide Servicewide statistical analysis of collection data, evaluate the performance of the collection predictive models and develop new models, create and implement a data strategy in collaboration with Compliance Data Warehouse to enhance collection data available for research

  2. The Program Manager, SAM reports to the Director, CAISD.

  3. To accomplish the mission, the Program Manager, SAM:

    1. Provides ongoing performance evaluation and refinement of predictive models in the IDS.

    2. Designs, implements and evaluates new collection models and tools to support enhanced taxpayer compliance.

    3. Assists the CAISD Nonfiler program to develop and enhance workload selection tools.

    4. Provides analysis to ECS Directors to enable them to make data-driven decisions.

    5. Evaluates Servicewide Collection programs and develops, tests and enhances case routing and assignment strategies.

    6. Assists in the development and implementation of a collection workload optimization program.

    7. Supports existing Servicewide Collection data warehouses to enable analysis and data driven decisions.

    8. Actively looks for new methodologies and technologies in risk management and decision analytics to improve organization performance.

1.1.16.5.2  (03-24-2014)
Collection Policy

  1. The mission of Collection Policy is to provide policy guidance on collection processes that are common to large groups of taxpayers with similar characteristics and develop, design and deliver Collection program policies, strategies and objectives.

  2. The Director, Collection Policy reports to the Director, Enterprise Collection Strategy (ECS) and is responsible for leadership in the design, development and delivery of policies, which impact Field Collection and Campus programs

  3. To accomplish the mission, the Director, Collection Policy:

    1. Oversees program coordination for Field Collection programs.

    2. Documents and coordinates procedural guidelines and policies.

    3. Develops and delivers mission-oriented services and strategies.

    4. Identifies and resolves emerging issues, and actively improves processes with a keen focus on customer service.

    5. Develops and coordinates strategies to apply appropriate treatment for non-compliance.

    6. Communicates new or revised policies and their impact on field and campus operations

    7. Identifies emerging business practices, tax issues, customer behavior and potential areas of noncompliance.

    8. Provides input to the SB/SE Division Strategic Plan.

    9. Coordinates with other Operating Divisions as well as other SB/SE functional units to provide support and guidance.

    10. Identifies trends and develop strategies designed to address the needs of SB/SE taxpayers through a comprehensive approach to include education, outreach and enforcement.

    11. Plans, develops and implements programs, guidelines, procedures and IRM instructions, as well as provides technical guidance and assistance for Field Collection and Campus programs, to include:

      • Taxpayer Delinquency Accounts (TDA)

      • Taxpayer Delinquency Investigations (TDI)

      • Other Investigations

      • Collection Information Statements

      • Currently Not Collectible (CNC) accounts

      • Trust fund compliance

      • In Business Trust Fund (IBTF) repeaters

      • Trust fund recovery penalty

      • Federal tax liens

      • Notice of levy

      • Seizure and sale

      • Summons

      • Installment agreements

      • Statutes

      • Offers in compromise

  4. The following managers report to the Director, Collection Policy:

    • HQ Program Manager, Campus Collection/Technical

    • HQ Program Manager, Case Resolution Alternatives/Offer in Compromise

    • HQ Program Manager, Employment Tax

    • HQ Program Manager, Field Operations, Reviews and Enforcement

    • HQ Program Manager, Global Strategic Compliance

    • HQ Program Manager, Insolvency

1.1.16.5.2.1  (03-24-2014)
Campus Collection/Technical

  1. The mission of Campus Collection/Technical is to provide servicewide collection policy guidance to Campus Compliance Services and develop and deliver highly technical policy processes and procedures to Field Collection. Additionally, the group coordinates with Chief Counsel to review interpretative guidance which includes revenue procedures and Chief Counsel notices, initiates requests for advisory opinions, and develops and implements policies and strategies for highly technical compliance programs.

