1.4.21  Accounts Management and Compliance Guide for System Administrators/Analysts

Manual Transmittal

November 17, 2014

Purpose

(1) This transmits revised IRM 1.4.21, Resource Guide for Managers - Accounts Management and Compliance Guide for Systems Administrators/Analysts.

Material Changes

(1) Editorial changes have been made throughout this IRM.

(2) IRM 1.4.21.1.2(1) - Removed Headset Repair/Replacement procedures, as there is no longer a process for the headsets to be repaired.

(3) IRM 1.4.21.1.2.8 (2)(4) - Updated instructions to convert a downloaded Contact Recording WAV file for workstations without Ultra 10.

(4) IRM 1.4.21.1.2.12 (3) - Deleted reference to a Contact Recording Troubleshooting Guide.

(5) IRM 1.4.21.1.2.12 (5) - Updated names and descriptions of Impact 360 software packages.

(6) IRM 1.4.21.1.2.14 (6) - Deleted paragraph instructing SA staffs to conduct security sweeps as this instruction does not apply to all sites.

(7) IRM 1.4.21.1.3 - Added an example to managing telephone.

(8) IRM 1.4.21.1.3.1 (2) - Updated table to add telephone numbers for SB/SE Predictive Dialer (ACS) 877-766-2161, W&I Automated Substitute for Return Reconsideration (ASFR Recon) 866-897-33370, W&I Automated Substitute for Return (ASFR) Refund Hold 866-897-3315, W&I Predictive Dialer 877-968-3413, and W&I Innocent Spouse 855-851-2009.

(9) IRM 1.4.21.1.3.1 (3) - Removed telephone number for W&I Refund Hold from table.

(10) IRM 1.4.21.1.5 (2) - Updated table, procedure for eWFM when user cannot access eWFM software.

(11) IRM 1.4.21.1.5 (2) - Updated table, procedure for Peripheral when agent is unable to SIGN-ON Teleset.

(12) IRM 1.4.21.3 (5) - Updated last bullet, added name of eWFM shared drive folder for Skills Assessment Template.

(13) IRM 1.4.21.4 (4) - Updated NOTE to provide accurate web address for AM Field SharePoint.

(14) IRM 1.4.21.6 (1) - Updated Table to remove definition for Administrative User as we do not use this option.

(15) Exhibit 1.4.21-9 - Updated the TDA and Combined table to correct number 10 to be “COLSED” instead of “Closed.”

Effect on Other Documents

IRM 1.4.21 dated December 13, 2013 (effective January 1, 2014) is superseded.

Audience

Systems Administrators/Analysts in Accounts Management and Compliance call sites

Effective Date

(01-01-2015)

James P. Clifford
Director, Accounts Management
Wage and Investment Division

1.4.21.1  (01-01-2013)
SYSTEM ADMINISTRATORS/ANALYSTS (SA) OVERVIEW

  1. The system administrators/analysts make up the System staff, as defined in IRM 1.4.21.1.1, Definitions. This staff works with call center management, Directorate staff, Business Operating Division (BOD) staff, and Joint Operations Center (JOC) staff to effectively manage the call center systems and staffing. This IRM section applies specifically to call center analysts in Accounts Management and Compliance. The IRM provides general operational objectives, various techniques, methods, and guidelines for managing the call center. This IRM should be used in conjunction with other guidelines provided by JOC, BOD, and Directorate staffs and is not intended to circumvent established lines of authority. Additionally, this IRM is not intended to supersede negotiated agreements. Some subsections are directed to a specific operation identified in the title subsection name.

    Note:

    Currently the responsibilities of the systems analyst vary from site to site even within the same organization. This IRM is intended to provide an outline of guidelines for the SA positions. Specific "how to information" should be provided directly from the local site under the direction and guidelines provided by JOC, BOD and Directorate staffs. Vendor-provided user guides should also be used as a reference to provide the required information necessary to complete the tasks associated with the various components of the call site environment.

  2. BOD staffs are responsible for managing the Automated Call Distributor (ACD) functionality for Accounts Management and Compliance. Compliance includes the Wage and Investment (W&I), Small Business and Self-Employed (SB/SE), and Automated Collection System (ACS) functions. These staffs submit change requests to the JOC staff who administers the ACD systems and modifies call routing to meet current business goals. The business goals are generally published in the annual Program Letter and posted on their respective BOD website. BOD and JOC analysts are responsible for analyzing the forecasted customer demand, planning workforce staffing needs, and monitoring program delivery (both quantitatively and qualitatively) in order to provide a level of service that the individual organization requires.

  3. The website addresses for the BOD and JOC staffs are as follows:

    • Accounts Management (AM) BOD: http://win.web.irs.gov/accounts.htm

    • W&I Compliance BOD: http://win.web.irs.gov/compliance.htm

    • SB/SE Compliance BOD: http://mysbse.web.irs.gov/default.aspx

    • JOC: http://joc.enterprise.irs.gov/

1.4.21.1.1  (01-01-2013)
Definitions

  1. The "System staff" may also be referred to as "Telephone system staff" , "Telephone staff" , or "SA staff" . This staff, located at the call centers within Accounts Management and Compliance, are comprised of various positions listed below. The System staff is jointly responsible for roles and responsibilities listed in IRM 1.4.21.1.2, System Staff Roles and Responsibilities.

    Note:

    Not every position listed below may exist at each call center. Questions related to authorized positions should be directed to the directorate and BOD staffs. The duties are based on the PD description and may vary by site. The structure and responsibilities of the system staff may also vary by site and business unit.

  2. The Group/Unit Supervisor, under classification IR-301-06, is responsible for: assigning, directing, and reviewing the work of subordinate employees; planning, scheduling, and coordinating work operations; planning and carrying out the training and development of employees; evaluating employees' work performance; and performing all other related administrative functions. Duties are listed in Position Description (PD) 91716.

  3. The Program Analyst, under classification GS-343-12, serves as the Customer Service Systems Administrator for call site operations. The call site provides taxpayer assistance through a variety of Toll–Free, Non Toll-Free and Compliance services. Call site services may consist of, but are not limited to, any or all of the following: Automated Collection System (ACS), Tax Law, Notice and Accounts, Refunds, Practitioner Priority Service (PPS), Employer Identification Number (EIN), National Taxpayer Advocate (NTA), Criminal Investigation (CI), Examination and/or Automated Under Reporter (AUR), etc. The Systems Administrator ensures that a variety of duties essential to the effective operation of the call site are performed. provides technical and administrative support to lower graded systems analysts. and works closely with call site management on planning and delivery of performance objectives. Duties are listed in PD 94752. This position may be referred to as System Administrator and should not be confused with the 2210 series.

  4. The Telephone Systems Analyst, under classification GS-301-11, serves as the System Analyst for call site operations. The call site provides taxpayer assistance through a variety of Toll–Free, Non Toll-Free and Compliance services. Call site services may consist of any or all of the following: Automated Collection Service (ACS), Tax Law, Notice and Accounts, Refunds, Practitioner Priority Service (PPS), Employer Identification Number (EIN), National Taxpayer Advocate (NTA), Criminal Investigation (CI), Examination and/or Automated Under Reporter (AUR), etc. The Systems Administrator provides technical and administrative support to the System Analyst, who performs a wide range of system functions essential to the effective operation of the call site. The work performed by the System Analyst supports the efforts of the Systems Administrator in areas such as staffing, scheduling and performance monitoring. Duties are listed in PD 94732.

  5. The Telephone Systems Analyst, under classification GS-301-09, serves as the System Analyst, at the developmental level, for call site operations. The call site provides taxpayer assistance through a variety of Toll–Free, Non Toll-Free and Compliance services. Call site services may consist of any or all of the following: Automated Collection Service (ACS), Tax Law, Notice and Accounts, Refunds, Practitioner Priority Service (PPS), Employer Identification Number (EIN), National Taxpayer Advocate (NTA), Criminal Investigation (CI), Examination and/or Automated Under Reporter (AUR) etc. The duties of this position are performed under the guidance of the higher graded System Analyst and the System Administrator. As such, the GS-09 analyst is learning to perform a wide range of system functions essential to the effective operation of the call site. The incumbent supports the efforts of the higher graded Systems Analyst and System Administrator in areas such as staffing, scheduling and performance monitoring. Duties are listed in PD 94731.

  6. The Gatekeeper, under classification GS-344-07, serves as the Management and Program Assistant for the operations. This responsibility is carried out in a technical environment where changes to the employees' tours of duty, lunch, break and read times must be monitored to ensure adequate staffing is available for the telephone and inventory operations. The work performed by the Management and Program Assistant supports the operations in areas such as call delivery, staffing, and operational performance issues. Duties are listed in PD 97078.

  7. The Computer Assistant, under classification GS-335-09, serves as the first point of contact for technical support to computer system end-users. The incumbent ensures security of functional area computers. coordinates the implementation of automated applications. and provides training to functional area users. Duties are listed in PD 94772. Other PDs may include PD 92160 and PD 95549 . This position may also be referred to as the functional coordinator.

  8. The Business Application Administrator (BAA) is not a specific position but most often an assigned role. The BAA engages in a variety of functions related to the Ultra 10 system. Each site will designate a BAA to support and administer the Ultra 10 System.

    Note:

    This collateral duty is not necessarily the responsibility of the site SA as defined by this IRM. Some sites may assign these collateral duties to the Systems Administrator/Analyst or another individual in the site.

1.4.21.1.2  (01-01-2015)
System Staff Roles and Responsibilities

  1. Your roles and responsibilities as the System staff include the following:

    1. Provide JOC/BOD/Directorate staffs the required staff information for forecasting staffing projections. Review the planning period requirements to ensure that the pattern of actual staffing is consistent with the Intra-day pattern scheduled (percentage spread across the half hours). Determine if additional training should be planned and/or changes in tours of duty, breaks and lunches, or meeting and read times need to be made to better meet the customer demand.

    2. If training is required to meet application requirements, work closely with the Operations Manager and the Training Coordinator to develop a training plan that can be accomplished without negatively affecting the site's ability to deliver the telephone and/or inventory. Training that cannot be done within the existing schedules should be considered during periods of overstaffing or low call volumes. If required training cannot be performed within the schedules, work with the Directorate Planning and Analysis and BOD staffs for possible assistance from another site within the Directorate and/or the Enterprise.

    3. Plan adherence to the half-hourly telephone staffing schedules for all applications developed by JOC/BOD/Directorate and report any circumstances which prevent adherence to the staffing requirements that require deviation (additions, subtractions or reassignments) when required. Develop a methodology to account for slippage (employees time spent in non work or not ready status) by application to ensure that the requirements for each application are met and make every attempt to minimize the impact of unknown slippage on application staffing.

    4. Schedule read time, meetings and all off phone activities to meet the customer demand as displayed in the telephone staffing requirements. After all steps have been taken, determine if a pattern change or a revision to the peak application requirements should be requested.

      Note:

      Read and team meeting times should also be in accordance with the Customer Service Agreement guidelines.

    5. Ensure employee data is current, accurate, and follows the standard operating guidelines for the workforce management software. Establish a communication strategy with local management for personnel actions that affect the accuracy of the employee data.

    6. Ensure the ACD system is opened and staffed to receive incoming calls per the site schedule, review the JOC website and other associated web pages for alerts and instructions, and update the JOC website daily contact information.

    7. Monitor the system and report system problems to the JOC monitoring room. If instructed, initiate appropriate referrals (tickets) to the Information Technology (IT) staff or software vendor.

    8. Monitor the actual demand compared to planned demand using ACD monitoring software such as CustomView Director or WebView. Monitor site action items notated on the JOC website operations log. Note unusual demand patterns and research to determine if employees should be moved to other applications; contact JOC for approval to move agents based on your observations. Be prepared to move employees to or from non-phone activities based on current demand.

    9. Promote adherence to schedule by ensuring that all employees are aware of the impact that non-compliance has on delivery of application adherence, services, etc. Promote and/or monitor employee adherence to schedule using Real-Time Adherence (RTA) software. Alert management for appropriate action when it is noted that adherence to schedule is affecting service goals. Coordinate with management in scheduling any activity that impacts the site's ability to meet the application requirements.

    10. Run necessary reports to supply local, directorate and headquarters management sufficient information for planning staffing needs to meet phone and non-phone activities and to access actual performance of scheduled employees. Examples of reports from the eWorkforce Management (eWFM) software include Intra-day Timeline, Intra-day Performance, Daily Tallies, Agent Availability, and Agent Activity. There is also a report available from RTA called the Alarm Summary Report;

    11. Develop reports to aid in the achievement of goals and measures. Items of concern may include improper transfers, average handle time, and percent of time spent in hold or wrap. Provide information regarding systems operation and the call routing process.

      Note:

      For those sites using the Matrix reporting tool, the responsibility of maintaining this tool with current data may be assigned to the System staff.

    12. Customize CustomView screens/canvasses as needed to aid in the achievement of the goals and measures. Respond to inquiries and requests for information from management.

    13. Assist JOC/BOD/Directorate with resource allocations (request to increase, decrease or change agent group to meet demand) and complete actions required (such as sign in extension at site on selected agent group when required, e.g., 92 for emergencies).

    14. Review and run the reports from the systems (i.e., Ready Report, Weekly Staffing, Planning Document, Group Staffing Requirement, etc.) to determine if the operation is achieving its goals (i.e., adherence to schedule and others outlined on the JOC web page) and identify problems that may exist with the system. Distribute reports to the appropriate managerial levels. This includes the TRIS/ICCE (Telephone Routing Interactive System/Integrated Call Center Environment) reports where applicable. The TRIS/ICCE Management Action Reports (MAR) will generate under the appropriate Directorate, based on the Business Operating Division (BOD) of the account. There should be one consolidated MAR for all call sites within the Directorate. The Planning and Analysis (P&A) staff will determine who within the directorate is to work the MAR. See IRM 21.2.1.35, ICCE Management Action Reports (MAR) (Telephone and Internet), for the sites designated and their area of responsibility. In addition, Client Reports from the TRIS /ICCE system may be required to identify Voice Response Unit (VRU) call patterns for a particular application (e.g., Call Type, Product Line).

      Note:

      The assortment of reports required by each site will vary. Once again, please adhere to the requirements of JOC, BOD, and your Directorate.

    15. Provide assistance to managers and employees in association with the system, including all components, i.e., eWFM, CustomView, Enterprise Telephone Data (ETD), Crystal reports, etc., when required. This includes creation, modification and deletion of user extensions, profiles and passwords on the ACD, ACS and other systems where applicable. Conduct training in these software packages when appropriate.

      Note:

      Many of these systems require users to use the OL5081 application for new and modified access. The System staff should contact their BOD staff for specific guidance on 5081 requirements.

    16. Check voice port utilization, if applicable.

    17. Check voice disk space if applicable, to ensure standard operation of the announcements on the ACD. Ensure messages are retrieved/removed from the ACD, when applicable.

    18. Monitor the system and correct or report anomalies (i.e., long wrap or idle time conditions, long call waiting, hung trunks, etc.).

    19. Request and distribute hardware (i.e., headsets, phones, voice tubes, etc.) required to support the operation of the ACD. Maintain an inventory of replacement and disposable items for the ACD. The procedures for Aspect TeleSet Repair/Replacement can be obtained from the JOC Website at Aspect Teleset Procedures.

    20. Ensure the ACD system is closed to incoming calls per the site schedule and all calls currently in the site are cleared from the queue. Make sure that all users sign-off the system at the end of their tours of duty.

    21. Complete or ensure completion of maintenance on the ACD system and its components as scheduled or when required (i.e., database backups, voice system backups, etc.).

    22. Provide management with reports regarding employee ACD activity, as requested. This may include supporting the Automated Time Tracking System (ATTS) reports, where applicable. Samples are discussed below in IRM 1.4.21.1.6, Telephone Program Reports.

    23. Report occurrences of "Cross-talk" to JOC for resolution. See IRM 1.4.21.1.5, Trouble Reporting Procedures, below.

    24. Support management in the establishment and reporting of tours of duty according to the guidelines in the National Agreement.

    25. Support management in the administration and reporting of leave according to the guidelines in the National Agreement and Customer Service Agreement.

      Note:

      For those sites using the eLeave tool, the responsibility of maintaining this tool may be assigned to the System staff.

    26. Review specific business SharePoint site information for additional action items and guidance.

1.4.21.1.2.1  (01-01-2013)
Roles and Responsibilities for Compliance SAs

  1. Your roles and responsibilities as a Compliance SA include all duties listed in IRM 1.4.21.1.2, System Staff Roles and Responsibilities, and also the following:

    1. Ensure that Query Management Facility (QMF) queries are in place to assist in managing the ACS site priority inventory. The queries will be based on current ACS business rules.

    2. Manage the ACS training database to ensure that new employees are assigned and removed after training is accomplished.

1.4.21.1.2.2  (01-01-2013)
Roles and Responsibilities for Business Application Administrator (BAA)

  1. Your roles and responsibilities as a Business Application Administrator (BAA) include the following and will vary based on your profile:

    1. Maintain the Ultra 10 database (this includes adding, updating and removing teams, leaders and members).

    2. Approve On-Line 5081 for system access to Ultra 10 at the site level within a specific business unit.

    3. Receive and respond to managerial requests to update users.

    4. Receive and review local requests for downloaded contacts and maintain the requests.

    5. Profiled BAAs have the ability to save and delete downloaded contacts on the Ultra 10 secure server.

    6. Selective Retention is a feature that certain Business Units will utilize. Profiled BAAs will have the ability to retain contacts through the Ultra 10 database. Only previously recorded and downloaded contacts will be stored on the secure CR (Ultra 10) server. (See IRM 1.4.21.1.2.10, Selective Retention, for details.)

    7. Designated BAAs have the responsibility to conduct training for new Ultra 10 users, including managers.

    8. Monitor application performance and troubleshoot problems.

    9. Open Knowledge Incident/Problem Service Asset Management (KISAM) tickets when Ultra 10 is not functioning properly and all efforts from the business unit have failed to restore recordings.

    10. Monitor the system and report system problems to Contact Center Support Division (CCSD). (See IRM 1.4.21.1.2.12, BAA Troubleshooting, for instructions.)

      Note:

      To the extent possible, it is recommended that primary and backup BAA tours of duty cover the site telephone hours of operation so they are available for support and troubleshooting.

1.4.21.1.2.3  (01-01-2013)
BAA: Requests for Downloaded Contacts

  1. On occasion, it will be necessary to download and store or download and share copies of recorded contacts. Each site will identify users to be profiled for download permissions.

  2. The ability to download contacts in a site is generally limited to the BAAs. All BAAs must have secure e-mail capabilities.

  3. The BAA template includes download permissions. The permissions in the BAA template allows the individual to download both audio (.wav) and screen (.avi) files from Ultra 10.

  4. Requests for downloading a contact should be in writing and the requestor should be verified. Form 13817, Request for Downloaded Contact, is available for this purpose but a request by memorandum or e-mail containing the same information as in the Form 13817 is acceptable. Verbal requests should not be accepted; however, if a verbal request is received, the BAA may complete the Form 13817 and forward to the requestor for signature Form 13817.

  5. Contacts will be downloaded in the following situations:

    1. Local Treasury Inspector General for Tax Administration (TIGTA) requests (See IRM 1.4.21.1.2.4, TIGTA Request, for details.)

    2. Management requests (See IRM 1.4.21.1.2.5, Managerial Request, for details.)

  6. Procedures for Saving Downloaded Contacts: Copies of the downloaded contacts and the original request (form, memo or e-mail) should be saved in one of three locations: CD-ROM, the SBU folder on the user’s D drive, or the "sensitive but unclassified" (SBU) folder on the secure Ultra 10 server.

1.4.21.1.2.4  (01-01-2011)
Treasury Inspector General for Tax Administration (TIGTA) Request

  1. Local TIGTA representatives will occasionally ask to have a contact downloaded and provided to them. These requests are often made in person, by phone, fax or e-mail. The BAA handles local requests for download; however, if TIGTA requests a high volume of downloads, refer the request to the BOD coordinator for referral to the Program Office for handling.

  2. If the request is made via fax or e-mail, the request must contain the following:

    • Reason for request

    • Date of contact

    • Name or badge number of employee

    • Site name

    • Start time of contact

    • Name of requestor

    • Organization symbols

    • Function

    • Signature of requestor

    • Date of request

1.4.21.1.2.5  (01-01-2014)
Managerial Requests

  1. Management may request download of a recorded contact . The reason for the request must be stated clearly on Form 13817, Request for Downloaded Contact, and must be approved by the local Field Director or authorized delegate. In general, downloaded files are to be retained for a period longer than the minimum system retention period (45 days) if selective retention is not an option or to provide a copy of the contact to another party when necessary (TIGTA, Labor Relations (LR), etc.)(See IRM 1.4.21.1.2.10, Selective Retention)

  2. Below are examples of valid request:

    • Employee disputes the Embedded Quality Review System document collection instrument (EQRS DCI), meets with the manager (with or without a representative) and there is disagreement over the content of the contact.

    • Gross employee misconduct

    • Evidence of potential criminal intent by the customer or employee

  3. Below are examples of requests that should be denied:

    • Singular customer complaint

    • "Just in case" requests

1.4.21.1.2.6  (01-01-2014)
Freedom of Information Act (FOIA)

  1. Under the Freedom of Information Act, each taxpayer has the right, subject to certain limitations, to access records and documents maintained by the IRS.

