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Part 1. Organization, Finance and Management

Chapter 4. Resource Guide for Managers

Section 19. Automated Underreporter Managers and Coordinators Handbook (Cont. 1)

1.4.19  Automated Underreporter Managers and Coordinators Handbook (Cont. 1)

1.4.19.3 
Telephones - Toll Free

1.4.19.3.10 
Telephone Reports and Monitoring

1.4.19.3.10.2  (06-01-2006)
Detail Report

  1. The Detail Report displays call-by-call details for a specific agent for a specified time period. The report details each call that an Assistor received or placed, when the call occurred, how long it lasted, whether it was transferred to another Assistor, as well as, call transaction data.

  2. An SA can run this report for a single Assistor over a specified interval and by specific type of call or event. For example, you can limit the report to only incoming calls or for times signed on the system.

  3. The Detail Report displays the following data for the specified Assistor and interval:

    1. Event is the type of call or event.

    2. Date is the call date specified.

    3. Time is the specified time intended.

    4. INC/XFER appears for Assistor 1 when Assistor 1 transfers an ACT call to Assistor 2.

    5. ACT/ACCEPT appears for Assistor 2 when Assistor 1 transfers an ACT call to Assistor 2.

    6. ACT/REJECT appears for both Assistors if Assistor 1 speaks to Assistor 2 but the caller is not transferred to Assistor 2.

    7. Duration is the total number of minutes and seconds each call lasted. It includes time spent wrapping up calls.

    8. Origination is the extension of the Assistor who placed the call or the trunk on which the call was presented.

    9. Destination is the extension or trunk to which the call was directed.

    10. Associated Party is the other extension, trunk, mailbox, auxiliary device, or outside telephone number associated with the call if the call was in conference with another party, transferred to another resource, or put on hold while a consultation call was placed.

    11. Dialed Digits is the number dialed for outgoing calls or calls placed inside the call center.

    12. Call Transaction Data is not applicable.

1.4.19.3.10.3  (06-01-2006)
Availability Report

  1. AUR telephone Managers are required to adhere to the schedule forwarded by the SA or designated person, on a daily basis. The Availability Report is formatted in half-hour increments, is a useful tool to schedule phone staffing and can be used to:

    1. Determine staffing on phones and to create a balance of the staff working the paper cases.

    2. Schedule coverage for breaks, lunch and unit meetings.

1.4.19.3.10.4  (12-01-2009)
Work Performance and Cost Report (WP&C)

  1. ) The Work Performance and Cost Report (WP&C), is a report that tracks hours and production (usually closures) by OFP code.

    1. Phone Assistors track the number of phone calls answered and the time spent answering calls on a daily basis, separating the calls received by each different tax year and report the hours and volume to their Manager.

    2. The total number of calls and hours spent may also be obtained from the Aspect System by pressing the right arrow and then the STATS BAR.

  2. The figures are input to the WP&C report every week.

    Note:

    The figures reported on the WP&C are compared to the actual time reported by JOC (W&I) or HQ (SB/SE). Any difference is known as Slippage and is one of the Adherence factors. The difference between the time reported on the WP&C and the actual time should not be higher than 6.1%.

1.4.19.3.11  (12-01-2009)
Troubleshooting Aspect System Problems

  1. Assistors taking Aspect telephone calls may occasionally encounter problems with the Aspect phone system. Most of these problems involve the phone lines or the phone equipment. Managers should instruct Assistors to take the following actions if they have problems with the Aspect system.

  2. If the Assistor reports being unable to transfer a call to another AUR site, the Manager should follow Campus directions to report the problem.

  3. If the Assistor reports experiencing difficulty hearing the caller, have the Assistor adjust the volume using the UP or DOWN volume buttons on the phone instrument, or adjust the volume using the volume control on the Aspect headset. If that doesn’t resolve the problem, the Assistor should ask the caller for a phone number, offer to call him/her back, and then return the call from a different phone.

  4. If the Assistor reports that the caller is having difficulty hearing, have the Assistor hit the BAD LINE button on the Aspect phone. This does not resolve the problem, but it will send a report to the SA, who can monitor the situation. If the problem persists, have the Assistor ask the caller for a phone number, offer to call him/her back, and then return the call from a different phone.

    Note:

    One cause of the problem might be a "bad" voice tube on the Aspect headset. The Manager should replace the voice tube.

  5. If the Assistor reports static on the line, have the Assistor hit the BAD LINE button on the Aspect phone. This does not resolve the problem, but it will send a report to the SA, who can monitor the situation. If the static prevents the caller and the Assistor from holding an effective conversation, the Assistor should ask the caller for a phone number, offer to call him/her back, and then return the call from a different phone.

  6. If the Assistor reports the Aspect phone rings while the Assistor is already talking on the phone, have the Assistor hit the BAD LINE button on the Aspect phone. This does not resolve the problem, but it will send a report to the System Administrator, who can monitor the situation. If the problem persists, have the Assistor ask the caller for a phone number, offer to call him/her back, and then return the call from a different phone.

  7. If the Assistor reports talking with a caller and simultaneously hearing another conversation on the line, have the Assistor hit the BAD LINE button on the Aspect phone. This does not resolve the problem, but it will send a report to the SA, who can monitor the situation. If the problem persists, have the Assistor ask the caller for a phone number, offer to call him/her back, and then return the call from a different phone. The Manager should also inform the SA about the situation.

  8. If the Assistor reports there is no tone when they log onto the Aspect system, follow Campus directions to resolve. If that doesn’t correct the problem, move the Assistor to another desk (if one is available) and contact the SA.

  9. If the Canvas (Custom View) is unavailable:

    1. Call the SA to report the Canvas problem.

    2. Follow the phone schedule explicitly and don’t worry about the goals until the Canvas comes up again.

    Note:

    Web View can be used in the event that Custom View is unavailable.