  2. The Program Manager, Campus Collection/Technical reports to the Director, Collection Policy

  3. To accomplish the mission, the Program Manager, Campus Collection/Technical:

    1. Determines the process for establishing and implementing Notice of Federal Tax Lien filings according to the law.

    2. Reviews legislation to determine the impact on Collection programs,

    3. Develops and recommends new legislative changes.

    4. Provides policy guidance and advice on complex, technical issues.

    5. Coordinates review and feedback on a variety of Counsel interpretive guidance.

    6. Coordinates with Campus Compliance Services to implement established policies.

    7. Oversees the Collection Estate and Gift Programs.

1.1.16.5.2.2  (03-24-2014)
Case Resolution Alternatives/Offer in Compromise

  1. The mission of Case Resolution Alternatives/Offer in Compromise is to provide servicewide policy guidance on alternative collection case resolution processes and Offers in Compromise (OIC).

  2. The Program Manager, Case Resolution Alternatives/Offer in Compromise reports to the Director, Collection Policy.

  3. To accomplish the mission, the Program Manager, Case Resolution Alternatives/Offer in Compromise:

    1. Coordinates policy implementation for alternative case resolution procedures.

    2. Develops policy for the following programs:

      • Financial Analysis

      • Installment Agreements

      • Currently Not Collectible accounts

      • Allowable expense standards

      • Adjustments

    3. Designs and provides content for training related to these programs.

    4. Oversees and assesses case resolution policy related to taxpayer compliance and behavior.

    5. Oversees development of OIC policies that apply to Field Collection, and provides policy, procedural guidance and coordination for all centralized and field OIC issues.

1.1.16.5.2.3  (03-24-2014)
Employment Tax

  1. The mission of Employment Tax is to provide servicewide policy guidance on the collection of employment taxes.

  2. The Program Manager, Employment Tax reports to the Director, Collection Policy.

  3. To accomplish the mission, the Program Manager, Employment Tax: a) Oversees development of policies related to the collection of employment tax by Field Collection and provides policy, procedural guidance and coordination, which includes the design and content of training for the following programs:

    • Collection Due Process

    • Collection Appeals

    • Trust Fund Recovery Penalty

    • Federal Tax Deposit/Federal Tax Deposit Alert

    • Third Party Payer Arrangements (which include payroll service providers and professional employer organizations

    • Limited Liability Corporations

    • Repeater/Pyraminder Indicators

    • Disqualified Employment Tax Levy Procedures

1.1.16.5.2.4  (03-24-2014)
Field Operations, Reviews and Enforcement

  1. The mission of Field Operations, Reviews and Enforcement (FORE) is to provide servicewide policy guidance on collection and enforcement processes

  2. The Program Manager, FORE reports to the Director, Collection Policy.

  3. To accomplish the mission, the Program Manager, FORE:

    1. Oversees the development and delivery of policy and procedural guidance for a variety of Field Collection and servicewide programs, to include:

      • Taxpayer Contact (Field Collection)

      • Third Party Contact (Servicewide)

      • Locating Taxpayers and Their Assets (Field Collection)

      • Courtesy Investigations (Field Collection)

      • Remittance Processing (Field Collection)

      • Integrated Collection System (ICS) (Servicewide)

      • Notice of Levy (Servicewide)

      • Seizure & Sale (Servicewide)

      • Summons (Servicewide)

    2. Develops and coordinates policy and procedural guidance by conducting relevant program reviews

    3. Develops training for various collection procedures and processes.

    4. Ensures that the field perspective is considered when policy guidance is developed through interaction with appropriate field collection contacts.

    5. Collaborates to ensure field collection policy, programs and workload priorities are consistently coordinated across organizational boundaries.

    6. Participates in external stakeholder activities to include GAO and TIGTA audits and MSPs.

    7. Evaluates recommendations and develops policies and strategies to address stakeholder concerns.

1.1.16.5.2.5  (03-24-2014)
Global Strategic Compliance

  1. The mission of Global Strategic Compliance is to provide servicewide policy guidance on certain specialty collection case types.

