1.4.22  CAWR Manager and Coordinator Guide

Manual Transmittal

April 10, 2014

Purpose

(1) This transmits revised IRM 1.4.22, Resource Guide for Managers, CAWR Manager and Coordinator Guide.

Background

This guide provides instructions for CAWR Manager and Coordinators to control the flow of work, monitor inventory, generate and monitor reports and ensure completion dates are met.

Material Changes

(1) Formatting, titles, spelling corrections, re-numbering and editorial changes throughout the document.

(2) IRM 1.4.22.1 Combined Annual Wage Reporting (CAWR) Overview:: Updated program definition.

(3) IRM 1.4.22.1(5) Combined Annual Wage Reporting (CAWR) Overview: added mass generated cases to bullet list and removed AEIC references.

(4) IRM 1.4.22.1(6) Combined Annual Wage Reporting (CAWR) Overview:: added mass generated cases to bullet list.

(5) IRM 1.4.22.1(7) Combined Annual Wage Reporting (CAWR) Overview: Removed last bullet.

(6) IRM 1.4.22.1.1 Combined Annual Wage Reporting (CAWR) Research: Revised verbiage.

(7) IRM 1.4.22.2.3 Policy Statement P-21-3 (Action 61): Updated title of section.

Effect on Other Documents

This IRM supersedes IRM 1.4.22 dated April 21, 2013

Audience

Compliance Employees, SB/SE

Effective Date

(04-10-2014)


/s/ Scott B. Prentky
Director
Campus Reporting Compliance SE:S:CCS:CRC
Small Business/Self-Employed

1.4.22.1  (04-10-2014)
Combined Annual Wage Reporting (CAWR) Overview

  1. This section is designed to assist the employees in the SBSE Document Matching Combined Annual Wage Reporting (CAWR) operations with working CAWR inventory.

  2. The purpose of the IRS CAWR program is to ensure that employers paid and reported the proper amount of taxes and withholding, as well as to ensure all Forms W-2 Wage and Tax Statement are filed. This is done by comparing the Forms W-3 Transmittal of Wage and Tax Statements / W-2/ W-3c Transmittal of Corrected Wage and Tax Statements / W-2c Corrected Wage and Tax Statement totals and the Forms 1099-R Distributions From Pensions, Annuities, Retirement or Profit-Sharing Plans, IRAs, Insurance Contracts, etc. and W-2G Certain Gambling Winnings withholding amounts to the amounts reported on the Forms 94X (Forms 941 Employer's Quarterly Federal Tax Return, 943 Employer's Annual Tax Return for Agricultural Employees, 944 Employer's ANNUAL Federal Tax Return, 945 Annual Return of Withheld Federal Income Tax Schedule H Household Employment Taxes (Forms 1040 /1041) employment tax returns. When referring to all Forms 941, 943, 944, 945, this IRM will read 94X.

  3. The CAWR program has two basic components. The two components are the "Internal Revenue Service Case-CAWR (IRS-CAWR)" program and the "Civil Penalty Program-CAWR (SSA-CAWR)" .

    Note:

    When referring to IRS CAWR cases, the reference will be IRS-CAWR. When referring to SSA CAWR cases, the reference will be SSA-CAWR. When an instruction indicates CAWR, it is referring to all case types.

  4. The purpose of the IRS CAWR program is to ensure employers paid and reported the proper amount of taxes, withholding, and advanced earned income credit. This is done by comparing the Forms W-3/W-2/W-3c/W-2c totals and the Forms 1099-R and W-2G withholding amounts to the amounts reported on the Forms 94X (Forms 941, 943, 944, 945) and Schedule H (Forms 1040/1041) employment tax returns.

  5. IRS matches four fields:

    • Mass generated available inventory

    • Social Security Wages

    • Social Security Tips

    • Medicare Wages

    • Federal Tax Withheld (FIT)

  6. IRS CAWR case types are 01, 02, 04A, 04B, 04C, 04D, 06A, 06B, 06C, 06D, 10A, 10C, 10D, 11, 13.
    Case types are to be worked in the following priority order:

    • Mass generated available inventory

    • 04A, 06A, 10A

    • 04B, 06B, 10B

    • 04C, 06C, 10C

    • 04D, 06D, 10D

    • All other case types are to be worked at Headquarters direction only.

  7. The purpose of the SSA-CAWR program is to:

    • Obtain Forms W-2 from the employer.

    • Forward Forms W-3/W-2 to SSA to ensure employees receive proper credit for their earnings.

    • Assess employers applicable penalties for not following the established rules of filing Forms W-3/W-2.

      Note:

      The SSA information on the CAP Detail Screen must be completed for each and every open SSA Indicator 2 or 1 SSA-CAWR case. This information provides SSA the information the IRS is required to provide under the IRS/SSA Memorandum of Understanding. This portion of the CAP Detail screen will only appear for cases with SSA Indicator 2 or 1 present.

  8. SSA-CAWR Cases (case types 03, 05, 07, 08, and 12) are SSA case types referred by SSA to IRS. The majority of the SSA-CAWR cases are non-tax cases (i.e., the Forms 94X have been filed and taxes paid) and are SSA case types.

    Note:

    It is mandated to work the entire SSA-CAWR download.

  9. SSA has performed their own up-front matching of the Forms 94X data to the Forms W-2 data. When there has been no response to SSA's letters attempting to secure the Forms W-2, the cases are forwarded to IRS to obtain the Forms W-3/W-2 from the employer.

    Note:

    Some of the cases referred to IRS have previously been identified as other IRS case types and updated to "SSA Indicator 2 or 1"

    .

  10. The annual due date for filing Forms W-2 for the previous year is the last day of February or the following Monday if the last day in February falls on Saturday or Sunday.

    Exception:

    Due Date for Forms W-2 filed electronically is March 31.