  2. FOIA requests are handled by the Disclosure Office. Disclosure should contact the Contact Recording Program Office to initiate FOIA requests. If a request comes directly to you, refer the request to the Business Operating Division (BOD) Coordinator for referral to the Program Office for handling.

1.4.21.1.2.7  (01-01-2013)
Download Approval

  1. Once the request (Form 13817) has been reviewed for completeness, the request should be routed to the Director or a designated representative for approval. Requests not meeting IRM 1.4.21.1.2.3, BAA: Requests for Downloaded Contacts, should be referred to the BAA’s manager for review prior to routing to the designated representative. Approval authority may be extended to the local Operations Manager or Department Manager. The download can take place once approval is received.

  2. Exception for TIGTA requests - to prevent delay of investigations, it is not necessary to obtain Director/Operations Manager or delegate approval prior to downloading the file and providing it to TIGTA.

1.4.21.1.2.8  (01-01-2015)
Downloading Contacts

  1. To download recordings:

    1. Search for and open the segment for playback and Select >Download

    2. A dialog box will appear with 2 check-boxes - one for audio and one for screens. Both boxes are checked if screens are available. For audio only, remove the check mark for screens if screen was recorded. The file extension is .WAV for audio only. For both audio and screen, leave both check-marks. The file extension is .AVI.

      Note:

      AVI files will only play on workstations with the Ultra software or Verint codec loaded. Open an IT ticket if software is needed. All Freedom of Information Act requests (see IRM 1.4.21.1.2.5, Managerial Requests) must be provided in .WAV format since there is a chance of non-related PII information being disclosed with screen recording.

    3. The system will automatically launch Windows Media Player (WMP) and begin playing the contact.

    4. Right-click in the open Windows Media Player window and select >File and select >Save Media As to save the file to your D drive, SBU folder. Do not change the name or extension (.WAV or .AVI) of the file.

  2. If the .WAV file must be played on a workstation without Ultra 10 software, it must be converted to a playable format.

    1. Select >Start >Programs >Accessories >Entertainment >Sound Recorder. A small window will pop up.

    2. Go to the downloaded file by selecting >File >Open. When the Open File dialog box pops up. Navigate to the location where the file was saved and select >Open. The Sound Recorder dialog box will open. Note that the name of the file is in the top bar of the dialog box.

    3. Change the name of the file so that it will not overwrite the downloaded copy by selecting >Save As and then change the name in the File Name field. For example, add "conv" just before the .WAV to distinguish between the highly compressed downloaded file and the converted file.

    4. Convert the file to a playable format by right-clicking on the downloaded file. Within the pop-up menu, click on Verint Convert. If this option is not available, contact your BOD Rep for assistance.

  3. Once the file has been saved, it can be sent to the requester via secure e-mail. Send the file with both Encryption and Digital Signature. Delete local copies of the file and delete the email from your sent folder.

  4. If the file will be retained locally, place files on a Guardian Edge Removable Storage (GERS) encrypted CD in locked storage or store downloaded contacts in the SBU folder on the D drive.

1.4.21.1.2.9  (01-01-2013)
Record Keeping and Storage of Downloaded Contacts

  1. The BAA should keep a record of all requests for download. Audit trail logs are created when downloads are made, which are subject to subsequent review. Specific instructions regarding Freedom of Information Act requests received from taxpayers will be contained in IRM 21.1.3.17.1, Freedom of Information Act (FOIA).

  2. All requests (forms and e-mails) for downloaded contacts that are held for retention should be reviewed quarterly (every 90 days) to determine the need for continuing file retention (the downloaded and stored contact). It will often be necessary to contact the initiator of the request to determine the need for ongoing storage. Contacts considered no longer necessary for retention will be deleted from SBU storage.

  3. The Form 13817 and similar documents will be stored according to document retention requirements or a minimum of five (5) years after the contact has been deleted (per 31 CFR103.38(d)).

  4. Specific instructions regarding the disposition of records relating to downloaded contacts (forms, notes, screen shots, and audio recordings) are contained in Document 12990, Records Control Schedules.

1.4.21.1.2.10  (01-01-2013)
Selective Retention

  1. Ultra 10 automatically retains all recorded contacts for 45 days. If a contact is reviewed and a form is completed in Ultra 10, the contact will automatically be retained for 60 days (Retention Level 1) beyond the date of the contact.

  2. Occasionally there will be a need to retain recordings beyond the 45 and 60 day system retention periods as defined in IRM 1.4.21.1.2.6, Freedom of Information Act (FOIA).

  3. Recorded contacts can be retained up to 18 months (Retention Level 2) from the date of the contact by using the Selective Retention feature.

    1. To set Selected Retention for a contact, open the contact from within the Ultra Quality application. Opening the contact will automatically load the appropriate form(s) for your organization. If your organization has enabled selective retention, one of the available forms will be designated for setting retention levels.

    2. Select the listed reason for retention or "Other."

    3. Click on Summary at the bottom of the page to expand the section.

    4. Using the drop down arrow, change the status to Retention Level 2.

    5. In the Comments section, briefly state the reason for retention, name of requestor, and desired period of retention.

    6. Click Submit.

      Note:

      Clicking Save will not activate the Selective Retention feature. You must click Submit.

  4. If it is deemed a recorded segment set to Retention Level 2 (18 months) no longer needs to be retained, BAAs with permission to edit/delete evaluations can reset the recording to Retention Level 1 and the file will be deleted. Typically these permissions are held by the Systems Manager.

    1. Locate the evaluated segment using the IntelliQuality application.

    2. Click Edit Evaluation.

    3. Click on Summary at the bottom of the page to expand the section.

    4. Using the drop down arrow, change the status to Retention Level 1. These contacts will remain in the system for a minimum of 60 days from the date of the contact.

    5. Click Submit.

      Note:

      Clicking Save will not activate the Selective Retention feature. You must click Submit.

1.4.21.1.2.11  (01-01-2013)
Managing Users in Ultra 10

  1. Definitions- The Ultra 10 application requires assigning users specific permissions (based on roles) and placing them within the hierarchy of users. To manage users in Ultra 10, it is useful to understand the structure of the database.

    1. User Permissions: Users of the Ultra 10 application are profiled for specific permissions according to their position description and job duties. Users are considered anyone with a profile in the Ultra 10 database.

    2. Ultra 10 User Manager: User profiles are managed using the web based User Manager application, which is accessed from Ultra 10 Toolbox. The Toolbox link is located on the Ultra 10 portal. Only users with permission to User Manager have access to Ultra management tools. These individuals are collectively known as Business Application Administrators (BAAs).

    3. Templates: Ultra 10 uses Templates to assign profiles to users in the system. Templates have been created for all user types. BAAs can apply Templates to a single user or multiple users at the same time. The use of Templates ensures that all users of a type are set up exactly the same. The use of Templates enables updating permissions and rights for all members of a user group at the same time. The current Templates in Ultra 10 are:
      Agents
      Leads
      Managers
      Department and Operations Managers
      Planning and Analysis (P&A)
      Quality Group and Quality Team
      Field Directors
      Headquarters Analyst
      BOD Reps
      Business Application Administrators
      Suspensed

    4. Hierarchy: The Ultra 10 hierarchy is a series of groups and subgroups. Each group or sub-group contains user’s assigned permissions depending on what actions they need to perform in Ultra 10. Users can be placed in groups as Leaders, Members or both.

    5. Leaders: Users assigned to a group as a leader have access to the recordings of users assigned as members of the same group or of groups that reside below the user's assigned group. They also have access to evaluations made by other leaders of their group and of leaders assigned to groups that reside below their group.

    6. Members: Users assigned as members are generally assistors needing to be recorded. Members will not be able to access the recording of other members unless they are also set up as leaders.

  2. New Users: All new users must be assigned as a member of a Group so that contacts will be delivered to the manager’s inbox for review. Assistors must be profiled and placed in the Ultra 10 hierarchy prior to logging onto Aspect and taking calls for the first time. Each new user added to the system must be validated against the Active Directory Domain (DS). If the employee has not yet been added to the DS domain, they cannot be added to the database. Once a user is imported to Ultra 10:

    1. Apply the appropriate template.

    2. Assign them to the appropriate group.

    3. Populate Assistors and Leads (agent and lead templates) with PBX ID and Switch.

    4. Modify the time zone according to the user’s location. The templates are set to Eastern Time zone by default.

  3. Moving Users- BAA should follow the directions below when relocating users:

    1. Reassignments - When users move from one group to another, place the user into the new group as a member or a leader depending on their role. If the user is moving to a new function or site, the losing site should move the user to an established ‘suspensed’ group. The receiving site will then be able to place the user into a local group within the Ultra 10 hierarchy.

    2. Removals (Retired, Resigned, etc.) - When users leave employment, remove the user from the former group and move the user to an established Suspensed group. Place the user in the Suspensed group according to the month and year or the removal.

    3. Furlough and Extended Absence - When a user is furloughed, on extended leave (Military, etc.), or on a detail, place the user into a Suspense group as a member and remove the user from the former group.

    4. Deletions - The ability to delete users from the Ultra 10 database is reserved for BOD Representatives.

1.4.21.1.2.12  (01-01-2015)
BAA Troubleshooting

  1. General Troubleshooting and System Maintenance - BAAs must work with managers and leads to ensure assistor's calls are being recorded and delivered to group inboxes for review. Reports of missing contacts are generally the first indication of workstation software and/or configuration problems or server (Voice Acquisition Module (VAM)) errors. BAAs should also review the system routinely to ensure the system is functioning normally, BAAs should periodically:

    1. Review for contacts with screen. If there are no recent contacts with screen, this may be an indication of problems. As a general rule, 10 percent of contacts should have screens.

    2. Review for assistors with greater than 10 percent screen capture. If assistors consistently have greater than 10 percent of screens recorded, contact the functional BOD representative to ensure screen capture is restored to system settings. (If individual assistors receive more than 10 percent, the remaining staff will have reduced screen capture).

  2. Enhanced BAA Permissions – A limited number of BAAs will be granted permission to search for "All Groups and Users." This allows the BAA to perform open searches in Ultra 10 and identify contacts that have been recorded but are not associating with specific assistor login information. These situations generally indicate workstation configuration errors. BAAs with enhanced permissions can directly trouble-shoot the causes of workstation configuration errors. BAAs with enhanced permissions will work with site level BAAs to identify faulty workstations and the local BAA will resolve the workstation configuration problem or open a ticket if necessary. Each function (Accounts Management (AM), Compliance, Electronic Products and Services Support (EPSS)) will develop its allocation of duties between BAAs with enhanced permissions versus BAAs with standard permissions.

    Note:

    OL5081 has not been updated to reflect the BAA with enhanced permissions. Until this update is made, the functional BOD representatives will work with the business to establish who these individuals will be.

  3. KISAM Tickets – When BAAs are unable to resolve an identified issue directly, a Knowledge Incident/Problem Service Asset Management (KISAM) ticket should be opened describing the problem in detail. A distinction must be made whether audio (voice), screen capture problems or both. Please include the number of users and agents affected. For example, if contacts are not being delivered to the inbox, identify the number of assistors with contacts not being delivered in addition to the number of users (leads and managers) affected. Specific examples should be provided to help resolve the issue. If individuals other than BAAs submit tickets, the BAAs should be informed and identified as the POC whenever possible depending on the problem encountered. You should submit the following:

    1. Computer Names

    2. Instrument Numbers

    3. Acquisition Module Numbers

    4. Screen Acquisition Module Numbers

    5. Channels

    6. Affected assistors by name and SEID

    7. Times when the employee will be taking calls

  4. Software Packages - Verint Ultra version 10 has 2 software installation packages. When submitting a ticket to have software installed, specify which package is needed:

    1. BAAReviewer – Individuals who will use the system but will not be recorded.

    2. CSReviewer – Leads and Assistors – those who take calls and will be recorded.

  5. For users with Windows 7, there are new software packages. These will not be deployed to XP clients, except when an employee (CSReviewer) is upgraded to Win 7 before the manager/analyst that needs to review them; this will allow the manager/analyst to continue reviewing all employee contacts. The new software packages to be requested for Windows 7 are:

    1. CAS_CSReviewer_Impact360v10 – This package is for CSRs and Leads.

    2. CAS_BAAReviewer_Impact360v10 – This package is for Managers, Analysts and most BAAs.

    3. CAS_Verint_Convert_Utility – This is an additional package needed for those who must convert downloaded recordings to be played on workstations without the Verint codec.

    4. CAS_Verint_Convert_Utility – This is an additional package needed for those who must convert downloaded recordings to be played on workstations without the Verint codec.

1.4.21.1.2.13  (01-01-2013)
Systems Security Responsibilities

  1. For security purposes, perform the following tasks:

    1. Prepare written instructions to users and conduct training to promote overall system security.

    2. Maintain a current and historical master record of all control numbers, ACS (Automated Collection System), RACF (Resource Access Control Facility) and IDRS (Integrated Data Retrieval System) users within the call site where applicable.

    3. Control access of authorized employees to ACS, RACF and IDRS through distribution and/or update of new passwords and profiles.

    4. Maintain on the parameter file system-wide records concerning security.

    5. Perform periodic reviews of IDRS command code profiles with managers to ensure that employees have only those command codes that are required to complete the job.

    6. Assure that profile change requests are appropriate and meet security criteria.

    7. Monitor security reports.

    8. Ensure that ACS, RACF and IDRS violations are identified and appropriate remedial actions are taken where applicable.

    9. Inform management of continuing violations and provide appropriate documentation.

    10. Maintain appropriate records of security violations.

      Note:

      Some or all of these functions may be assigned to someone other than the SA in some call sites as a collateral duty. Bargaining unit employees are not permitted to perform the security segment of IDRS security.

1.4.21.1.2.14  (01-01-2015)
Employee and Building Security Responsibilities

  1. In situations of threats received on the telephone (i.e., bomb threats, suicide threats, or other threats of bodily harm to employees or their families), the phone representative will push the EMERGENCY button on the Aspect Teleset, Voice Over Internet Protocol (VOIP) Phone, or Uniphi Connect screen display to allow the call to be recorded on the telephone system.

  2. This procedure will begin the recording of the conversation on the telephone system and notify the SA an emergency exists at the phone representative's work station.

  3. Notify CCSD/TIGTA and obtain the following details for tracing the call:

    • Product line on which the call was received

    • Time received and length of call

    • Employee extension number

  4. Provide the detailed information to CCSD and TIGTA and make the recorded telephone call available if requested.

  5. Maintain a copy of the trunk record, agent and trunk detail reports in a security file. This information may be required for future reference.

  6. In the event of Fire Alarms or Drills and other building evacuations

    1. Assistors should be advised to explain there is an emergency in the building and follow the call site procedure. In most cases if this is a call back they should apologize and offer to return the call as soon as possible and then hang up. If this is an incoming call, they should apologize and request that the caller try again later or on another day and end the call.

    2. Notify JOC as soon as possible at the start and once the event is concluded.

1.4.21.1.3  (01-01-2015)
Managing the Automated Call Distributor (ACD)

  1. Your primary responsibilities are to:

    • Monitor telephone system.

    • Manage the telephone system, e.g., voice back up to DVD-RW.

    • Ensure adherence to schedule.

    • Follow other guidelines or objectives provided by JOC/BOD/Directorate.

  2. The telephone system consists of a number of components including the telephone service vendor circuitry, ACD, other computerized hardware, software, terminal equipment within the call site and the cabling necessary to connect all of the components into a working system.

1.4.21.1.3.1  (01-01-2015)
Call Center Environment / Contact Center Environment (CCE)

  1. The CCE is an infrastructure dedicated to support taxpayers and IRS partners, who want to communicate with the IRS via telephone network. Such communications include conversation with customer service personnel, inquiries via verbal and keypad exchange with special computing platforms. To ensure effective operations, the CCE is made up of state of the art call routing and distribution (ACD, ICM (Intelligent Call Management)), and Computer Telephone Integration (CTI) platforms (i.e., Voice Response Unit (VRU)). Listed below are the major components of the Contact Call Center Environment:

    1. Automated Call Distributors (ACD): This is the part of the infrastructure performing distribution of taxpayer calls between resources (Agents and VRUs) within a call center (i.e., Aspect). The call distribution process is interactive with a caller and driven by information provided by a caller via a telephone dial pad. Before the caller can reach a particular ACD, a call is routed nation-wide by the ICM system. ACDs are specialized telephone switches that connect the call center to other call center resources.

    2. Computer Telephone Integration (CTI, VRU): This segment represents a special purpose infrastructure built to provide integration between telephone-voice technology and computer-based applications. It includes platforms incorporating two types of interfaces and translation between them: telephone interfaces, communicating analog voice and telephone signaling, and computer interfaces, communicating digital data. CTI platforms, sometimes called Voice Response Units (VRU) or Interactive Voice Response (IVR), are deployed in the CCE to support such telephone-based applications as TRIS/ICCE, and TELETAX. These platforms collect the necessary information to direct the caller to the appropriate resource. The Internet Service Node (ISN), a web-based platform, will collect caller information to determine the skill needed to handle the issue. This platform performs Prompt/Collect, Queuing, and Call Control services for Contact Centers and self-service IVR applications. The accumulation of telephone calls will be placed in a queue until delivery can be initiated to a resource like a phone representative. The prompter communicates with the Intelligent Contact Management (ICM) to understand the correct place to send a call. Phase II of the ISN launched Enterprise Queue (EQ). This features allows work types (e.g., calls, paper correspondence, e-mail) to be treated as if they are part of single large enterprise queues. In this manner the ICM platform can look at all IRS resources across the enterprise, as if they were part of a single, large agent pool for a single application. Calls are queued at the national level for distribution to the next available resource at any call site.

    3. Intelligent Contact Management (ICM): ICM is one component of the Contact Center Environment (CCE) that provides skill and status based call routing between multiple IRS Call Centers. It monitors real-time status and availability of Automated Call Distributors (ACD), Voice Response Units (VRU) and Agents (Customer Service / Collection Representatives) at more than 25 Call Centers and directs Public Switch Telephone Network (PSTN) Service Provider (Verizon) to route a call to a particular destination. Such real-time call management is performed based on a dedicated ICM’s server-network infrastructure, which is comprised of central ICM servers (at two locations: Enterprise Computing Center at Martinsburg (ECC-MTB) and Enterprise Tennessee Computing Center at Memphis (ECC-MEM); and peripheral ICM servers at the call centers).

    4. Customer Voice Portal (CVP): CVP is also referred to as: Customer Voice Portal - Enterprise Queuing (CVP-EQ) and Internet Service Node (ISN)/Customer Voice Portal (CVP). In any case CVP is a web-based platform that provides for Prompt/Collect, Enterprise Queuing, and Call Control services for contact centers and self-service Interactive Voice Response (IVR) application. It allows the Contact Center Environment (CCE) to become a multi-channel contact center (instead of a call-only center). Customer Voice Portal - Enterprise Queuing allows calls to queue in a central network location instead of at the individual call sites. The call is in queue for every agent group in the enterprise that can handle it. Queuing calls at an enterprise level is a more efficient use of resources since it prevents calls from being "stuck" at one site, while there are resources available at another. Doing so helps ‘normalize’ queue times across the enterprise. See additional information in IRM 3.42.7.12, Internet Service Node (ISN)/ Customer Voice Portal (CVP).

  2. Compliance sites are designed to handle toll-free calls for a variety of compliance related customers. A listing of product lines by business unit is shown in the table below. Callers may be prompted for account specific information, like their social security number (SSN) or employer identification number (EIN) to facilitate account look-up and routing. Callers may also receive informational messages to answer common inquiries or provide general information while on hold.

    Business Unit Product Line Telephone Number
    SB/SE Automated Collection System (ACS) 800–829–3903
    SB/SE Automated Collection System (ACS) International 267–941–1004
    SB/SE Automated Underreporter (AUR) 800–829–8310
    SB/SE Automated Underreporter (AUR) International 267–941–1026
    SB/SE Business Master File (BMF) Automated Underreporter (AUR) 877-571-4712
    SB/SE Business Master File (BMF) Automated Underreporter (AUR) International 801-612-4822
    SB/SE Centralized Case Processing (CCP) Internal 800-831-0284
    SB/SE Correspondence Examination 866-897-0161
    SB/SE Correspondence Examination Frivolous Filer 866-883-0235
    SB/SE Correspondence Examination International 267-941-1037
    SB/SE Currency Transaction Report - Bank Secrecy Act - Foreign Bank and Financial Account Reports (CTR BSA FBAR) - also known as Bank Secrecy Act (BSA) 866-270-0733
    SB/SE CTR BSA FBAR International 313-234-6146
    SB/SE Estate and Gift 866-699-4083
    SB/SE Excise 866-699-4096
    SB/SE Excise International 859-292-0456
    SB/SE Government Liaison and Disclosure (GLD) Help Desk 866-591-0860
    SB/SE Insolvency External 800-973-0424
    SB/SE Lien External 800-913-6050
    SB/SE Lien Internal 800-913-4170
    SB/SE Manually Monitored Installment Agreement (MMIA) 866-897-4289
    SB/SE Partial Pay Installment Agreement (PPIA) 800-831-0273
    SB/SE Predictive Dialer (ACS) 877-766-2161
    W&I Automated Collection System (ACS) 800-829-7650
    W&I Automated Substitute for Return (ASFR) 866-681-4271
    W&I Automated Substitute for Return Reconsideration (ASFR Recon) 866-897-3370
    W&I Automated Substitute for Return (ASFR) Refund Hold 866-897-3315
    W&I Automated Underreporter (AUR) 800-829-3009
    W&I Correspondence Examination 866-897-0177
    W&I Compliance Services Collection Operation (CSCO) Combat Zone 800-908-0368
    W&I Innocent Spouse 855-851-2009
    W&I Predictive Dialer 877-968-3413
         
    W&I Withholding Compliance 855-839-2235
  3. Accounts Management sites are configured to handle calls from various toll-free numbers including the following; 800-829-1040, Individual Income Tax Services Line (WI), 800 829-4933, Business and Specialty Tax Line (SB/SE), and 800-829-1954, Refund Hot Line (WI). For a complete list of all the AM toll-free numbers, click on the following link; joc.enterprise.irs.gov/operations and select Contacts, AM Product Line Contacts. The caller may be required to enter the TIN (Social Security Number (SSN) or Employer Identification Number) on account related applications. In addition hearing impaired taxpayers with TDD/TTY equipment call 800-829-4059 for tax assistance.