  2. The Program Manager, Global Strategic Compliance reports to the Director, Collection Policy.

  3. To accomplish the mission, the Program Manager, Global Strategic Compliance:

    1. Develops policy for the following collection programs and their related sub programs:

      • Abusive Tax Avoidance Transactions (ATAT)

      • International

      • Collection Fraud Referrals

      • Whistleblower

      • Probation and Restitution

      • Offshore Voluntary Disclosure Initiatives

    2. Designs and provides content for training related to these programs.

    3. Develops and coordinates policy and procedural guidance by conducting relevant program reviews.

    4. Interacts with appropriate stakeholders to ensure the servicewide collection perspective is considered when policy guidance is developed.

    5. Ensures servicewide collection policy, programs and workload priorities are coordinated and consistent across organizational boundaries.

    6. Participates in external stakeholder activities to include GAO and TIGTA audits and MSPs.

    7. Evaluates recommendations and develops policies and strategies to address stakeholder concerns.

1.1.16.5.2.6  (03-24-2014)
Insolvency

  1. The mission of Insolvency is to provide servicewide policy guidance on insolvency and bankruptcy related procedures, provide support to both internal and external customers with insolvency related automation and programs, develop and implement servicewide policy and strategy for bankruptcy topics.

  2. The Program Manager, Insolvency reports to the Director, Collection Policy.

  3. To accomplish the mission, the Program Manager, Insolvency:

    1. Enables IRS to participate as a creditor and keep IRS in compliance with requirements of bankruptcy code.

    2. Reviews legislation to determine the impact on insolvency and bankruptcy programs, and develops and recommends new legislative changes.

    3. Develops and coordinates application and understanding of the insolvency and bankruptcy process.

    4. Develops training and analytical techniques to support the insolvency and bankruptcy process.

    5. Provides policy guidance and advice on complex, technical programs related to insolvency and bankruptcy.

    6. Employs Automated Insolvency System, Automated Proof of Claim and other software programs to develop new reports and other documents for program management.

1.1.16.5.2.7  (03-24-2014)
Training, Outreach and Communication

  1. The mission of Training, Outreach and Communication is to develop and implement communication strategies and services, develop and facilitate training for the Servicewide Collection organization and develop, design, and deliver the policies, strategies and program objectives for the assigned program areas.

  2. The Program Manager, Training, Outreach and Communication reports to the Director, Enterprise Collection Policy.

  3. To accomplish the mission, the Program Manager, Training, Outreach and Communication:

    1. Facilitates Collection communication development for ECS and the Collection organizations for both internal and external stakeholders.

    2. Identifies and prioritizes Collection’s program for communication emphasis.

    3. Acts as the liaison between ECS and the Communications and Stakeholder Outreach organization.

    4. Develops and implements internal and external communication, marketing and outreach plans.

    5. Identifies and coordinates development of new internal and external Collection tools and enhancements.

    6. Coordinates on the Servicewide Collection training needs assessment and spend plans.

    7. Develops and facilitates Servicewide Collection course development and delivery with all Collection organizations.

    8. Plans, develops and implements programs, guidelines, procedures and IRM instructions, as well as provides technical guidance and assistance for Field Collection programs, to include:

      • Taxpayer Delinquency Investigations (TDI)

      • Disclosure

      • Taxpayer representatives

      • Government and military employees

      • Innocent spouse claims

      • Collateral agreements

      • Collection statute expiration

    9. Administers assigned Collection programs, to include:

      • Interim Guidance Liaison and oversight

      • Assignment of tax checks for presidential appointees

      • Taxpayer digital communications

      • Collection Governance Council

      • Disaster Relief program

      • Pseudonym program

      • Nationwide Tax Forums

      • Collection Employee Suggestion Program oversight

      • Collection Annual Program Letter development

      • Management Input Groups

      • Identity Theft

    10. Administers the Online Payment Agreement Application

    11. Maintains and develops internal and external websites ensuring site content is accurate and up to date.

    12. Identifies and develops tools and technologies which can be utilized as self-help resources to resolve compliance issues.

