3.30.28  Individual Review (Cont. 1)

3.30.28.5  (03-01-2007)
Specialized Instructions for Individual Review

  1. This section contains procedures for the sampling and quality review of specific areas. The quality reviewer must possess a good working knowledge of the work in the particular area that is being quality reviewed to utilize these specialized quality review procedures.

3.30.28.5.1  (03-01-2007)
High Quality Work (HQW)

  1. All areas under the Incentive Pay Program will follow the specialized sampling and quality review procedures in this section. For more information on incentive pay, processing for HQW programs, refer to IRM 3.30.165, Incentive Pay System.

3.30.28.5.1.1  (03-01-2007)
Correspondence Review

  1. Any correspondence created as part of a completed case or document is reviewed along with the case or document. Review of the correspondence includes related incoming and outgoing correspondence to determine that the correspondence is technically correct and responsive to issues when prepared in reply to a taxpayer.

  2. The Campus Director and the QAO have the option to require a separate quality control for all generated, pre-printed, or manually prepared letters. The method for this type of accept-reject sampling can be found in IRM 3.30.28.2.

3.30.28.5.1.2  (03-01-2007)
IDRS Correspondence Review

  1. Review IDRS correspondence by taking a random sample of the correspondence that an employee has input. An employee’s work/generated correspondence is held for review using CC QRADD. See LEM 2.4.5, Command Codes QRADD, QRADDO, QRNCH, QRNCHG, RVIEW, QRACN and QRIND for the Quality Review System. Any work held for review (using CC QRADD) will have an automatic 48-hour delay in the issuance of the letters.

  2. To avoid processing delays, only work that can be reviewed should be selected, rather than selecting all of the work and then only reviewing some. The classified waste folders are used as the starting point for this random sample.

  3. If a C-Letter is input as part of a completed case, it should be reviewed. The reviewer inputs IDRS CC RVIEW.

  4. Review the letter for correctness in the following areas:

    • C-Letter selection

    • Taxpayer name/EIN/SSN

    • Tax period and type

    • Paragraph selection

    • Grammar and responsiveness

    • Fill-ins

    • Address

  5. When reviewing IDRS letter inputs, the use of QR–Action–CD C allows the Quality Reviewer to correct LPAGE inputs that are being reviewed. QR–Action–CD C will reject the letter being reviewed and display the LPAGE screen for correction. The correction can be made on the LPAGE screen and transmitted.

  6. Quality Reviewers should change only obvious typing, spelling or punctuation errors. They should not change the wording or content of the letter. A copy of the incorrect letter with the changes should be provided to the Tax Examiner.

    1. A screen display of the incorrect letter can be printed showing the changes made in pencil; or

    2. Both the incorrect and corrected versions can be printed.

  7. In cases where there is any question regarding the correction, or in cases where changes to the content or wording of the letter are required, the letter should not be changed by the Quality Reviewer, but rejected using CC QRACN and the established review procedures.

  8. When the letter is rejected, the letter screen should be printed out and returned to the originator with the reason for rejection.

  9. If the letter is correct, accept the letter using CC QRACN and established procedures.

  10. The corrected letter will print during the night’s CRX processing. The rejected LPAGE transaction will print on the QR Reject Index with a message indicating a correction was made to the original LPAGE input.

  11. When a letter is input through IDRS and released from the quality review file, a history item will be appended to the entity module. The history item shows the type of letter, the MFT and period, and the originating employee. If no letter is released, the history item will not appear.

  12. Not locating the letter does not prove that the letter was not input. There are other systemic problems that could cause the letter to not be located. To determine whether the letter was actually input involves running the Audit Trail Tapes.

  13. These reviews are to be conducted at least monthly. The samples are taken by a random selection process as prescribed in IRM 3.30.28.2.

3.30.28.5.2  (03-01-2007)
Entity Review

  1. All applications for Employer Identification Number, Forms SS–4, must be made available for quality assurance purposes. Review is administered after processing Forms SS–4.

  2. For a return or document to be processed, it must have a TIN, legible name, valid tax period, and legible tax data. Returns and documents lacking any of these items are called unprocessable. Only those returns and documents which do not have a TIN, or which show a taxpayer’s change (TIN or name) are sent to Entity Control. All BMF returns and documents which are deemed unprocessable due to a missing EIN are subject to quality review.

