1.4.19  Automated Underreporter Technical and Clerical Managers and Coordinators Guide (Cont. 1)

1.4.19.3 
Telephones - Toll Free

1.4.19.3.9  (11-01-2014)
Track Telephone Time Reporting

  1. Assistors should charge their time based on the criteria below:

    1. Time spent on Aspect either taking incoming calls from taxpayers or making outgoing calls as a result of the Aspect call should be charged to 700-48X40. Ensure that the call back occurs on an Aspect phone in the appropriate Agent Group.

    2. Call backs on paper inventory should be charged to the appropriate "paper" ; 710 Organizational Function Program (OFP) (ie: CP 2501 response, CP 2000 response, Stat Notice Response or Reconsiderations).

      Note:

      Outgoing phone calls should be made using the black/pbx phone or an Aspect User ID other than your incoming line.

    3. Calls involving identity theft should be recorded under 700-48043.

    4. Cases ordered while on telephone duty should be charged to the appropriate OFP for the status of the case.

  2. The TSA forwards the Daily Agent Performance by Team Number report, to the manager. This report is a managerial tool and should not be shared with assistors. Compare entries on timesheet (Form 3081) to the times shown on the report to ensure time is reported accurately.

    Note:

    If the Daily Agent Performance by Team Number report is unavailable, time sheet entries can be compared with the daily telephone schedule or the ATTS.

1.4.19.3.10  (11-01-2014)
Telephone Reports and Monitoring

  1. User reports provide call activity statistics on a particular assistor or on all assistors signed on to the system. Several types of User reports may be requested through your TSA or if you have the capability, on Custom View, Report Writer/Runner.

    • An Agent Performance Team (Daily) by Team Name Report - displays general phone statistics for all assistors in a team or department grouping.

    • A Sign Off/On Report by Team - displays assistors state throughout the day, when they signed on and off the phones and when no idle code state in a team or department grouping.

    • A Daily Phone Report by Team displays total phone statistics for each assistor in a team or department grouping.

    • A Short Call Report by Tam displays all assistors with short calls within a set parameter and who disconnected the call in a team or department grouping.

    • A New Reason Code report by Team or Agent displays each assistor idle code and the time stamp and duration spent in the specific idle codes.

    • An Agent Event Detail Report displays specific information on a particular assistor

  2. User reports may be used as a manager's tool when performing an assistor’s regular scheduled review.

1.4.19.3.10.1  (11-01-2014)
Agent Performance Team (Daily) by Team Name Report

  1. The Agent Performance Team (Daily) by Team Name Report shows general call activity for all assistors signed on to the system during the specified time period. The report lists assistors by agent groups and displays the following statistics for each group:

    1. Name and Extension # - the name and extension number of each User. Users are listed under the agent group that they are part of when the report is generated.

    2. Signed on Duration - the length of time that assistors were signed on within the specified timeframe.

    3. Incoming - the number of incoming calls, the average length in minutes and seconds (duration of incoming calls divided by the number of incoming calls), and the percentage of calls handled that were incoming (the Incoming Number times the Incoming Avg. Length divided by the time shown in Signed on Duration times 100).

    4. Outgoing - the number of outgoing calls, the average length in minutes and seconds, and the percentage of calls that were outgoing.

      Note:

      The length of Incoming and Outgoing calls includes the time the caller spent on hold, but not the time the assistor spent in wrap up.

    5. Inside - shows the number of inside calls, the average length in minutes and seconds, and the percentage of calls handled that were inside. The inside calls time value includes inside calls made and received by the assistor.

      Note:

      The length of an inside call includes the time the caller spent on hold. These figures are calculated similarly to Incoming calls.

      Exception:

      Transferred calls are counted as both Incoming and Inside calls and can increase Inside call counts. The TSA can run a Detail report, which displays the originating and destination extensions for each inside call, and indicates if the call involved a transfer.