1.4.22.1.1  (04-10-2014)
Combined Annual Wage Reporting (CAWR) Research

  1. This IRM is to be used in conjunction with IRM 4.19.4,CAWR Reconciliation Balancing,IRM 4.19.8, CAP (CAWR Automated Program) Technical System Procedures and IRM 4.19.22, CAWR Control. Important explanations, information and instructions are included in these materials.

  2. This IRM cannot be all inclusive for resources to be researched during the CAWR program processing. Other resources can include IRM Part 3,Submission Processing, and IRM 1.4.17Compliance Manager Guide. Refer to the SERP web site for accessing appropriate IRMs.

1.4.22.1.2  (04-01-2010)
Servicewide Electronic Research Program (SERP)

  1. Any changes made during the processing year will be posted on SERP.

  2. Both Quality Review and CAP unit personnel must be aware of all the alerts that are applicable to the current CAWR Release Year.

  3. Campuses should check the SERP web site daily for a list of the most current and previous alerts.

  4. If a campus is missing a specific alert(s) and needs a copy of it/them, refer to the SERP web site: http://serp.enterprise.irs.gov/homepage.html

1.4.22.1.3  (04-20-2012)
CAWR IATS

  1. IATS were developed to assist to increase productivity and accuracy rates. It is imperative that these tools be used daily by all employees. Please ensure all tools are working properly.

  2. CAWR Clerical process has access to an Integrated Automation Technologies (IAT), CAWR/FUTA Batcher Tool. This tool streamlines the clerical process by batching case work, inputting STAUPS, and issuing interim (2645C) letters, if requested.

  3. A Job Aid is available for the CAWR/FUTA batcher tool by accessing web site: http://idap.web.irs.gov/jobaids/iat.asp

    • Scroll to CAWR-FUTA Batcher

    • Click on Job AID

    • Open and Print

1.4.22.1.4  (04-20-2012)
Online Retrieval System (ORS) - Overview

  1. The Social Security Administration (SSA) sends out more than 240 million letters yearly to the public. The Online Retrieval System (ORS) is the system with the print image of these SSA-related documents (W2, W2c, W3). The system archives, retrieves, and reprints these documents, and is independent of the application that created them. ORS can also re-send retrieved documents.

  2. The goal of ORS is to provide users with an electronic system to retrieve essential information online in a timely manner and provides the following capabilities:

    • Information can be viewed on the screen and looks like the original document sent to the recipient, including fonts, bolding, signatures, etc.

    • The entire document page will appear on the screen without having to toggle back and forth.

    • A document can be printed locally and mailed to the claimant, their representative, or to a different address.

  3. ORS provides CAWR TEs with the ability to view W2, W2c, W3, W3c information received by SSA from the taxpayers.

  4. Beginning with tax year 2008 (January 2009), SSA will store digital images of paper Annual Wage Reports (AWR) in ORS.

  5. Additional information on the ORS process can be found on the SB/SE Doc Matching web site. You will find:

    • User Guide

    • Add or Delete a User

    • URL to Access ORS

    • Changing ar Password

    • Resetting a Password .

1.4.22.1.5  (04-01-2010)
CAWR Automated Program (CAP)

  1. Cases that are determined to have discrepancies or that are referred by SSA, are loaded onto the CAP (CAWR Automated Program) Tier II SUN domain at Enterprise Computing Center-Memphis (ECC-MEM). For more information on the CAP system, see IRM 4.19.8, CAP (CAWR Automated Program) Technical System Procedures.

  2. CAP is a computer application that houses the CAWR inventory, correspondence, reports, document preparation, and updates to Master File.

  3. All Master File actions affecting the taxpayer's account for the year(s) being worked will result in an update to the CAP system. This includes Entity changes, IDRS adjustments, additional Forms W-3 (Transmittal of Wage and Tax Statement) and Forms W-2 (Wage and Tax Statement) processed by SSA.

1.4.22.1.5.1  (04-09-2012)
Contents References Introduction Objective Nightly Run Setup (CRON)

  1. CRON is a process where the system automatically generates all output files during off work hours. This is referred to as the "Nightly Run Setup" . CRON Run Dates will be established by Headquarters Staff for all Campuses. CRON automatically executes programs during the dates and the time specified for each job. CRON generates reports the Coordinator can access by selecting View on the Menu Bar. See IRM 1.4.22.3 for more information regarding reports.

    Note:

    Any changes to the CRON Processing will be a Headquarters Directive.

  2. Cases will be assigned automatically to IDRS, where correspondence has been issued or the cases have been assigned on the CAP system.

1.4.22.1.5.2  (04-20-2012)
System Problem Reporting

  1. When a CAP System problem is identified during CAWR processing, the campus who identified the problem will issue a IT Get It ticket.

  2. Before issuing a ticket, contact a Headquarters Analyst for approval.

  3. To Issue a "Get It ticket" , the user will do the following:

    • Access IRweb Homepage - click on OS GetServices

    • Select Report an Issue

    • Click on My Technology

    • Complete the form, providing an explanation of the problem. Add the statement "Forward this ticket to the Western Development Center (WDC), CAWR/FUTA staff." Notate in the remarks field if you will be faxing supporting documentation.

    • Click on Submit

    • A Get It ticket number will be issued

      Note:

      If faxing supporting documentation to WDC, be sure to notate the ticket number on the fax sheet.

  4. System Downtime Reports are to be completed and forwarded to HQ within 10 workdays after the end of each month identifying any systems that were not functioning properly and the amount of time it impeded processing.

  5. Whenever a "systemic " problem is identified, the TE/Clerk will compile documentation (description of the problem and samples) and give the information to the Site Coordinator who will inform the Headquarters CAWR analyst of the problem and forward the documentation.