  4. Currently the toll-free numbers are screened by the Internet Service Node (ISN) IVR (Interactive Voice Response) system.

    Note:

    IRM 1.4.21.1.3.2, Compliance: Resource Allocation Control File (RACF), through IRM 1.4.21.1.3.4.1, Compliance: ACS QMF Reports, apply to Compliance call sites only.

1.4.21.1.3.2  (01-01-2013)
Compliance: Resource Allocation Control File (RACF)

  1. The RACF system exists in the appropriate campus and is used to control access to the Compliance host system. To add or remove users from the ACS system the following steps must take place:

    1. The Compliance systems administrator / analyst must make sure the Online 5081 procedure is completed to have an RACF user number for all new employees.

    2. The RACF user number is entered on the Compliance Security Maintenance Screen (SM00).

  2. The RACF user will also be supplied a generic password and will be prompted to change after initial sign-on.

    1. The password must be eight characters.

    2. The password format is Aaannaa.

      Note:

      The "a" symbolizes alpha and "n" symbolizes numeric. At least one alpha must be capitalized in the password.

1.4.21.1.3.2.1  (01-01-2013)
Compliance: Procedures for Profile Resume

  1. This process is utilized to specify that a user is to be allowed access to the system again. The analyst would normally use RESUME to restore a user's access to the system which has been revoked by:

    1. Three consecutive unsuccessful password/log in attempts

    2. A prior REVOKE command or

    3. Non-usage for 90 calendar days

  2. You can assign a new entry password and RESUME the profile at any time. Always remember to do the following:

    1. DISPLAY the user before resuming that user.

    2. Verify that the appropriate action is taken on the correct user.

1.4.21.1.3.2.2  (01-01-2013)
Compliance: Profile Revoke Procedures

  1. When an employee's profile is REVOKED, this specifies that RACF is to prevent a user from accessing the system. The user's profile and DATA SETS are not deleted. The user cannot access the system, and the employee will be denied access at their next log-in attempt.

  2. A user should always be REVOKED if detailed to another position for 30 days.

  3. If they no longer need ACS/ICS access the user should be removed from the RACF system.

    Note:

    Remember to DISPLAY the user id before revoking or resuming, and verify that the appropriate action is being taken on the correct user.

1.4.21.1.3.3  (01-01-2013)
Compliance: ACS/ICS Parameter Files

  1. The Parameter File gives direction for the ACS System and is used to make changes to Parameter Maintenance Files (PM00). The file has various levels of screen displays. It also contains an administrative file that is used at Headquarters' discretion. Changes to the parameter tables should be limited to the security analyst.

  2. Changes to these files can be made on line through the management menu item PM00.

1.4.21.1.3.4  (01-01-2013)
Compliance: ACS Systems Miscellaneous Responsibilities

  1. The Compliance systems administrator / analyst must complete the Online 5081 process to access their sites database (shadow data base SYS P).

  2. Create and produce QMF reports for Windows based on the needs of the site to assist management with inventory control.

  3. Ensure that QMF Reports are distributed to the appropriate Compliance personnel. Any QMF Report can be requested to target specific inventories, teams, functions or units for expedite processing.

  4. Provide any assistance required for the proper function of ACSWeb and the ACS Data Base.

  5. Work with ITS to prepare any necessary inventories of equipment located on the call site floor.

1.4.21.1.3.4.1  (01-01-2013)
Compliance: ACS QMF Reports

  1. ACS call sites have their own unique reports termed as "QMF" which refers to reports stored and generated by the IBM computer. ACS has the capability of generating management information reports at various levels.

  2. Management Reports are accessed through the Manager's Menu and can be viewed on the computer terminal upon command. ACS call site management should use those reports which provide relevant data within their area of responsibility.

  3. While reviewing and analyzing reports, keep in mind that statistical data does not equate to quality of work being performed. Statistics are only indicators of areas where a more in-depth evaluation may be required. Numerical indicators should be used to focus on potential areas for review.

  4. These reports may be printed on the ACS printer in the work area or overnight during batch processing, and include:

    1. Daily Workload

    2. Employee List by Name

    3. Teach List

    4. Time Statistics Report

    5. Security Maintenance

    6. Parameter File Maintenance

    7. Management Reports

    8. Team Assignment

    9. Operator Workstation - Peek Mode

    Note:

    See IRM 1.4.21.1.6.4, Compliance: Automated Collection System (ACS) QMF Reports, for samples of the reports listed.

1.4.21.1.4  (01-01-2013)
Best Practices

  1. The following practices have been determined to be beneficial in the management of Aspect call sites where applicable:

    1. Database and Voice Backup: Ensure the Aspect Database and Voice System backup and verification are completed periodically and coordinate with CCSD for storage of the backup DVDs.

    2. Job Aid (electronic versions are easier to maintain): Create and update an administrator / analyst job aid to be utilized by any person assigned to act in your absence. This job aid will supplement the information available on the JOC web site and should include essential: web addresses, names and telephone numbers of systems or circuitry vendors/customer engineers routinely contacted for servicing the call site.

    3. Process for Relocation of ACS Terminals and Telesets: Prior to relocating Compliance terminals and telesets, delete the toolset instrument numbers from the ACS SKIL table. Re-input the instrument numbers into the table upon completion of the move.

1.4.21.1.5  (01-01-2015)
Trouble Reporting Procedures

  1. When a problem exists within one of the systems, determine the following from the available information:

    Note:

    Procedure provided on the JOC website includes Outside of Principle Period of Maintenance (OPPM/PPM) guidelines. Currently JOC will frequently detect, report and initiate corrective actions concerning problems before the site becomes aware of the situation. The procedure provided below doesn't supersede any procedure currently in use. Each site should check with their BOD/Directorate to determine if this reporting procedure is in conflict with local practice. See the table below for the System Troubleshooting Guide.

    1. Nature of the problem

    2. When the problem started (date/time)

    3. Location (site name and complete address)

    4. Contacts (primary/secondary and telephone numbers)

    5. Whether problem is chronic or intermittent

  2. The following actions are involved in reporting system problems:

    1. report the problem to your Directorate/JOC/BOD/local management

    2. JOC will take the required action to resolve the problem.

    SYSTEM PROBLEM ACTIONS TO TAKE
    ACD No incoming calls to agents
    • Determine if there are agents signed into an agent group that would affect incoming calls.

      Example:

      Calls going to emergency

    • Check for trunk problems.

    • Determine if the site is experiencing any local network issues.

    • Report the problem to CCSD and ask them to check if anything is wrong with call control table (CCT). Note any site conditions that may help pinpoint the problem.

    ACD Calls received in an application unscheduled
    • Report the problem to CCSD. It is possible that the site’s PGs are offline or bounced.

    • When in a peripheral gateway (PG) down condition, calls received may show up if the site has a 700 series CCT.

    • Determine if the call was transferred to the application in error.

    ACD PGs are Bouncing (going on and offline)
    • Ensure that you have coverage in all Agent Groups (AG) for which the ACD has CCTs set up

    • The site will start getting calls on topics that they do not normally answer, and staffing will need to be adjusted to assist the callers in these areas

    • If this occurs, see "Calls received in an application not scheduled" for further direction.

    ACD Call in queue is not being answered by available agent
    • Check if agent is staffed in the proper agent group for handling the call.

    • If longest call in queue, staff AG200 for English, AG201 for Spanish, to pick up the call.

    • If still experiencing problems, contact CCSD.

    ACD ACD has switched to backup
    • Report the problem to CCSD to initiate actions with Aspect for a resync.

    • Other functional areas will need to contact their site Aspect representative or field service engineer (FSE).

    ACD Remote Staff Center (RSC) Down If you are a remote site, you will need to determine whether the trunk (T1) is down or the card is down. To accomplish this, first check the RSC for a straight horizontal row of red, green, or yellow lights. Find the corresponding Channel Service Unit (CSU) card and determine if it has an error by looking for a combination of red and yellow lights. If this is the case, the T1 is the issue; otherwise it is an Aspect issue.
    ACD Hung Trunks Monitor your trunks for "hung trunks." A hung trunk is caused when a caller disconnects and the ACD does not receive the signal that would disconnect the line. If this occurs, you need to identify the trunk and monitor the call via the Aspect Teleset. If truly a hung trunk, locate the trunk in Hardware Administrator and deactivate, then reactivate the trunk. This should remedy the hung trunk situation. If not, then contact CCSD.
    ACD If access to ACD via Systems Management Suite is lost, and calls are still coming in
    • Check that yours is not the only PC affected. If it is, try rebooting the PC.

    • If not, contact CCSD. May be advised to open a KISAM ticket to resolve.

    ACD Bad Line calls A KISAM/GetItServices ticket should only be opened for widespread or multiple occurrences. Do not take this action for single incidents as EN-CCSD-O-OSS (JOC IT) staff have limited resources to investigate. When reporting chronic issues, System Analysts should provide relevant information such as date/time, contact recording ID and agent extension when available.
    ACD Cross Talk Occurs If employees report issues of "Cross-talk" , have them complete the cross-talk form from the JOC web page and fax to CCSD.
    Crystal Reports Crystal Report Problems Error message
    • Cannot open structured query language (SQL) Server
      Is database password present? (Will show as *******.) If not present, enter password. If yes, delete it and "Update" then reenter and "update."

    • One or more required Parameter fields are blank.
      Determine which Parameter is blank, advise user.

    • Recipient error. CrystalEnterprise.Smtp
      Is e-mail address entered correctly? Make sure e-mail address is entered exactly the same as on Outlook.

    Crystal Reports Crystal Report Problems (continued)
    • Not enough memory for operation.
      Is the report scheduled too close or at the same time as another report? Have user check preferences on ePortfolio to ensure that time is set for local time. Check to see if report has successfully run after failure. Verify user reports are scheduled to run at least 1 minute apart.

    • Error detected by database dynamic-link library (DLL):
      This error message does not seem to be tied to one specific problem. As a general rule, verify that both default servers are set to the Sites.

    • Both "Error detected by database DLL" and "Not enough memory for operation"
      Seem to occur after an APS reboot or Field Server reboot. It seems to occur because there are too many reports trying to run at the same time.

    • When working the failed reports listing, be sure to delete the failed report instance and the scheduled, ‘recurring’, instance if the report will not run successfully.

    • When e-mailing reports, the "From" line cannot contain spaces.

    • The enterprise does not do a look up against Outlook to validate e-mail addresses. If there is a typo in the address, i.e.: middle initial, the report will show as successful, but the intended recipient will not receive the emailed report.

    CustomView Custom View Not Receiving Data Determine if the "Data On" option is checked. If data is on, check the IP address stored in the ACD data sources. If the IP address is correct, contact CCSD. May be advised to open a KISAM ticket to resolve.
    eWFM User cannot access eWFM server? User may receive the following error message: "Local policy does not allow you to log-on interactively." User must submit an on-line 5081 to receive approval for access to eWFM. User profiles with 5081 approval should display the assignment of the appropriate use group.
    No 5081 was submitted
    • Direct user to submit on-line 5081


    5081 was submitted, not in user groups
    • Open KISAM ticket. Request Enterprise LAN Accounts Administration (ELAD) assign the approved user to the appropriate user group.


    5081 was submitted, assigned to user groups
    • Make sure the eWFM wrap package was installed for the users desktop/RTA icon.

    • If wrap package was installed, re-run the wrap package and re-test the icon; if still dysfunctional, open trouble ticket indicating that user cannot access RTA from the desktop icon.

    eWFM User cannot access eWFM software User may receive the following error message, "Invalid user name or password." The eWFM icon should appear on the user’s PC desktop. Test the icon.
    • eWFM icon dysfunctional – Check the user name in icon properties; if correct, delete icon and recopy to desktop and edit; if still dysfunctional, open trouble ticket indicating that user cannot access eWFM from desktop icon.

    • eWFM icon functional/user cannot access eWFM – Open trouble ticket assigned to UNS-CCSD-O-CSS,indicating user cannot access eWFM from desktop icon. Ask to be added to the eWFM Smart ID Card exception list.

    • eWFM icon functional/user can access eWFM – no problem exists.

    eWFM eWFM Error Messages Application Error – The instruction @ "OY7C5737EB" reference memory @ "o100000020" . The memory could not be "written" click OK to terminate program.
    • The instruction at "0x7c5737eb" referenced memory at "0x00000020" The memory could not be "written." Click on OK to terminate the program.
    • These first two errors are problems with eWFM interacting with the operating system. Basically, the program is trying to write some information to memory and cannot. This was resolved by expanding the memory allotted to Oracle for eWFM.

    eWFM eWFM Error Messages (continued) "List index out of bounds" (get this error when working within the trial segment worksheet).
    • For retrieving segments, eWFM will create some temporary files on the client to hold the data. This error could occur if the temporary file cannot be created, or there is some other problem with it. We thought this problem was resolved since it appeared to be a local issue in most cases. Contact CCSD and get screen prints of both tabs on the error message dialog box.

    eWFM eWFM Error Messages (continued) "Unexpected Error, Please consult the Advanced Tab for more information" appears in the database error window when trying to add and save Team numbers.
    • This is usually an oracle database error, but CCSD would need the information on the Advanced tab to be able to say for sure. There is no generic response for this condition.

    eWFM eWFM Error Messages (continued) When working in Trial Schedule Manager trying to make schedules (or segments) "official," the error message below appears in the Updater Violation window of eWFM – "Updater is unable to process your request because it has exceeded its time-out for attempting to connect to this database alias. Please contact your eWFM administrator for assistance."
    • This is an Oracle connection problem. Updater is trying to connect to the database, and for some reason, cannot connect to the database. Does this error only occur when saving large amounts of data, or more frequently? This can usually be corrected by stopping and restarting the Updater service. Since this action can only be done by TCC, it is recommended that a trouble ticket be opened with the CCSD help desk.

    eWFM eWFM Error Messages (continued) On several occasions when trying to change an employee’s ID, sites receive the error message below. To determine if the number is being used elsewhere, they review the primary and secondary numbers in the database. The message indicates they need to use a unique number. Several times they are not able to locate where the number is being used and any hints on how to resolve the error condition. (ORA-00001:unique constraint (TCSBOWNER.AK1EMP) violated. The employee ID must be unique.
    • If they are having problems locating the duplicated ID, have them go to Tools/Options and deselect the "Hide Inactive Employees" check box on the General tab. It sounds like they are duplicating the ID of either a terminated or inactive employee.

    eWFM eWFM Error Messages (continued) Another problem occurs when using Employee Explorer…when toggling between the assignment and employee tabs, the screen often freezes and a "not responding" error message appears.
    • This is a Terminal server issue that could be caused by any number of things. You would need to contact CCSD for them to receive additional information about the terminal server setup for the locations receiving this error.

    eWFM eWFM Error Messages (continued) The set containing the nominal date, the segment code, the start moment, the stop moment, and the trial schedule must be unique.
    • This is a message that indicates that a user is trying to create two trial schedule sets in the same Staff Group with the same name. Within a Staff Group, it is not possible to have Trial Schedule sets with the same name.

    Detail segments with the same employee, segment code, and nominal date overlap.
    • This error means that the user tried to save a segment code twice. For example, if an employee already has a BREAK segment from 10:00 – 10:15 on a certain day, a user cannot save another BREAK segment that overlaps the 10:00 – 10:15 time frame.

    • Segments of category work must be contained within segments of category CONTNR or Segments of category of NODISC must be contained within segments of category CONTNR.

    • These two errors result from the violation of segment entry rules. These rules are set up in the Setup Editor. In the first case, it is saying a segment code that is in the WORK category must be contained within a container segment. This rule prevents an employee from having a work segment outside of their shift. The second says that a non-discretionary segment must fall within a container segment. Usually Break or Lunch would be non-discretionary segments. These errors indicate that someone is entering official segments incorrectly.
      A general segment and a detail segment with the same employee and segment occur on the same nominal date.

    • This occurs when someone attempts to save a general segment on a day that the employee already has a detail segment with the same segment code. For example, if I have an employee with a detail segment of ANNUAL_ADHOC on 11/20, I cannot add a general segment of ANNUAL_ADHOC on 11/20. The opposite is true. If I have a general segment with the code ANNUAL_ADHOC for a day, I cannot add a detail segment on that same day.

    eWFM eWFM Error Messages (continued) The exception unknown software exception (0x0eedfade) occurred in the application at location 0x7c57e592. Exception EoleException in module tcs.exe at 000A13f3. ORA-03114: not connected to Oracle.
    • This occurs when there is a problem with the client connecting to the Oracle database. In most cases, this has been seen when someone leaves an inactive client open for a long period of time. In that case, Oracle disconnects the idle session after a certain period of time, so when the user goes back to eWFM, they get this error when needing to access the database.

    eWFM User Cannot See All Employees Assigned to Team. If the user calls to report that they cannot see all the employees assigned to their team, check the Employee Record group assignment to verify the team assignment. If the employee record indicates a correct team assignment and the current date is after the assignment date, check the user’s Employee Filter setting to ensure that the Use Tracking Date setting has been activated. Failure to set the Use Tracking Date setting will result in screen displays that do not show all recent changes.
    eWFM Unable to locate employee within employee records? Check the applied filters to see if some filter is preventing this employee from being viewed. It is possible that the one or more of the pertinent group assignments (i.e., CATGRY, DEPTS, DIR and TEAMS) are missing or set for a future date preventing viewing. To resolve the group assignment issue, submit a KISAM ticket for eWFM explaining the problem. An eWFM administrator will contact you to request the information for the group assignments and effective dates.
    Peripheral Headset If the headset is not working properly, only one of the pieces of the headset may be malfunctioning. The voice tube may be blocked or the quick connect cable split, etc. Use a working headset and swap parts to determine the malfunctioning piece.
    Peripheral Agent Unable to SIGN-ON Teleset Make sure that the agent’s extension is in the "active" state and also if they are using the correct password for their extension number. Password may need to be reset. (Open a GetITServices ticket and assign to UNS-CCSD-O-OSS.)Test if the teleset is in working condition.
    Peripheral Teleset has a Blank Display
    • Ensure the Teleset is plugged in.

    • Try a new telephone cable.

    • Attempt to activate all offline/deactivated Telesets in hardware manager.

    • If problem still exists, contact the person responsible for the Rack in your site and ask them to check the device punch downs (wire connections).

    Peripheral Teleset buttons/ display not working Be sure to attach a note to the Teleset specifying the issues. The Aspect tech will need this information when they replace the defective sets. Refer to teleset repair/replacement procedures in IRM 1.4.21.1.2 (1)(s), System Staff Roles and Responsibilities, if applicable.
    RTA Real Time Adherence Connectivity Lost Determine if problem is limited to limited users or entire site. If individual users, initiate KISAM ticket for user's computer. If entire site, contact CCSD. May be advised to open a KISAM ticket.
    RTA Real Time Adherence Reboot Server To request the server be rebooted or restarted to resolve error conditions, contact CCSD. May be advised to open a KISAM ticket.
    RTA RTA Connectivity errors If you receive the error message "Invalid Account " , the server does not recognize the login name/password combination.
    • Check to ensure you are typing the correct information. The logon and password are the same as the DS logon. Remember, the passwords are case sensitive.

    • Check to ensure you have not locked your DS account. If in doubt, utilize the Identity Management Suite to unlock the logon account.

    • Check to ensure you have access to this program. If you are a new user, check your application access to ensure eWFM is in your profile. RTA should be added to your profile with the eWFM 5081 request.

    • If the above does not resolve the issue, open a trouble ticket for administrator assistance.


    The following circumstances can cause a delay:
    • The RTA server program is not running.

    • RTA is using an incorrect IP address to connect to the server.

    • The server is overloaded and temporarily unable to respond to a login request. In this case, RTA will send you a "Maximum Connections" message. To log in, you will have to wait until enough users log off of RTA.

    WebView WebView Connectivity issues
    • We utilize WebView to monitor adherence. If you are unable to connect to WebView, first check the log on the JOC Web page to see if there is a listing of problems with WebView.

    • If there is no listing of problems, contact CCSD.

    • If the error is related to an individual login, check the Password unlock/reset tool, if applicable.