    6. Cust Msg Duration is not applicable.

    7. Voice-Mail Duration is not applicable.

    8. Percentage of Time for Available, Idle, or Wrap-Up - the percentage of time that the assistor spent in each of these states. The system calculates these percentages by dividing the duration of time in these states by the Signed-On Duration value, then multiplying the result by 100.

    9. Working Time - the total amount and percentage of time that an assistor spent working with calls. The type of activities included in this calculation are incoming calls, outgoing calls, Available state, and others. The system calculates the percentage by dividing the working time duration by the signed on duration, then multiplying the result by 100.

1.4.19.3.10.2  (11-01-2014)
Agent Event 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 TSA 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 Agent Event 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  (11-01-2014)
Daily Availability/Shortage Log

  1. AUR telephone managers are required to adhere to the schedule forwarded by the TSA or designated person, on a daily basis. All changes to the schedule must be reported daily on the Availability/Shortage Log within 1 hour of the start of the manager's tour of duty. The 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.

  2. The following items must be reported on the Daily Availability/Shortage Log:

    1. Shortages on phones for Spanish and Practitioner Priority Services (PPS) lines, if applicable.

    2. Changes to breaks, lunch, team meetings, read time, other meetings, training and special projects.

    3. When assistors are pulled off the phones for any reason.

1.4.19.3.10.4  (11-01-2014)
Work Planning and Control Report (WP&C)

  1. The Work Planning and Control Report (WP&C), is a report that tracks hours and call volumes.

  2. Phone assistors record the time spent answering phone calls on a daily basis using ATTS.

  3. Using the Agent Reporting Summary Call report, the volume is entered into the BBTS system every Monday for the previous 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 percent.

1.4.19.3.11  (11-01-2014)
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 press the BAD LINE button on the Aspect phone. This does not resolve the problem, but it sends a report to the TSA, 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 press the BAD LINE button on the Aspect phone. This does not resolve the problem, but it sends a report to the TSA, 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 press the BAD LINE button on the Aspect phone. This does not resolve the problem, but it sends 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 press the BAD LINE button on the Aspect phone. This does not resolve the problem, but it sends a report to the TSA, 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 TSA 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 TSA.

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

    1. Call the TSA to report the Canvas problem.

    2. Use Web View to monitor until the Canvas becomes available.

    3. If neither the Canvas or Web View are available, follow the phone schedule explicitly until the Canvas comes up again.

  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 TSA.

  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 TSA 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 (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 (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 reinforces 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 decreases 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 TSA for assistance.

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

1.4.19.3.12  (11-01-2014)
Reporting Problems to the Telephone System Analyst (TSA)

  1. Managers should notify the TSA when problems have been identified. Some of the issues managers should address with the TSA 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

    • Aspect System troubleshooting

    • How to read reports generated by the TSA staff

    • Contact recording

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

    • The TSA's name

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

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

  3. Depending on the type of problem being experienced, the TSA normally asks 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)
Compliance Manager's Reviews - General

  1. All Compliance managers are required to conduct the following applicable reviews:

    • Telephone monitoring (where applicable)

    • Workload reviews and on-line reviews

    • IDRS reviews

    • Evaluative reviews

    • Non-evaluative reviews

    • Clerical reviews

  2. Reviews should focus on effective case resolution according to IRM guidelines. Emphasize the achievement of quality service.

  3. Headquarters, Directors, Operations and Department Managers set review requirements for their respective operations. Conduct a balance of these reviews throughout the year and include a variety of types of reviews. When necessary conduct side-by-side non-evaluative reviews for skill development.

1.4.19.4.1  (06-01-2006)
Non-Evaluative Reviews

  1. The primary purpose of a non-evaluative review is to help employees develop and enhance their job skills. Effective non-evaluative reviews foster open lines of communication between the employee, manager and the lead TE. These reviews enable the manager/lead TE to convey employee feedback and transfer operational goals in an informal manner.

  2. Non-evaluative reviews do not contain a numerical rating. The results are to be shared orally. Some documentation is appropriate to establish that the review actually took place (EQRS may be used to track employee development for this purpose).