3.30.28.5.2.1  (03-01-2007)
BMF Entity SS–4 Review

  1. Individual review is conducted by sampling Forms SS–4 to ensure that they have been completed after processing.

  2. Suggested items for review include but are not limited to the following:

    1. Proper research completed to insure that the taxpayer does not already have an EIN.

    2. Review on IDRS using CC EINAD, CC ENMOD, CC INOLE, and CC BMFOL to verify the correct entity on Form SS–4.

    3. Check for the correct filing requirements.

    4. Ensure that the filing requirements are correct and updated on IDRS.

    5. Review for issuance of Letter 147C if applicable.

    6. If the EIN is on the Retention Register, ensure that the account is reinstated from the Retention Register to the Master File and input to the appropriate Master File.

    7. Review for IDRS input of CC FTDRQR if applicable.

3.30.28.5.2.2  (03-01-2007)
BMF Returns Received Without EIN’s

  1. Individual review should be conducted by sampling those BMF returns that are received without an EIN but have since been assigned one.

  2. Suggested items for review include but are not limited to the following:

    1. Ensure the BMF Return indicates the EIN assigned date or EIN found date.

    2. Ensure that TC 000 (ESIGN) has been input when appropriate.

    3. Ensure TC 599, Closing Code 18 is input using CC FRM49 when appropriate.

    4. Ensure that the appropriate filing requirements are input on IDRS.

    5. Ensure that the Notice of Employer Identification Number Assigned, Notice 576 is generated or 147C letter is sent, when appropriate.

    6. Review that the correct period of the return is used.

    7. Ensure that the correct FYM is designated.

3.30.28.5.3  (03-01-2007)
Federal Tax Deposit (FTD) System

  1. Taxpayers are required to make Federal Tax Deposit (FTD) payments through an authorized Treasury Tax and Loan (TT&L) depositary. Review is conducted by sampling FTD listings, notices, FTD Computation Worksheets, letters, payment posting vouchers, and various daily reports.

3.30.28.5.3.1  (03-01-2007)
FTD Requests—Receipt and Control

  1. Review is conducted by sampling FTD listings or other correspondence to ensure the timely routing of these items to the FTD Interagency Coordinator.

  2. Sample for verification that the IRS Use Only box is checked when the following occur:

    1. Missing bank date stamp on the FTD coupon.

    2. Month/day digits are illegible and/or missing.

    3. Bank date stamp is earlier than transmittal deposit date.

    Note:

    Where there are multiple date stamps, consider the earliest date valid or the date that matches the deposit date on the Form 2284, Advice of Credit.

  3. Review FTD requests to ensure that they are separated from the raw mail during the extraction process and routed to the designated working area for immediate action.

  4. Review FTD Reorder Forms (Forms 8109A) to insure that they are routed to the designated function for processing.

3.30.28.5.3.2  (03-01-2007)
FTD Penalty Adjustments

  1. CP–194—Notices indicate that FTD penalties may be appropriate. Suggested items for review include but are not limited to the following:

    1. Timeliness—CP 194 notices must be processed within 45 calendar days of IRS Received Date. This includes issuing Letter 313C to the taxpayer.

    2. Completeness—Form 6844, FTD Computation Worksheet, must be included in the case file as supporting documentation for the penalty assessment or TC 180 for .00.

  2. CP 207—Notice of proposed FTD penalty. Suggested items for review include but are not limited to the following:

    1. Timeliness—because the proposed FTD penalty automatically generates after the 15th cycle following the notice’s issuance, timely resolution of CP 207 cases is of the utmost importance. Original penalty assessments must be input via IDRS by the 11th cycle following the notice cycle. Unpostable TC 18X transactions must be corrected within 10 days. "Late Reply" adjustments to generated penalties must be input in the cycle immediately following the TC 186.

    2. Completeness—all information provided by the taxpayer must be taken into consideration. "FTDPN" print or Form 6844, FTD Computation Worksheet, must be included in the case file as supporting documentation for the penalty indicator. Any reasonable cause must be considered even though the FTD penalty has not already been assessed. Letter 854C must be issued when reasonable cause is denied.