1.4.21.1.5.1  (01-01-2013)
Problem Resolution

  1. JOC resolution actions will include the following:

    1. Open KISAM ticket.

    2. Determine the priority level of the problem.

    3. Utilize JOC on site vender (Aspect) to correct the problem when possible.

    4. Contact the required vender and coordinate resolution including site visitation if required.

    5. Take the necessary action to escalate the problem to contact the vendor's Customer Support Manager or other Management representative if the problem has not been resolved within the time frame provided by the vender.

  2. The SA should keep the Directorate/BOD/local management informed of the status of the resolution of the problem.

1.4.21.1.6  (01-01-2013)
Telephone Program Reports

  1. Reports are extremely important to overall call site performance. You will track and archive everything that can be documented through a report. Use Crystal Reports version 10. See http://joc.enterprise.irs.gov/its/cr/ for more information.

    Note:

    Aspect no longer provides support for Crystal reports. Use the SA network to determine if there is a known solution to any problems that occur.

1.4.21.1.6.1  (01-01-2013)
Aspect Call Center Reports

  1. The Crystal reports from Aspect provide management with telecommunications, system and agent performance information. Report standards, templates and guidelines are described in the Crystal Reports software package and Users Guides. Crystal Enterprise allows you to increase user satisfaction with detailed and flexible reports. With more than 100 formatting options and support for more than 30 major data sources, Crystal Reports and Crystal Enterprise deliver complete control over data access and presentation. End users can drill down into reports, sort and filter information, refresh reports, add comments and threaded discussions, print reports, and export them into many formats including PDF, Excel, and Word. See http://joc.enterprise.irs.gov/its/cr/ for more information on Crystal Reports. In addition to Crystal, there are a host of other reports available from other systems including:

    1. Enterprise Data Warehouse (ETD) (See http://etd.ds.irsnet.gov/etd/.)

    2. eWFM (See http://joc.enterprise.irs.gov/its/tcwms/ and IRM 1.4.21.3, eWFM.)

    3. WebView (See http://joc.enterprise.irs.gov/operations/wv.asp and IRM 1.4.21.2, Webview Reports.)

    Note:

    Any corrective actions suggested from the various reports available must be coordinated with the BOD/JOC/Directorate contact(s).

  2. Call Center reports are available for one or more time periods and include the following data elements:

    1. Agent Activity

    2. Application Activity

    3. Call Data

    4. Trunk Group

    5. Voice Data

    6. DNIS

      Note:

      The subsections below will provide only the title of the folders where the reports are located.

1.4.21.1.6.1.1  (04-01-2010)
Aspect Reports Overview: Crystal Reports 10

  1. Aspect Call Center Reports (Crystal Reports 10) include numerous reports, grouped in the following report folders:

    1. Application Reports: The Application report folder contains nine reports that provide call data based on business application groupings. These reports can be used "as is" with Crystal Enterprise 10 or can be customized with Crystal Reports to fit your specific needs.

    2. Cross-Reference Reports: The Cross-Reference report folder contains 17 reports that provide resource cross-reference information. These reports can be used "as is" with Crystal Enterprise 10 or can be customized with Crystal Reports to fit your specific needs.

      Note:

      A new feature of Call Center Reports v3.0 is the ability to run reports in the Cross-Reference folder against multiple data sources

    3. Enhanced Reports: The report folder contains 13 new reports that provide requested enhancements to the standard report set. These reports can be used "as is" with Crystal Enterprise 10 or can be customized with Crystal Reports to fit your specific needs.

    4. Facilities Reports: The report folder contains six reports that provide trunk and call tracking information. These reports can be used "as is" with Crystal Enterprise 10 or can be customized with Crystal Reports to fit your specific needs.

    5. Personnel Reports: The report folder contains 15 reports that provide agent data based on agent group or team groupings. These reports can be used "as is" with Crystal Enterprise 10 or can be customized with Crystal Reports to fit your specific needs.

1.4.21.1.6.2  (01-01-2013)
Report Samples

  1. Application Management Reports: Application Management Summary: The Application Management Summary report summarizes call activity for applications. (See Exhibit 1.4.21-2.)

  2. Facilities Management Reports: Trunk Profile: The Trunk Profile report gives call details for individual trunks ordered by trunk group. You can identify trunks in need of repair by the number of reported problems. If call abandonment rates are high, you need to have JOC adjust the CCT for that trunk group to play more announcements or give a message-taking option sooner. There may also be a need to give this trunk group priority over others so that it can be answered sooner. By using different templates and different prompt settings, you can focus the report on a given time span, for example, "Last Tuesday" or a specified interval of days. (See Exhibit 1.4.21-3.)

    Note:

    Only those trunk groups that received calls during the report's time frame are included in the report.

  3. Personnel Management Reports: Agent Performance: The Agent Performance report will show general call activity for all agents signed on to the system during a specified time period. This information is useful in determining whether it is necessary to rearrange agent groups and in evaluating individual agent productivity. This report is available as a daily or specified interval of days. (See Exhibit 1.4.21-4.)

  4. Personnel Management Reports: Agent Sign-Off/Idle with Reason: The Agent Sign-Off/Idle with Reason report will show exactly when agents signed on or off an agent instrument or entered Idle state and the reasons they specified for doing so (as defined by reason codes). This report is available as a daily or specified interval of days. (See Exhibit 1.4.21-5.)

1.4.21.1.6.3  (04-01-2005)
Crystal Custom Reports

  1. Currently there are a large number of Custom reports designed for our use. These reports can be revised by using different templates and different prompt settings to focus on a desired resource. For assistance in the design of Custom Reports, see the guidelines available from the following Crystal sources: on line help, User Guide and JOC web page for help procedure.

1.4.21.1.6.4  (01-01-2013)
Compliance: Automated Collection System (ACS) QMF Reports

  1. The following is a list of sample reports:

    1. Daily Workload by Team

    2. Teach List

    3. Employee List by Name

    4. ACRM5001 Weekly Production Report

    5. ACRM5002 Analysis of Balance Changes

1.4.21.1.6.4.1  (01-01-2013)
Daily Workload by Team Report

  1. Daily Workload by Team Report provides data on today's workload by team. (See Exhibit 1.4.21-6.)

1.4.21.1.6.4.2  (01-01-2013)
Teach Reports

  1. Teach List displays all actions entered on the terminal during a given day by employee. The information includes the date, employee number, team/function/unit assignment, case taxpayer identification number (TIN), history code and comment entries. (See Exhibit 1.4.21-7.)

1.4.21.1.6.4.3  (01-01-2013)
Employee List By Name Report

  1. Employee List by Name Report provides a numerical list of ACS (including Compliance Services Collection Operations (CSCO) employees. The list contains employee number, team assignments and name. (See Exhibit 1.4.21-8.)

  2. This is an inquiry only screen and none of its fields can be modified. Any changes to employee information must be made by an authorized manager in the Security Maintenance Screen.

1.4.21.1.6.4.4  (01-01-2013)
Weekly Production Report

  1. ACRM5001 Weekly Production Report, accessed through Management Reports - RP00, provides management with information to monitor new cases, processed cases and the remaining balance of cases. The Production report shows beginning and ending inventory balances for major categories of activity, which account for balance changes. (See Exhibit 1.4.21-9.)

  2. From this information management will be able to make policy decisions on utilization of resources, prioritization of taxpayer accounts and case load scheduling.

1.4.21.1.6.4.5  (01-01-2013)
Weekly Analysis of Balance Change

  1. ACRM5002 Weekly Analysis of Balance Change, accessed through Management Reports - RP00, provides dollar values of beginning and ending inventory, and of case activity during the week. (See Exhibit 1.4.21-10.)

  2. This report allows management to access the collection system's effectiveness by reporting beginning and ending balances, receipts and dispositions.

  3. It provides management with balance due amounts, recent account activity, installment agreement amounts, and IMF and BMF account balance totals.

1.4.21.2  (01-01-2013)
WebView Reports

  1. WebView is a browser-based software program that is used to view reports from a server collecting call and non-call activity. Reports may show real-time or historical system data. WebView also supports the creation or modification of reports based on existing templates. You can work with Intelligent Contact Management (ICM) software reports directly from the browser on your PC. WebView currently supports the latest versions of both Microsoft® Internet Explorer and Netscape Navigator™.

  2. WebView stores multiple fields of information about every call transaction in its database. WebView also stores information about non-call events, such as agents remaining in the Idle state and logon times. Reports can include historical or real-time data. Historical data tells you about calls during a specific period. Real-time data tells you what agents are doing now, in other words it is a snapshot of the current activity. Real-time data is typically updated in 20 second intervals.

  3. Reports may include printed tables and charts of call activity information on specific areas of the Call Distribution System. For example, reports can be used to monitor the ACD system, agent skill group performance and agent performance data. (See Exhibit 1.4.21-11 through Exhibit 1.4.21-13.)

    Note:

    Refer to the JOC WebView Reports Manual for instruction concerning WebView Quick Reference.

1.4.21.3  (01-01-2015)
eWFM

  1. eWorkforce Management (eWFM) is a comprehensive resource planning and workforce management application that provides automated tools to forecast, schedule, and track call center workload requirements. eWFM receives call attribute data from the Automated Call Distributor (ACD) infrastructure segment. See the following http://joc.enterprise.irs.gov/its/tcwms for additional information.

  2. eWFM call sites must utilize eWFM to establish an employee database for their telephone and adjustments inventory staff.

  3. There are several components to the employee database the sites must maintain including:

    • Employee training and application readiness

    • Current personnel changes (i.e., team assignments, work status, etc.)

    • Current assigned tours of duty

    • Planned telephone and adjustments inventory activities to meet the business goals according to the work plan

    • Updated activities in near-real time as events are known

    • Reconciled tracked activities with time charged for workload planning and control (WP&C)

    • Appropriate change requests for employee updates (i.e., new hires, employees who have transferred to other functions or the Service, employees in seasonal release or on extended details, etc.)

  4. Real-time Adherence (RTA) is a companion software to eWFM that provides visual alerts called "alarms" related to scheduled and actual ACD activity. Call center analysts and management utilize this tool to actively manage their employee's adherence to scheduled activities and identify when real-time updates are necessary to the employee's daily official schedules. The alarms fall into two main categories, schedule and activity. The schedule alarms are triggered when an employee is out of adherence with their eWFM schedule. The activity alarms display the ACD telephone state. Customizable thresholds are available to determine when an alarm is triggered (e.g., displayed).

    Note:

    The alarm summary report will only provide triggered alarms for time periods the RTA user is logged into the software, and the software maintains this historical data for a short period of time. The default retention period in the software is seven days. For this reason, it is recommended the SA staff log into RTA for the entire site hours of operation as a backup for reports.

  5. The eWFM Skills Assessment Template :

    • The Resource Planning and Scheduling (RP&S) staff has developed an eWFM data extract in Excel format to populate the Skills Assessment Template for Accounts Management employees. A separate template is created for each call center. Consolidated templates are also created for each directorate and one including all AM call centers. These templates are used by the call centers, directorate, and BOD staff for training and workload allocations.

    • This enhancement allows for RP&S staff to gather data as needed without waiting for site responses.

    • This template is stored in a shared eWFM drive folder (eWFM Server 08, JOC SAT folder) and is accessible by eWFM users. Non-eWFM users should contact the RP&S staff if they need access to this template.

    Note:

    See the eWFM Glossary in IRM 1.4.21.7, eWFM Glossary.

1.4.21.4  (01-01-2015)
Centralized Contact Center Forecasting and Scheduling (CCCFS)

  1. Accounts Management has integrated a strategic end-to-end CCCFS initiative for its phone and adjustments inventory operations in all campus and remote call centers. The initiative utilizes eWFM and RTA software along with external analysis tools.

  2. The goals of CCCFS are:

    1. Generate workload forecasts for phones and adjustment inventories of individual master file (IMF), business master file (BMF), Tax Law, tax exempt and government entities (TE/GE), and International customers.

    2. Determine staffing requirements for single and multi-skilled staff groups based on organizational goals.

    3. Provide JOC, BOD, and site management the ability to effectively plan and track employee activities and site performance in relation to the business goals.

    4. Evaluate the scheduling of employees to meet the staffing requirements thus impacting the organizational goals.

  3. Additional objectives of CCCFS include the following:

    1. Establish a comprehensive process to forecast, plan, schedule and track resource delivery for telephone and/or inventory customer contacts.

    2. Establish best practice Enterprise scheduling methods.

    3. Provide a detailed analysis of skills and tours of duty compared to customer demand to better plan hiring and training.

    4. Provide a detailed analysis of customer demand patterns to better manage seasonal workforce.

    5. Provide a centralized database for other employee information such as skills, workstation, tour of duty, etc.

  4. CCCFS provides new forecasting and planning methods, including:

    1. Enterprise forecasted customer demand (both phone and inventory) captured by forecast group

    2. Enterprise staffing requirements by staff group modeling how the work will be delivered (i.e., used to handle the demand)

    3. Allocated site staffing requirements by staff group based on the business workload alignments and hours of operation

    4. Planned employee activities to deliver site requirements based on their skills and site workload

    5. Intra-day tools displaying required, scheduled, and actual agents provided for each Enterprise staff group during half-hour intervals

    6. Coordination with posted ETD site staffing requirements

    7. External tools to analyze staff group requirements and scheduled activities to best plan the customer demand

    Note:

    The CCCFS processes are continually evaluated to incorporate more efficient methods. Additional information for Accounts Management is provided on the AM Field SharePoint website https://organization.ds.irsnet.gov/sites/WICASAm/PmPa/Field/default.aspx.

1.4.21.5  (01-01-2013)
Acronyms

  1. Acronyms:

    Acronym Description
    ACD Automated Call Distributor
    ACS Automated Collection System
    AHT Average Handle Time
    AHT Average Hold Time
    AM Accounts Management
    AMIS – A Audio Messaging Interchange Specification – Analog
    ANI Automatic Number Identification
    ANS Answer
    AOHT Average Outbound Handle Time
    AOT Average Outbound Talk Time
    AOWT Average Outbound After Contact Worktime
    ARL Assistor Response Level
    ASMS Aspect System Management Suite
    ASA Average Speed of Answer
    ASG Alternate Staff Group
    ASSA Automated Self-Service Application
    ATL Automated Tax Law
    ATT Average Talk Time
    ATTS Automated Time Tracking System
    AWSS Area Wide Shared Service
    AWT Average Wrap Time
    BAA Business Application Administration
    BMF Business Master File
    BOD Business Operating Division
    BRIDG Business Requirements Integration and Deployment Group
    CACOE Contact Analytics Center of Excellence
    CATGRY Employee Category Code (in eWFM)
    CCE Contact Center Environment
    CCMP Contact Center Management and Planning Section
    CCCFS Centralized Contact Center Forecasting and Scheduling
    CCSA Contact Center Strategy and Architecture
    CCSD Contact Center Service Division (formerly JOC ITS)
    CCT Call Control Table
    CED Call Entered Digits
    CLID Calling Line ID
    COE Common Operating Environment
    COTRS Contracting Officers Technical Representatives
    CQRS Centralized Quality Review System
    CS Call Site
    CSC Customer Support Center
    CST Central Standard Time
    CSCO Compliance Service Collection Operations (formerly SCCB)
    CSU Channel Service Unit
    CVP Customer Voice Portal
    CY Calendar Year
    DA Directory Assistance
    DDI Direct Dialing Inwards
    DEPTS Application Staffing (in eWFM)
    DID Direct Inward Dial
    DIR Assigned Directorship (in eWFM)
    DN Dialed Number
    DNIS Dialed Number Identification Service
    DTIC Digital Trunk Interface Card
    DTMF Dual Tone Modulation Frequency
    ECC Enterprise Computing Center
    ECC-MEM Enterprise Computing Center at Memphis (formerly TCC)
    ECC-MTB Enterprise Computing Center at Martinsburg (formerly MCC)
    eLEAVE Electronic Leave
    EQ Enterprise Queue
    ERR Error
    ETD Enterprise Telephone Database
    eWFM Electronic Workforce Management
    FSE Field Service Engineer
    GUI Graphical User Interface
    ICM Intelligent Call Manager
    ICP Interactive Call Processing
    ICR Intelligent Call Router
    ID Identification
    IDRS Integrated Data Retrieval System
    IMF Individual Master File
    INOMS Integrated Network and Operations Management Systems
    IP Internet Protocol
    IS Information Systems
    ISDN Integrated Services Digital Network
    ISN Internet Service Node
    IT Information Technology
    ITS Information Technology Services (formerly MITS)
    IVB InterVoice Brite (Teletax)
    IVR Interactive Voice Response
    JOC Joint Operations Center
    KISAM Knowledge Incident/Problem Service Asset Management (formerly ITAMS)
    LAN Local Area Network
    LEC Local Exchange Carrier
    LM Left Message
    LOA Level of Access
    LOS Level of Service
    MAR Management Action Report
    MF Master File, Multiple Frequency
    MFT Master File Tax Code
    MOA Memo of Agreement
    MOU Memo of Understanding
    MSG Message
    NA No Answer
    NCH Number of Contacts Handled
    NERD Nationwide Enterprise Resource Domain
    NMF Non Master File
    NOC Number of Outbound Contacts
    NPL No Phone Listing
    NXT Next
    NXTACT Next Action
    OL Online
    OPPM Outside Principal Period of Maintenance
    ORG Organization
    OUT Out of Office
    OVTM Overtime
    P&A Planning and Analysis
    PBX Private Branch Exchange
    PC Personal Computer, Phone Call
    PG Peripheral Gateway
    PIN Personal Identification Number
    POC Point of Contact
    POT Potentiometer
    PPM Principal Period of Maintenance
    QMF Query Management Facility
    RDC Remote Desktop Connection
    RP&S Resource Planning and Scheduling (AM)
    RSC Remote Staff Center
    RTA Real Time Adherence
    RTS Real Time Server
    SA Systems Analyst, Systems Administrator
    SAWS System for Automating Work Schedules
    SC Service Center (known as 'Campus')
    SDN Software Defined Network
    SEA Selected Expanded Access
    SEID Standard Employee Identifier
    SERP Servicewide Electronic Research Project
    SLA Service Level Agreement
    TAPS Totally Automated Personnel System
    TCP Transmission Control Protocol
    TEAMS Team Assignment (in eWFM)
    TELWR Telephone Number Wrong
    THT Total Handle Time
    TIGTA Treasury Inspector General for Tax Administration
    TRIS/ICCE Telephone Routing Interactive Systems/Integrated Call Center Environment.
    TRIS MIS Telephone Routing Interactive Systems Management Information
    TTY Teletypewriter
    V&V Verification and Validation
    VAM Voice Activation Module
    VPARS Voice Processing Account Research
    VRU Voice Response Unit
    WAN Wide Area Network
    WP&C Work Planning and Control System
    XFER Cross Reference