    1. Have the employee initial and date any documentation.

    2. Provide one copy for the employee and retain the other copy.

1.4.19.4.2  (06-01-2006)
Mandatory Reviews - AUR

  1. The manager is primarily responsible for performing evaluative reviews; however, a portion may be delegated to the lead TE, with the exception of IDRS Security Reviews and where only one type of review is required during the employee’s evaluative period. Although performing some of the reviews may be delegated, the manager must always present the results to the employee in order for the review to be used for evaluative purposes.

  2. There are various types of evaluative and non-evaluative reviews used to observe and evaluate employee’s performance throughout the year. The following is a list of the reviews that should be performed to effectively evaluate an employee, if applicable:

    • Paper Case

    • Telephone Monitoring

    • Workload

    • Inventory Management - follow campus/HQ direction

    • Systems Security

    • Age/Inventory

    • On-the Job

    • Form 3081, Employee Time Report, and other Reports

    • Suspense case reviews

      Note:

      This list is not all inclusive.

1.4.19.5  (06-01-2006)
AUR Quality Review - General

  1. There are four types of review which can be accomplished within the AUR system:

    • Individual Quality

    • Managerial Review - The manager is responsible for managerial reviews

    • Unit Review

    • Underreporter Notice Reviews

    Note:

    A technical review should be performed on No Response and Undeliverable cases.

  2. Current AUR system designs do not allow for two users to easily access the same case simultaneously. If the monitor/reviewer accesses the case before the assistor, it can prevent the assistor from accessing the taxpayer’s account in a timely manner. This presents a challenge when monitoring employee activity on incoming Aspect calls. The monitor can successfully review assistor calls by either:

    1. Utilizing Contact Recording: This functionality records activity for randomly selected call(s) and allows the monitor to review the call(s) at a later time.

    2. Waiting until call completion to access the taxpayer information on the AUR system.

1.4.19.5.1  (11-01-2011)
Individual Quality Review

  1. Individual quality review is performed by the designated quality reviewer. To perform these reviews:

    1. Select the tax year from the AUR Year menu.

    2. Select reView from the AUR main menu.

    3. Select Quality from the review menu.

    4. Select Q a case review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

    5. Enter the SSN of the case to be reviewed.

    6. Press <Enter> the case data will display.

    7. When the review is complete, press <F8> to exit.

1.4.19.5.1.1  (12-01-2008)
Reviewing Quality Errors

  1. The manager may review cases identified as having errors that have been returned from a reviewer.

  2. To review a case:

    1. Select the tax year from the AUR Year menu.

    2. Select reView from the AUR main menu.

    3. Select Manager from the drop down menu.

    4. Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

    5. Enter the SSN of the case to be reviewed.

    6. Press <Enter>. The case data displays.

    7. When the review is complete, press <F8> to exit.

  3. If the error is not appropriate, return the case to the review examiner for reconsideration following campus directions.

  4. If the error is valid, return the case to the original TE for correction.

  5. After reconsideration and/or correction, take the following action to acknowledge the Review Error Indicator:

    1. Select the tax year from the AUR Year menu.

    2. Select reView from the AUR main menu.

    3. Select Manager from the drop down menu.

    4. Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

    5. Enter the SSN of the case to be reviewed.

    6. Press <Return>. The case data displays.

    7. Click in the REVIEW ERROR field on the Case Analysis screen. Place a "Y" in the field, indicating the case has been reconsidered and/or corrected and reviewed. The asterisk (*) and the "Y" remains indicating the case was in error.

    8. Press <F4> to commit.

    9. Press <F8> to exit.

  6. This process must take place prior to the batch being updated to "BF" status. If not, the Case in Error screen appears with an asterisk in the DEFECT COLUMN field.

1.4.19.5.2  (06-01-2006)
Managerial Individual Review

  1. Managerial Individual Reviews are performed by the manager or designated examiner. This review is performed on any TE assigned to their unit.