  10. In addition to those problems mentioned above, other types of problems could involve tele-set lights or LCD displays not working properly on the phone instrument (tele-set) or the headset not working properly. Assistors report these problems to the Manager, who forwards the problem to the SA.

  11. If a problem persists and the Assistor is unable to work on the instrument, the Manager should move the Assistor to a different phone, if possible.

1.4.19.3.11.1  (12-01-2009)
Troubleshooting General Problems

  1. When the Aspect phones go down take one or more of the following actions;

    1. Follow Campus directions to notify SA that the Aspect phones are down.

    2. Direct Assistors to complete case actions while monitoring for the phones to come back up.

    3. Direct Assistors to review pertinent sections of the IRM.

    4. Direct Assistors to work on projects they may be involved in.

    5. Direct Assistors to work paper cases.

  2. In the event of power outages:

    1. If the Aspect phones are still working, direct Assistors to use Form 4442, Inquiry Referral, (or similar documentation) to take a message and return the call later if they are unable to answer a general question.

    2. If the Aspect phones are down, see (1) above.

  3. If AUR is unavailable:

    1. Direct Assistors to use IDRS to answer as many calls as possible.

    2. If the Assistor is unable to answer without the use of AUR, direct Assistors to use Form 4442, Inquiry Referral, (or similar documentation) and return the call later.

  4. If IDRS is unavailable:

    1. Direct Assistors to use AUR to answer as many calls as possible.

    2. When the Assistor is unable to answer without the use of IDRS, direct them to use Form 4442, Inquiry Referral, (or similar documentation) and return the call later.

  5. In the event of Fire Drills and other building evacuations:

    1. Instruct Assistors to explain there is an emergency in the building. If the Assistor already has a number, they should offer to return the call as soon as possible and then hang up. If the Assistor does not have a number, they should request that the caller try again later or another day.

    2. If necessary, release the call for the Assistor and escort them out of the building. Ensuring that the Assistor treats the situation as a true emergency will reinforce their behavior if a true emergency ever arises.

    3. When the emergency is over, adjust your phone schedule to allow for returning calls to those you cut short prior to the emergency. This may include doubling the number of Assistors in order to allow for the outgoing calls. You may also ask Assistors to return calls when not assigned to phone coverage.

      Reminder:

      This will decrease the amount of work accomplished towards your paper goals.

  6. When equipment malfunctions or is broken:

    1. Follow Campus directions to determine which part of the equipment is broken or malfunctioning.

    2. Contact the SA for assistance.

    3. Change out the entire Aspect Phone, headset and tele-set.

1.4.19.3.12  (12-01-2009)
Reporting Problems to the System Analysts (SA)

  1. Managers should notify the SA when problems have been identified. Some of the issues Managers should address with the SA are:

    • Phone tracking relating to available, idle, wrap, and break time

    • Agent group activities such as creating a team, inactivating an employee Aspect number, moving an Assistor to another group, and creating special agent groups for disaster calls, English only, Spanish, or paper only

    • Phone shutdown

    • Custom View screen enhancements

    • Web View problems

    • Phone equipment needs

    • System troubleshooting

    • How to read reports generated by the SA staff

  2. Managers need to maintain the SA's contact information:

    • The SA's name

    • The SA's phone number, pager number, E-mail address, etc.

    • The same information listed above for the SA's back-up, as applicable

  3. Depending on the type of problem being experienced, the SA will normally ask several questions. Have the following information ready:

    • The Aspect tele-set number where the problem exists. (To access a tele-set number, press SELF-TEST, IDENTITY, NEXT STEP)

    • The Assistor's Aspect number (the Agent Number)

    • The time of day that the problem occurred

    • How often the problem is occurring

1.4.19.4  (12-01-2009)
Monitoring and Reports

  1. The AUR System provides numerous methods to monitor inventory through history windows and inventory reports. While all the reports and listings serve a specific purpose, some have been designated as "Most Important" and should be monitored on a regular basis. The following reports have been designated "Most Important" :

    • PC Sequence-Number

    • Complete Batch Inventory

    • Unit Suspense

    • Aged Response Batch Summary

    • Inventory

    • Mistle

    • Notice Letter Listing

    • PC Status Listing

    • Weekly PC/IPC Listing

    • Unit Inventory

    • Statistical Reports

    • Lost Case Report

    • Lost Response Report

    • Disassemble Age Report

    • Reject Listing

    • Batch Released Report

  2. TE inventory can be monitored using the Unit Inventory Report. See IRM 1.4.19.4.7, Unit Inventory Report, for more information on the Unit Inventory Report.

    Caution:

    Cases assigned to TEs through Universal Work (location XX950) do not appear on the Unit Inventory Report.

  3. The Batch History option provides a complete history of any action taken on the batch. To view the Batch History:

    1. Select Control from the main menu.

    2. Select batch History from Batch menu. The Batch History window displays with the cursor in the BATCH field.

    3. Enter the five-digit batch number and press <ENTER>. The current batch history displays.

    4. Press <F8> to exit or select Exit from the menu.

    Note:

    To query another Batch History, the User can press <F7> to clear the screen and enter the next batch number without exiting the window.

  4. A Case History is available two different ways depending on the User's profile:

    1. Users with a technical profile access C ase history from the reView menu and entering an SSN.

    2. Users with a clerical profile access Case history from the Case pull-right menu on the Control sub-menu and entering an SSN.

1.4.19.4.1  (12-01-2009)
Reports - General

  1. The reports in the AUR System serve two distinct purposes. The first is to provide listings to aid in the flow of work through the units. The second is to provide Managers and the AUR Coordinator with information to be used in the coordination and monitoring of inventory.