1.4.22.1.5.3  (04-10-2014)
System Authorization and Security

  1. Access to the CAP System is restricted to authorized users. The CAWR Site Coordinator, appropriate management official and security personnel must authorize individual user access.

  2. Access to the CAP system requires a login and password for both Windows XP and the CAP system. An automated Online 5081 Application is required to gain access to the CAP system if they are a New User, to Set User Active, to Set User Inactive, to Delete User or to Reset User Password.

  3. The Site Coordinator must have ONLINE 5081 SYSTEM ADMINISTRATOR access to receive and process the 5081 application. See below for action to be taken:

    1. To give access to a new user, prepare a 5081 to be added to the CAWR database. TCC-CAWR-PIRSC (PSC Campus employees) or TCC-CAWR-MIRSC (MSC Campus employees)

    2. You will receive requests for via OL 5081 whenever an employee needs to be Deleted, Added, or have their password reset.

      Exception:

      If an employee needs to be unlocked, a 5081 is not needed.

  4. A security profile is established and maintained for each user.

  5. User profiles are established to allow users access to the specific area/functions of the CAP system needed to perform assigned duties. Users must inform their manager/coordinator if they are prohibited from accessing an area of the CAP system needed to complete an assigned task. Exhibit 1.4.22-4. for user profile descriptions.

  6. The CAP system produces an audit trail of information on any updates/changes to the system. Each user must ensure only authorized accesses are performed. Do not attempt unauthorized system queries.

  7. To ensure the security and integrity of the CAP system the user must:

    1. Protect their password and not reveal it to anyone.

    2. Never allow anyone access to the system using your login and password.

    3. Alert the manager immediately if there is reason to believe the password has been compromised.

    4. Lock workstation when it is not in use.

    5. Log off the system at the end of your shift.

    6. Never leave sensitive information on the screen when leaving your workstation.

    7. Never eat or drink near computer hardware.

    8. Use computers and software for official purposes only.

    9. Never copy licensed or copyrighted software for private use. It is a violation of federal law with civil and criminal penalties.

    10. Promptly retrieve hard copy prints from the printer. Prints remaining near or on the printer for an extended period of time should be given to managers for disposition.

  8. Once the 5081 has been approved and the Local Site Coordinator adds the user to the CAP User Profile Table, the OL 5081 request is automatically forwarded to the network SA to add the user to the "CAWRFUTA_USERS" DS Domain Group. Users will not have visibility to the screens until they have been added by the domain group. For further information contact HQ.

1.4.22.1.6  (04-20-2012)
Technical Coordinator CAP Responsibilities

  1. The Small Business/Self Employed (SBSE) campus' CAWR Site Coordinator is the liaison between SBSE Headquarters CAWR staff and the campus CAWR staff. The Site Coordinator can be from the campus' Planning and Analysis staff or someone in the CAWR unit. The campus needs to provide Headquarter's staff with the name and phone number of who will be fulfilling these responsibilities.

  2. There are a large number of responsibilities for the Site Coordinator, therefore as a Site Coordinator your Operation may designate employees (Managers or Leads) specific Coordinator profiles to manage and oversee some of the following responsibilities:

    • Program Settings

    • User Profiles

    • Disaster Areas

    • Manage User Accounts

    • CAWR Batching - Assign, Reassign, Unassign

    • CAWR Loose W-2

    • Schedules D

    • IRS- CAWR Mass Request 99c CAWR Letters

    • SSA-CAWR Mass Request 98c SSA Letters

    • Reports - Monitor

    • Monitoring Workable Inventory

  3. Manager(s) will need a Coordinator profile to access reports that are designated for a Coordinator profile only. These reports are useful for monitoring employee inventory.

  4. An E-mail notification is issued by Headquarters to SBSE Compliance Field Operations and SBSE Service Campus Management Staffs prior to the beginning of program processing outlining the years startup instructions.

  5. A list of program changes must to be given to CAP Coordinator for any of the following Items:

    • Signature and correspondence.

    • List of all employee Identification Numbers, unit numbers and work phone numbers.

1.4.22.1.6.1  (04-20-2012)
Edit Option - Site Coordinator

  1. The Site Coordinator has the ability to update information on the CAP system under the Edit option. Figure 1.4.22-1.

  2. Select one of the following options to view, update or edit:

    1. Edit - Function displaying a list of Edit Options

    2. Program Settings - To change and /or update information specific to your site

    3. Users Profile - Add User, Update Users or Delete Users

    4. IDRS Letter Setup

    5. Disaster Areas

    6. Change Passwords

    7. Manage User Account

    8. CAWR Batching

    9. CAWR Loose W-2s

    10. CAWR Schedule D

    11. CAWR Mass Request

    Figure 1.4.22-1
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.2  (04-20-2012)
Program Settings

  1. The Programming Settings option will allow a Site Coordinator to change and /or update information specific to your site. Information for all sites will also be available to view.

  2. To access the Program Settings screens:

    1. Log on to the "CAP" System, IRM 4.19.8, CAP (CAWR Automated Program) Technical System Procedures, for instructions on logging into the CAP system.

    2. Click on Edit from the Menu Bar.

    3. Select and click on Program Settings.

    4. This will bring up the "Program Information (CAWR)" screen. Figure 1.4.22-2

  3. Once the Program Information (CAWR) screen displays, the Site Coordinator will be able to update "Site Specific Information" with the most current information by selecting from one of the following tabs:

    1. Service Center Information

    2. Unit Information

    3. Program Variables (Current contacts)

    4. Release Variables - This tab can only be updated by the System Administrator located at the Tennessee Computing Center (TCC). Any changes will be a Headquarters Directive.

    Figure 1.4.22-2

    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.3  (04-20-2012)
Service Center Info

  1. The Site Coordinator for each site needs to ensure the information displayed in the Service Center Info tab is correct.