  2. To perform this review:

    1. Select the tax year from the AUR Year menu.

    2. Select reView from the AUR main menu.

    3. Select Manager from the drop down menu.

    4. Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

    5. Enter the SSN of the case to be reviewed.

    6. Press <Return>. The case data displays.

    7. When the review is complete, press <F8> to exit.

1.4.19.5.3  (06-01-2006)
Unit Reviews

  1. Unit Reviews are performed by designated TEs. This review is performed on any batch assigned to a unit.

  2. The review is performed by accessing the History/View/Request Case window.

    1. Select the tax year from the AUR Year menu.

    2. Select reView from the AUR main menu.

    3. Select View case from the drop down menu. The History/View/Request Case window displays with the cursor in the ENTER SSN field.

    4. Enter the SSN of the case to be reviewed. The selected case displays.

    5. When the review is complete, press <F8> to exit.

1.4.19.5.4  (11-01-2011)
Notice Reviews

  1. Notice reviews are performed by a designated group of TEs. As there is no file copy of the CP 2000 for review, the review is performed on-line by taking the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select reView from the AUR main menu.

    3. Select Manager from the drop down menu.

    4. Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

    5. Enter the SSN of the case to be reviewed. The selected case displays.

    6. When the review is complete, press <F8> to exit.

  2. The review can also be performed by:

    1. Select the tax year from the AUR Year menu.

    2. Selecting reView from the AUR main menu.

    3. Selecting View case from the drop down menu. The History/View/Request Case window displays with the cursor in the ENTER SSN field.

    4. Enter the SSN of the case to be reviewed. The selected case displays.

    5. When the review is complete, press <F8> to exit.

  3. All notice reviews are batched by the control function into BT 95. See IRM 4.19.2.5.59, Batch Type (BT) 95 (Review), for additional information regarding BT 95. The CP 2000 Notice review is mandated, requiring review results (reports) be sent to AUR HQ each week.

1.4.19.6  (11-01-2011)
Monitoring and Reports

  1. 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.

  2. The AUR System provides numerous methods to monitor inventory through history windows and inventory reports. 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

1.4.19.6.1  (11-01-2014)
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 1.4.19-7, AUR Report Matrix, which lists each report and listing with the report frequency, access capabilities, and purpose.

  5. 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

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

1.4.19.6.1.1  (11-01-2014)
Accessing Reports and Listings

  1. Reports and listings are accessible for viewing or printing. See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports.

  2. To access and view a report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

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

    4. Select the report or listing to view/print. The report/listing opens in a Microsoft Internet Explorer Window.

1.4.19.6.1.2  (11-01-2014)
Printing Reports and Listings

  1. Reports and listings open in a Microsoft Internet Explorer Window as outlined in IRM 1.4.19.6.1.1, Accessing Reports and Listings.

  2. After accessing the desired report or listing you can print the report/listing by taking the following actions:

    1. Select File from the menu.

    2. Select Print from the drop down menu.

    3. 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.

    4. Press <F8> to exit.

    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.

1.4.19.6.2  (11-01-2014)
Batch Listings

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

    Note:

    Use this option with BT XX950 to identify and monitor UWCs that may need to be released.

  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

  3. 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

  4. To access batch listings:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Batch listings from the drop down menu.

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

    6. Select one of the available options from the pull right menu (Complete or Summary) for the Sequence Number - SSN - PC Listing and the PC - Sequence Number - SSN Listing. The Batch Listings window displays with the cursor in the ENTER BATCH NUMBER field.

    7. Enter the batch number. The selected Batch Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Batch from the Control menu.

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

    5. Select Status/location from the pull right menu. The Update Batch Status window displays with the cursor in the BATCH field.

    6. Select Reports.

    7. Select Batch listings from the drop down menu.

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

    9. Select one of the available options from the pull right menu (Complete or Summary) for the Sequence Number - SSN - PC Listing and the PC - Sequence Number - SSN Listing. The Batch Listings window displays with the cursor in the ENTER BATCH NUMBER field.

    10. Enter batch number. The selected Batch Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  6. 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 screen out rate for the batch.