1.1.16.5.3  (03-24-2014)
Collection Strategy and Organizational Performance

  1. The mission of Collection Strategy and Organizational Performance is to coordinate the formation of servicewide collection strategy and facilitate budget activities. The office also develops enterprise and functional work plans, monitors and reports on servicewide collection enterprise performance indicators, initiating strategic projects that support servicewide collection business efficiencies while simultaneously providing administrative support to all Enterprise Collection Strategy organizations.

  2. The Director, Collection Strategy and Organizational Performance reports to the Director, Enterprise Collection Strategy and is responsible for the formation of budget initiative requests and work plans for servicewide collection, facilitation of the budget development process for all collection offices, management of the Collection Activity Reports system, and provision of administrative support for the Enterprise Collection Strategy organization.

  3. To accomplish the mission, the Director, Collection Strategy and Organizational Performance:

    1. Coordinates work plans, budget development and requests across servicewide Collection Stakeholders;

    2. Conducts analysis of data and identifies trends for Enterprise Collection Strategy to determine risk-based strategies;

    3. Manages and implements strategies pertaining to Collection activity;

    4. Coordinates support for the Enterprise Collection Strategy organization in the areas of administrative activity, resources and staffing; and

    5. Consolidates data on enterprise performance data, providing analysis and reports on indicators.

  4. The following managers report to Director, Collection Strategy and Organizational Performance:

    1. HQ Program Manager, Operations Support

    2. HQ Program Manager, Strategic Planning

    3. HQ Program Manager, Enterprise Collection Plans

    4. HQ Program Manager, Reports

1.1.16.5.3.1  (03-24-2014)
Operations Support

  1. The mission of Operations Support is to provide quality and timely support to its stakeholders by overseeing administrative projects and managing key operations that support Enterprise Collection Strategy in its mission.

  2. The Program Manager, Operations Support reports to the Director, Collection Strategy and Organizational Performance.

  3. To accomplish the mission, the Program Manager,Operations Support manages the following activities for Enterprise Collection Strategy:

    1. Manages current fiscal year labor and non-labor resources, with the exception of contract funding, within ECS;

    2. Manages and provides guidance of the ECS travel and awards budget to maximize the effective use of those programs’ resources within authorized fund allocations;

    3. Oversees staffing for the ECS functions including responsibility for formulating reviewing, maintaining and directing the development of the ECS organizational charts and Requests for Organizational Changes (ROCs);

    4. Plans and coordinates space requirements and real estate issues for ECS; and

    5. Coordinates key ECS administrative programs (i.e. Language Services, Business Continuity, HSPD Monitoring, etc) and initiates improvements with internal and external stakeholders.

1.1.16.5.3.2  (03-24-2014)
Strategic Planning

  1. The mission of Strategic Planning is to facilitate annual budgetary planning; develop and administer the framework for organizational performance measures; provide program performance reports, engage in development of descriptive statistics and analysis and propose improvement initiatives to support Enterprise Collection Strategy goals.

  2. The Program Manager, Strategic Planning reports to the Director Collection Strategy and Organizational Performance.

  3. To accomplish the mission, the Program Manager, Strategic Planning:

    1. Coordinates future year budget formulation;

    2. Provides general oversight of contract funding and coordinates special projects related to budget activity;

    3. Coordinates development of goals, strategies and quarterly reporting related to ECS Strategic Business Plan Actions, Business Performance Review and Oversight Board;

    4. Provides analysis of collection data and initiates strategic improvement opportunities.

1.1.16.5.3.3  (03-24-2014)
Enterprise Collection Plans

  1. The mission of Enterprise Collection Plans is to develop enterprise and functional work plans and provides ongoing analysis and monitoring of the work plans.

  2. The Program Manager, Enterprise Collection Plans reports to the Director, Collection Strategy and Organizational Performance.