1.4.21.6  (01-01-2015)
Glossary

  1. Glossary of Non-eWFM Terms. For eWFM Glossary, see IRM 1.4.21.7, eWFM Glossary.

    Term Description
    Abandoned Callers who hang up without talking to an agent
       
    Agent Group (AG) Telephone call routing group with a primary application (topic) and possibly one or more backup applications (Applications within the group can be ranked to set a priority of routing to available agents.)
    Agent(s) Someone whose primary job is to handle customer contacts (i.e., telephone, inventory, etc.); also a type of user in the Aspect Agent Administrator
    Agents by Peripheral Report grouping by peripheral
    Agents by Skill Group Report grouping by skill group
    Agents by Teams Report grouping by team or group of teams
    Alert Manager ACD system alert software
    Alternate Staffing Group (ASG) Telephone call routing group of one or more primary applications that are generally prioritized equally to route calls to available agents based on the longest queue time
    Application Division of the Automated Call Distributor (ACD) that identifies a specific type of call (Applications can be routed to either agent groups (AG) or alternate staff groups (ASG) for handling.)
    Application Server Hardware that contains the operating system, databases, and voice and call processing software
    Application Table Software configuration that displays the number and name of each application, the number of calls waiting and the number of agents currently talking in each application
    Aspect Activity Log List of system events and error messages (A periodic review will ensure there are no problems or potential problems in your system.)
    Aspect Agent Administrator An Aspect System Management Suite (ASMS) component used to manage agent access, features, and functions on the ACD
    Aspect Alert Manager An ASMS component that displays ACD system alerts (An alert is a status or system message that notifies users of an ACD problem.)
    Aspect Architect An ASMS component used to design and implement Call Control Tables (CCTs) for routing calls
    Aspect Hardware Administrator An ASMS component used to manage Aspect ACD system hardware resources, such as trunks and instruments
    Aspect Route Administrator An ASMS component used to control the Aspect ACD system resources and settings that determine how calls are routed, including what announcements are played to the caller and agent and what applications are credited in reports for handling calls
    Aspect System Management Suite (ASMS) An Aspect software package comprised of several components to control agents, databases and physical hardware on the Aspect system
    Attrition Loss of employees due to resignations, terminations, transfers to other jobs, etc.
    Automated Call Distributor (ACD) Specialized system designed to handle a large volume of calls (It distributes the calls to the call center staff based on Agent group and availability.)
    Automated Self-Service Application (ASSA) Automated customer service options that provide basic services (e.g., balance due) through automation and reserve human interaction for more complex issues
    Automated Tax Law (ATL) Automated telephonic application allowing a caller the ability to select a tax law topic and receive an explanation of the provision/law
    Automated Time Tracking System (ATTS) Tool designed to consolidate telephone data from the ACD and produce a time report for SETR input
    Auxiliary Device External devices connected to the ACD
    Average Handle Time (AHT) The average amount of time spent providing telephone assistance to a customer, including talk, hold, and after-call wrap-up
    Average Speed of Answer (ASA) The average amount of time to reach an assistor after leaving the ACD not including script or queue time
    Cabinet Shelving unit for ACD cards and shelves
    Canvas A CustomView Director and Producer software term for the workspace of real-time ACD elements (Standard canvas templates are provided with the software but customized canvases can be created with CustomView Producer.)
    Cards Hardware used to interface between the ACD, phone lines and other devices (Used to direct and coordinate the flow of calls and data through the system.)
    Channel Service Unit (CSU) Rack Hardware used to hold multiple CSU cards that convert signal formats or line code for processing by the ACD (CSU cards are used by both Aspect and the local carrier. Battery backup is located on this rack, which allows the server to run for short periods of time when power is interrupted.)
    Class of Service An ASMS setting that determines which functions users can perform with their telephones
    Client A type of user in the Aspect Agent administrator that represents a client company that has contracted with your call center to answer and handle customer calls
    Courtesy Disconnect Announcement played (advising customer to call back later) when sites are closed or when sites are unable to provide service due to high demand
    Crystal Enterprise Web-based application used for scheduling and viewing ACD reports (This is accomplished by installing Crystal Enterprise "servers" or services and Internet Information Services (IIS) to support the web based features.)
    Crystal Reports Desktop application used to build report objects and retrieve data from variable sources (In the case of the IRS Call Centers, the data is from the Aspect ACD system and includes call tracking, hardware and workforce information.)
    Crystal Server Computer used to run scheduled, automated daily/weekly Crystal reports
    Current State Current status of each trunk (i.e., Incoming, Idle or Deactivated)
    CustomView Desktop application used to view, customize, and build new canvases that display real-time Aspect Call Center Activity
    Customer Voice Portal system Web-based platform that provides for Prompt/Collect, Enterprise Queuing, and Call Control services for contact centers and self-service Interactive Voice Response (IVR) application
    Database Server Server located at ECC-Memphis that stores shared databases, such as eWFM, for all call centers and other business units
    Data Interlinks Settings for a physical link between the Aspect ACD system and the customer data system
    Data Script Series of prompts displayed on an agent instrument when an agent presses data or enters the wrap up state (The agent responses to the prompts are stored with the call record.)
    Database Table Collection of similar records in the database (The ACD software uses database tables to store all types of user stored information. All tables in the system database are accessed through the Database command on the ACD main menu.)
    Drill Down Detailed sub-report from within the current report window (Drill-downs are used extensively in CustomView, RTA, and WebView.)
    Dynamic Route Aspect ACD resource that allows you to switch the resource referenced in a select step or interflow step of a CCT with a procedure
    eLeave Automated leave tool that calculates employee leave based on user-supplied inputs (This tool incorporates information from various data sources.)
    Emergency Call Telephone call an agent receives that is of a threatening or harassing nature (The call requires immediate attention of Management and the Systems Analyst.)
    Enterprise Service Collections of services, typically from several call centers (While each individual service is tied to a specific peripheral, an enterprise service can span peripherals.)
    Enterprise Skill Group Collections of skill groups, typically from several call centers (While each individual skill group is tied to a specific peripheral, an enterprise skill group can span peripherals.)
    Enterprise Telephone Database Warehouse (ETD) Web-based tool to provide staffing requirements in addition to other telephone data (i.e., WITS, the snapshot, Site Level Measures, etc.) (This tool is available on the JOC web link.)
    EONS System previously used to determine paper inventory (replaced by Control_D)
    Export Process of distributing data from a report to a disc file or through e-mail (Crystal Reports allows you to export your reports in many popular spreadsheet, database, word processor, HTML and data interchange formats.)
    Go To Site Sites selected by the JOC and RP&S staffs to increase phone staffing due to high demand or staffing deficits within the Enterprise or to achieve daily Level of Service (LOS) goal
    Go From Site Sites selected by the JOC and RP&S staffs to decrease phone staffing to work adjustment paper inventory when decreased demand creates availability within the Enterprise or to achieve the daily Level of Service (LOS) goal
    Ground Start Trunk supervision code used for local central office/local exchange, foreign exchange, and WATS trunks
    Historical Template Historical data that provides information up to the most recent intervals, as well as by absolute or relative dates (Data is collected and stored in the ICM software central database.)
    Hung Trunk Trunk that has remained connected to the caller after the caller has disconnected; prevents other calls from being received on that trunk
    Integrated Customer Communication Environment (ICCE) Front-end processor or Automated Response Unit (ARU) that offers customers automated assistance choices (such as refund, transcript location, voice balance due, payoff) or routes the caller to an assistor (Callers who accept automation and have difficulty navigating the script are defaulted to an assistor. Callers who successfully complete in automation at this point are TRIS calls answered. Formerly known as TRIS).
    Idle State Telephone state that indicates the agent is signed on, but is not accepting telephone calls (In the idle state, agents can display the date and time, test the Aspect Teleset lamps, customize their Aspect Teleset agent instrument or Aspect Uniphi applications, access voice messaging, use the help system or sign-off.)
    Idle With Reason Code Predefined codes used by agents to indicate why they have placed themselves in an idle state (read time, working inventory, training, lunch, etc.) (Sites should refer to negotiated agreements for guidance on specific codes.)
    Incoming Flash Incoming signal sent from the telephone where the call initiated, and sent to the system receiving the call (The flash enables the system to transfer or forward the call using the same trunk.)
    Instrument Teleset or Cisco VoIP phone
    Intelligent Call Manager (ICM) Call-routing system that enables JOC to "fine tune" routing of a specific product-line based on the Business Rules provided by the BOD
    Interactive Voice Response (IVR) Telephone technology that informs the caller using a synthesized voice and allows the caller the option of choosing a number or voicing a request
    InterVoice Brite (IVB) –Teletax Series of standalone voice response units (VRU) connected to the ICM system via a peripheral gateway (PG) (These VRUs are designed to enable touch-tone customers to check the status of a refund return or hear pre-recorded tax law information.)
    Joint Operation Center (JOC) Organization responsible for improving customer service by balancing call volume within product lines, increasing customer level access, reducing customer queue times, reducing the number of abandoned calls, and monitoring real-time call routing and staffing adherence (The JOC strives to improve the reporting of business performance through automated data collection and consolidation of key performance metrics and trend analysis. The JOC also strives to reduce queue time, abandoned calls, repeat-call attempts and transferred calls between contact center product lines and sites.)
    Level of Service (LOS) Calculation of the relative success rate of taxpayers who call seeking assistance from an agent
    Local Area Network (LAN) Integrated system that allows dedicated computer terminals to "talk" to each other within a limited distance
    Local Central Office/Local Exchange A trunk used to transfer calls between internal systems. For example, ACD to PBX
    Measures/Indicators Business goals developed to promote achieving program responsibilities (The measures/indicators focus on business results (including quantity and quality), customer satisfaction and employee satisfaction.)
    Media Ports Voice connections between the Application Server and Telephony Server
    Outgoing Flash Function allowing the system to send a flash when transferring the call out to clear the line for the next call
    Parameter Field Special database field that prompts for user-supplied values; uses parameter fields for report titles, record selection, sorting and a variety of other uses (Using parameter fields enables you to create a single report that you can modify quickly to fit a variety of needs.)
    Peripheral Switch that receives calls that have been routed by the ICM
    Peripheral Service Service tied to a specific peripheral in the call center enterprise (Peripheral services typically identify a required type of processing.)
    Peripheral Skill Group Skill group that is associated with a specific peripheral in the call center enterprise
    Ports Outlet on a card through which signals can be passed
    Potentiometer (POT) Rotary control used to make incremental adjustments (i.e., volume control)
    Prohibited Number Number the system prohibits users from calling (You can add prohibited numbers to the Aspect ACD system in the Aspect Program Analyst.)
    Queue Time Amount of time that a call remains in a queue waiting to be answered (Depending on the settings, queue time calculations for reports and canvases may include one or more of the following: ring time, delay time, and call type.)
    Radio Button Key that activates a command
    Range Set value that falls between and includes a defined upper and lower limit (For example, the range 10 to 20 includes 10, 20, and all the numbers that fall between. In Crystal Reports, a range can consist of numbers and dates.)
    Real Time Server (RTS) Computer used as a gateway between the ACD and the managers’ computers to allow large number of users to use CustomView simultaneously to access real-time ACD data
    Real Time Template Collection of real-time data based on the report scope and subject
    Reason Code Predefined code an agent enters in response to a prompt before going into an idle state; used to show the reason the agent is going into the Idle state
    Redundant System Controller System of two ACD servers where one is the primary and the other is a backup (The redundant server can operate if the primary fails; however, it cannot operate if the backup fails due to the fact that the voice database is kept on the backup server.)
    Remote Desktop Connection (RDC) Desktop application used to connect to a remote server (This program is used for accessing eWFM.)
    Remote Monitoring Monitoring via a special telephone number from any location (An example would be a reviewer in one site monitoring agent calls in another (remote) site.)
    Remote Staff Center Device used at some sites to connect the off-site location to the ACD
    Selected Expanded Access (SEA) Automated service application of interactive applications for taxpayers who would have received a busy signal (Automated services are offered on SEA on the product lines in lieu of a busy signal when the total calls in queue in all applications of the product line exceed 40% of available staff.)
    Service Issue or multiple issues handled by an assistor
    Shelves Non-blocking digital device providing 3,000 switch ports (It has universal card slots to allow control of these ports. There are up to eight shelves in the ACD.)
    Shrinkage Percentage Difference between actual time on the phones and time scheduled to be on the phones
    Slippage Difference between what is shown as phone work duration on "Daily Agent Performance" and what employee reports on 3081 (Phone work duration is the total Handle Time (talk time + hold time + wrap time) plus Agent Availability recorded on the Aspect ACD.)
    Signaling Determination of how outbound calls are routed
    Special Number Number that is given special handling when dialed (Special numbers are handled by individually assigned CCTs. Calls to such numbers can be placed by users who are normally prohibited from making outbound calls or when all or part of the number is defined as prohibited. Add special numbers to the Aspect ACD system in Aspect Program Analyst. An example is "911." )
    Speed Number Telephone number that is dialed automatically when a two- or three-digit code is dialed (Add speed numbers in the Aspect ACD system in Aspect Program Analyst.)
    Station Interfaces Connections between administrative phones and the ACD
    Switching Card Communication coordinator between the system controller and the individual interface cards (also known as the switching shelf controller)
    Switching Modules Hardware that supports and directs the flow of all data and hardware connected to the Aspect System (also known as shelves)
    T1 Group of 24 telephone lines used to make calls or receive calls, or both
    Team Collection of agents or administrative users who all report to the same supervisor
    Team Status Status including agents signed in a particular team(s), agent extension numbers, current Aspect state (such as idle, available, ACD, or wrap) and the length of time they have been in that state
    Technician Person responsible to perform the technical procedures to ensure the Aspect ACD operates correctly
    TeleCasters Electronic display boards that display information such as how many calls are waiting in the queue as well as in bulletins
    Telephony Server Connection between the shelves and the application server
    Teleset Hardware primarily used by agents to receive/make telephone calls (Other uses can include monitoring calls and trunks, recording system announcements, and training agents.)
    The Line Private telephone line leased from a communication carrier that links two or more points in an organization so that a user does not have to dial the normal telephone number
    Total Toll-Free Service Provided Count of all services handled at the secondary application level
    Trace Agent Identification including the day, agent extension, and telephone number dialed that is displayed on the supervisor's workstation(The identification is created when an agent dials a number defined as a trace number in the Trace Number table.)
    Trace Number Defined telephone numbers, that when dialed by an agent, alert the agent's supervisor with a message on the supervisor's workstation screen
    TRIS MIS Telephone Routing Interactive Systems Management Information Statistics (TRIS MIS is a web server providing TRIS MIS reports and extracts to Customer Service, Tax Exempt/Government Entities and National Taxpayer Advocate.)
    Trunk Groups Grouping of trunks that take similar types of calls
    Trunks Circuits that connect the local company to the ACD and make it possible to take incoming or make outgoing calls
    Users Listing of those with access to teleset and administrative telephone user in the system
    Value Data found in a field. The Relative Date field, for example, could list yesterday, last Monday, or Last Month. In the Application Numbers field, a range of numbers can be applied
    Voice Port Link between the software and hardware that allows the playing of pre-recorded information and recording of caller information
    Voice Response Unit (VRU) Auxiliary device that permits taxpayers using a touch-tone telephone to direct (route) their calls to a specific area via voice prompts
    WebView Web-based application used for ICM enterprise reporting
    Wink Start Trunk supervision code used for DDI or DID/DNIS, tie line, interflow trunk
    Workplan Plan developed at the beginning of the Fiscal Year that outlines the work a site is expected to complete and the resources they have to accomplish it (The plan is usually provided for an entire year and then broken out by periods.)
    Workload Planning and Control System (WP&C) System used to report actual hours worked and units completed compared to the schedule
    Wrap Time Time an agent spends taking action to complete a call after the taxpayer hangs up (also known as wrap-up time)

1.4.21.7  (01-01-2013)
eWFM Glossary

  1. eWFM Glossary

    Term Description
    ACD Login IDs List of ACD extensions that are assigned to an employee for direct work
    Active Work State Aspect teleset state associated with active (direct) assigned work (The states include ACD, AVAIL, HOLD, OUT, and WRAP. These states tell eWFM and RTA that the employee is actively working on telephones or inventory.)
    Agent Activity Agent Productivity report that displays the employees' call activity including volumes and handle times
    Agent Adherence eWFM and RTA measurement comparing schedule work time to active work time (as computed from time spent in active work states)(Adherence goal is between 95% and 105% per employee.)
    Agent Availability Agent Productivity report that displays the employees' adherence to schedule
    Alarm Summary Report Report generated in Real-Time Adherence (RTA) software based on tracked telephone and schedule adherence activity
    AutoRun Server Server located at ECC-Memphis that automates reports and other processes ran on a frequent basis
    BREAKS Category Segment category that relates to scheduled break timesSegments included in this group are BREAK, BREAK2, BREAK3, BREAK4, BREAK5, LUNCH and OTBRK.)
    CATGRY Group Assignment eWFM employee group assignment based on work status and position
    CCCFS Centralized Contact Center Forecasting and Scheduling initiative to provide end to end planning and scheduling of phone and inventory work
    Child Staff Group Particular call center portion of the parent staff group (e.g., 025CSC)
    CONTNR Category Segment category that relates to the hours the employee will work during a given shift (Segments included in this group are SHIFT, OVTM, COMPWK, and CREDWK.)
    Database Server Server located at ECC-Memphis that stores the eWFM database for all call centers and other business units
    DEPTS Group Assignment eWFM employee group assignment based on primary work assignment
    Detail Segments Time segment (activity) with a defined start and stop time (These type of segments are required to be used for shift and work segments and any other part-day activities.)
    DIR Group Assignment eWFM employee group assignment based on directorate assignment
    DISC Category Segment category that relates to discretionary activities that can be planned based on customer demand such as training
    Employee Filter A screening feature to narrow the parameters of available data for desired analysis or reports
    Employee Group Various assignments input into an employee record that relate to work status, position, primary work, skills, team and site organization
    Employee Records EWFM database records that are used to assign schedules and track activity (Various employee groups and extra database information are added and maintained by the sites.)
    ETD Enterprise Telephone Data Reporting - web based tool to provide staffing requirements in addition to other telephone data
    eWFM EWorkforce Management - software used to forecast customer demand and schedule and track employee activities
    Forecast Calculated volumes of work based on the percent of customer demand projected to be completed (Forecasts are developed for both phone and inventory work and model seasonal and intra-day patterns.)
    Forecasting Prediction of a possible outcome to a relative matter, the act of analyzing data and/or behavior to predict an ending result
    Forecast Group Type of work for which volumes and handle time are forecasted (e.g., CAS025)
    Functional Reassignment Process of changing the type of work an employee is assigned for a given period (This process will be performed by the call centers.)
    GAP Analysis Consolidated results of the schedule test that display the difference between scheduled work and staff group requirements (Each site provides this analysis to the headquarters staff.)
    General Segments Time segment (activity) without a defined start and stop time (These types of segments are used when the scheduled activity covers the entire day such as leave or training.)
    Holiday Factor Expected anomaly used to more accurately forecast customer demand (e.g., days near holidays, filing deadlines, etc.)
    IDP (Intra-day Performance) Intra-day Performance used to display required staff, scheduled staff, and actual staff as well as forecasted and actual volumes and handle times
    IDP Actual Positions Staff (APS) Number of agents in an active work state as captured by the Aspect ACD on an average half-hour basis associated by agent group the employee signs into
    IDP Net Staff Surpluses or deficits based on the difference between required and scheduled staff reflected by staff group on a half-hour basis
    IDP Required Staff Number of agents needed to meet the forecasted customer demand developed by staff group on an average half-hour basis
    IDP Scheduled Staff Number of agents assigned to meet the forecasted customer demand based on their work segment reflected by staff group on an average half-hour basis
    Intra-day Timeline Interactive grid of scheduled activities for a given date (The grid displays data from two main viewpoints: 1) employee - displays by employee name and 2) states - displays by scheduled activity. The timeline can also be viewed from different perspectives depending on the desired analysis, i.e., staffing, pay, productivity, etc.)
    Module Distinct, functional unit of eWFM used to accomplish related tasks
    NODISC Category Segment category that relates to non-discretionary activities that generally cannot be planned based on customer demand such as sick leave
    Official Schedules List of all the segments for a single employee over a span of days that have been made official (These schedules are used to accurately track employee’s activities both work and non-work.)
    Official Schedule Editor Interactive tool for viewing and editing official schedules for an individual employee
    Official Segment Worksheet Interactive grid for adding, editing, or deleting official segments (The worksheet can be a time saver when working with multiple employees.)
    Overlapping Placement of more than one segment for an interval of time in the single employee schedule (Overlapping is resolved by eWFM through segment ranking.)
    Parent Staff Group Staff groups that are consolidated at the Enterprise level (e.g., CAS025)
    Perspectives Categories in eWFM that track the effects of scheduled segments
    Planned Shrinkage Guideline provided to sites by headquarters for planned annual leave and training based on historical data and business goals
    Real-Time Adherence (RTA) Desktop software that interacts with the ACD and eWFM in a real-time environment (This tool is used by sites to manage employees' adherence to schedule and notifies managers when updates to the official schedule may be needed.)
    Remote Desktop Connection (RDC) Desktop software used to connect to the assigned eWFM terminal server
    Requirements Number of ready agents needed to deliver the forecasted customer demand (The requirements are developed for each staff group on an average half-hour basis at the Enterprise and site levels. The requirements are posted in IDP and the ETD website.)
    Routing Sets Table of associations between forecast groups and staff groups
    RTA Activity Alarm RTA alert displayed when an employee is logged into the Aspect ACD (The alarm displays the teleset state.)
    RTA Activity Alarm Window Grouping of selected employees contained within an RTA workspace (This window will display activity alarms based on the set thresholds.)
    RTA Schedule Alarm RTA alert displayed when an employee is out of adherence with their eWFM schedule
    RTA Schedule Alarm Window Grouping of selected employees contained within an RTA workspace (This window will display schedule alarms based on set thresholds.)
    RTA Server Servers located at ECC-MEM that provide user connectivity to data and alerts from eWFM and the Aspect ACD through the RTA software
    RTA Workspace RTA container used to store user preferences and settings (The workspace will contain desired RTA activity and schedule windows.)
    Schedule Sets Group of trial schedules designed to be used together; the "container" that the scheduling process uses to store schedules
    Schedule Test Process performed by sites on the official schedules that measures how well the scheduled work and estimated shrinkage meet the staff group requirements
    Segment Time period of an employee’s schedule. Segments include the shift, work, breaks, and other non-work activities(Segments can be as small as 5 minute increments. Segments fall into two major categories: 1) "detail" with a defined start and stop time and 2) "general" without a defined start and stop time which covers the entire shift.)
    Segment Entry Rules Rules built within the software that prevent users from saving segments that violate certain logical constraints
    Segment Categories Defined types of segments that are used for applying the segment entry rules and filtering data
    Segment Package Group of segments commonly scheduled together in relation to a default start time (A segment package can streamline scheduling employees.)
    Segment Ranking Hierarchical value applied to segments that allows eWFM to determine a scheduling priority for overlapping segments
    SHIFT Segment Detail segment that identifies an employee's normal tour of duty for a given day (This is the base for all trial and official schedules upon which other scheduled activities are layered.)
    Shrinkage Percent of scheduled work time that employees are not actually doing direct work (Shrinkage includes planned activities such as team meetings and training and unplanned activities such as absences or non-productivity.)
    Shrinkage Sets Set of percentages for defined shrinkage categories that are used to schedule enough employees to meet the base customer demand and estimated shrinkage
    SITSKL Group Assignment Assignment based on a combination of all work assignments in which an employee is currently skilled
    Skills Prioritization List of work assignments on the Skills tab that an employee can be assigned with a designated priority
    Skills Readiness Information populated in the extra employee information fields that designate an employee's ability to be assigned particular work
    Staff Group Type of work assignment that represents how work is delivered to employees (Staff groups can be single or multi-skilled.)
    Staff Perspective Point of view when displaying official schedules in the Intra-day timeline or creating an Intra-day timeline report (This perspective is the most detailed and provides the specific activities that are scheduled for a given time period.)
    Superstates Method of tallying scheduled/tracked activities by segment or group of related segments (Superstates are generally designed by OFP program code. Reports of this type should be run to reconcile tracked eWFM time with official reported time.)
    Tally Server Server located at ECC-Memphis that receives updates from the database server and sends these updates to the RTA servers across the network
    Terminal Server Set of servers located at ECC-Memphis that provide connectivity to the eWFM database server from user's desktop
    TEAMS Group Assignment Assignment based on organizational team
    Threshold Criteria used to trigger when RTA alarms are displayed(Guidelines are provided by headquarters as to recommended threshold settings to provide consistent data for analysis.)
    Tracking Date Date eWFM uses as a basis from which to report data (It reflects relevant data per employee group assignments as of this date.)
    Training Shrinkage Guideline provided to sites by headquarters for planned training activities based on historical data and business goals
    Trial Schedule Staff Group Various groups designed to hold trial schedule sets generally by work type; visible in the Trial Schedule Manager
    Trial Schedule Set Containers designed to hold trial schedules for a given date range (These sets are contained within trial schedule staff groups.)
    Trial Schedules Consolidation of the scheduled activities (segments) for a given period for an employee in eWFM (Trial schedules are used to make official schedules (discussed earlier). Trial schedules are used for planning and testing to best meet the forecasted customer demand.)
    Trial Schedule Editor Interactive tool for viewing and editing trial schedules for an individual employee
    Trial Segment Worksheet Interactive grid for adding, editing, or deleting trial segments (The worksheet can be a time saver when working with multiple employees.)
    Unplanned Shrinkage Guideline provided to sites by headquarters for unplanned leave based on historical data and business goals
    Violation Error that occurs when trying to save official segments that do not comply with segment entry rules
    WORK Category Segment category that relates to assigned work (These include both telephone and inventory.)
    WORK Segment Time segment used to schedule and track assigned work (Work segments are defined for both phone and inventory and model how work is performed by agents. Work segment(s) should cover an employee's entire tour-of-duty including additional time worked for overtime, credit hours or compensatory time.)