  3. Subsequent Adjustments:

    1. Reasonable Cause—Criteria in Estimated Tax Penalties, IRM 20.1.3 and Failure to Deposit Penalties, IRM 20.1.4 must be followed.

    2. Timeliness—when taxpayers provide information to prove timely payment, use of TC 181 should be minimized. TC 650/660 dates should be changed to reflect correct deposit dates. In the case of misdated FTD coupons, a copy of the canceled check, FTD and Advice of Credit (AOC) must be included in the case file with an indication that copies have been forwarded to the Interagency Coordinator and Headquarters FTD Team.

    3. If a TC 180/181 is already present on the module, the TC 181 must be input, and the "FTDPN" print or Form 6844 must be in the case file to document the adjustment action.

3.30.28.5.3.3  (03-01-2007)
FTD Review for Accounting

  1. Suggested items for review include but are not limited to the following:

    1. FTD BOB REGISTER—review Form 5516, BOB Register and Form 5517, FTD Replacement/Adjustment Record for eleven-digit BOB (Block out of Balance) sequence number.

    2. FTD On-Line Error Correction System—processes error items that did not meet validity and/or consistency checks within the FTD System (other than money discrepancies). Review Action Code and correction attempted for accuracy to ensure that the corrective action was taken.

    3. FTD CLASSIFIED REPORT—review for annotation in the following field categories on Form 5804, Federal Reserve Bank Day Classified Report Balancing Proof, and Form 5805, Subsequent Day Classified Report Balancing Proof:

      Federal Reserve Bank (FRB) Code
      FRB Day Batch/Report Date (MMDDYYYY)
      Column(s) B & F of Form 5804 for amount total—Column B must equal F
      Column(s) B & D of Form 5805 for amount total—Column B must equal D

    4. FTD MISSING LIST—review items whose batch date is 30 or more days older than the run date or Current Processing Date (date appearing on the upper right corner of listing). Review that a statement is annotated to the right of the batch date. This indicates that the item is being monitored.

    5. Form 5526, FTD Adjustment Action Request—review to ensure that the forms contain a Depository Name, Federal Reserve Bank Name and a two-digit FRB Code.

    6. Form 6812, Depositary Address Data—review to ensure that all forms contain one of the following alpha characters: C, D, L, N, R, T. (The alpha character must be annotated in the IRS Use Only box.)

    7. Debit Voucher and Form 215A, Deposit Ticket—Review to ensure that a date is entered in Box 2. The date information must be entered as MMDDYYYY.

3.30.28.5.3.4  (03-01-2007)
FTD Letters for Review

  1. 878C Letter (FTD Payment Tracer: Advice of Credit Requested from Bank)—Suggested items for review will include but not be limited to the following:

    1. Review should be conducted by sampling the 878C letter prior to mailing, and before the case folder is sent to the Accounting Hardcore function.

    2. Randomly review the 878C letter to ensure the letter is not addressed to the taxpayer. A copy of the check or receipt must be included in the case file to provide supporting documentation.

    3. Review the signature name line to ensure the return address indicates the Accounting Operations, rather than the Adjustment Operations.

    4. A review of 25 letters/notes should be conducted on a weekly basis.

  2. 335C Letter (FTD Coupons Requested/Issued)—Suggested items for review:

    1. Timeliness—Request for FTD coupon books must be processed within a 5-day cycle per IRM 3.30.123, Processing Timeliness: Cycles, Criteria and Critical Dates.

    2. Randomly review the xeroxed payment posting voucher and/or correspondence to ensure a letter is generated to the taxpayer.