  2. The report data on the AUR System is classified as either system or User generated. There are two major groupings.

  3. The first grouping is designated as Reports.

    1. Reports contain data elements that provide information allowing management to monitor the total inventory.

    2. Reports are usually generated by the system and display all data that reflects the whole system rather than the individual batch information provided by the listings.

      Note:

      Both reports and listings most often reflect real time information rather than cumulative data.

  4. The second grouping is designated as Listings.

    1. Listings are used as transmittal sheets for specific batches of work. Listings break down batch information by Process Codes, Case Sequence Number, and/or SSN.

    2. Listings do not give a comprehensive picture of the inventory and are not usually generated by the system.

    Note:

    A few of the listings are system generated and provide information, which is needed to process cases that require special handling. See Exhibit 1.4.19-5, AUR Report Matrix, which lists each report and listing with the report frequency, access capabilities, and purpose.

  5. The reports/listings are accessible for viewing or printing.

  6. To view or print a report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu. When the reports menu displays, each type of report or listing available is shown as an option.

    3. Select the report or listing to view/print.

    4. A Value Parameter window displays, which accepts three entries. Enter "V" for view only (the report displays). Enter "P" for print only (the screen displays the message: "Report now being printed" ). Enter "B" for both view and print (the report displays and then a prompt to print displays).

      Note:

      Selecting either "P" or "B" prompts the User to enter the number of copies. If only one copy is needed, the User can either enter "1" or press the <Enter> key.

    5. To exit the report, select File then Close from the menu options at the top of the report or use the "X" in the top right hand corner of the report

    6. <F8> to exit or select Exit from the menu.

    Note:

    If a print of the entire report is not needed, press the <print scrn> (print screen) key to only print the portion of the report shown on the screen.

  7. To navigate through a report on the screen, use the mouse or the following keys on the keyboard:

    • End - Takes you to the last page of the report

    • Down Arrow - Moves the cursor down one line

    • Page Down (<pg dn>) - Takes you to the next page of the report

    • Home - Takes you to the first page of the report

    • Up Arrow - Moves the cursor up one line

    • Page Up (<pg up>) - Takes you to the previous page of the report

  8. Reports that are system generated are created weekly during the normal batch processing runs.

1.4.19.4.2  (12-01-2009)
Batch Listings

  1. Batch Listings display all of the cases in a designated batch arranged in a selected sequence order.

  2. As a rule, these listings are not system generated and DO NOT give a comprehensive picture of the total inventory. The header information for all batch listings includes:

    • Batch Number

    • Batch Status

    • Batch Date and

    • Batch Location

    The last page of Batch Listings is a summary page which contains total volumes for each data column. Batch listings can be generated for any batch in the system and can be viewed/printed by the User. Batch listings include the following:

    • Sequence Number - SSN - PC

    • PC - Sequence Number - SSN

    • Sequence Number - SSN

  3. To access batch listings:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Batch listings from the reports menu.

    4. Select one of the available options from the pull-right menu. The listing options display in the order stated in (2) above.

      Note:

      The User has the option of printing the entire batch listing or only the Summary page for the Sequence Number - SSN - PC Listing and the PC - Sequence Number - SSN Listing.

    5. A Parameter window displays.

    6. Enter the five-digit batch number and press <ENTER>. The View or Print Parameter window displays.

    7. Enter "V" (view), "P" (print), or "B" (both).

  4. These listings can also be accessed by taking the following actions:

    1. Select Control from the main menu.

    2. Select Batch from the control menu.

    3. Select Status/location from the drop down menu.

    4. Select Status/location from the pull right menu.

    5. Select Reports.

    6. Select Batch listings from the drop down menu.

    7. Select one of the available options from the pull-right menu. The listing options display in the order stated in (3) above.

      Note:

      The User has the option of printing the entire batch listing or only the Summary page for the Sequence Number - SSN - PC Listing and the PC - Sequence Number - SSN Listing.

    8. Enter five digit batch number.

  5. Batch listings are generally used as:

    • Clerical transmittal documents, for each batch in "AB" status

    • Records of batch contents to verify cases within the batch

    • Records of batch contents to locate cases within the batch

    Exception:

    The PC-Sequence Number-SSN Listing is used to identify aged cases and can also be used to compute the screenout rate for the batch.

1.4.19.4.2.1  (12-01-2009)
Sequence Number-SSN-PC Listing

  1. The primary sort of this listing is by sequence number. This listing displays the following data in two columns:

    • Sequence number - depends on the type of batch requested

    • SSN

    • Process Code

    • Received Date

    • Virtual Indicator (V)

    The last page of this listing is a summary page. This page may be printed and used as a batch transmittal. The summary page contains the following:

    • Process Code(s),

    • Volume for each PC

    • Total volumes of PCs and the dates

1.4.19.4.2.2  (12-01-2009)
PC-Sequence Number-SSN Batch Listing

  1. The primary sort of this listing is by PC. The following information is shown, in two series, for each PC in the batch:

    • Sequence Number. This number will depend on the type of batch requested

    • SSN

    • IRS Received Date/Suspense Date

    • Virtual Indicator (V)

    The last page of this listing is a summary page. This page may be printed and used as a batch transmittal. The summary page contains the following:

    • Process Code(s)

    • Volume for each PC

    • IRS received date for response batches or the Suspense date for suspense batches for each PC

    • Volume of cases for the IRS received date or the Suspense date and

    • Total volumes for all PCs and the dates

  2. The PC - Sequence Number - SSN Listing should be used to

    • Identify aged cases, especially those in the "RLS" batch to ensure timely clerical actions

    • Determine screenout rates for screening batches

    Note:

    This listing has been designated one of the "Most Important" .