Exhibit 1.4.21-1 
ETD Half Hourly Adherence Records for All 26 Sites

Below is a sanitized print of a daily ETD Half Hourly Adherence report for All 26 Sites. This report will provide Half hourly Actual staffing delivered compared to original and adjusted scheduled staffing requirements for Toll Free and ACS. The report is available by half day, week, month, site, Director, BOD, Enterprise, planned application grouping and actual delivered agent grouping.

Note:

This sample is for all 26 sites. If this report is run for anything other than all 26 sites an additional column would provide the time in half hour intervals for the displayed elements. In addition, if the report is requested for more than one day it will provide the beginning and ending dates.

Half Hourly Adherence

Program =

Site(s) = ALL 26 SITES

Date = day MM/DD/YYYY

Time = WHOLE DAY

Report ran on: MM/DD/YYYY HH:MM:SS AM/PM (Central Time)

LOCATION REQUIREMENT ADJUSTMENT ADJUSTED REQUIREMENT READY AGENTS OVER UNDER ADJ OVER UNDER ORIG PERCENT ADJ PERCENT ORIG
SITE NAME 524 0 524 34.4 -489 -489 6.58 6.58
SITE NAME 99 0 99 536.1 437 437 540.53 540.53
SITE NAME 122 0 122 33.7 -88 -88 27.62 27.62
SITE NAME 1026 0 1026 1649.1 624 624 160.8 160.8
SITE NAME 319 0 319 304.1 -15 -15 95.22 95.22
SITE NAME 758 0 758 1208.3 451 451 159.48 159.48
SITE NAME 1141 0 1141 1332 191 191 116.74 116.74
SITE NAME 682 0 682 1276.7 594 594 187.11 187.11
SITE NAME 740 96 836 1009.3 173 269 120.7 136.35
SITE NAME 87 0 87 2.4 -84 -84 2.74 2.74
SITE NAME 445 0 445 585.2 140 140 131.54 131.54
SITE NAME 980 0 980 1333.2 354 354 136.09 136.09
SITE NAME 83 0 83 381.3 298 298 456.97 456.97
SITE NAME 747 0 747 1096 349 349 146.74 146.74
SITE NAME 403 0 403 921.9 519 519 228.9 228.9
SITE NAME 633 0 633 865.6 233 233 136.83 136.83
SITE NAME 543 0 543 523.9 -19 -19 96.53 96.53
SITE NAME 790 0 790 1116.4 327 327 141.4 141.4
SITE NAME 166 -6 160 263.4 103 97 164.1 158.19
SITE NAME 368 0 368 373 5 5 101.37 101.37
SITE NAME 197 0 197 324 127 127 164.69 164.69
SITE NAME 1034 0 1034 1603.8 570 570 155.07 155.07
TOTAL 11886 90 11976 16773.7 4798 4888 140.07 141.13
Description of Elements
ELEMENT DESCRIPTION
1 Date Listed by month, day, and year format; if other than daily this will provide the dates included in the report
2 Time Listed as whole day on this sample; this can also be run for half hour intervals
3 Report ran on Day report run listed in month, day, year format with the time in hours, minutes and seconds
4 LOCATION Site name(s) per selected group or site
5 REQUIREMENT Original scheduled staff requirement
6 ADJUSTMENT Adjustment to original staff requirement
7 ADJUSTED REQUIREMENT Adjusted staff requirement
8 READY AGENTS Actual ready agents
9 OVER UNDER ADJ Actual staff over or under the adjusted staff requirement
10 OVER UNDER ORIG Actual staff over or under the original staff requirement
11 PERCENT ADJ Percent of ready agents to the adjusted staff requirement
12 PERCENT ORIG Percent of ready agents to the original staff requirement
13 TOTAL Last row will total report numbers

Exhibit 1.4.21-2 
Application Management Summary (Daily) by Report Application Number

Description: The Application Management Summary (Daily) report summarizes the call activity by applications. This report uses the Application Statistics view and groups by Application number or name. The top portion of this report will include the site name, site number and requested date(s).

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Description of elements in column order:
ELEMENT DESCRIPTION
Application number Number of each application included in report
Application name Name of each application included in report
Number of Calls Offered Number of incoming calls offered (Each time that an incoming call is transferred or reaches A NEW TRANSACTION CCT step, a new call Record is written and counts as another incoming call.)
Number of Calls Outgoing Number of outgoing calls
Number of Calls Abandoned Regular Number of regular calls abandoned
Number of Calls Abandoned Interflow Number of interflow calls abandoned
Number of Calls Abandoned Total Total number of calls abandoned
Percent of Abandoned Calls Percentage of calls abandoned, which is calculated by dividing Total Abandoned Callsby Total Calls Offered
Percent of Service Level Percentage of calls handled within the service level set in the application's database record
Average Call Time In Average length of incoming calls in hours, minutes, and seconds format
Average Call Time Out Average length of outgoing calls in hours, minutes, and seconds format
Average Speed of Answer Average length of time before call was answered in hours, minutes, and seconds format
Calls Handled by Primary Group Count Number of calls handled by primary agent group
Calls Handled by Primary Group Percentage Percentage of calls handled by primary group
Calls Handled by Other Group Count Number of calls handled by any other agent group
Calls Handled by Other Group Percentage Percentage of calls handled by any other agent group
Calls Handled by Voice Msg Count Number of calls handled by voice message system
Calls Handled by Voice Msg Percentage Percentage of calls handled by voice message system
Calls Handled by Other Count Number of calls handled by other system resources
Calls Handled by Other Percentage Percentage of calls handled by other system resources
System Totals Totals for all columns

Exhibit 1.4.21-3 
Trunk Profile (Daily) by Trunk Group Number Report

Description: The Trunk Profile (Daily) report summarizes call statistics for trunks within each trunk group. This report uses the Daily Trunk Profile view and groups by trunk group number or name. The top portion of this report will include the site name, site number and requested date(s). The subsections will list the trunk group number and name.

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Description of elements in column order:
ELEMENT DESCRIPTION
Trunk Number Trunk number defined in the database
Trunk Directory Number Directory number defined in database
Incoming Calls Number Number of incoming calls
Incoming Calls Average Length Average length of incoming calls in hour, minute, and second format
Incoming Abandoned Calls Number Total number of incoming abandoned calls
Incoming Abandoned Calls Average Time before Abandoned Average length of time before abandoned in hour, minute, and second format
Incoming Trunk Occupancy Duration Total time trunk was in use
Outgoing Calls Number Total number of outgoing calls
Outgoing Calls Average Time Average length of outgoing calls in hour, minute, and second format
Outgoing Trunk Occupancy Duration Total time trunk was occupied by outgoing calls
Outgoing Trunk Seized Time Amount of time that a trunk was seized before being connected to an outbound or interflow call; this does not include time spent in the Idle State
Number of Problem Reports Echo, Volume and Noise Number of Echo, Volume and Noise problems reported by agents during the report time period

Exhibit 1.4.21-4 
Agent Performance Team (Daily) by Team Name Report

Description: This Agent Performance (Daily) report shows general call activity for all agents signed on to the system during a specified time period. This report uses the Agent Statistics view and groups by agent group number and agent name. The top portion of this report will include the site name, site number and requested date(s). Each subsection will list the Team Name and Number.

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Description of elements in column order:
ELEMENT DESCRIPTION
Agent Name Last, First name of employee
Agent Extension Number Four digit extension number
Duration of Sign On Total sign on time in hour, minutes, and seconds format
Incoming Count Total number of incoming calls
Incoming Average Length Average length of time on incoming calls
Incoming Percentage Percentage of time spent on incoming calls
Outgoing Count Total number of outgoing calls
Outgoing Average Length Average length of time spent on outgoing calls
Outgoing Percentage Percentage of time spent on outgoing calls
Inside Count Total number of inside calls
Inside Average Length Average length of time spent on inside calls
   
Inside Percentage Percentage of time spent on inside calls
Customer Msg Duration Total time in Customer Messaging in hour, minutes, and seconds format
Customer Msg Percentage Percentage of time spent on Customer Messaging
Percent Spent in Avail Percentage of time spent in Available status
Percent Spent in Idle Percentage of time spent in Idle status
Percent Spent in Wrap-up Percentage of time spent in Wrap-up
Work Time Duration Total work time in hour, minutes, and seconds format
Work Time Percentage Work time percentage as define in the database

Exhibit 1.4.21-5 
Agent Sign-Off/Idle with Reason Report

Description: The Agent Sign-Off/Idle with Reason report shows in detail when each agent signed on, signed off or entered the Idle state. It uses the Group Reason Code Events view and groups by Agent name. The top portion of this report will include the site name, site number and requested date(s). The subsections will list each agent's last name, first name and extension number in that order.

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Description of elements in column order:
ELEMENT DESCRIPTION
Event Events are restricted to Sign-on, Idle and Sign-off
Reason Reason as defined in the database for the given status; usually Idle only
Date Date of event in hour, minutes, and seconds format
Time Time of event in hour, minutes, and seconds format
Duration Duration of time spent in the event in hour, minutes, and seconds format

Exhibit 1.4.21-6 
Daily Workload By Team Report

DAILY WORKLOAD REQUEST
DAILY WORKLOAD BY SITE (ENTER 3 CHARACTER SITE ID)
DAILY WORKLOAD BY TEAM ("MR00" - DATA NOT REQUIRED, PRESS PR5)
DAILY WORKLOAD BY FUNCTION (ENTER FUNCTION)
DAILY WORKLOAD BY TEAM/FUNCTION ("MRXX" - ENTER TEAM/FUNCTION)
MEASURED INVENTORY (ENTER Y/N)
FUNCTION KEYS: F1 = RETURN TO MENU F5 = INITIATE REQUEST

Exhibit 1.4.21-7 
Teach List

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Description of elements:
ELEMENT DESCRIPTION
e1 TEAM Team identifies the team the workstation operator or manager is assigned to. This assignment is done through the Security Data Base Maintenance. Valid team codes are A-Z and 0-9. Numeric team codes are used for the Service Center Function.
e2 TIN TIN (Taxpayer ID Number) is the unique IRS number used to identify a taxpayer. For an individual taxpayer, this number is the taxpayer's social security number (SSN). For a business taxpayer, this number is the employer identification number (EIN).
e3 ACTION CODE Action Code identifies the account action that was performed on the taxpayer account by the workstation operator.
e4 COMMENT Action History Comments contain any parameter and action history definer entered by a workstation operation as part of an account action.
e5 FUNCTIONAL UNIT Functional Unit Code is the function and unit to which the taxpayer case is assigned. Valid functions are: R (Research), I (Investigation), C (Contact), and S (Service Center). Valid units are 0-9.
e6 EMPLOYEE NUMBER Employee number identifies the workstation operator who performed the actions for each account listed on the screen.
e7 DT Action History Date is the date the TEACH List is displayed
e8 TIN TIN (Taxpayer ID Number) is the unique IRS number used to identify a taxpayer. If a TIN appears in this position, it indicates that the accessed employee is currently working on that particular taxpayer's account.
e9 CALL SITE Call Site ID indicates which call site the case is assigned to

Exhibit 1.4.21-8 
Employee List By Name Report

EMPLOYEE LIST SEARCH REQUEST
EMPLOYEE LIST BY SITE: (ENTER 3 CHARACTER SITE ID)
EMPLOYEE LIST BY EMP NUMBER: (ENTER FULL EMPLOYEE NUMBER ONLY)
EMPLOYEE LIST BY EMP NUMBER: (ENTER FIRST 2 AND LAST 3 DIGITS EMP #)
EMPLOYEE LIST BY RACF USERID, NAME, PROFILE AND/OR EMPLOYEE SIGNED ON
RACF USERID: (SITE IS OPTIONAL)
LAST NAME: (ENTER PARTIAL OR WHOLE NAME)
EMPLOYEE PROFILE: (ENTER A, B, C, E, L, M, N, O, Q, S, OR V)
EMPLOYEE SIGNED ON: (ENTER Y/N)
F1 = RETURN TO MENU
F5 = INITIATE REQUEST
EMPLOYEE LIST FOR SITE PAGE 001
1 EMPLOYEE NUMBER 2 RACF NUMBER 3 EMPLOYEE NAME 4 EMPLOYEE SIGNED-ON 5 EMPLOYEE PROFILE
6 SITE NAME:
07832652 XYZABC1 ATL-OPERATOR N O
18171717 QCI15 DAS, NAMITA N M
18181818 QCI15 DAS, NAMITA N O
21212121 QCQ53 ATL-NATIONAL N O
23232323 QCI15 NAMITA DAS N N
32323232 QC217 ROBERT SCHICK N N
33333333 QCQ53 ATL-NATIONAL N O
55555555 QBM05 JOHN BAKER N N
58007000 XYZABC1 ATL-MASTER N M
58015249 XYZABC1 ATL-OPERATOR N O
58015557 XYZABC1 ATL-SUPERVISOR N S
58019008 QC747 ATL-MASTER N M
58019010 XYZABC1 ATL-MASTER N M
58019016 XYZABC1 ATL-SUPERVISOR N S
PF1 - RETURN PF - PAGE FORWARD PB - PAGE BACKWARD
Description of the elements:
ELEMENT DESCRIPTION
1 EMPLOYEE NUMBER Employee Number is the unique employee number assigned to the IRS employee at the ACS Site.
2 RACF NUMBER RACF Number is the unique user ID assigned to the IRS employee at the ACS Site.
3 EMPLOYEE NAME Employee Name is the name of each employee at the ACS Site.
4 EMPLOYEE SIGNED-ON Y – employee is signed-on in the ACS system. N – employee is not signed in.
5 EMPLOYEE PROFILE N – National, M - Manager, S – Supervisor, O – Operator
6 SITE NAME ACS Site or ACS Service Center