  2. Select the Service Center Info tab from the Program Information screen. Figure 1.4.22-3.
    The "Service Center Info" screen will display:

    1. Site ID Number

    2. SC Code

    3. SC Abbreviation

    4. SC Name

    5. SC Title

    6. SC Address

    7. SC City

    8. SC State

    9. SC ZIP

    10. Apply

    11. Undo

    12. Close

    Note:

    Only fields shown in white can be updated.

    Figure 1.4.22-3
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  3. To update information:

    1. Highlight any of the fields shown in white and enter the change.

    2. If you determine you do not want to make the changes, click on the Undo button and the information will not be saved.

    3. Once you have entered the information, click on the Apply button to save the changes.

    4. To close the screen, click on the Close button.

1.4.22.1.6.4  (04-20-2012)
Unit Info

  1. The Site Coordinator will select the Unit Info tab when adding a new unit, deleting an existing unit or adding/deleting the Unit Type.

    Note:

    Unit Info screen is site specific and will only display the site information for the Site Coordinator accessing the system.

  2. Select the Unit Info tab from the Menu Bar. Figure 1.4.22-4.
    The "Unit Info" screen will display the following fields:

    1. New

    2. Delete

    3. Site

    4. Unit

    5. Unit Type

    6. Apply

    7. Undo

    8. Close

    Figure 1.4.22-4
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  3. To Add a New Unit :

    1. Click on the New button at the top left hand corner of the screen and the system will create a new unit at the bottom of the current unit listing. Figure 1.4.22-5

    2. In the "Unit" box enter the new unit number.

    3. In the "Unit Type" box enter the name of the new unit.

    4. If you determine you do not want to add a New Unit, click on the Undo button and the information will not be saved.

      Note:

      You must Undo the information before you click on Apply.

    5. Once you have entered the information, click on the Apply button to save the changes.

    6. To close the screen, click on the Close button.

    Figure 1.4.22-5

    This image is too large to be displayed in the current screen. Please click the link to view the image.

  4. To Delete a Unit :

    1. Click on the Unit you want to delete.

    2. Click on the Delete button and a confirm box will appear.

    3. If you click on Yes, it will delete the unit. If you choose No, it will cancel the delete request.

    4. To close the screen, click on the Close button.

    Figure 1.4.22-6
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  5. To Change a Unit Type:

    1. Click on the Site box next to the unit you want to change. Figure 1.4.22-7.

    2. Highlight the "Unit Type" box for the selected unit, and enter the new unit type.

    3. If you determine that you do not want to change the site information, click on the Undo button and the information will not be saved.

    4. Once you have entered the information, click on the Apply button to save the changes.

    5. To close the screen, click on the Close button.

    Figure 1.4.22-7
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.5  (04-01-2010)
Program Variables (CAWR)

  1. The Program Variables tab displays the current contact name and information for each site. This screen is site specific and updates can only be made by the Site Coordinator. Figure 1.4.22-8

  2. The "Program Variables" screen displays :

    1. Site

    2. CAWR Contact

    3. Contact Phone

    4. Fax Number

    5. Mail stop

    6. Shift Begin Time

    7. Shift End Time

    8. Max Batch Volume

    9. Signature Name

    10. Signature Title

    11. Apply

    12. Close

    Figure 1.4.22-8
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  3. To Update information:

    1. Select the Program Variables tab.

    2. Highlight any of the fields shown in white and input the changes.

    3. Click the Apply button to accept the changes.

    4. Click on the Close button to close the screen.

    Note:

    Only fields shown in white can be updated.

1.4.22.1.6.6  (04-01-2010)
Release Variables Screen (CAWR) - Headquarters

  1. The Release Variables (CAWR) screen is maintained by Headquarters. Updates can only be done by the System Administrator located at the Tennessee computing Center (TCC). Any changes will be from a Headquarters Directive. Figure 1.4.22-9

  2. The "Release Variables" screen displays :

    1. Release Year

    2. High Wage Limits

    3. Tax Rate - Wage tax rate

    4. Tip Rate - Tip tax rate

    5. Med Rate - Medicare tax rate

    6. Tax Years

    7. Program Completion Dates (SSA PCD)

    8. Program Completion Dates (CAWR PCD)

    9. Close

    Figure 1.4.22-9
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  3. To View the information:

    1. Click on the Release Variables (CAWR) tab.

    2. To close the screen, click on the Close button.

1.4.22.1.6.7  (04-20-2012)
User Profiles - Coordinator/Site Coordinator

  1. The Site Coordinator is able to add, delete, update, set users active or inactive on the CAP system. Profiles are assigned to the user and can be updated as needed.

  2. The User Profile screen can be used to determine:

    • A valid user of the system at your campus or if the user is in Active or Inactive Status. (Furloughed or Terminated).

    • The Unit Number assigned to the users.

    • The profile assigned to the user.

  3. An online 5081 is required for the following:

    REQUEST REASON INITIATE Action COMPLETE Action
    Add New User New employee Manager Site Coordinator
    Delete User Left CAWR Program Manager Site Coordinator
    Set User Inactive Furlough Status Manager Site Coordinator
    Return User to duty Return to Duty Manager Site Coordinator
    Reset User Password Forgot Password Manager Site Coordinator

  4. To access the User Profiles screen:

    1. From the Menu Bar click on Edit. Figure 1.4.22-1.

    2. Select and click on User Profiles. Figure 1.4.22-10.

  5. The "User Profile" screen displays:

    1. Last Profile Change Date - This is updated by the system when an action is taken on the User Profiles screen.

    2. Site - ID will be an auto fill-in field, displaying the site where the employee is located.

    3. Unit - Displays the unit number where a user is assigned. This field can be updated if user is assigned to a new unit.