  3. To accomplish the mission, the Program Manager, Enterprise Collection Plans:

    1. Develops enterprise and functional work plan covering all Collection programs, resources and key performance metrics;

    2. Monitors and reports enterprise work plans;

    3. Conducts trend analysis to explain program performance and enterprise impacts; and

    4. Provides guidance and oversight to ensure all Collection Operating Unit performance reporting adheres to the CFO and IRS Balanced Performance Measurement System policies and procedures.

1.1.16.5.3.4  (03-24-2014)
Reports

  1. The mission of Reports is to provide quality customer service by delivering critical reports to both Wage and Investment (W&I) and Small Business-Self Employed (SB/SE) Filing and Payment Compliance (F&PC) executives and employees.

  2. The Program Manager, Reports Group reports to the Director Collection Strategy and Organizational Performance.

  3. To accomplish the mission, the Program Manager, Reports:

    1. Creates the "Executive Book" for monthly analysis of the various programs in Filing and Payment Compliance;

    2. Provides historical data to create work plans;

    3. Supports Enterprise Collection Strategy (ECS) by delivering accurate data to key Collection executives, analysts, and supervisors;

    4. Builds data bases and creates standardized spreadsheets for both SB/SE and W&I to maximize resources;

    5. Creates Overhead/Direct reports to account for program time allocation;

    6. Inputs data into the Suite of Tools for the Review and Creation of Automated Work-plans and Schedules (STRAWS);

    7. Provides guidance and direction to Collection Data Assurance (CDA) team to ensure accuracy and consistency throughout the organization;

    8. Automates and streamlines the report process on a continuous cycle to eliminate duplication, reduce errors while maximizing resources; and

    9. Provides subject matter experts in ECS program areas of: ACS, ACSS and Compliance Services Collection Operations (CSCO) Work Plan and Reporting, as well as GII/QMF research.

  4. The following manager reports to the Program Manager, Reports:

    1. HQ Manager, Collection Data Assurance

1.1.16.5.3.4.1  (03-24-2014)
Collection Data Assurance

  1. The mission of Collection Data Assurance is multi-faceted to ensure the integrity of data used to prepare reports; to provide excellent Customer Service, to create, analyze, distribute, and monitor access to reports and ad hoc requests.

  2. The Manager, Collection Data Assurance reports to the Program Manager, Reports.

  3. To accomplish the mission the Manager, Collection Data Assurance:

    1. Provides world-class customer service by delivering critical decision-making information to executives and employees of SB/SE Enterprise Collection Strategy (ECS), Field Collection (FC) and TIGTA/GAO Audit Program, as well as providing education and support where appropriate;

    2. Delivers accurate data to executives, analysts, and supervisors of ECS, Field Collection, ACS, W&I, CSCO, TE/GE and LB&I for time-appropriate decision making;

    3. Ensures integrity of data used to prepare reports;

    4. Provides subject matter experts in the program areas of: CTRS (Collection Time Reporting System); Business Objects, CAR (Collection Activity Reports), TSIGNs, and TDI Closing Codes;

    5. Creates, analyzes, and distributes reports for ECS;

    6. Responds to ad hoc requests from TIGTA, GAO, FOIA Request, media release, Commissioner and for testimony and reports to Congress, IRS Oversight Board;

    7. Provides clear and timely documentation while coordinating procedural guidelines and policies for the CTRS IRM 5.2.1 and Collection Reports Overview IRM 5.2.4;

    8. Maintains the Suite of Collection Activity Reports (CAR), based on IDRS and Master File; and

    9. Controls and maintains for servicewide collection: TSIGNS (aka collection assignment numbers), TDI closing codes, Installment Agreement (IA) Originator codes and Designated Payment Codes (DPC).

1.1.16.5.4  (03-24-2014)
Enterprise Collection Planning and Governance

  1. The mission of Enterprise Collection Planning and Governance (ECPG) is to develop and clearly communicate guidance and effective strategy, collaborate on Collection training, and administer servicewide employee safety programs.

  2. The Director, ECPG reports to the Director, Enterprise Collection Strategy (ECS) and is responsible for leadership in the communication, training and employee safety programs impacting servicewide Collection

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

    1. Partners with the Communications and Stakeholder Outreach organization and other stakeholders to develop and implement communication plans.