1.4.19.4.2.3  (12-01-2009)
Sequence Number-SSN Batch Listing

  1. The primary sort of this listing is by sequence number. This listing displays the following data in two columns:

    • Sequence number - depends on the type of batch requested

    • Virtual Indicator (V)

    • SSN

    • Process Code

    • Received Date

    The Total Volume of cases in the batch displays as the last line of the listing.

  2. The last page of this listing is a summary page. The summary page only may be printed to use as a batch transmittal. The summary page contains the following data:

    • Process Code,

    • Volume for each PC, and

    • Total volumes of PCs and the dates

1.4.19.4.3  (12-01-2009)
Batch Inventory Report

  1. Batch Inventory Reports list batches by status in batch number order. These reports are generated and can be viewed or printed by the AUR Coordinator, Managers or Lead TEs.

  2. This report contains a menu, which allows the User to select nine data options.

    1. Batch Type - a specified batch type.

    2. Association Batch - all batches that are in "AB" status.

    3. Screening Batch - all screening batches, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

    4. CP 2501 - all CP 2501 batches, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

    5. CP 2000 - all CP 2000 batches, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

    6. Statutory - all Stat Notice batches, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

    7. Complete - all batches, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

      Note:

      Use the Complete Batch Report to determine the overall batch processing within your site and to identify any work flow issues, (i.e. are batches being disassembled timely, are batches aging without actions, etc.). This report has been designated as one of the "Most Important" .

    8. Unit Suspense - This report shows total number of cases assigned to unit suspense batches, the oldest IRS received date and age from the IRS received date. Use this report to determine if the site has excess inventory in the unit suspense and to identify pockets of old work etc.

      Note:

      This report has been designated as one of the "Most Important" .

    9. Recon - all BT 81, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

    Each data option may be detailed by choosing one or all of the Batch Status Codes or Location Numbers.

  3. To view or print the Batch Inventory Report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select batch inventorY from the reports menu and one of the options from the pull-right menu. The applicable window displays.

      Note:

      The COMPLETE option includes all of the other categories except for Unit Suspense.

    4. If the Batch type or Unit suspense options are selected, enter a two-digit batch type (e.g., 29 for Priority Screening, 36 for Screening Unit Suspense, etc.).

    5. Default entries appear in the STATUS, LOCATION, SUMMARY ONLY and SORT ORDER fields. To change a default entry, place the cursor in the field, press <delete> or the <F5> key and enter the correct values for each field.

    6. STATUS - enter the current status of the batch being requested (e.g., "AU" = Assigned Unit, "BF" = Batch Finished, etc.).

    7. LOCATION - enter a three-digit location (unit) number or ALL for all locations.

    8. SUMMARY ONLY - enter either "N" for Detail, which generates a report with batch number, days in status, volume, case volume, location, batch IRS received date, age from IRS received date, and the summary or "Y" for Summary, which generates a report with status, batch volume, case volume, oldest IRS received date and age.

    9. SORT ORDER - enter "D" for IRS received date order or "S" for sequence order.

      Note:

      Batches containing multiple received dates do not display in date order.

    10. Enter "V" (view), "P" (print), or "B" (both).

  4. This report is used to monitor the volume of work available and is continuously updated by the system.

1.4.19.4.4  (12-01-2009)
Weekly Reports

  1. Weekly Reports provide breakdowns of inventory and are system generated during the normal batch processing runs. Report data is maintained by the system until the next time the Report is generated. User generated information is kept for various timeframes, depending on the Report that is selected. If a paper record is required or desired for any data , it should be printed as soon as it is available and the paper record maintained per Campus guidelines.

  2. When Weekly reports is selected from the Report menu, the following pull-right menu displays:

    Note:

    Based on your assigned profile code some of the menu options shown below may not be available.

    1. Inventory

    2. Weekly PC/IPC

    3. Aged Screening Research

    4. Open Transfer

    5. Aged Response Batch Summary

    6. Notice Letter

    7. Extract Category

    8. Statute

    9. 6501D Stat List (valid for TY 2006 and prior)

    10. Reject List

    11. PC Status

    12. Spousal Address

    13. MISTLE

    14. Bankruptcy Status

    15. Available Inventory (valid for TY 2006 and prior)

    16. K1 Tracking

    17. EITC Tracking

    18. Universal View Case Summary

  3. The descriptions of the individual reports that follow (in alphabetical order to make them easier to reference) provide more specific information.

1.4.19.4.4.1  (12-01-2009)
6501D Stat Listing

  1. This listing includes the following information for all open cases where the statute of limitations is to expire within 60 days

    Note:

    This report is valid for TY 2006 and prior.

    • SSN

    • Cases Sequence Number

    • 6501D date

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select 6501D stat list from the pull-right menu.

  3. Use this listing to monitor imminent statute cases to ensure timely action(s) are taken.

  4. The listing can be printed or viewed by the AUR Coordinator and Managers.

1.4.19.4.4.2  (12-01-2009)
Aged Response Batch Summary Report

  1. The Aged Response Batch Summary Report displays batches that are older than the age set by the AUR Coordinator in the parameter table. The primary sort is batch status:

    • Batches Being Built (Unassociated)

    • Associated Batches

    • Scheduled Transfer/Scheduled Pending

    • Assigned to Unit

    • Review Sample

    • Batch Finished

    • Unit Suspense Batches

    The following information displays for each batch status:

    • Response Type

    • Oldest IRS Received Date

    • Age

    • Batch Number

    • Volume/Aged Cases

    • Batch Status

    • Batch Location

    This report includes a summary page that displays the age criteria (over XX days old) and the total volume of aged responses in each batch status listed above.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select agd rsp Bat sum from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this report to monitor the volume and location of aged responses. Identifying and working the oldest responses in batches will reduce your aged correspondence inventory and reduce overall cycle time.