    3. A review of 25 letters each should be conducted on a weekly basis.

3.30.28.5.4  (03-01-2007)
Integrated Submission and Remittance Processing System (ISRP)

  1. These instructions outline the procedures for accessing Block Edit (BE) as a Quality Reviewer.

  2. Log on the Integrated Submission and Remittance Processing System (ISRP):

    1. Press Ctrl+Alt+Delete keys. Response : Warning Box.

    2. Press Enter. Response: Logon Information Box.

    3. Type your User ID.

    4. Press Tab.

    5. Type your Password.

    6. Press Enter. Response: Initialization successful.

    7. Press Enter, or click OK. The Data Entry Operations window should appear.

    Note:

    If the Data Entry Operations window does not appear, click on the start button (on the bottom of the Windows NT Workstation), or click the Flying Windows key (on the bottom of the keyboard) to bring up the Windows NT Workstation Start Menu. Press eop applications to bring up the Data Entry Operations window.

  3. Select a block to review:

    1. Click Block Edit. The QR Request Work Dialog appears.

    2. Type the Desired Criteria in the corresponding field(s).The criteria are: EOP user ID, Program Number, ABC, SOP ID, Block DLN/RPSID/GPPID, OE (Original Entry), and KV (Key Verfication).

    3. Press Tab to move forward through the fields, or press Shift+Tab to move backward through the fields.

      Note:

      OE or KV, or both must be selected by using the space bar; only one other field needs to be entered. To perform quality review with the OE block checked, the status must be OE Complete. To perform review with the KV Block checked, the status must be Format Pending or Format Complete.

    4. Press Enter or click OK. If only one block matches the selected criteria, Section 01 for the first document appears. If multiple blocks match the criteria, the QR Select Work Dialog window appears.

    5. Use the Arrow Keys to highlight the desired block.

    6. Press Enter or click OK. Section 01 of the first document appears.

    7. To go directly to a specific document and section, press F5. A prompt appears for you to enter the serial and section numbers.

    8. Type the Serial and Section Numbers.

    9. Press Enter. The requested section appears.

    10. To view a previous section, press F1.

    11. To view the next section, press F2.

  4. Print a document:

    1. Press the Print Screen key and click on the Minus (-) key located in the upper right hand corner of the screen.

    2. Press the Flying Window key on the bottom of the keyboard.

    3. Select the Programs menu, then select the Accessories menu, and click once on Paint.

    4. Press Ctrl+V.

    5. Press Ctrl+W.

    6. Press Tab, type in 55, and press Enter.

    7. Press Ctrl+P.

      Note:

      If a dialogue box with the message "There is no default printer..." appears, see instructions below for adding a printer. Otherwise, continue.

    8. Click on Pages, press Tab and type 1 in the box.

    9. Press Enter or click OK.

    10. A message appears showing item is printing.

    11. Click on File in the Paint window and click Exit to close the application.

    12. A message appears "Save changes to untitled?" Click No

    13. Press Flying Window key.

    14. Click once on the Button with the Function's Title (at the bottom of the screen) to reopen the function you were reviewing. After the review is complete, press F9 to return to either the QR Request Work Dialog window or the QR Select Work Dialog window. Press Cancel or X (in the upper right hand corner) to exit to the Data Entry Operations window.

    15. Press Alt+F4, or X to close the Data Entry Screen. Logoff ISRP.

    Reminder:

    Always logoff before going to breaks, lunch, and home.

  5. Add a printer:

    1. Press the Flying Window key located on the bottom of the keyboard.

    2. Select the Printers menu and click on Add Printer. The Add Printer Wizard will open.

    3. Click on the Next button to open the Connect to Printer window.

    4. In the Connect to Printer window, double click on DBSI, then double click on ISRP to select printer. The Connect to Printer window will close and the Add Printer Wizard window will reappear.

    5. Click on the Next button, then click on the Finish button to select the printer. If necessary, continue with Step 7 above after selecting printer.

  6. Logoff ISRP:

    1. Press Ctrl+Alt+Delete.

    2. Press Tab to highlight Logoff.

    3. Press Enter or click OK. A message will appear "This will end your Windows NT session."

    4. Press Enter to select OK, or Click on OK. You are logged off.

  7. Sampling for Block Edit review entails the following:

    1. Check the Reviews Requested column on the SAR/local form to determine how many reviews are needed for the specified QPCs.

    2. Then locate the QPCs on the Operations Quarterly Numerical Performance Standards For Employees Report. Do not sample any OFPs which are not shown under the specified QPC.