1.4.19.6.2.1  (11-01-2010)
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)

  2. 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

1.4.19.6.2.2  (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 depends on the type of batch requested.)

    • SSN

    • IRS Received Date/Suspense Date

    • Virtual Indicator (V)

  2. 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

  3. 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 screen out rates for screening batches

    Note:

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

1.4.19.6.2.3  (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 may be printed to use as a batch transmittal. The summary page contains the following data:

    • Process Code

    • Volume for each PC

    • Total volumes of PCs and the dates

1.4.19.6.3  (11-01-2014)
Batch Inventory Report

  1. Batch Inventory Reports list batches by status in batch number order. These reports are generated on demand 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 - displays a specified batch type.

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

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

      Note:

      System built Screening Batches that contain only virtual cases are identified as a Virtual Batch (V) on the reports.

    4. CP 2501 - displays 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 - displays all CP 2000 batches, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

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

    7. Complete - displays 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 - displays the 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:

      Managers should monitor this report on a weekly basis. This report has been designated as one of the "Most Important" .

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

    Note:

    For d - g above - the virtual field contains a "Y" when the original cases were ELF/EZ (virtual) or an "N" when the original cases were paper.

  3. Each data option may be detailed by choosing one or all of the Batch Status Codes or Location Numbers within the selected data option. The Status categories are further broken down by:

    • Batch Number

    • Days in Status

    • Volume

    • Location

    • Batch/IRS Received Date

    • Age from IRS Received Date

  4. The Batch Inventory Report also provides a summary page. This page displays:

    • Batch Status

    • Batch Volume

    • Case Volume (number of cases assigned to batches)

    • Oldest IRS Received Date

    • Age (number of days from IRS Received Date)

  5. To view or print the Batch Inventory Report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select batch inventorY from the drop down 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.

    5. 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.).

    6. 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 <F5> and enter the correct values for each field.

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

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

    9. 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.

    10. SORT ORDER - enter "D" for IRS received date order, "S" for sequence order or "A" for aged order.

      Note:

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

      SORT ORDER How Report Displays
      S Displays all batches in sequential order.
      D Displays each BT in date order with the oldest date first.
      A Displays each BT in aged order with the newest being listed first.
    11. VIEW - Enter V (view), the selected Batch Inventory Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

1.4.19.6.4  (11-01-2014)
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 Reports 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 Transfers

    5. Aged Response Batch Summary

    6. Notice Letter

    7. Extract Category

    8. Statute

    9. Reject List

    10. PC Status

    11. MISTLE

    12. Bankruptcy Status

    13. K1 Tracking - (this option has a pull right menu with "K1 List" and "K1 Hist" options)

    14. EITC Tracking

    15. Universal View Case Summary

    16. IDT Inventory (this option has a pull right menu with IDT Suspense Inventory)

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

1.4.19.6.4.1  (11-01-2014)
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. The Batch Status Types are broken down by:

    • Batches Being Built (Unassociated)

    • Associated Batches

    • Assigned to Unit

    • Review Sample

    • Batch Finished

    • Unit Suspense Batches

  2. The following information displays for each batch status:

    • Response Type

    • Oldest IRS Received Date

    • Age

    • Batch Number

    • Volume/Aged Cases

    • Batch Status

    • Batch Location

  3. The Batch Number Types are broken down by:

    • CP 2501

    • CP 2000

    • Statutory Notice

    • Unit Suspense

  4. The Aged Response Batch Summary Report also provides a summary page. This page displays the summary of responses by Batch Status Type, that are older than the age set by the AUR Coordinator in the parameter table. The summary page displays the following:

    • Batches Being Built

    • Associated Batches

    • Assigned To Unit

    • Review Sample

    • Batch Finished

    • Unit Suspense Batches

      Note:

      The summary page also provides the total volume of all batches meeting the report criteria.

  5. To access this report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select agd rsp Bat sum from the pull right menu. The Aged Response Batch Summary Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  7. This Report can be accessed by the AUR Coordinator and managers. It is system generated weekly and may be viewed and/or printed.