  4. This report can be printed or viewed by the AUR Coordinator and Managers.

    Note:

    This report has been designated one of the "Most Important" .

1.4.19.4.4.3  (12-01-2009)
Aged Screening Research Pull List

  1. The Aged Screening Research Pull List displays information on cases assigned to Research Suspense that are more than 60 days old. The listing provides the following

    • location

    • date the case was assigned to the suspense batch

    • SSN

    • current PC

    • any freeze codes

    • age over 30 days

    • virtual indicator (V)

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select aGed scrn rsrch from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Clerical uses this listing to pull the aged cases as the system automatically closes these cases with PC 29 if the case has not been built into another batch before the 60 days.

  4. This listing can be printed or viewed by the AUR Coordinator and Managers.

1.4.19.4.4.4  (12-01-2009)
Available Inventory Report

  1. The Available Inventory Report displays as aVailable inventory, on the pull-right menu for Weekly reports.

    Note:

    This report is only available for TY 2006 and prior.

  2. No information displays for this report since inventory is now selected at the Headquarters (HQ) level.

1.4.19.4.4.5  (12-01-2009)
Bankruptcy Status

  1. The Bankruptcy Status Listing displays cases that have been identified with a Bankruptcy Freeze code of " -V" and/or "-W" . This report also displays freeze code(s), CSN and SSN of each case identified as Bankruptcy when each extract is downloaded.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select banKruptcy sts from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this listing to identify Bankruptcy cases for pre-notice closure.

  4. This listing can be printed or viewed by the AUR Coordinator and Clerical Managers.

1.4.19.4.4.6  (12-01-2009)
EITC Tracking Report

  1. The EITC Tracking Report provides cumulative statistical data relating to Earned Income Tax Credit (EITC) inventory. The report is broken down by category and sub-category.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select eiTc tracking from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. The report can be viewed or printed by the AUR Coordinator.

1.4.19.4.4.7  (12-01-2009)
Extract Cycle Category Listing

  1. The Extract Cycle Category Listing shows the Subfile and Category types in a specific extract cycle. The categories are further broken down into subcategories. The User enters the desired extract number.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Extract cat from the pull-right menu.

  3. This report is used to monitor the inventory download for each extract. The Extract Category listing is generated weekly when the extract is downloaded.

  4. The listing can be accessed by the AUR Coordinator and Technical Managers.

1.4.19.4.4.8  (12-01-2009)
Inventory Report

  1. The Inventory Report provides a comprehensive breakdown of the total case inventory by tax year in the site. The report displays the following information:

    • total volume

    • volume of cases in the screening process

    • cases screened

    • cases closed

    • cases in the CP 2501 phase

    • cases in the CP 2000 phase

    • cases in the response phase

    • cases in the Stat phase

    • cases in suspense

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Inventory from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this report to determine the overall status of your site's inventory.

    Note:

    This report has been designated as one of the "Most Important" .

  4. This report can be viewed or printed by the AUR Coordinator and Managers.

1.4.19.4.4.9  (12-01-2009)
K-1 Tracking Report

  1. The K-1 Tracking Report provides cumulative statistical data relating to K-1 inventory.

  2. To access the current report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select K1 tracking from the pull-right menu.

    4. Select k1 List from the pull-right menu.

    5. Enter "V" (view), "P" (print), or "B" (both).

  3. To access all available K-1 reports:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select K1 tracking from the pull-right menu.

    4. Select k1 Hist from the pull-right menu.

    5. Enter "V" (view), "P" (print), or "B" (both).

  4. The report can be viewed or printed by the AUR Coordinator.

1.4.19.4.4.10  (12-01-2009)
MISTLE Report

  1. The MISTLE Report consists of two pages. The first page of the report provides period and cumulative totals of various PC groups. The second page provides information on in-house correspondence such as: volume of responses built, volume of aged responses, volume of cases awaiting Action 61, volume of cases awaiting assessments for each phase of the program.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Mistle from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this report each week to monitor the overall progress of the program, including program benchmark dates and closures. The second page of the report is used to monitor in-house correspondence inventory and provides data for the Correspondence Inventory Report (CIR) required by Headquarters.

    Note:

    This report has been designated as one of the "Most Important" .

  4. This report can be printed or viewed by the AUR Coordinator and Managers.

1.4.19.4.4.11  (12-01-2009)
Notice/Letter Listing

  1. The Notice Letter Listing displays the original notice volume and current volume by notice type and notice date, the system purge date and batch number.

    Note:

    The Original Mailout Volumes column may be misleading due to system parameter constraints.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Notice letter from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this report to determine response rates, to ensure that the site is purging suspense batches timely and to identify problem cases that have not purged. Cases identified from this report should be monitored/reviewed to ensure they move to the next phase of the program to meet cycle times.

    Note:

    This listing has been designated as one of the "Most Important" .

  4. The listing can be printed or viewed by the AUR Coordinator or Managers.

1.4.19.4.4.12  (12-01-2009)
Open Transfer Listing

  1. The Open Transfer Listing displays SSNs, by location, that have been transferred to a User and have not been accepted within five days. The report further identifies SSNs that have not been accepted within 15 days. The transfer date and UID are shown to identify the User needing to take action.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Open transfers from the pull-right menu.

    4. Enter either a specific location number or "ALL" .

  3. This listing should be used each week to identify cases that cannot be worked because the transfers have not been accepted and to ensure individual units are working their unit suspense cases timely, ensuring minimum cycle time.

    Note:

    Managers should ensure that cases are accepted on a weekly basis and worked/released as quickly as possible.

    Note:

    This listing has been designated as one of the "Most Important" .