    3. Take samples on various days and at different times of day.

    4. Pull samples by "Cluster Method," i.e., sampling from randomly selected batches from the batch carts on the floor as soon as the OE or KV function is completed.

    5. Conduct Quality Review timely, randomly and in sufficient volume for each data entry operator to ensure that he or she is not adversely affected in earning incentive pay and the quality bonus.

  8. Upon completion of the sample review, record the results on the ISRP On-Line Review Notice recordation sheet or optional local form. See Exhibit 3.30.28-9. When pulling the initial batch of work for review the information can be printed on two-part paper for recording purposes, in lieu of the above-named form.

3.30.28.5.5  (03-01-2007)
IDRS Review

  1. The Integrated Data Retrieval System (IDRS) Quality Assurance Review File (QRAF) will be sampled periodically in all functional areas for which IDRS transactions are input. This review must be done weekly. The review can be done on-line using Command Code (CC) QRIND to retrieve the necessary information for review. (See IRM 2.4.1, Section Titles and Command Codes for IDRS Terminal Input and/or 2.3.1, Section Titles and Command Codes for IDRS Terminal Responses for Command Codes).

  2. Another option for review is to request the Quality Review Index Listing (QRIL) ( See Exhibit 3.30.28-10. ) when QRIND is available. The data shows all IDRS transactions available for review and can be used by the functional manager to determine if there are supporting documents for entries on the listing.

  3. To accomplish a continual review of all employees’ work, an employee review schedule by employee number should be maintained by the functional manager.

  4. If the campus does not use an automatic QRADD, use this procedure for both the manual and automatic QRADD.

    1. On at least one of the days that each employee is inputting transactions, the quality reviewer/clerk ascertains that the IDRS terminal input necessary to hold all of the employee’s work for review on the following day has been entered.

    2. This is done by inputting CC QRADD . This CC holds an employee’s work on the QRAF for two work days (excluding date of transaction input). Depending upon whether the employee is absent or employee is actually inputting transactions on the day preceding the employee’s scheduled review day, it may be necessary to alternate days on which individuals are reviewed within certain weeks.

  5. Use the following procedure for both the manual and automatic QRADD. All completed work to be reviewed the following day must be routed for review by close of business on the day worked, or by beginning of business the following day.

  6. The Quality reviewer/clerk randomly samples from cases closed the preceding day. When reviewing a selected case it may first be necessary to call up the tax module at an IDRS terminal. To determine the appropriateness of the pending transaction under review, you will need the tax module information for the specific tax period involved.

    Example:

    Input CC TXMOD. (See IRM 2.4.1, Section Titles and Command Codes for IDRS Terminal Input for other Command Codes).

  7. The pending transaction under review is then called up at the terminal using CC RVIEW.

  8. The Quality reviewer/clerk may enter for each transaction reviewed certain disposition information to IDRS.

    1. Input Action Code 1 with the generated CC QRACN to denote the reviewer’s acceptance of the transaction. Accepted case files are routed to Files Section with the IDRS documents.

    2. Input Action Code 2 with the generated CC QRACN to denote the reviewer’s rejection of the transaction. When errors are found by a reviewer, Action Code 2 will keep the transaction from processing to the Master File. With the exception of LPAGE, it is not possible for a reviewer to input corrections of transactions to IDRS. The reviewer can only delete the transactions.

    3. Route Case files relating to incorrect IDRS transactions to the appropriate first-line supervisor.

    4. Attach Form 5963, Quality Assurance Review Notice, to the case file and route on the same day the incorrect transaction is rejected.

    5. Retain the reject notice in the QAO. The case may be set aside by the quality reviewer/clerk for association the next morning with the QA Reject Notices at the option of management. These notices are computer printed on Forms 3624, Machine Stationary, following the close of each day’s review activity.

    6. Ensure that case files with reject notices have been routed to the concerned first-line supervisor for appropriate disposition.

    7. Input Action code 3 with the generated CC QRACN when review for an employee has been completed for the day. It denotes the reviewer’s acceptance of all non-reviewed transactions for the employee.

    8. Input Action code 4 with the generated CC QRACN to reject all non-reviewed transactions for the employee.

    9. Input Action code C is input with the generated CC QRACN to reject the LPAGE transaction and redisplay the LPAGE screen for the reviewer to correct any obvious typing, spelling or punctuation errors.