Exhibit 1.4.21-9 
Weekly Production Report

ACRM5001 Production Report
1 REPORT ID: ACRM5001 4 MM/DD/YYYY
2 NASHVILLE INTERNAL REVENUE SERVICE/ACS 5 CYCLE 200045
ACS PRODUCTION REPORT NO-5000-116
3 NATIONAL INVENTORY 6 PAGE 1 OR 999999
  7 8 9 10 11 12
  TOTAL ENTITY TDA ENTITY TDI ENTITY COMB ENTITY TDA MODULES TDI MODULES
BEGINNING INVENTORY   13        
RECEIPTS   14        
NEW ISSUANCES   15        
TOTAL SITE TRANSFERS IN ***   16        
LOCAL ACTIVITY   17        
DISPOSITIONS   18        
TDA/COMBINED   19        
PAID IN FULL   20        
INSTALLMENT AGREEMENTS   21        
PAYMENT TRACERS   22        
CSED   23        
CSC (CURRENTLY NOT COLLECTIBLE)   24        
UNABLE TO LOCATE TAXPAYER   25        
UNABLE TO CONTACT TAXPAYER   26        
HARDSHIP   27        
SHELVED   28        
OTHER   29        
PURGE   30        
TDI   31        
RETURN FILED BY TAXPAYER   32        
RETURN SECURED   33        
TAXPAYER NO LONGER LIABLE   34        
TAXPAYER NOT LIABLE THIS PERIOD   35        
RETURNS PREVIOUSLY FILED   36        
SHELVED   37        
PURGE   38        
UNABLE TO LOCATE TAXPAYER   39        
RETURNS FILED UNDER 6020B   40        
SFR (SUBSTITUTE FOR RETURN)   41        
OTHER   42        
TOTAL SITE TRANSFERS OUT ***   43        
TRANSFERS:   44        
TRANSFERS OUT OF JURISDICTION   45        
TRANSFERS FROM ACS   46        
TO RO   47        
MANUAL TO QUEUE   48        
SYSTEMIC TO QUEUE   49        
TO EXAM   50        
OTHER   51        
ZAP CLOSURES   52        
ADJUSTMENTS TO INVENTORY:            
GAINS FROM CHANGES IN DELINQ TYPE   53        
LOSSES FROM CHANGES IN DELINQ TYPE   54        
ENDING INVENTORY   55        
ATAF ENDING INVENTORY   56        
ACRM5001 PRODUCTION REPORT (DEFINITIONS)
ELEMENT DESCRIPTION
1 REPORT ID REPORT ID uniquely identifies this report. The Production Report identification is ACRM5001.
2 CALL SITE CALL SITE identifies the Call Site for which the Production Report provides case activity information.
3 LEVEL LEVEL identifies the level at which the report is developed. Managers should look here to find the scope of the report.
4 DATE RUN DATE is the month, day, and year the report is generated.
5 CYCLE CYCLE is the cycle for which the report is printed. This is in the format of year and week (YYYYWW).
6 PAGE PAGE is the page number of the report.
7 TOTAL ENTITY TOTAL ENTITY is the total number of accounts in the current reporting period for TDA, TDI, and COMBINED account types. COMBINED means the account has both TDA and TDI modules.
8 TDA ENTITY TDA ENTITY is the total number of TDA accounts in the current reporting period.
9 TDI ENTITY TDI ENTITY is the total number of TDI accounts in the current reporting period.
10 COMB ENTITY COMB ENTITY is the total number of accounts which have at least one TDA and one TDI module in the reporting period.
11 TDA MODULES TDA MODULES is the total number of TDA modules in the TDA and COMBINED entities.
12 TDI MODULES TDI MODULES is the total number of TDI modules in the TDI and COMBINED entities.
13 BEGINNING INVENTORY BEGINNING INVENTORY is the number of entities and modules by type (TDA, TDI, COMBINED) that were open as of the beginning of the cycle. This is then ATAF ending inventory from the previous cycle.
14 RECEIPTS RECEIPTS is the total of New Issuances and one or none of the following fields: INTER-SITE TRANSFERS IN and TOTAL SITE TRANSFERS IN depending on the level. National Level: Only New Issuances, which will be the sum of the SB and WI New Issuances. WI, SB, CS and SS levels: a sum of New Issuances and Inter-Site Transfers In. Team, TF, TFU, and FU levels: A sum of New Issuances and Total Site Transfers In (see #16).
15 NEW ISSUANCES NEW ISSUANCES is the number of entities and modules that were established or reopened this cycle as determined by the following: An Entity is NI if the case established cycle (AB_ACS_ESB_CYC_NUM) is the current cycle and the account status (AB_TP_ACNT_STST_CD) = 0 for an open case. All modules connected to an NI Entity are considered NI. If the Entity is not NI: A TDA module is counted as NI if it has the module status (AE_CURR_STAT_CD) of 22 (open) and an established cycle (AE_TDA_ESD_CYC_NUM) that is the current cycle. A TDI module is counted NI if the module is open (AF_DQ_MOD_STATCD_# = 1 OR 3) and the TDI established code (AF_TDI_ESB_CYC_#) equals the current cycle.
16 TOTAL SITE TRANSFERS IN *** This is a variable field, based on the TRANSFERS IN report level. If it is displayed, it may have one of three labels: 1) Inter-Site Transfers In - (between call sites) meaning the call site ID of a case was changed to the site specified by this report. 2) Intra-site Transfers In - (within the call site) meaning the call site ID did not change, but there was a change in the Pool, Team, Function or Unit. 3) Total Site Transfers In - sum of both the Inter-Site Transfers In and the Intra-site Transfers In. For display information, see the levels referenced in #14 - Receipts.
17 LOCAL ACTIVITY LOCAL ACTIVITY is the sum of all entities and modules removed from the inventory of the reporting period. This is the sum of Dispositions, Transfers and Zap Closures.
18 DISPOSITIONS DISPOSITIONS is the sum of all entity and module closures. This is the sum of TDA/COMBINED, TDI, one or none of the following: Inter-Site Transfers Out, Intra-site Transfers Out or Total Site Transfers Out; and the Other field. The display of transfers out depends on the report level: National Level: none of the transfers out. WI, SB, CS and SS levels: Inter-Site Transfers Out. Team, TF, TFU, and FU levels: Total Site Transfers OUT (see #43).
19 TDA/COMBINED TDA/COMBINED DISPOSITIONS is the total number of all closures containing at least one TDA module. It is the sum of Paid in Full, Installment Agreements, Payment Tracers, CSED, CNC and PURGE.
20 PAID IN FULL PAID IN FULL (Also know as Immediate Resolution) is the number of all entities and modules that have been closed on the ATAF with an Immediate Resolution status. This is determined by having one TDA module close with status (AE_CURR_STAT_CD) of 12. (See TDA Priority Closure Order below.)
21 INSTALLMENT AGREEMENTS An INSTALLMENT AGREEMENT is when a taxpayer agrees to pay money thru a periodic payment plan. If a TDA module closes with a status (AE_CURR_STAT_CD) of 60, 61, 63 or 64, it is counted here. (See TDA Priority Closure Order below.)
22 PAYMENT TRACERS A PAYMENT TRACER closure is determined by a TDA module closing with a status (AE_CURR_STAT_CD) of 53, and having an AE_470_530_IND = 1. (See TDA Priority Closure Order below.)
23 CSED CSED is when a case COLSED date has passed. That is, when there is a date in AE_COLSED_DT (not equal 0) on a TDA module that is less than the current date. (See TDA Priority Closure Order below.)
24 CURRENTLY NOT COLLECTIBLE This field (CNC) is the sum of the next five fields describing how a case is currently not collectable: Unable to locate, Unable to Contact, Hardship, Shelved and Other. (See TDA Priority Closure Order below.)
25 UNABLE TO LOCATE TAXPAYER This is a CNC case where the IRS is unable to locate the taxpayer. The TDA module will be closed with an AE_CURR_STAT_CD of 53; The AE_470_530_IND will be 2 and the case will have an action history of NC03 or NC17. (See TDA Priority Closure Order below.)
26 UNABLE TO CONTACT TAXPAYER This is a CNC case where the IRS is Unable to Contact the taxpayer. The TDA module will be closed with an AE_CURR_STAT_CD of 53; The AE_470_530_IND will be 2 and the case will have an action history of NC12 or NC18. (See TDA Priority Closure Order below.)
27 HARDSHIP This is a CNC case where the money cannot be collected due to a hardship to the taxpayer. The TDA module will be closed with an AE_CURR_STAT_CD of 53; The AE_470_530_IND will be 2 and the case will have an action history within the range of NC24 thru NC32. (See TDA Priority Closure Order below.)
28 SHELVED A CNC case which has been shelved due to certain conditions which cause the TDA module to be closed with an AE_CURR_STAT_CD of 53; The AE_470_530_IND will be 2 and the case will have an action history of NC39. (See TDA Priority Closure Order below.)
29 OTHER OTHER holds all CNC cases closed with an AE_CURR_STAT_CD of 53; The AE_470_530_IND will be 2 and the case will have an action history containing an NC command where the number associated with it is not specific to one of the other CNC types. (See TDA Priority Closure Order below.)
30 PURGE PURGE is a count of cases sent to the QUEUE by the system. The AJ_EMPLYE_NUM is ‘999999999’ and AA_TAXPAYER_ACNT_STAT is 2 or 5 and the combination of AA_T_SIGN_NUM and AA_BRCH_FILLER is 06 or 70. (See TDA Priority Closure Order below.)
31 TDI TDI DISPOSITIONS is the total number of all closures containing only TDI modules. It is the sum of the next 10 fields: Returns Filed, Returns Secured, No Longer Liable, No Longer Liable this period, Returns Previously Filed, Shelved, Purged, Unable to Locate, 6020B and SFR.
32 RETURNS FILED BY TAXPAYER RETURNS FILED is the total number of TDI entities and modules closed because a return was filed by the taxpayer. The AF_TYP_CLOSUR_CD for one module was an “R”, “F” or “*” (asterisk). (See TDI Priority Closure Order below.)
33 RETURNS SECURED SECURED is the total number of TDI entities and modules closed because a return was secured from the taxpayer. The AF_TYP_CLOSUR_CD for one module was a 2 or 9. (See TDI Priority Closure Order below.
34 TAXPAYER NO LONGER LIABLE The Taxpayer is No Longer Liable for the taxes. The AF_TYP_CLOSUR_CD for one module was a 1. (See TDI Priority Closure Order below.)
35 TAXPAYER NO LONGER LIABLE THIS PERIOD The Taxpayer is no longer liable for this tax period. The AF_TYP_CLOSUR_CD for one module was a “G” or 0. (See TDI Priority Closure Order below.)
36 RETURNS PREVIOUSLY FILED The Taxpayer has Previous Filed the return. The AF_TYP_CLOSUR_CD for one module was a 4. (See TDI Priority Closure Order below.)
37 SHELVED The case was Shelved because of certain conditions. The AF_TYP_CLOSUR_CD for one module was an 8. (See TDI Priority Closure Order below.)
38 PURGE The TDI case was transferred to QUEUE by the system. The AJ_EMPLYE_NUM is ‘999999999’ and AA_TAXPAYER_ACNT_STAT is 2 or 5 and the combination of AA_T_SIGN_NUM and AA_BRCH_FILLER is 06 or 70. (See TDA Priority Closure Order below.)
39 UNABLE TO LOCATE The IRS was unable to locate the taxpayer. The AF_TYP_CLOSUR_CD for one module was a 3. (See TDI Priority Closure Order below.)
40 RETURNS FILED UNDER IRC (6020B) This is a BMF case. When this module closed the AF_TDI_6020B_IND was greater than 0 and the AA_FILE_SOURCE_CD was neither 1 nor 4. (See TDI Priority Closure Order below.)
41 SFR This is an IMF case. When this module closed the AF_TDI_6020B_IND was greater than 0 and the AA_FILE_SOURCE_CD was either 1 or 4. (See TDI Priority Closure Order below.)
42 OTHER All other Closures.
43 TOTAL SITE TRANSFERS OUT This is a variable field, based on the report level. If it is displayed, it may have one of three labels:
  1. Inter-Site Transfers Out - (between call sites) meaning the call site ID of a case was changed FROM the site specified by this report.

  2. Intra-site Transfers Out - (within the call site) meaning the call site ID did not change, but there was a change in the Pool, Team, Function or Unit.

  3. Total Site Transfers Out - This is a sum of both the Inter-Site Transfers Out and the Intra-site Transfers Out.

For display information, see the levels referenced in #14 – Receipts.
44 TRANSFERS TRANSFERS is the total number of entities and modules that were removed from inventory as a result of a transfer out of the specified report level. It is the sum of fields Out of Jurisdiction and Transfers From ACS.
45 OUT OF JURISDICTION OUT OF JURISDICTION is the total number of entities and modules that are removed from inventory as a result of being transferred to the jurisdiction of another ACS Site or Service Center. If the entity AB_TP_ACNT_STAT_CD = 3, then all open modules and the entity are counted here.
46 TRANSFERS FROM ACS TRANSFERS FROM ACS is the number of entities and modules that are removed from inventory as a result of being transferred to a Revenue Officer (RO), to QUEUE, to Exam or Other. It is the sum of those fields.
47 TO RO TO RO is the number of entities and modules that are removed from inventory as a result of being transferred to a Revenue Officer. This is defined by the AB_TP_ACNT_STAT_CD being either 2 or 5 and the branch-group code (a consolidation of AA_T_SIGN_NUM and AA_BRCH_FILLER) being 09 to 67, or 71 to 89. (See TDA/TDI Priority Closure Order below.)
48 MANUAL TO QUEUE MANUAL TO QUEUE is the number of entities and modules that are removed from inventory as a result of being transferred to the Queue by an employee (non-systemic). This is defined by the AB_TP_ACNT_STAT_CD being either 2 or 5 and the branch-group code (a consolidation of AA_T_SIGN_NUM and AA_BRCH_FILLER) being either 06 or 70. (See TDA/TDI Priority Closure Order below.)
49 SYSTEMATIC TO QUEUE SYSTEMIC TO QUEUE is the number of entities and modules that are removed from inventory as a result of being transferred to the Queue systemically (weekly batch or batch action). This is defined by the AB_TP_ACNT_STAT_CD being either 2 or 5 and the branch-group code (a consolidation of AA_T_SIGN_NUM and AA_BRCH_FILLER) being either 06 or 70. (See TDA/TDI Priority Closure Order below.) VAA_ENTITY_OPER
50 TO EXAM TO EXAM is the number of entities and modules that are removed from inventory as a result of being transferred to the Exam function. This is for TDI cases only. If the Entity is closed in any way, the AB_DQ_TYP_CD is not 1 or 3 and one module closing code (AF_CLOSING_CD) is “I” or 5. (See TDI Priority Closure Order below.) VAA_ENTITY_OPER & VAF_TDI_MOD
51 OTHER OTHER (Also know as Delayed Resolution) is the number of entities and modules that are removed from inventory as a result of being closed by IDRS. A case is counted here if the AB_TP_ACNT_STAT_CD is 2 or 5 and the closure doesn’t fit into any of the other TRANSFER categories. (See TDI Priority Closure Order below.) VAA_ENTITY_OPER
52 ZAP CLOSURES ZAP CLOSURES is the number of entities and modules that are removed from inventory as a result of being closed with the ZAP command in real-time. If an entity closes (AB_TP_ACNT_STAT_CD) with a 9, the entity and all the modules are counted as zaps. If the Entity (AB_TP_ACNT_STAT_CD) is open (0), modules zapped during the week are recorded in TATARFRX as R0 records. Zapped modules are deleted from the ATAF system each night.
53 GAINS FROM CHANGES IN DELINQ TYPE CHANGES IN DELINQUENCY TYPE records movements within the scope of this report. This movement was caused by a case changing to or from type TDA, TDI, or COMBINED. This item counts only increases in inventory caused by delinquency type changes.
54 LOSSES FROM CHANGES IN DELINQ TYPE CHANGES IN DELINQUENCY TYPE records movements within the scope of this report. The movement was caused by a case changing to or from type TDA, TDI, or COMBINED. This item counts only decreases in inventory caused by delinquency type changes.
55 ENDING INVENTORY Ending Inventory is the number of open entities and modules in the reporting group as of the end of the period. This field is calculated by the following formula: Beginning Inventory + Receipts – Local Activity + Gains from DQ changes – Losses from DQ changes.
56 ATAF ENDING INVENTORY ATAF Ending Inventory is an independent count of the inventory received from the Inventory Extract Transaction File (FW412TV) sent from Weekly Batch. This file has one line per case on the ATAF, so no calculations are involved. This line is printed only if there is a discrepancy between the ATAF and computed counts under any of the six columns.
An asterisk (*) is displayed beside any ENDING INVENTORY (field 55) that does not match the corresponding ATAF ENDING INVENTORY. This error will be corrected in the next cycle's BEGINNING INVENTORY.
ACRM5001 PRODUCTION REPORT
The following charts give the priority order for how a case was determined to be closed. If entity is closed then the module (even if only one) closed with the highest priority from list is how the entity is determined to be closed.
TDA and Combined
1.TDA is Transfer out of Jurisdiction.
2.One module was an Installment Agreement.
3.One module was an Unable to Locate Taxpayer.
4.One module was an Unable to Contact Taxpayer.
5.One module was Currently not Collectable (CNC) Hardship.
6.One module was a (CNC) Shelved TDA.
7.One module was Currently not Collectable (CNC) - Other.
8.One module had a Payment Tracer.
9.One module is closed as an Immediate Resolution – (Full Paid).
10.One module COLSED date has expired.
11.One module was Transferred to Revenue Officer (TORO).
12.One module was Transferred to QUEUE by employee.
13.One module was Transferred to QUEUE systemically (PURGE).
14.One module was Transferred to Other.
15.One module was Other Transfers, AKA Delayed Resolution.
TDI
1.One module was Transferred to EXAM.
2.One module was a Shelved TDI.
3.One module had an SFR (Substitute for Return).
4.One module closed under 6020B.
5.One module had Return Filed by Taxpayer.
6.One module was Unable to Locate Taxpayer.
7.One module was No Longer Liable this Period.
8.One module was Previously Filed.
9.One module was No Longer Liable.
10.One module had Return Secured.
11.One module was TDI Other.

Exhibit 1.4.21-10 
Analysis of Balance Changes

REPORT ID: ACRM5002 1
CALLSITE 2 INTERNAL REVENUE SERVICE 4 REPORT CYCLE YYYYMM
ACS ANALYSIS OF BALANCE CHANGES NO-5000-117 PAGE 1 OF 4
  TOTAL
BEGINNING BALANCE 6 n.nn
RECEIPTS 7 n.nn
ACTIVITY DISPOSED 8 n.nn
ASSESSMENTS DISPOSED 9 n.nn
SYSTEM MONITORED 10 n.nn
INSTALLMENT AGREEMENTS 11 n.nn
CURRENTLY NOT COLLECTIBLE 12 n.nn
PAYMENT/TRACER ADJUST. 13 n.nn
OTHER SYSTEM MONITORED 14 n.nn
TRANSFERS 15 n.nn
OUT OF JURISDICTION 16 n.nn
FROM ACS 17 n.nn
TO RO 18 n.nn
TO QUEUE 19 n.nn
OTHER 20 n.nn
ZAP CLOSURES 21 n.nn
ENDING BALANCE 22 n.nn*
ACTUAL ENDING BALANCE 23 n.nn
REPORT ID: ACRM5002 (DEFINITIONS)
ELEMENT DESCRIPTION
1 REPORT ID Report ID uniquely identifies this report. The Analysis of Balance Changes report ID is ACRM5002.
2 CALL SITE Call Site Literal identifies the Call Site in which the Analysis of Balance Changes provides a report of the dollars owed on delinquent accounts.
3 RUN DATE Run Date is the month, day, and year the report is generated.
4 CYCLE Cycle is the cycle in which the report is generated.
5 AS OF Processing Date is the date through which activities are captured for the report.
6 BEGINNING BALANCE Beginning Balance is the ending balance as of the end of the previous week.
7 RECEIPTS Receipts are the total dollar difference in module balances from last cycle. This includes new receipts and increases in existing module balances.
8 ACTIVITY DISPOSED Activity Disposed is the total dollar amount of accounts that have been closed or transferred, and decreases in module balances during the current cycle. It is the sum of fields 9, 10, 15, and 22.
9 ASSESSMENTS DISPOSED Assessments Disposed is the total dollar amount of accounts that have been disposed of as full paid plus the decreases in module balances of accounts remaining in inventory.
10 SYSTEM MONITORED System Monitored is the total dollar amount of all entities and modules that have been closed on the ATAF with a system monitored status. This is the sum of fields 11 - 14.
11 INSTALLMENT AGREEMENTS Installment Agreements are the total dollar amount for which taxpayers have agreed to pay by installments.
12 CURRENTLY UNCOLLECTIBLE Currently Uncollectible is the total dollar amount which the IRS has deemed as currently not collectible in the reporting period.
13 PAYMENT TRACER/ADJUST Payment Tracer/Adjustment is the total dollar amount in which taxpayers have indicated payment has been made but has not yet been recorded on the system. These accounts are traced and reviewed to see if the payment has been received.
14 OTHER SYSTEM MONITORED Other System Monitored is total dollar amount of all module balances for entities which do not fit in the three previous categories.
15 TRANSFERS Transfers is the total dollar amount of all module balances for entities which have been removed from inventory as a result of transfer. It is the sum of fields 16 and 17.
16 OUT OF JURISDICTION Out of Jurisdiction is the total dollar amount of all module balances for entities which have been transferred out of the jurisdiction of the ACS call site.
17 FROM ACS From ACS is the dollar amount of accounts and modules removed from inventory as a result of transfer. Transfers are to RO, Queue, SPF or IDRS closures. It is the sum of fields 18 thru 21.
18 TO RO To RO is the total dollar amount of all module balances for entities that are removed from inventory as a result of being transferred to a revenue officer.
19 TO QUEUE To Queue is the total dollar amount of all module balances for entities that are removed from inventory as a result of being transferred to the Queue.
20 OTHER The dollar amounts of accounts closed by other means
21 ZAP CLOSURES The dollar amounts of accounts closed by ZAP in real-time
22 ENDING BALANCE Ending Balance is the total dollar amount of the module balances of all open active cases in the reporting group as of the end of the period. This is the result of adding Field 6 and Field 7 and subtracting Field 8.
23 ATAF ENDING BALANCE The ATAF Ending Balance is the count of the inventory received from FW412TV (Inventory Extract Transaction File). The amount should be the same as the Ending Balance field.
* An asterisk is displayed beside any Ending Balance (field 23) that does not match the corresponding ATAF Ending Balance. This error will be corrected for the next cycle's Beginning Balance.

Exhibit 1.4.21-11 
Enterprise Skill Group Performance (By Half Hour)

Description: The Enterprise Skills Group Performance (By Half Hour) report provides the date and time interval for which the report was requested (From: mm/dd/yy To: mm/dd/yy). It shows call information every half hour per skill group. This includes the site, skill group number, date, time, calls handled, calls out, average handle time, average talk time, average wrapup time, and FTE # agents. Due to space limitation this exhibit is limited to one skill group.

Enterprise Skill Group Performance Half Hour Report

From: 10/28/2013 00:00:00 To: 10/28/2013 23:59:00

Enterprise Skill Group Date Time Tasks External AHT Avg Active Avg Hold Avg Wrap FTE #
Handled Out Time Time Time Agents
ENT_AG_005              
  10/28/2013 0:00 0 0         0
  10/28/2013 0:30 0 0         0
  10/28/2013 1:00 0 0         0
  10/28/2013 1:30 0 0         0
  10/28/2013 2:00 0 0         0
  10/28/2013 2:30 0 0         0
  10/28/2013 3:00 0 0         0
  10/28/2013 3:30 0 0         0
  10/28/2013 4:00 0 0         0
  10/28/2013 4:30 0 0         0
  10/28/2013 5:00 0 0         0
  10/28/2013 5:30 0 0         0
  10/28/2013 6:00 9 0 0:02:15 0:02:14 0:00:01 0:00:00 1.02
  10/28/2013 6:30 12 0 0:02:01 0:01:52 0:00:08 0:00:00 2.02
  10/28/2013 7:00 34 0 0:03:17 0:02:51 0:00:25 0:00:00 8.97
  10/28/2013 7:30 61 2 0:04:21 0:03:18 0:00:58 0:00:04 17.69
  10/28/2013 8:00 82 2 0:04:49 0:03:34 0:01:08 0:00:05 28.21
  10/28/2013 8:30 122 2 0:05:15 0:03:52 0:01:16 0:00:07 33.33
  10/28/2013 9:00 114 0 0:04:29 0:03:23 0:01:01 0:00:04 48.86
  10/28/2013 9:30 140 0 0:04:55 0:03:49 0:00:58 0:00:07 52.81
  10/28/2013 10:00 150 0 0:05:38 0:04:03 0:01:26 0:00:09 58.76
  10/28/2013 10:30 169 2 0:05:51 0:04:26 0:01:20 0:00:04 60.45
  10/28/2013 11:00 192 2 0:04:42 0:03:16 0:01:18 0:00:07 65.85
  10/28/2013 11:30 169 2 0:04:53 0:03:27 0:01:18 0:00:07 64.65
  10/28/2013 12:00 178 2 0:05:30 0:04:14 0:01:12 0:00:03 64.99
  10/28/2013 12:30 189 2 0:04:53 0:03:28 0:01:18 0:00:06 63.5
  10/28/2013 13:00 196 3 0:06:08 0:04:26 0:01:25 0:00:16 65.54
  10/28/2013 13:30 175 4 0:05:37 0:04:02 0:01:21 0:00:12 69.6
  10/28/2013 14:00 182 1 0:04:35 0:03:31 0:00:54 0:00:09 72.07
  10/28/2013 14:30 166 1 0:06:20 0:04:07 0:01:53 0:00:19 74.21
  10/28/2013 15:00 165 1 0:05:37 0:04:06 0:01:21 0:00:09 79.77
  10/28/2013 15:30 170 1 0:05:29 0:04:07 0:01:19 0:00:02 72.53
  10/28/2013 16:00 121 0 0:05:05 0:04:08 0:00:54 0:00:02 63.29
  10/28/2013 16:30 93 1 0:04:49 0:03:30 0:01:13 0:00:05 50.84
  10/28/2013 17:00 71 2 0:04:43 0:03:30 0:01:02 0:00:11 49.91
  10/28/2013 17:30 70 3 0:04:45 0:04:00 0:00:44 0:00:00 42.04
  10/28/2013 18:00 51 0 0:07:57 0:05:36 0:02:18 0:00:02 38.96
  10/28/2013 18:30 31 0 0:04:44 0:03:36 0:01:08 0:00:00 26.13
  10/28/2013 19:00 18 0 0:07:05 0:05:42 0:01:22 0:00:00 25.02
  10/28/2013 19:30 8 0 0:05:44 0:04:16 0:01:28 0:00:00 18.41
  10/28/2013 20:00 6 0 0:07:26 0:05:21 0:02:05 0:00:00 17.91
  10/28/2013 20:30 8 0 0:04:30 0:03:25 0:01:05 0:00:00 16.8
  10/28/2013 21:00 0 0         14.83
  10/28/2013 21:30 0 0         0.03
  10/28/2013 22:00 0 0         0
  10/28/2013 22:30 0 0         0
  10/28/2013 23:00 0 0         0
  10/28/2013 23:30 0 0         0
Daily Summary: 3152 33 0:05:16 0:03:53 0:01:15 0:00:07 85.56
Enterprise Skill Group Summary: 3152 33 0:05:16 0:03:53 0:01:15 0:00:07 85.56
Report Summary: 3152 33 0:05:16 0:03:53 0:01:15 0:00:07 85.56
Description of elements:
ELEMENT DESCRIPTION
Enterprise Skill Group Site and skill group number

Note:

This site and skill group number are listed only once in column one, before the half hour intervals.