    4. TE # - TE IDRS number.

    5. SUN Login Name - The login name created by the Site Coordinator.

    6. First Name

    7. Last Name

    8. Phone - TE work phone.

    9. User Status - Displays the status of the user.

    10. Last Status Chg - Date reflects the last time the Status was change on an employee.

    11. Profiles Granted - A selection of profiles that gives the users specific duties that can be performed on CAP. Exhibit 1.4.22-4.

    12. New - Add new information.

    13. Delete - Delete information.

    14. Close - Close the screen.

    15. Apply - Apply new information or updates.

    Figure 1.4.22-10
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.8  (04-10-2014)
Add New User

  1. The Site Coordinator adds new users to the CAP system. This procedure is site specific and is used for new hires into the CAWR program. Once you have received the 5081 you can continue the process of adding the user to the CAP System.

  2. Step 1 - Access the User Profiles screen. Figure 1.4.22-10.

    Note:

    Only fields shown in white can be updated.

    1. In the "User Profiles" screen click on the New button in the lower left hand corner of the screen.

    2. This will bring up the New Record screen. Figure 1.4.22-11.

  3. In the "New Record" screen enter the following information:

    1. Site box -This is an automatic fill-in field (site specific).

    2. Unit box - Use the drop down menu to select a unit.

    3. TE# - Employee's IDRS number.

    4. CAPLogin Name - The Coordinator will create the login name by using the first letter of the users first name, the middle initial (if the user doesn't have a middle initial use the letter X) and the first four letters of the users last name.

      Example:

      Mickey W. Mouse - mwmous17

    5. First Name - The First Name of the user.

    6. Last Name - The Last Name of the user.

    7. Phone - The user work Phone number.

    8. Profiles Granted - Click on the profile that is applicable to the users needs.

    9. You can use the Undo button, located in the lower right hand corner of the screen, if the mistake was before you clicked Apply. After clicking the Apply button, if you made a mistake you must delete the user to remove them from the system and start over.

    10. After you have entered all of the information click on the Apply button located in the lower right hand corner of the screen.

    11. Click the Close button, located in the right hand corner of the screen, to exit the User Profiles screen.

  4. Step 2 - Once the new user has been established you must create a temporary password in the Manager User Account screen. Refer to IRM 1.4.22.2.3, Manager User Account, for instructions.

  5. Once the 5081 has been approved and the Local Site Coordinator adds the user to the CAP User Profile Table, the OL 5081 request is automatically forwarded to the network SA to add the user to the "CAWRFUTA_USERS" DS Domain Group. Users will not have visibility to the screens until they have been added by the domain group. For further information contact HQ.

    Figure 1.4.22-11
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.9  (04-20-2012)
Delete User

  1. The Site Coordinator is able to delete users from CAP utilizing the User Profiles screen. This process is site specific and used when a user has left the Service, retired or reassigned to a position outside of CAWR. This is a two step process and both steps must be completed before the user is deleted from CAP.

  2. Manager must submit a 5081 requesting to Delete the user from CAP. Once you have received the 5081, you can continue the process of deleting the user.

  3. Step 1 - Set the user INACTIVE in the "Manager User Account" screen. Refer to IRM 1.4.22.2.3, for instructions. Figure 1.4.22-15.

  4. Step 2 - Deleting a user from CAP, access the "User Profiles" screen:

    1. In the User Profiles screen locate the employee you want to delete by using the Search String box. Type in the users first/last name or you can click on the Lastname field and the system will display all the users by their last name. Click on the user to be deleted and the name will be highlighted. Figure 1.4.22-12

    2. In the User Profiles screen, click on the Delete button in the lower left hand corner of the screen.

    3. A Confirm box will appear and the following system message will display "Are you sure you want to delete user?" (The message will display the name of the user you have selected to delete.) When you click on the Yes box, the user will be deleted.

      Figure 1.4.22-12

      This image is too large to be displayed in the current screen. Please click the link to view the image.

    4. When you click on the No box, the following message will appear "Delete aborted." Click on OK and the user will not be deleted. Figure 1.4.22-13

      Figure 1.4.22-13

      This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.10  (04-20-2012)
Update User Information and/or Profiles

  1. The Coordinator or Site Coordinator has the ability to update information on an established CAP users. Figure 1.4.22-14.

  2. The following fields can be updated:

    • Unit

    • TE #

    • CAP Login Name

    • First Name

    • Last Name

    • Phone

  3. To update user information, access the "User Profiles" screen:

    1. In the User Profiles screen locate the employee you want to update using the Search String box. Type in the users first/last name or click on the Lastname field and the system will display all the users by their last name. Click on the user to be updated and the name will be highlighted.

    2. Unit - If a user moves to a different unit within the site you can use the drop down window and select a unit.

    3. TE # - IDRS number, can be updated, if it changes or is not correct.

    4. CAP Login Name - This will only be changed if the users name changes. You must change the CAP Login name first. Once the change is input and you attempt to go to the next field the following system message will appear, "You are about to change the login name for (gives the name you changed) to (the changed name). All associated tables that store this login name will be changed, and the process may take some time. Do you want to continue?" If you select Yes, you will go to the next field to be changed. If you select No, the CAP Login name will not be changed.

    5. First Name - If the users first name has changed, or the CAP Login Name first initial has changed then you must update the First Name to reflect the change.

    6. Last Name - If the users last name has changed, or a change has been made to any of the last four alphas in CAP Login Name then you must update the Last Name to reflect the change.

    7. Phone - Changes to the phone number.

    8. Profiles Granted - Only the Site Coordinator can change a profile. To request a profile change, the manager must provide in writing (E-mail) to the Site Coordinator the CAP Login Name, First Name and Last Name of the user to be updated and also the profile change that is being requested

    9. Apply - After all of the changes have been input, select the Apply button to update the information.

      Note:

      Ensure the information is correct before you click the Apply button. If you have updated the incorrect information, click on the Undo button to remove the change(s) before you click on the Apply button.