    10. Input Action code R is input with the generated CC QRACN to review the transaction and allow it to age off after the normal two day hold.

    11. Input Action code V with the generated CC QRACN to pass off to CC LPAGE and CC LREVW to accept, reject or correct a specific LPAGE transaction.

3.30.28.5.6  (03-01-2007)
Error Resolution System (ERS) Review

  1. The Error Resolution System (ERS) produces a Quality Review report showing the error record both before and after correction processing with errors and corrections marked.

  2. Using EREMP with command code definer Q marks employees for quality review, deletes an employee from quality reviews or displays those employees already marked for quality review.

  3. The fields which are displayed on the screen for review are Action Code, Employee Number and three groups of program numbers and quantities.

  4. The Action Codes to be used with the screen are:

    A Designate employee for quality review
    D Delete employee from quality review
    R Redisplay employee(s) marked for quality review
    C Change the information in a current employee’s record

    Note:

    Employee number must be present. Only the remaining fields to be changed are required.

  5. As records are marked for quality review, the system generates chargeouts for those records listed on ERS–QR–Report.

  6. The charge-out data is sorted into DLN order within batch number, alpha block control number and BOB indicator.

  7. The new screen display allows the selection of up to three programs per employee with a sample size of:

    • 01–50—Number of records to be selected

    • AL—Select all records

    • Blank—Select no records

3.30.28.5.6.1  (03-01-2007)
Command Code EREMP

  1. CC EREMP is used to add, delete or change employee records on the Employee Name and Organization File or to mark a specific employee for quality review the following day.

  2. Enter CC EREMP on line 1 followed by your entry code. The screen display should be as follows:

    1. The response is the "EREMP" format with column headings on line 2 and all fields.

    2. Enter on the fourth line the appropriate Action Code, the eight-digit Employee Number plus the Unit Number and Employee first initial, middle initial and last name, if applicable. If you wish to enter actions for additional employees, enter the appropriate data on the remaining lines, one employer per line, through line 23.

    3. Your response will be the display of EREMP with all the entered data fields for all records processed correctly. Invalid entries will result in a redisplay of that line with an Error Code in positions 64–65.

    4. Employee Action Codes and Error Codes for CC EREMP are found in IRM 3.12.37, General Instructions.

  3. The use of CC EREMP should be restricted to designated managers and QAO personnel as per IRM 3.12.37, General Instructions.

3.30.28.5.6.2  (03-01-2007)
Employee Name and Organization File

  1. The Employee Name and Organization File is the controlling file for the Production Reports and the Daily Employee Time Reports. Whenever a new employee is assigned to ERS, that employee must be added to this file. When a current employee is reassigned from or within IDRS the file must also be updated.

  2. Enter CC EREMP to obtain the display of the entry format. Then enter the appropriate Action Code, the 8 digit Employee Number plus the Unit Number and employee’s first initial, middle initial and last name, if applicable.

  3. The screen response is the display of EREMP with periods in all fields for all records processed correctly. Invalid entries result in a redisplay of that line entry with an Error Code in positions 64–65.

3.30.28.5.6.3  (03-01-2007)
ERS EREMP Error Codes

  1. The following codes identify invalid entries using CC EREMP.

    E–1 Invalid Employee action code.
    E–2 Attempt to add new employee when one already exists on the file, or an attempt to designate an employee for quality review who was already marked for review.
    E–3 Attempt to change, or designate an employee for quality review, or delete an employee record, or display current employee information when there is no employee record with that employee number on the file.
    E–4 Invalid program number.
    E–5 Invalid quantity.
    E–6 Attempt to delete an employee from quality review who was not marked for review.
    E–7 Attempt to display quality review information for an employee who was not marked for quality review.
    E–8 Non-numeric employee number.

3.30.28.5.6.4  (03-01-2007)
ERS Next Day Correction Review

  1. The QAO reviewer scans the batch carts and the ERS–1340 (Error Resolution Inventory Report) to determine which ERS tax examiner (TE) worked blocks on the carts.