  8. This report has been designated one of the "Most Important" and should be monitored on a weekly basis.

1.4.19.6.4.2  (11-01-2014)
Aged Screening Research Pull List

  1. The Aged Screening Research Pull List displays information on cases assigned to Research Suspense (BT 34) that are more than 30 days old. The listing provides the following

    • Case Location

    • Assigned Date

    • Virtual Indicator (V)

    • SSN

    • Process Code

    • Freeze Code

    • Age Over 30 Days

  2. To access this report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select aGed scrn rsrch from the pull right menu. The Aged Screening Research Pull List opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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 within 60 days. Use this list to prevent automatic case closure of cases by identifying them in time to move the case data to another batch type for processing.

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

  5. This listing should be monitored on a weekly basis.

1.4.19.6.4.3  (11-01-2014)
Bankruptcy Status

  1. The Bankruptcy Status Listing displays cases that have been identified with a "-V" and/or "-W" freeze code. Bankruptcy cases with a "-V" freeze can be identified by the presence of a TC 520 and closing code 60 through 67, 83 or 85 through 89. Bankruptcy accounts with a "-W" freeze will have a TC 520 with a closing code of 81 or 84. 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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select banKruptcy sts from the pull right menu. The Bankruptcy Status Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  4. The listing is generated weekly, can be viewed or printed by the AUR Coordinator and managers and should be monitored on a weekly basis.

    Note:

    In addition to the AUR reports, bankruptcy inventory should be monitored every month using AIS, PACER, and IDRS.

1.4.19.6.4.4  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select eiTc tracking from the pull right menu. The EITC Tracking Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

1.4.19.6.4.5  (11-01-2014)
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.

  2. To access and/or print this report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Extract cat from the pull right menu. The Extract Category Listing window displays.

    6. Enter the six digit cycle number (i.e. 201341). The Extract Category Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  3. This report is used to monitor the inventory download for each extract.

  4. The Extract Category listing is generated weekly when the extract is downloaded. The listing can be viewed by the AUR Coordinator and technical managers.

1.4.19.6.4.6  (11-01-2014)
IDT Suspense Inventory Report

  1. The IDT Suspense Inventory Report identifies identity theft cases.

  2. This report is used by the IDTSpT groups to monitor their inventory and is displayed by UID number.

  3. The report provides the following:

    • User ID

    • SSN

    • IRS Rec'd Date

    • Assign date

    • Letter date

    • Age from IRS Rec'd Date

    • Age from Assign date

    • Age from Letter date

  4. To access this report take the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select IDT Inventory from the pull right menu.

    6. Select IDT Suspense Inventory from the pull right menu. The IDT Suspense Inventory window opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  5. This report helps monitor IDT Suspense Inventory (BT 89003, 89004, 89005, 89006 or 89009.)

  6. The IDT Inventory is generated weekly. The listing can be viewed by the AUR Coordinator and technical managers.

1.4.19.6.4.7  (11-01-2014)
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 (this list is not all inclusive):

    • 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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Inventory from the pull right menu. The Inventory Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  4. This report has been designated as one of the "Most Important" and should be monitored on a weekly basis.

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

1.4.19.6.4.8  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select K1 tracking from the pull right menu.

    6. Select k1 List from the pull right menu. The K-1 AUR Case Tracking Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  3. To access all available K-1 reports:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select K1 tracking from the pull right menu.

    6. Select k1 Hist from the pull right menu. The K-1 AUR Case Tracking Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

1.4.19.6.4.9  (11-01-2014)
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/Policy Statement P-21-3, and volume of cases awaiting assessments for each phase of the program.

  2. To access this report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Mistle from the pull right menu. The MISTLE Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

  4. This report has been designated as one of the "Most Important" and should be monitored on a weekly basis.

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

1.4.19.6.4.10  (11-01-2014)
Notice/Letter Suspense 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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Notice letter from the pull right menu. The Notice/Letter Suspense Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

  4. This report has been designated as one of the "Most Important" and should be monitored on a weekly basis.

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

1.4.19.6.4.11  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Open transfers from the pull right menu. The Open Transfers window displays.