  4. The report is updated by the system weekly and can be printed or viewed by the AUR Coordinator and Managers.

1.4.19.4.4.13  (12-01-2009)
PC Status Listing

  1. The PC Status Listing provides a period and a cumulative count of each PC uploaded.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Pc status from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this listing to see how the inventory has been closed, (i.e. what percentage of cases were fully agreed, no change rate, screenout rate, etc.). The listing can also be used to determine if a site has obtained sufficient closures to meet closure goals.

    Note:

    This listing has been designated as one of the "Most Important" .

  4. The listing is generated weekly and can be printed or viewed by the AUR Coordinator.

1.4.19.4.4.14  (12-01-2009)
Reject Listing

  1. The Reject Listing identifies CP notice cases with reject conditions CSN order.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Reject list from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. The listing is used to pull cases from the suspense file and build into Manual Interest Rejects BT 61 or Rejects BT 39 and must be monitored weekly to ensure timely actions are taken.

    Note:

    This listing has been designated as one of the "Most Important" .

  4. The listing can be printed or viewed by the AUR Coordinator or Clerical Managers.

1.4.19.4.4.15  (12-01-2009)
Spousal Address Report

  1. The Spousal Address Report identifies cases that require address research for the secondary SSN using Command Code (CC) INOLES on IDRS.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select spousal Address from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. The listing can be printed or viewed by the AUR Coordinator and Clerical Managers.

1.4.19.4.4.16  (12-01-2009)
Statute Listing

  1. The Statute Listing provides SSNs of cases with an imminent statute expiration of 120 days or less. The case sequence number and statute date are displayed with the SSN. The SSNs are shown with the earliest statute dates first.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Statute from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this listing to ensure imminent statute cases are given priority treatment.

  4. The listing can be printed or viewed by the AUR Coordinator or Managers.

1.4.19.4.4.17  (12-01-2009)
Universal View Case Summary Listing

  1. The Universal View Case Summary Listing provides weekly and cumulative volumes relating to universal view case activity. The listing displays Case Actions and Info Only access the other 7 sites have taken on your inventory, as well as Case Actions and Info Only access your Users have taken on the other 6 sites inventory.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Uvc summary from the pull-right menu.

  3. This report can be viewed or printed by the AUR Coordinator.

1.4.19.4.4.18  (12-01-2009)
Weekly PC/IPC Listing

  1. The Weekly PC/IPC Listing provides weekly and cumulative volumes for all PCs and IPCs.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Weekly reports from the control menu.

    3. Select Weekly pc/ipc from the pull-right menu.

    4. Enter "V" (view), "P" (print), or "B" (both).

  3. Use this listing to monitor the use of PCs and internal PCs (i.e. is the site using PC RN & SR to process their partial agrees; how many letters are they issuing; how many cases are being referred to TAS, etc.).

    Note:

    This Listing has been designated as one of the"Most Important" .

  4. This listing can be printed or viewed by the AUR Coordinator and Managers.

1.4.19.4.5  (12-01-2009)
Review Sampling - Product Review Sample List

  1. The Product Review Sample List provides a listing of SSNs with a specified PC and in a specific batch. When generating the report, the system prompts the User for sample size.

  2. To access the Product Review Sample List:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select review samplinG from the reports menu and Prod revw smpl from the pull-right menu. The Create Product Review Sample window displays with the cursor in the BATCH NUMBER TO BE REVIEWED field.

    4. Enter the five-digit batch number to be reviewed. The cursor moves to the PROCESS CODE TO BE REVIEWED field.

    5. Enter the two-digit PC to be reviewed. The cursor moves to the SAMPLE PERCENT TO BE SELECTED field.

    6. Enter the two-digit percent of sample size (01-50). The report prints to the default printer.

    Note:

    If Batch Type is Aged CP 2000 STAT Prep BT 59 and the sample size is less than 10%, the system displays a message. Input "Y" to print the listing. Input "N" to return to the previous window.

  3. Use this list to generate a random sampling of work for managerial product reviews.

  4. This listing is only available to Technical Managers for their unit only.

1.4.19.4.6  (12-01-2009)
Batch IRS Received Date Report

  1. The Batch IRS Received Date Report lists SSNs in a specific batch that are older than a specified age, listed in sequence number order with SSN.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select batch irs rcVd from the drop down menu.

    4. Enter the 5 digit batch number and the number of days and press <ENTER>.

  3. Use this report to monitor the age of cases within a batch.

    Note:

    This report can be used to monitor the date range (mixed dates) used in batch building to ensure that aged inventory is not being mixed with new inventory.

  4. This report can be generated and printed or viewed by the AUR Coordinator and Managers.

1.4.19.4.7  (12-01-2009)
Unit Inventory Report

  1. The Unit Inventory Report identifies the cases assigned to each TE in a unit.

  2. The report displays the following information for each TE assigned to the unit:

    • TEs Name

    • UID

    • Location

    • Employee Status code

  3. The report also displays the following information for each case that is assigned to that employee:

    • batch number

    • SSN

    • assigned date

    • PC

    • PC date

    • PC UID

    • DEF CD

    • NEW TRN

    • READ ONLY

    • CORR RECD

    • BP CD

    • SPEC PARA

    Caution:

    Cases assigned to TEs through Universal Work (location XX950) do not appear on the Unit Inventory Report.

  4. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Unit inventory from the drop down menu.

    4. Enter either location number, a specific UID or "ALL" .

  5. Use this report to monitor employee and unit inventories to determine if a unit or an employee is having difficulty working their inventory in a timely manner. As cases assigned to unit suspense are not used to determine "aged inventory" it is vital that employee unit suspense activity be closely monitored.

    Note:

    This Report has been designated as one of the "Most Important" .