    10. Close - When you have finished updating the user information, click the Close button to exit the User Profiles screen.

    Figure 1.4.22-14
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.11  (04-20-2012)
Manager User Account - Site Coordinator

  1. The Manager/Coordinator User Account process allows you to:

    • Set User Active - This process is used to place a new user or a user returning to duty into active status and create a temporary password. The user will be required to create a new password.

    • Set User Inactive - This process is used to place furloughed user or user leaving the CAWR program for any reason to an inactive status.

    • Reset User Password - This process is used to create a temporary password when the user has forgotten their password. The user will be required to create a new password.

    • Unlock User - This process is used to unlock a user after 3 failed attempts within the same day to log into the CAP system.

  2. To access the Manager User Account screen, select EDIT in the main Menu Bar, then select Manager User Account. Figure 1.4.22-15.

  3. The "Manager User Account" screen will display:

    1. Set User Active

    2. Set User INACTIVE

    3. Reset User Password

    4. Unlock User

    5. User ID - enter users ID

    6. Submit - button

    7. Cancel - button

    Figure 1.4.22-15
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.12  (07-14-2010)
Create User Password

  1. A user is required to create a new password when a temporary password has been granted. The Site coordinator will grant a temporary password when:

    • Adding a new user to CAP

    • User returning to duty.

    • A user has forgotten their password.


    Users should change their password anytime they feel it has been compromised.

  2. The user will Log into the CAP system using the temporary password and proceed to change their password.

  3. A standard password format will need to be an 8 character password and must consist of:

    • At least one Uppercase Letter

    • A least one Lowercase Letter

    • At least one numerical digit

    • One of the following special characters: ! # $ () * + , - / : ; < = >?_

    • Must be at least 8 characters with no spaces

    • Cannot be the same as the username

    • Cannot be the same as old password

    • Passwords are case sensitive

  4. If the password does not meet the standard password format the system will display the following error messages:

    • Error - "Password same as user" . The new password can not be the same as the user name.

    • Error - "Password length less than 8" .

    • Error - "Password should contain at least one digit, one character and one punctuation."

    • Error - "Password should differ by at least 3 characters." The new password must differ by at least 3 alphas characters from the previous password.

  5. If the user encounters any error messages, they must correct the password and try again.

  6. To change a password, select Edit in the main Menu Bar, then select Change Password. Figure 1.4.22-16

  7. The "Change Password" screen will display:

    1. New Password - Enter the new password using the instructions in (3) above.

    2. Confirm Password - Re-enter the new password. The Confirm Password must match the New Password.

    3. Submit - Click on the Submit button and a Confirm box will appear and the following system message will display, "Your Password has been successfully changed to XXXXXXXX (displays the password created). You must now log out and log back into the CAP system." Click the OK button.

    4. Cancel - User may select the Cancel button and the password will not be changed.

    Figure 1.4.22-16
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.13  (06-03-2011)
Set User Active

  1. Set User Active to the CAP system when returning from:

    • furlough

    • detail

    • leave of absence and etc.

  2. Manager must submit a 5081 requesting to reset password. Once you have received the 5081 you can continue the process of reactivating or setting the user active.

  3. Select the Manager User Account option. Figure 1.4.22-17

    1. Enter the User ID in the box on the "Manager User Account" screen.

    2. Select the Set User Active button.

    3. Click the Submit button and a message box will appear stating the user you have input has been added to the Oracle Database and displays the temporary Password.

    4. To complete the process, copy and paste the temporary Password into the 5081. Complete the 5081 process. The User will receive an E-mail notification that a 5081 has been completed and they need to sign it and retrieve the password.

    5. The message will also state "Would you like to add another User?" and to choose Yes or No. Click the Yes box to set a user to active or No to close the screen.

      Note:

      User will be required to create a new password.

    Figure 1.4.22-17
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.14  (06-03-2011)
Set User INACTIVE

  1. Setting a user inactive on the CAP system may be due to:

    • furlough

    • extended leave

    • detail to another area, etc.

    Note:

    Managers will do a yearly review of the User Accounts to verify employees have the correct profiles and departed employees are deleted.

  2. Manager must submit a 5081 requesting to Set user Inactive. A 5081 system response will be sent to the coordinator requesting to set the user inactive. Once you have received the 5081 you can continue the process.

  3. Select the Manager User Account option. Figure 1.4.22-15.

    1. Enter the User ID in the box. Figure 1.4.22-18

    2. Select the Set User Inactive button.

    3. Click the Submit button and the following system message will display, "Are you sure you want to set the user to inactive?" It also states "all open cases from this user will be assigned to you."

    4. When you click on the Yes box, the CAP system will assign all open cases to you before the user is placed in Inactive status. If the User does not have cases assigned to them, the system will move the User to Inactive status.

      Note:

      Depending upon the number of cases to be reassigned it may take the system a few minutes to complete the process.

    5. If you select No the user will not be set Inactive.

    6. Once the user has been set Inactive, complete the 5081 process.

    Caution:

    Verify the User ID entered is correct. If you click Yes, and the user information is in error, you will need to re-add them following procedures in IRM 1.4.22.2.2.1.

    Figure 1.4.22-18
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.15  (04-01-2010)
Reset User Password

  1. The Site Coordinator can Reset User Password, if the user has forgotten their password.

  2. Manager must submit a 5081 requesting to Reset password. Once you have received the 5081 you can continue the process. Figure 1.4.22-19

  3. To reset a password, select the Manager User Account option.

    1. Enter the User ID in the box on the "Manager User Account" screen.

    2. Select the Set User Inactive button.

    3. Click the Submit button and a message box will appear stating the user has been reset and displays the temporary "Password" .