    2. Facilitates servicewide Collection training programs.

    3. Manages IRS employee safety programs.

    4. Oversees program coordination and implementation of assigned program areas.

1.1.16.6  (03-24-2014)
Fraud/BSA

  1. The mission of Fraud/BSA is to provide an effective, efficient, and high-quality Servicewide fraud program that fosters public confidence in the tax system; and to serve as the regulatory agency of certain financial institutions and industries concerning their compliance with 31 CFR Chapter X of the Bank Secrecy Act; and to insure compliance of financial institutions and industries with section 6050I of the Internal Revenue Code.

  2. The Director, Fraud/BSA reports to the Commissioner, SB/SE Division

  3. To accomplish the missions of Fraud and BSA, the Director, Fraud/BSA:

    1. Serves as principal advisor and consultant to the IRS Commissioner on all issues involving Fraud and Bank Secrecy Act (BSA) strategic plans, programs, and policies

    2. Formulates short- and long-range program policies, strategies, and objectives for integration into Fraud and BSA policies, ensures a consistent approach; and designs programs addressing and resolving complex Fraud and BSA policy issues.

    3. Directs research and analysis on Fraud and BSA issues and trends, and integrates conclusions into SB/SE’s strategic policies and procedures. Provides insight to SB/SE Headquarters on Fraud and BSA issues and trends, to better understand and address taxpayers’ needs and behavior patterns. Develops and tests alternative treatments and develops appropriate measures to monitor the impact and effectiveness of those treatments.

    4. Analyzes progress against strategic plans and identifies opportunities for improvement; and ensures adherence to operational procedures and controls.

    5. Serves as focal point for the development and implementation of risk-based Fraud and BSA models and strategies.

    6. Provides executive leadership and direction through clear directives and performance expectations to subordinates and managers. Delegates sufficient authority to subordinates to allow effective management of resources and provides an environment that supports creativity and innovation.

    7. Coordinates program activities with other top-level IRS executives in developing Servicewide policies, addressing cross-functional issues that reflect population characteristics, needs, and behavior patterns. Develops strategies that ensure a consistent approach.

    8. Directs the development of activities to build and leverage partnerships. Collaborates with stakeholders to ensure the integrity of feedback in policy-making and ensures the linkage of policy to practice.

    9. Serves as the IRS’ primary executive contact with the Financial Crimes Enforcement Network (FinCEN) on policy and administrative issues.

    10. Manages all human, physical, information technology, and financial resources assigned to the Fraud/BSA organization; and allocates these resources in accordance with overall strategies to further the accomplishment of specific goals.

1.1.16.6.1  (03-24-2014)
Fraud Policy and Operations

  1. The mission of the National Fraud Program is to provide leadership and support for the administration of the Servicewide fraud program by assisting in both criminal and civil enforcement in a manner that fosters public confidence in the tax system, while providing quality and timely service to its stakeholders.

  2. The Chief, Fraud Policy and Operations reports to the Director, Fraud/BSA

  3. To accomplish the National Fraud Program Mission, the Director, Fraud/BSA and the Chief, Fraud Policy and Operations:

    1. Formulate short- and long-range National Fraud Program strategies, policies and objectives.

    2. Develop coalitions and partnerships that support the National Fraud Program with appropriate internal and external stakeholders.

    3. Monitor fraud trends and respond with needed changes.

    4. Deliver prompt, effective, and equitable service to all National Fraud Program customers.

1.1.16.6.1.1  (03-24-2014)
Fraud Policy

  1. The Fraud Policy Program Manager reports directly to the Chief, Fraud Policy and Operations.

  2. To accomplish the National Fraud Program Mission, the Fraud Policy Program Manager:

    1. Advises the Chief, Fraud Policy and Operations in all facets of National Fraud Program activities; and furnishes information regarding policies and interpretations of federal laws and regulations.