    6. Enter either a specific location number or "ALL" . The Open Transfer List opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

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

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

1.4.19.6.4.12  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Pc status from the pull right menu. The PC Status Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  4. This listing has been designated as one of the "Most Important" and should be monitored on a weekly basis.

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

1.4.19.6.4.13  (11-01-2014)
Reject Listing

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

  2. To access this report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Reject list from the pull right menu. The Reject Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

  4. This listing has been designated as one of the "Most Important" and should be monitored on a weekly basis.

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

1.4.19.6.4.14  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Statute from the pull right menu. The Statute Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  4. This report should be monitored on a weekly basis.

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

  6. On a quarterly basis, verification that the Operation has completed the required search for cases that are statute imminent is sent to the Planning and Analysis (P & A) Staff. The P & A staff forwards a consolidated Campus report to the Headquarters Statute Analyst.

1.4.19.6.4.15  (11-01-2014)
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 6 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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Uvc summary from the pull right menu. The Universal View Case Summary Listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  3. This report is generated weekly and can be viewed or printed by the AUR Coordinator.

1.4.19.6.4.16  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Weekly reports from the drop down menu.

    5. Select Weekly pc/ipc from the pull right menu. The AUR Weekly PC/IPC listing opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  4. This listing has been designated as one of the "Most Important" and should be monitored on a weekly basis.

  5. This listing is generated weekly and can be printed or viewed by the AUR Coordinator and managers.

1.4.19.6.5  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select review samplinG from the drop down menu.

    5. Select 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.

    6. Enter the batch number to be reviewed. The cursor moves to the PROCESS CODE TO BE REVIEWED field.

    7. Enter the PC to be reviewed. The cursor moves to the SAMPLE PERCENT TO BE SELECTED field.

    8. Enter the two digit percent of sample size (01-50). The Product Review Sample List opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

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

  4. This listing is generated on demand and is available to technical managers for their unit only.

1.4.19.6.6  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select batch irs rcVd from the drop down menu. The Batch IRS Rcvd window displays with the cursor in the ENTER BATCH NUMBER field.

    5. Enter the batch number and press <Enter>. The cursor moves to the ENTER NUMBER OF DAYS field.

    6. Enter the number of days and press <Enter>. The Batch IRS Received Date Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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 is generated on demand and can be printed or viewed by the AUR Coordinator and managers.

1.4.19.6.7  (11-01-2014)
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. Use Batch Listing (XX950) to identify and monitor UWCs that may need to be worked.

  4. To access this report:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Unit inventory from the drop down menu.

    5. Enter either location number, a specific UID or "ALL" . The Unit Inventory Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

  6. This listing has been designated as one of the "Most Important" and should be monitored on a weekly basis.

  7. This report is generated on demand and can be printed or viewed by the AUR Coordinator and technical managers.

1.4.19.6.8  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

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

    5. Enter the batch number and press <Enter>. The Cases In Error Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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 are 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

1.4.19.6.9  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select Statistical from the drop down menu. The Statistical window displays with the cursor in the ENTER BEGINNING DATE field.

    5. Enter the desired "Beginning" and "Ending" date in MM/DD/YYYY format. The Assessment Report By Date opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

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

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

1.4.19.6.10  (11-01-2014)
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 the tax year from the AUR Year menu.

    2. Select Control from the AUR main menu.

    3. Select Reports from the Control menu.

    4. Select eMployee from the drop down menu.

    5. Select one of the available options from the pull right menu. The listing options display in the order stated in (2) above. The selected Employee Report opens in a Microsoft Internet Explorer Window.

      Note:

      See IRM 1.4.19.6.1.2, Printing Reports and Listing, for information on how to print reports and listings.

  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.

1.4.19.6.10.1  (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 1.4.19.6.10(3), Employee Reports.

  3. Use this report to monitor open employee cases.

  4. This report is generated weekly by the system.


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