    4. To complete the process, copy and paste the temporary Password into the 5081. Complete the 5081 process. The User will receive a notice that a 5081 has been completed and they need to sign it and retrieve the password.

    5. The message will also state, "Would you like to make changes to another User?" Choose Yes or No. Click the Yes box to make changes to another user or No to close the screen.

    Figure 1.4.22-19
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.6.16  (04-01-2010)
Unlock User

  1. If the user has three failed attempts within the same day to log into CAP, the system will automatic lock the users account preventing further attempts to log in.

  2. The user will notify their manager of the problem. The manager will then notify the Site Coordinator and provide the User ID to Unlock User. Figure 1.4.22-20

  3. To Unlock User, select the Manager User Account option.

    1. Enter the User ID in the box on the "Manager User Account" screen.

    2. Select the Unlock User button.

    3. Click the Submit button and a message box will appear stating user account has been unlocked.

    4. The message will also state "Would you like to unlock another user?" Choose Yes or No. Click the Yes box to unlock another user or No to close the screen.

    Figure 1.4.22-20
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.7  (04-20-2012)
Site Coordinator/Technical Coordinator

  1. The Small Business/Self Employed (SBSE) campus' CAWR Site Coordinator is the liaison between SBSE Headquarters CAWR staff and the campus CAWR staff. The Site Coordinator can be from the campus' Planning and Analysis staff or someone in the CAWR unit. The campus needs to provide Headquarter's staff with the name and phone number of who will be fulfilling these responsibilities.

1.4.22.1.7.1  (04-20-2012)
Program Responsibilities - Site Coordinator/Technical Coordinator/Manager

  1. The Site Coordinator/Coordinator has a variety of responsibilities for the CAWR program which includes:

    • Mass Request of 98c SSA Letters

    • Mass Request of 99c CAWR Letters

    • Identifying Trends

    • Batching/Assigning Work

    • IDRS Letter Setup - CAWR Developer

1.4.22.1.7.2  (04-20-2012)
CAWR Mass Request 98c SSA Letters

  1. The Coordinator is the only user able to mass request 98c SSA Letters to generate automatically for Case Type 08 Cases without Compliance Indicators.

  2. You will be responsible each week for requesting the number of 98c SSA Letters needing to be issued that cycle/week. The total volume of 98c SSA Letters must be generated before Cycle/Week 33 each year.

  3. All 98c SSA Letters will have a Status Code 90 after the letters have been generated.

    Note:

    Mass requested Auto Generated Letters for SSA-CAWR will be assigned to a generic IDRS number. Auto generated 98c SSA assigned number will be XXXXX00098. The first two Xs will be the site number, the next three Xs will be the unit number followed by three zeroes and then letter type 98, i.e., 0366900098.

  4. To access the CAP screen to Mass Generate the Case Type 08 98cSSA Letters, select Edit on the main Menu Bar and click on CAWR Mass Request from the menu.

    1. This will bring up the "Mass Requests" screen. Figure 1.4.22-21.

    2. In the Requested Count box input the number of 98cSSA Letters to be generated.

      Note:

      It is recommended keeping all CAWR Mass Requests of letters (98c and 99c) at or below a volume of 500 per each request because of the time it takes for generation. Multiple requests can be made as long as the generation completed successfully for each request. .

      Example:

      A request of 2000 letters would be four requests of 500 each.

    3. If the volume of 98c SSA Letters requested is incorrect, select the Reset button to clear the field.

      Note:

      Resetting the request must be done before you generate the request.

    4. Click on the Generate Request button after completing the Request Count. This will bring up the Confirm screen with lay the following message, "Request_Type = Auto Generate 98c SSA Letters Amount -Requested = XX (number you input) Generate this request now?" Click on the Yes button to generate the request after verifying the information.

    5. After clicking Yes, the Information screen will appear. Click on OK to complete the process.

    6. Select the Close button if you do not want to generate the notices.

    Figure 1.4.22-21
    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.7.3  (04-20-2012)
CAWR Mass Request 99c CAWR Letters

  1. The Coordinator is the only user able to mass request 99c CAWR Letters to generate automatically, following the instructions above for the 98c SSA Letters.

  2. You will be responsible each week for requesting the number of 99c CAWR Letters needing to be issued that cycle/week. The total volume of 99c CAWR Letters must be generated before Cycle/Week 52

  3. All 99c CAWR Letters will have a Status Code 16 after the letters have been generated. It is suggested this function be done by at least one manager with Coordinator Profile status.

    Note:

    Mass requested Auto Generated Letters for IRS-CAWR will be assigned to a generic IDRS number. Auto generated 99c CAWR assigned number will be, XXXXX00099. The first two Xs will be the site number, the next three Xs will be the unit number followed by three zeroes and then letter type 99, i.e., 0366900099.

1.4.22.1.7.4  (04-20-2012)
Identifying Trends

  1. Whenever a "trend" seems to be emerging for a specific type of taxpayer and/or their Payer Agent, Power of Attorney (POA) or Reporting Agent Authorization (RAA), TE's will compile documentation to show the "trend" and give the information to the Site Coordinator.

  2. The Site Coordinator will inform the Headquarters CAWR analyst of the trend and forward the documentation.

1.4.22.1.7.5  (06-03-2011)
CAWR Batching

  1. Only Coordinators have access to the Batching screen. This screen is used to assign, unassign or reassign batches to TEs. At least one manager at each site must obtain Coordinator Access to CAP and be responsible for the Mass Generation of the Case Type 08 Cases without Compliance Indicators.

  2. A typical batch will have 25 cases. The maximum number of batches a TE can be assigned is 50. The Coordinator has no limit to the number of batches that can be assigned to them. This requirement is due to the Mass Generation of Case Type 08 Cases.

    Note:

    The manager responsible for the Mass Generation of the Case Type 08 Notices will have an extremely large Overage List.