Date Time Date and time (mm/dd/yy hh/mm)
Tasks Handled Number of tasks handled
External Out Number of outgoing calls
AHT Average handle time in number of seconds
Avg Active Time Average talk time in number of seconds
Avg Hold Time Average hold time in number of seconds
Avg Wrap Time Average wrapup time in number of seconds
FTE # Agents Number of FTE agents required

Exhibit 1.4.21-12 
Call Trend Analysis

Call Type Name Calls In Agents Agents Agents Agents Long Call AQT AQT ASA AHT Abandon% Abandon% Abandon% Offered Offered Answered Abandon VCR VCR% LOS%
Queue Available Ready TalkingIn TalkingOther In Queue Now Today Today Today To 5 To 30 Today To 30 Today Today Today Today Today Today
SVC_001_AM_Def_Scrnr_EN 0 178 226 36 5 0:00:00 0:00 0:00 0:17 1:15 0.00% 0.00% 0.00% 753 13464 13464 0 0 0.00% 100.00%
SVC_005_AM_Procedural_EN 0 23 47 21 0 0:00:00 0:00 0:04 0:19 4:31 0.00% 0.00% 0.19% 96 1615 1612 3 0 0.00% 99.81%
SVC_006_AM_Procedural_SP 0 0 1 1 0 0:00:00 0:00 3:07 1:47 7:08 0.00% 0.00% 6.90% 1 58 54 4 0 0.00% 93.10%
SVC_007_AM_IMF_Math_Err_EN 0 0 1 0 0 0:00:00 0:00 2:46 3:11 16:07 0.00% 0.00% 2.86% 0 35 34 1 0 0.00% 97.14%
SVC_008_AM_ITIN_EN 0 0 0 0 0 0:00:00 0:00 5:14 5:48 8:46 0.00% 0.00% 4.55% 5 66 63 3 0 0.00% 95.45%
SVC_009_AM_ITIN_SP 0 1 7 4 0 0:00:00 0:00 1:32 1:48 16:24 0.00% 0.00% 3.59% 18 223 215 8 0 0.00% 96.41%
SVC_010_AM_Bal_Due_EN 135 6 202 122 0 0:05:56 2:49 3:43 4:10 14:06 12.50% 10.78% 7.55% 464 8410 7775 635 0 0.00% 92.45%
SVC_011_AM_Bal_Due_SP 9 0 0 0 0 0:07:04 3:44 14:06 23:37 20:12 0.00% 22.73% 33.33% 22 303 202 101 10 3.19% 64.54%
SVC_012_AM_IMF_BD_Agreed_EN 33 1 39 24 0 0:05:46 2:44 3:31 3:54 13:09 3.85% 9.60% 7.03% 125 2574 2393 181 0 0.00% 92.97%
SVC_013_AM_Non_Std_IA_EN 15 1 30 23 0 0:08:44 5:03 20:47 24:53:00 22:55 9.09% 9.09% 27.29% 33 623 453 170 1 0.16% 72.60%
SVC_014_AM_Non_Std_IA_SP 0 0 7 5 0 0:00:00 0:00 8:41 8:56 34:24:00 0.00% 0.00% 0.00% 0 5 5 0 0 0.00% 100.00%
SVC_015_AM_Rebate_2008_EN 0 0 0 0 0 0:00:00 0:00 3:19 4:01 4:24 0.00% 0.00% 0.00% 0 1 1 0 0 0.00% 100.00%
SVC_016_AM_Rebate_2008_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_017_AM_IMF_Refund_EN 15 0 0 0 0 0:06:04 3:38 3:47 4:13 14:44 0.00% 0.00% 5.76% 50 886 835 51 0 0.00% 94.24%
SVC_018_AM_TPU_EN 19 1 6 5 0 0:48:14 25:57:00 17:35 22:22 11:34 60.00% 53.33% 37.21% 15 215 135 80 26 10.79% 56.02%
SVC_019_AM_TPU_SP 0 5 7 1 0 0:00:00 0:00 10:36 10:58 16:16 0.00% 0.00% 16.05% 2 81 68 13 0 0.00% 83.95%
SVC_020_AM_IMF_Acct_EN 350 15 1004 559 5 0:06:16 3:03 3:44 4:11 13:06 10.83% 11.40% 7.25% 1123 18343 17014 1329 0 0.00% 92.75%
SVC_021_AM_IMF_Acct_SP 70 0 92 48 0 0:08:24 4:15 16:20 26:33:00 16:56 15.69% 13.93% 39.76% 201 2633 1586 1047 2 0.08% 60.19%
SVC_022_AM_IMF_Pay_Pnlty_EN 0 0 2 1 0 0:00:00 0:00 2:38 2:17 13:04 0.00% 0.00% 7.00% 5 100 93 7 0 0.00% 93.00%
SVC_023_AM_IMF_Spec_Svcs_EN 0 0 0 0 0 0:00:00 0:00 0:06 0:23 9:41 0.00% 0.00% 0.00% 0 1 1 0 0 0.00% 100.00%
SVC_025_AM_Emp_Tax_Acct_EN 373 0 0 0 0 0:42:04 19:41 29:08:00 46:04:00 11:44 47.46% 47.11% 47.97% 242 4499 2341 2158 41 0.90% 51.56%
SVC_030_AM_BMF_Other_EN 245 0 0 0 0 0:42:06 19:13 30:43:00 46:44:00 12:14 44.23% 40.51% 44.88% 158 2647 1459 1188 144 5.16% 52.28%
SVC_031_AM_BMF_Other_SP 1 0 26 16 0 0:01:52 1:36 1:29 1:54 14:12 0.00% 0.00% 4.74% 13 211 201 10 0 0.00% 95.26%
SVC_033_AM_BMF_Spec_Svcs_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_035_AM_Inj_Spouse_EN 0 0 2 2 0 0:00:00 0:00 5:18 2:41 22:55 0.00% 0.00% 0.00% 2 30 30 0 0 0.00% 100.00%
SVC_036_AM_Inj_Spouse_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_038_AM_BMF_Pilot_Ntc_EN 0 0 0 0 0 0:00:00 0:00 35:28:00 35:53:00 2:27 0.00% 0.00% 0.00% 0 2 2 0 0 0.00% 100.00%
SVC_040_AM_eAuthenticate_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_041_AM_eAuthenticate_SP 0 0 0 0 0 0:00:00 0:00 9:10 0:00 0:00 0.00% 0.00% 100.00% 0 1 0 1 0 0.00% 0.00%
SVC_042_AM_EIN_EN 460 1 3 2 0 0:42:02 19:56 28:58:00 46:21:00 11:19 46.05% 49.83% 48.91% 289 5021 2565 2456 13 0.26% 50.95%
SVC_043_AM_EIN_Territory_EN 3 0 0 0 0 0:32:10 26:03:00 23:13 29:47:00 7:24 100.00% 100.00% 68.18% 1 22 7 15 0 0.00% 31.82%
SVC_045_AM_IMF_Transcript_EN 27 0 0 0 0 0:06:02 3:03 3:49 4:11 12:23 15.38% 8.24% 4.81% 85 1331 1267 64 0 0.00% 95.19%
SVC_046_AM_Amended_Rtrns_EN 15 0 0 0 0 0:05:12 3:53 3:54 4:20 13:57 0.00% 11.48% 5.57% 61 934 882 52 0 0.00% 94.43%
SVC_047_AM_Amended_Rtrns_SP 2 0 0 0 0 0:06:52 4:02 20:41 25:07:00 14:58 0.00% 14.29% 31.51% 7 73 50 23 0 0.00% 68.49%
SVC_048_AM_eFile_PIN_EN 9 0 0 0 0 0:05:24 2:52 3:33 4:03 11:48 9.09% 17.24% 9.83% 29 417 376 41 0 0.00% 90.17%
SVC_051_AM_ARRA_1_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_052_AM_ARRA_1_SP 0 0 0 0 0 0:00:00 0:00 16:14 16:27 1:22 0.00% 0.00% 0.00% 0 1 1 0 0 0.00% 100.00%
SVC_053_AM_ARRA_2_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_054_AM_ARRA_2_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_055_AM_ARRA_3_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_056_AM_ARRA_3_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_060_AM_Wage_Info_EN 0 0 0 0 0 0:00:00 0:00 4:22 0:00 0:00 0.00% 0.00% 100.00% 0 1 0 1 0 0.00% 0.00%
SVC_061_AM_Wage_Info_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_095_AM_Filing_Dep_EN 50 0 0 0 0 0:24:08 11:05 13:17 15:42 11:28 41.18% 36.00% 26.42% 50 844 621 223 0 0.00% 73.58%
SVC_098_AM_Special_Svcs_EN 0 0 8 3 0 0:00:00 0:00 3:08 3:44 14:55 0.00% 33.33% 8.06% 3 62 57 5 0 0.00% 91.94%
SVC_099_AM_Special_Svcs_SP 0 0 5 2 0 0:00:00 0:00 1:41 1:55 8:32 0.00% 0.00% 0.00% 0 1 1 0 0 0.00% 100.00%
SVC_100_AM_Credits_EN 10 0 0 0 0 0:23:16 11:16 12:42 16:21 16:14 100.00% 37.50% 28.97% 8 145 103 42 2 1.36% 70.07%
SVC_101_AM_Basic_TL_SP 1 0 10 7 0 0:00:20 0:03 4:33 5:03 15:32 0.00% 0.00% 3.28% 10 61 59 2 0 0.00% 96.72%
SVC_102_AM_Deductions_EN 9 0 0 0 0 0:25:48 17:39 12:31 16:13 13:12 14.29% 26.67% 30.57% 15 193 134 59 7 3.50% 67.00%
SVC_110_AM_Int_Dividends_EN 9 0 0 0 0 0:10:46 5:49 4:34 2:38 9:20 33.33% 41.67% 5.97% 12 134 126 8 0 0.00% 94.03%
SVC_113_AM_ACA_EN 1 0 0 0 0 0:00:44 0:28 10:28 9:42 8:48 0.00% 0.00% 16.22% 3 37 31 6 0 0.00% 83.78%
SVC_114_AM_ACA_SP 0 0 0 0 0 0:00:00 0:00 2:47 3:14 4:35 0.00% 0.00% 0.00% 0 2 2 0 0 0.00% 100.00%
SVC_115_AM_Sch_D_SOH_EN 4 0 8 7 0 0:07:54 4:45 4:19 3:32 12:49 0.00% 20.00% 7.06% 10 170 158 12 0 0.00% 92.94%
SVC_118_AM_R_Mail_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_119_AM_R_Mail_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_120_AM_IRA_Pens_SSB_EN 12 0 14 11 0 0:06:06 3:00 4:29 5:09 13:44 25.00% 23.08% 10.69% 26 449 401 48 0 0.00% 89.31%
SVC_123_AM_BMF_Adv_TL_EN 6 0 0 0 0 0:09:46 5:50 13:17 10:42 8:34 0.00% 11.76% 13.26% 17 181 157 24 4 2.16% 84.86%
SVC_125_AM_Small_Busn_EN 39 0 8 7 0 0:39:02 19:05 13:12 16:15 12:05 44.44% 56.52% 33.48% 23 454 302 152 3 0.66% 66.08%
SVC_126_AM_Small_Busn_SP 1 0 8 5 0 0:01:58 1:41 4:43 5:24 20:12 0.00% 0.00% 6.25% 1 16 15 1 0 0.00% 93.75%
SVC_131_AM_Complex_TL_SP 0 0 6 1 0 0:00:00 0:00 12:49 15:32 22:38 0.00% 0.00% 18.75% 1 16 13 3 0 0.00% 81.25%
SVC_135_AM_Complex_TL_EN 11 0 0 0 0 0:07:44 4:17 12:05 10:38 10:10 0.00% 11.54% 16.40% 26 445 372 73 1 0.22% 83.41%
SVC_137_AM_TL_Backup_EN 0 0 13 11 0 0:00:00 0:00 1:48 1:25 10:54 0.00% 6.25% 2.21% 16 271 265 6 0 0.00% 97.79%
SVC_149_AM_VITA_Agents_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_161_AM_IDT_General_EN 23 1 29 17 0 0:05:12 2:48 3:28 3:31 14:58 20.00% 11.76% 5.23% 68 1147 1087 60 0 0.00% 94.77%
SVC_162_AM_IDT_General_SP 0 0 0 0 0 0:00:00 0:00 2:18 2:29 19:11 0.00% 0.00% 10.48% 4 105 94 11 0 0.00% 89.52%
SVC_165_AM_IDT_Ext_Rtng_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 2:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_166_AM_IDT_Ext_Rtng_SP 0 0 0 0 0 0:00:00 0:00 0:00 0:00 1:53 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_182_AM_NTA_Prev_Cntct_EN 3 1 27 19 0 0:00:34 0:18 2:16 2:40 10:16 0.00% 5.13% 6.38% 39 878 822 56 0 0.00% 93.62%
SVC_184_AM_NTA_Prev_Cntct_SP 1 0 6 1 0 0:03:40 3:23 8:56 9:59 22:51 0.00% 20.00% 15.69% 5 51 43 8 0 0.00% 84.31%
SVC_185_AM_PPS_ROA_PI_Ord_EN 0 0 6 3 0 0:00:00 0:00 0:00 0:19 25:10:00 0.00% 0.00% 0.00% 4 52 52 0 0 0.00% 100.00%
SVC_186_AM_PPS_IMF_EN 251 2 123 78 0 0:27:28 13:41 24:32:00 30:15:00 16:31 15.22% 23.49% 23.46% 166 2758 2111 647 0 0.00% 76.54%
SVC_187_AM_PPS_BMF_EN 132 0 58 29 0 0:32:24 17:09 33:53:00 42:57:00 15:46 10.00% 14.29% 27.38% 91 1618 1175 443 47 2.82% 70.57%
SVC_247_AM_RICS_AQC_EN 0 0 0 0 0 0:00:00 0:00 6:33 0:37 10:25 0.00% 0.00% 33.33% 2 3 2 1 0 0.00% 66.67%
SVC_248_AM_RICS_AQC_SP 0 0 0 0 0 0:00:00 0:00 9:24 8:08 40:02:00 0.00% 0.00% 40.00% 0 5 3 2 0 0.00% 60.00%
SVC_341_AM_EIN_Intl_EN 41 0 0 0 0 0:44:20 20:06 29:28:00 38:42:00 14:58 50.00% 54.55% 36.07% 22 377 241 136 102 21.29% 50.31%
SVC_361_AM_IMF_Intl_Acct_EN 6 1 20 9 0 0:12:00 7:26 8:14 10:19 15:50 0.00% 16.67% 23.94% 12 284 216 68 1 0.35% 75.79%
SVC_362_AM_BMF_Intl_Acct_EN 13 0 0 0 0 0:41:12 19:18 35:02:00 43:42:00 11:56 0.00% 25.00% 37.78% 4 90 56 34 6 6.25% 58.33%
SVC_363_AM_Intl_Tax_Law_EN 0 3 5 2 0 0:00:00 0:00 4:33 3:44 10:47 0.00% 28.57% 15.27% 7 131 111 20 0 0.00% 84.73%
SVC_364_AM_Intl_ITIN_EN 3 0 0 0 0 0:12:00 9:58 7:26 9:06 8:01 25.00% 42.86% 22.33% 7 206 160 46 0 0.00% 77.67%
SVC_365_AM_Intl_US_Certs_EN 5 0 3 3 0 0:05:28 2:13 3:23 2:03 5:33 33.33% 12.50% 1.84% 8 163 160 3 0 0.00% 98.16%
SVC_367_AM_Intl_Refund_EN 9 0 0 0 0 0:11:48 6:07 8:45 10:02 13:30 0.00% 28.57% 12.44% 7 225 197 28 0 0.00% 87.56%
SVC_476_AM_TPR_Ext_Rtng_EN 0 0 0 0 0 0:00:00 0:00 0:00 0:00 0:00 0.00% 0.00% 0.00% 0 0 0 0 0 0.00% 0.00%
SVC_761_TEGE_Default_EN 41 0 0 0 0 0:47:50 26:38:00 26:19:00 41:22:00 7:20 55.56% 43.59% 49.26% 39 475 241 234 1 0.21% 50.63%
SVC_762_TEGE_Form_Help_EN 5 0 0 0 0 0:30:22 14:02 27:45:00 31:51:00 8:44 0.00% 0.00% 46.67% 1 15 8 7 0 0.00% 53.33%
SVC_763_TEGE_EO_Notice_EN 4 0 3 3 0 0:02:40 1:24 1:44 1:20 7:53 0.00% 0.00% 1.29% 15 310 306 4 0 0.00% 98.71%
SVC_764_TEGE_EP_Notice_EN 1 0 0 0 0 0:00:20 0:03 1:31 1:35 6:06 0.00% 0.00% 2.34% 11 128 125 3 0 0.00% 97.66%
SVC_765_TEGE_EO_TL_EN 140 0 0 0 0 0:50:16 22:55 28:25:00 40:52:00 9:42 55.17% 52.38% 42.22% 63 1047 605 442 0 0.00% 57.78%
SVC_766_TEGE_EP_TL_EN 6 0 0 0 0 0:44:38 29:21:00 34:12:00 47:05:00 6:07 0.00% 0.00% 37.50% 0 32 20 12 0 0.00% 62.50%
SVC_767_TEGE_EO_Return_EN 8 0 0 0 0 0:51:42 40:07:00 27:09:00 42:59:00 11:54 50.00% 42.86% 46.91% 7 81 43 38 0 0.00% 53.09%
SVC_768_TEGE_EP_Return_EN 2 0 0 0 0 0:32:34 27:30:00 27:19:00 38:22:00 5:44 0.00% 100.00% 37.50% 1 16 10 6 0 0.00% 62.50%
SVC_769_TEGE_T_Bonds_TG_EN 0 0 0 0 0 0:00:00 0:00 55:28:00 55:43:00 5:23 0.00% 0.00% 0.00% 0 1 1 0 0 0.00% 100.00%
SVC_770_TEGE_Poly_Org_EN 3 0 0 0 0 0:30:22 20:25 33:34:00 38:59:00 8:55 0.00% 0.00% 55.56% 1 9 4 5 0 0.00% 44.44%
SVC_771_TEGE_FSLG_EN 4 0 0 0 0 0:35:58 23:31 26:55:00 42:14:00 8:06 0.00% 50.00% 48.48% 2 33 17 16 0 0.00% 51.52%
  2635 240 2062 1088 10 0:51:42 14:21 10:07 10:37 10:34 16.73% 16.84% 16.09% 4607 78547 65911 12636 411 0.52% 83.48%

Exhibit 1.4.21-13 
Call Trend Analysis

Description: This report shows telephone data per application for the Enterprise. Current information is provided for calls queued, longest call in queue, AQT Now, AQT today, AHT, and calls abandoned.

Description of elements in column order:
ELEMENT DESCRIPTION
Call Type Name Application Name and Number
Calls Queued Number of calls currently in queue
Longest Call in Queue Number of seconds for the current longest call in queue
AQT Now Current average queue time in seconds
AQT Today Average queue time in seconds for today
AHT Average handle time in seconds
%Abandon to 5 Percent of calls abandoned in the last 5 minutes
%Abandon to 30 Percent of calls abandoned in the last 30minutes
%Abandon Today Percent of calls abandoned for today

Description: The Enterprise Service Calls, Averages and Service Levels report shows the status per application for the Enterprise. Current information is provided for calls talking, calls queued, average delay and longest queued call. Information over the last five minutes is provided for calls offered, calls handled, percentage of calls handled, calls abandoned, percentage of calls abandoned, and the average speed of answer.

Description of elements in column order:
ELEMENT DESCRIPTION
Enterprise Service Customer Contact Center Optimization (CCCO) site and application number and name
Current Calls Talking Number of calls currently talking
Current Calls Queued Number of calls currently in queue
Current Average Delay Number of seconds for the current average call delay
Current Longest in Queue Number of seconds for the current longest call in queue
5 Min Offered Number of calls offered in the last five minutes
5 Min Handled Number of calls handled in the last five minutes
5 Min % Handled Percentage of calls handled in the last five minute
5 Min Abandoned Number of calls abandoned in the last five minutes
5 Min % Abandoned Percentage of calls abandoned in the last five minute
5 Min Avg ASA Number of seconds for the average speed of answer for the last five minutes

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