  6. This report can be generated and printed or viewed by the AUR Coordinator and Technical Managers.

1.4.19.4.8  (12-01-2009)
Cases In Error Report

  1. The Cases In Error Report identifies cases with error conditions. This report is generated when the status of a specific batch is updated to "BF" or " RB" . Technical Managers can access this report when updating a batch to "BF" status.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Cases in error from the drop down menu.

    4. Enter five digit batch number.

  3. The report is used to identify and to resolve cases with error conditions (i.e. new transactions, missing PCs, special paragraphs, etc.).

  4. It is generated by batch number and can be printed. The left side of the report shows the following case data:

    • SSN

    • Virtual Indicator (V)

    • Process Code

    • PC UID

    • Sequence number within the batch

    • Owner UID

  5. The right side of the report lists the following error conditions which will be marked as identified by the system:

    • NO PC - no PC assigned to the case

    • DEFECT - case has had a quality defect code assigned

    • NEW TRN - new transaction is present on the case

    • PC NOT VER - PC has not been verified (clerical)

    • PYR AGT - new payer agent information is present for the case

    • REQUEST - the case has been requested by another User

    • NEW COR - new correspondence has been received for the case

    • OVER $100K - the tax increase is over $100,000 and requires review

    • SPC PAR - a special paragraph needs to be reviewed

    • LTR PAR - a special paragraph on a correspondex letter needs to be reviewed

    • ACT REQ - action required based on universal access

1.4.19.4.9  (12-01-2009)
Statistical Reports

  1. Statistical reports show statistical data by Subfile and Category where an assessment has been uploaded.

  2. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Statistical from the drop down menu.

    4. Enter the desired beginning and ending date.

  3. This report shows statistical data by Subfile and Income Category where an assessment or refund has been uploaded. Use this report to determine how good the inventory was that HQ selected for the site to work.

    Note:

    This Report has been designated as one of the "Most Important " .

  4. These reports are system generated and can be printed or viewed by the AUR Coordinator.

1.4.19.4.10  (12-01-2009)
Employee Reports

  1. The Employee reports provide information specific to employee cases.

  2. This report option contains a menu, which allows the User to pull five different reports.

    • Open Inventory (employee cases)

    • Closed Inventory (employee cases)

    • Open Transfers (employee cases)

    • Auto Assessments (employee cases)

    • Employee Aging

  3. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select eMployee from the drop down menu.

    4. Select one of the available options from the pull-right menu. The listing options display in the order stated in (2) above..

    5. Enter "V" (view), "P" (print), or "B" (both).

  4. These employee case reports can only be accessed, viewed and/or printed by the Manager authorized to handle employee cases and by the AUR Coordinator.

1.4.19.4.10.1  (12-01-2009)
Open Inventory Report - Employee Cases

  1. The Open Inventory Report displays cases in BT 90 and 91 in Case Sequence Number (CSN) order and cases in BT 92 in SSN order.

  2. To access this report See IRM 1.4.19.4.10. (3), Employee Reports.

  3. Use this report to monitor open employee cases.

  4. This report is generated weekly by the system.

1.4.19.4.10.2  (12-01-2009)
Closed Inventory - Employee Cases

  1. The Closed Inventory report displays all employee cases that are closed. This report displays the SSN, UID, Process Code, and Process Code date.

  2. To access this report See IRM 1.4.19.4.10. (3), Employee Reports.

  3. This report is generated weekly by the system.

1.4.19.4.10.3  (12-01-2009)
Open Transfers - Employee Cases

  1. The Open Transfer report displays the SSNs of employee inventory, by location, that have been transferred from one User to the User authorized to work employee cases and have not been accepted by the receiving User within five days. The report further identifies SSNs that haven’t been accepted within 15 days. The transfer date and receiver UID are shown to identify the User needing to take action.

  2. To access this report See IRM 1.4.19.4.10. (3).

  3. The report is updated by the system weekly.

1.4.19.4.10.4  (12-01-2009)
Auto Assessment Report - Employee Cases

  1. The Auto Assessment Report provides a listing of SSNs, in sequence number order, of employee cases which have been automatically assessed in other than a Fully Agreed Response batch. This listing is accessed to ensure employee cases are in correct adjustment sequence series order for shipment to files. An asterisk (*) displays in the NO SOURCE DOC field when there are no attachments to associate with the Computer Form (CF) 5147.

  2. To access this report See IRM 1.4.19.4.10. (3), Employee Reports.

  3. Generate this report after an employee batch is completed and updated to "RB" status. This report is updated daily by the system and must be printed daily. Each time the AURX060 is run, the report displays new information.

1.4.19.4.10.5  (12-01-2009)
Employee Aging Report

  1. The Employee Aging Report indicates which employee cases have met appropriate timeframes, employee cases closed by the system and employee cases where missing data was received.

  2. To access this report See IRM 1.4.19.4.10. (3), Employee Reports.

  3. The report is updated weekly.

  4. The report can be printed or viewed by the AUR Coordinator and the Manager authorized to handle employee cases.

1.4.19.4.11  (12-01-2009)
Lost Case Report

  1. The information displayed on this report represents all cases currently assigned an IPC LC which automatically moves the cases to Lost Case Suspense BT 98. The report data can be sorted by Batch Assigned Date, CSN or SSN.

  2. The following information is displayed:

    • SSN

    • Virtual Indicator (V)

    • Previous Process Code

    • Process Code Date

    • Old Batch Number

    • Old Batch Location

    • Old CSN

    • Notice Type

    • Notice Date

    • Received Date

    • Total Volume

  3. To access the Lost Case Report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Then select lOst case from the drop down menu.

    4. Select one of the available options from the pull-right menu. The listing options display in the order stated in (2) above.