  3. To access the CAWR Batching option:

    • Select Edit from the main menu bar

    • Highlight CAWR Batching

    • Click on Assignment

  4. Once the "CAWR Batching" option is selected a Warning will display: "The batch assignment process can have a severe affect on user response times. You may want to use this application only when there are only a few or no other users on the CAP System." Click the OK button on the Warning screen to access the CAWR Assign Batch screen. Figure 1.4.22-22.

    Figure 1.4.22-22

    This image is too large to be displayed in the current screen. Please click the link to view the image.

  5. The CAWR Assign Screen displays the following Figure 1.4.22-23.:

    1. ASSIGN - Assigns a batch and each case within to a TE.

    2. REASSIGN - Reassigns a batch and each case assigned within from one TE to another TE. This process may be used if TE is in furlough status, or on extended leave.

    3. UNASSIGN - Unassigns a batch and each case assigned within back to the batch inventory.

    4. Query Unassigned Batches -The screen displays the number of batches available for each batch type.

    5. Unassigned Batches - The screen displays batches that are not assigned to a user.

    6. Assigned Inventory - The screen displays Tax Examiners ID and number of batches assigned.

    7. Current Unassigned - Displays the number of batches not assigned to TEs.

    8. Amount To Assign - Site Coordinator designates the number of batches to assign to a TE.

    9. Remaining Unassigned - When batches have been assigned to TE(s) this field displays the remaining unassigned batches.

    10. Assign Batches - Assigns the requested batch(es) to a TE.

    11. Close - Closes the screen.

1.4.22.1.7.5.1  (06-03-2011)
Assign Batch(es)

  1. From the "CAWR Assign Batch Screen" batches will be assigned and each case within that batch to a tax examiner.

    1. Click on the ASSIGN tab. Figure 1.4.22-23.

    2. Click on the Query Unassigned Batches button. This brings up the batch inventory. It shows the Release Year, Batch Type, the # of Batch(es) available. It always displays the Assigned Inventory screen. It displays the Tax Examiner ID and the batch Inventory.

    3. Highlight the Batch Type to assign from the "Unassigned Batch(es)" column.

    4. Highlight the Tax Examiner to assign batches to from the "Assigned Inventory" column.

    5. "Current Unassigned" field displays the number of batches in the selected "Batch Type."

    6. Click in the "Amount to Assign" box and enter the number of batches to assign.

    7. The "Remaining Unassigned" field will display the remaining unassigned batches in the selected Batch type.

    8. Click the Assign button at the bottom of the screen.

    9. Close the screen.

    Figure 1.4.22-23

    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.7.5.2  (06-03-2011)
Reassign Batch(es)

  1. Reassigning work from one tax examiner and each case within that batch to another tax examiner is the responsibility of the Site Coordinator/Coordinator.

    1. Click on the REASSIGN tab. Figure 1.4.22-24.

    2. Highlight the tax examiner the batch is currently assigned to from the "Select Tax Examiner" column.

    3. Highlight the Batch Number in the "Batch Inventory" column that is currently assigned to the selected tax examiner.

    4. Highlight the tax examiner in the "Assigned Inventory" column who will receive the reassigned batch.

    5. Click on the Reassigned Batch button to accept.

    6. Click the Cancel button to delete the action before reassigning the batch.

    7. Close the screen.

    Figure 1.4.22-24

    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.7.5.3  (06-03-2011)
Unassign Batch(es)

  1. This process Unassigns a batch and each case assigned within that batch from the selected tax examiner back to the batch inventory.

    Note:

    Batches can only be unassigned, if correspondence has not been issued on any case within the batch.

    1. Click the UNASSIGN tab. Figure 1.4.22-25.

    2. Highlight the tax examiner in the "Select Tax Examiner" column the batch is currently assigned to.

    3. Highlight the batch number in the "Batch Inventory" column that is currently assigned to the selected tax examiner.

    4. Click Unassign Batch button to accept. The system will unassign the batch and move it back to batch inventory.

    5. Click the Cancel button to leave the Unassign screen before unassigning the batch.

    Figure 1.4.22-25

    This image is too large to be displayed in the current screen. Please click the link to view the image.

1.4.22.1.7.6  (04-10-2014)
IRS CAWR No Reply Auto Assess

  1. When a taxpayer does not respond to the letter originally generated it is referred to as a No Reply. Once the 81 day suspense period has expired, additional tax due is assessed on the last available quarter of the tax year being worked.

  2. The majority of the IRS-CAWR No reply cases will now be auto assessed on the CAP system by the technical coordinator. However, cases containing any of the following TC codes will need to be manually reviewed and assessed by a tax examiner: 160, 161, 180, 181, 340, 370, 400, 420, 424, 480, 520, 530, 766, 780, 788, 910, 912, 914, 916, or 918.

  3. The coordinator must run the no reply assessment auto process each week once the SC 37 start appearing on the CAP case status report.. To run the tool the coordinator will:

    1. Log into IDRS

    2. Go into EDIT on the CAP screen and choose, CAWR-Auto Assess (ADJ54).

    3. Choose the RUN options.

  4. The Coordinator must check the log at the end of the process to determine the number of batches created, how many cases were auto assessed and the number of errors. This information is reported to the Operation.

  5. Once the process is complete CAP will automatically close the cases that were assessed using SC 30. The cases that could not be assessed will automatically un-assign and batch that evening. The coordinator will assign these to the tax examiners either by batch or by providing the CAWR No Reply money screen listing to them.

1.4.22.1.7.7  (04-20-2012)
IDRS Letter Setup - CAWR Developer

  1. The IDRS Letter Setup Screen located under the Edit option shows revisions of all letters or one specific Letter Type, etc. This process is handled by the CAWR Developers located at the Western Development Center (WDC).


More Internal Revenue Manual