    2. Ensures the formation of comprehensive National Fraud Program policies and procedures.

    3. Develops coalitions and partnerships that support the National Fraud Program with appropriate internal and external stakeholders.

    4. Creates and markets Servicewide fraud awareness products, services and accomplishments.

    5. Administers formal and informal fraud training to Compliance employees and managers.

    6. Facilitates cross-operating division communication to collaboratively resolve issues.

    7. Enhances technical and procedural content and overall effectiveness of the Fraud web site.

    8. Develops and administers surveys to monitor customer satisfaction levels related to interactions with National Fraud Program personnel and the Fraud web site’s content and structure.

    9. Tracks and measures the volume and quality of criminal fraud referrals and civil fraud penalties recommended by all operating divisions and functions.

    10. Recommends methods for improving the efficiency of the fraud development process, case quality, and related cycle time.

    11. Provides input to the Strategic Plan.

    12. Provides input to the National Fraud Program Letter.

1.1.16.6.1.2  (03-24-2014)
Fraud Field Operations

  1. The Fraud Operations Program Manager reports to the Chief, Fraud Policy and Operations.

  2. To accomplish the National Fraud Program Mission, the Fraud Operations Program Manager:

    1. Develops and implements consistent guidelines and standards in determining fraud for the program’s customers.

    2. Provides local program coordination for all National Fraud Program activities across all operating divisions.

    3. Provides input to the Strategic Plan.

    4. Provides input to the National Fraud Program Letter.

    5. Advises the Chief, Fraud Policy and Operations in all facets of workload and technical issues.

    6. Identifies potential areas of noncompliance and trends in the Field Operation.

    7. Reviews and analyzes program progress and identifies areas for improvement.

  3. Each Fraud Technical Advisor (FTA) Group Manager reports to the Fraud Operations Program Manager.

  4. To accomplish the National Fraud Program Mission, each FTA Group Manager oversees a group consisting of Revenue Agent and Revenue Officer FTAs who:

    1. Provide service coverage over multiple states and geographic areas.

    2. Develop local compliance strategies, in coordination with the National Fraud Program, to integrate into education and outreach.

    3. Ensure timely delivery of quality customer service to National Fraud Program stakeholders.

    4. Meet regularly with Compliance field groups to conduct training, review case inventories, and answer questions on cases regarding indications of fraud.

    5. Provide support to all operating divisions through technical advice and assistance in:

      • Identifying and developing potential fraud leads and criminal fraud referrals;

      • Developing recommendations for injunctions and/or referrals to the Office of Professional Responsibility (OPR); and

      • Applying civil fraud penalties.

    6. Review potential fraud referrals for quality and compliance with the IRM and criminal criteria; and recommend assertion of the civil fraud penalty when appropriate.

    7. Review and administer Fraud Policy guidance, IRM procedures, training materials, and performance enhancement tools through formal and informal training; and deliver publications, presentations and other educational material.

    8. Identify possible local trends among practitioners, industry patterns, and pockets of noncompliance.

    9. Establish and leverage partnerships with CI and with all other operating divisions and functions, to increase fraud awareness and support of National Fraud Program objectives.

    10. Partner with local CI and with all other operating divisions, to identify and classify potential fraud leads.

1.1.16.6.2  (03-24-2014)
Bank Secrecy Act (BSA) Policy and Operations

  1. The mission of the BSA program is to safeguard the country’s financial system from the abuses of financial crime, including terrorist financing, money laundering, and other illicit activity, by providing the financial community top-quality service to help them understand their obligations under the BSA and to ensure BSA compliance with integrity and fairness to all.

  2. The Chief, BSA Policy and Operations reports to the Director, Fraud/BSA.

  3. To accomplish the BSA mission, the Director, Fraud/BSA and the Chief, BSA Policy and Operations:

    1. Formulate short- and long-range program strategies, policies, and objectives specific to BSA customers that:

      • Improve BSA compliance.

      • Strengthen enforcement activities.

      • Deliver prompt, effective, and equitable service to BSA customers.

      • Leverage resources through proactive partnerships.