  4. Monitor/use this report every week to determine if Lost Cases are being worked timely. Frequently, this batch and the cases assigned there, receive low priority. However, lost cases are a significant contributor to increased cycle time and impact overall program goals (i.e. the screening phase is completed, but there are cases in the Lost Case batch that are screening cases; cases that have been assigned to this batch for over a year and no action has been done, etc.). If there are a lot of Lost Cases this is an indication that the site is having a problem in keeping track of their work and could also indicate training needs. Use this report to monitor volumes and as a research document for locating missing cases.

  5. The Lost Case Report is updated continuously and is generated upon demand. It may be viewed or printed by the AUR Coordinator and Clerical Managers.

    Note:

    This report has been designated as one of the "Most Important" .

1.4.19.4.12  (12-01-2009)
Lost Response Report

  1. The information displayed on this report represents all cases currently assigned an IPC LR which automatically moves the cases to Lost Response Suspense BT 97. The report data can be sorted and displayed by either Batch Assignment Date or CSN order.

  2. The report displays the following information:

    • SSN

    • Virtual Indicator (V)

    • Previous Process Code

    • Process Code Date

    • Old Batch Number

    • Old Batch Location

    • Old CSN

    • Notice Type

    • Notice Date

    • Received Date

    • Total Volume

  3. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Then select losT response from the drop down menu.

    4. Select one of the available options from the pull-right menu. The listing options display in the order stated in (2) above.

  4. Use this report to monitor lost case volumes, as a research document for locating missing response information and as a case listing for taxpayer contact. This report should be monitored every week to determine if Lost Responses are being worked timely. Frequently, sites forget about this batch and the cases assigned there, (i.e. the CP 2000 phase is completed, but there are cases in the Lost Response batch that are CP 2000 cases; cases that have been assigned to this batch for over a year and no action has been done, etc.) which results in increased cycle time and poor customer service. A large volume of Lost Responses could indicate problems in keeping track of responses.

  5. The Lost Response Report is updated continuously and is generated upon demand. It may be viewed or printed by the AUR Coordinator and Clerical Managers.

    Note:

    This report has been designated one of the"Most Important" .

1.4.19.4.13  (12-01-2009)
Aging Reports

  1. Aging reports identify cases that have met a specified number of days, that are either systemically set or input by the AUR Coordinator, and are considered aged.

  2. The report data can be sorted and displayed by one of the following pull-right menu options:

    • Disassem batch

    • Complete case

    • Susp aged batch

    • Early suspense (TY 2006 and prior)

    • Part agreed

    • Auto purge (TY 2007 and subsequent)

  3. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Then select Aging from the drop down menu.

    4. Select one of the available options from the pull-right menu. The listing options display in the order stated in (1) above.

  4. These reports are updated weekly and can be printed or viewed by the AUR Coordinator and Clerical Managers.

1.4.19.4.13.1  (12-01-2009)
Disassembled/Age Batch Report

  1. This report displays aged cases still in Suspense BTs 40, 47, 50, 505XX, 55, 60, and 70 past the appropriate purge time and cases still in batches that have been Disassembled, updated to status DC.

    Example:

    Cases in disassembled batches with IPC-MI needing to be built to BT 61 and cases with IPC-RN needing to be built to BT 67.

    • Cases from Suspense batches display on the report within 7 days from system purge date.

    • Cases from batches in DC status display on the next week's report.

  2. The Disassembled/Age Batch Report displays two series of the following:

    • SSN,

    • Virtual Indicator (V)

    • Process Code, and

    • Batch.

  3. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Aging from the drop down menu.

    4. Select Disassem batch from the pull-right menu.

    5. Enter "V" (view), "P" (print), or "B" (both).

  4. Use this report to monitor batches that have been disassembled and SSNs (cases) that have not been built to the appropriate batch.

  5. If the User is unable to locate the case to build, make a site decision to either:

    • Continue processing without the physical case file or

    • Assign the SSN to Lost Case BT 98 and closely monitor for subsequent actions.

  6. The Disassembled/Age Batch Report is generated weekly by the system and can be viewed or printed by the AUR Coordinator and Clerical Managers.

    Note:

    This report has been designated one of the"Most Important" .

1.4.19.4.13.2  (12-01-2009)
Completed Case Report

  1. The Completed Case Report identifies cases in Missing Data Suspense BT 32 when the missing data has been received.

  2. The Completed Case Report displays SSNs followed by the Virtual Indicator (V) if applicable, in four columns. Cases are filed in the Missing Data Suspense in SSN order.

  3. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Aging from the drop down menu.

    4. Select Complete case from the pull right menu.

    5. Enter "V" (view), "P" (print), or "B" (both).

  4. Use this report each week to pull the cases from the suspense file and build to Completed Cases/Screening BT 31.

  5. This report is system generated weekly and can be viewed or printed by the AUR Coordinator and Clerical Managers.

1.4.19.4.13.3  (12-01-2009)
Suspense Aged Batch Report

  1. This report indicates which suspense batches have met the appropriate suspense timeframes. The system has checked for the required conditions (i.e., foreign addresses, new transactions, and new addresses) before updating each case with a code indicating the batch number for the cases next batch assignment.

  2. The Suspense Aged Batch Report displays the following in two series:

    • Suspense Batch

    • Notice Date of the Suspense Batch

  3. To access this report:

    1. Select Control from the main menu.

    2. Select Reports from the control menu.

    3. Select Aging from the drop down menu.

    4. Select Susp aged batch from the pull-right menu.

    5. Enter "V" (view), "P" (print), or "B" (both).

  4. Use this report to monitor suspense batches, ensuring all cases that have met the appropriate suspense timeframes continue through AUR processing. Each week, clerical builds the cases physically present in the suspense batches listed on the report.

  5. The report is system generated weekly and can be viewed or printed by the AUR Coordinator and Clerical Managers.


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