    2. Partner with internal and external stakeholders, and FinCEN to design, develop, and implement programs, which help customers comply with the BSA.

    3. Monitor trends affecting compliance with BSA customers and respond to changes needed in those areas.

    4. Provide BSA program oversight.

1.1.16.6.2.1  (03-24-2014)
BSA Policy

  1. The, BSA Policy Program Manager reports directly to the Chief, BSA Policy and Operations.

  2. To accomplish the BSA mission, the BSA Policy Program Manager:

    1. Advises the Chief, BSA Policy and Operations on all facets of BSA activities, and furnishes information concerning policies and interpretations of federal laws and regulations.

    2. Serves as the primary mid-level contact with FinCEN on policy and administrative issues.

    3. Identifies and promotes best practices.

    4. Coordinates with FinCEN in developing IRS BSA policies and procedures.

    5. Develops and implements Servicewide polices and strategies addressing money laundering.

    6. Develops and implements policies, consistent guidelines, and standards for United States Code (USC) Title 31 examinations and Form 8300 (Report of Cash Payments Over $10,000 Received in Trade or Business) examinations.

    7. Provides technical advice and assistance to all Field Territories.

    8. Identifies trends and develops strategies designed to address the needs of BSA customers through a comprehensive approach, including education, outreach, and enforcement.

    9. Provides input to the Strategic Plan and the BSA Program Letter.

    10. Uses appropriate media to communicate policy to the frontline.

    11. Identifies emerging business practices and customer behavior patterns, and potential areas of noncompliance.

    12. Provides oversight on high-profile programs and establishes appropriate guidelines.

    13. Coordinates with state, federal, and international enforcement and regulatory agencies charged with BSA oversight.

    14. Develops and executes BSA hiring, training, and succession planning through its Knowledge Management Office.

1.1.16.6.2.2  (03-24-2014)
BSA Workload Identification, Selection, Delivery and Monitoring (WISDM)

  1. The BSA WISDM Program Manager reports directly to the Chief, BSA Policy and Operations.

  2. To accomplish the BSA mission, the BSA WISDM Program Manager:

    1. Advises the Chief, BSA Policy and Operations on all facets of workload planning activities.

    2. Assists in the development of a workload model.

    3. Provides input to the Strategic Plan and the BSA Program Letter.

    4. Provides centralized oversight and program coordination of workload selection and classification.

    5. Develops standardized policy and program direction for classifying, ordering, and delivery of BSA examinations.

    6. Develops and monitors the BSA workplan.

    7. Manages selection of returns for BSA field territories.

    8. Administers and validates all time for the Primary Business Code for Fraud/BSA and its sub-units in the Examination Returns Control System (ERCS).

    9. Prepares analyses for the Chief, BSA Policy and Operations that monitor plan accomplishments and identify areas needing increased emphasis.

    10. Prepares statistical analyses and evaluations of the BSA Balanced Measures.

    11. Develops risk-based compliance models.

    12. Ensures allocation of resources is equitable and reflective of BSA strategies; and ensures appropriate support for organizations implementing policy.

    13. Reviews and analyzes program progress against operational plans and identifies areas for improvement.

    14. Provides technical reviews of BSA closed cases through the National Quality Review System (NQRS).

    15. Provides quality feedback on BSA cases as measured by compliance with the Quality Attributes.

1.1.16.6.2.3  (03-24-2014)
BSA Field Territories

  1. Each Field Territory Manager reports to the Chief, BSA Policy and Operations.

  2. To accomplish the BSA mission, each Field Territory Manager:

    1. Markets best practices.

    2. Identifies and resolves emerging compliance issues at the local level and elevates such issues to Headquarters.

    3. Develops and delivers mission-oriented services and strategies to improve customer service, consistency, and efficiency.

    4. Coordinates and controls territory examination activities to achieve uniform compliance with directives and effective utilization of personnel.

    5. Ensures a smooth flow of information, directives, and intra-territory communications for preparation and submission of administrative reports.

    6. Conducts group level program reviews.


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