    1. Use the sample size provided by the employee’s manager to determine how many documents need to be reviewed for each ERS Tax Examiner.

    2. Check the Reviews Requested column on the SAR/local form (provided by the manager) to determine how many reviews are needed for the specified QPC.

    3. Locate the QPCs on the Operations Quarterly Numerical Performance Standards For Employees Report. Do not sample any OFPs which are not under the specified QPCs.

    4. Annotate the QPC, batch, ABC number and volume for the employee’s work for next day review.

    5. Remove those blocks (i.e., ABC Numbers) selected for next day review from the batch cart and hold in a staging area for the before/after listing.

    6. Prepare a Block Charge-out, Form 2275, and insert in the appropriate empty bin on the cart.

  2. Enter all the sampled batches and ABC numbers and volume selected for the next day review through the IDRS terminal using the CC QRSEL.

    1. CC QRSEL is used to call up the quality review selection screen display, update the QR-FILE or review the QR-FILE.

    2. The following codes identify invalid entries using CC QRSEL.

    E–1 Invalid AR-Action-CD.
    E–2 Attempt to add a QR-Record that is already on the file.
    E–3 Attempt to delete or review a QR-Record that is not on the file.
    E–4 Invalid Batch-Number.
    E–5 Invalid SC-Block-Ctrl-Num.
    E–6 Invalid Quantity.

  3. Associate the like sample items with those from the before/after listing.

  4. If an error identified by the reviewer is accepted by the employee and his or her supervisor, it must be corrected on ERS immediately.

  5. The identified records are retrieved and corrected on ERS using CC GTRECQ and the Document DLN.

  6. Once the correction is made the record will be subjected to validity. If it is accepted, it will clear from the ERS terminal screen.

3.30.28.5.7  (03-01-2007)
Revenue Accounting Control System (RACS)

  1. All Forms 8166, Input Reconciliation Sheets (yellow recap sheets), will be made available for quality assurance purposes. A determination is made as to the Input Reconciliation sheets being prepared accurately from a balancing aspect. To assist the quality reviewer, the Accounting Operations provides copies of the related documents or makes the original documents available as time allows.

  2. A copy of the Daily Posting Summary (DPS), printed copies of the related journals, and other related material will be made available to the Quality Reviewer daily in the first work hour, and returned within four hours.

  3. Any original documents not available because of daily critical release deadlines (batch transmittals, document registers, etc.) should be located by the Accounting Operations whenever possible. Other related documents such as dishonored checks, unidentified remittances, and NMF transactions are available within the Accounting Operations.

  4. Any journalization error, other than an NMF external file or the IRS external file is to be returned to the Data Base Administrator (DBA), via the appropriate first-line manager, for the necessary corrective action.

  5. Errors identified by review should be returned to the first-line manager for review daily. All error free cases are returned daily to a pre-designated delivery point.

  6. Various forms and related documents for each review input are made available daily for quality assurance purposes, along with the DPS and journal printouts. Local management at each campus should determine which related material should be added that may not be reflected or items that cannot be included for various reasons, mutually agreed upon by the QAO and Accounting Operations.

3.30.28.5.8  (03-01-2007)
Unpostables Review—Command Code "UPREV"

  1. All completed unpostable cases will be made available for quality review. The quality reviewer will perform all necessary research to verify the correct closing action was taken by the unpostable tax examiner (i.e., ENMOD, NAMES/NAMEI, INOLE, TXMOD, etc.).

  2. When all necessary research is completed, the quality reviewer will input CC UPDIS. CC UPDIS accesses the GUF data base and displays a requested case on the screen. CC UPRES is the automatic response displayed when CC UPDIS is input.

  3. The quality reviewer will determine whether the data displayed on CC UPRES is correct. CC UPRES will then be overlaid with CC UPREV to accept or delete the unpostable case. The following command code definers are used for this purpose:

    Blank QR acceptance of an unpostable case.
    E QR rejection of an unpostable case.
    H QR hold (for up to 7 days) of an unpostable case.
    Y QR hold (for up to 7 days) of all unpostable cases closed by a specific employee for a particular day.
       
    Z QR hold (for up to 7 days) of all unpostable cases closed by a specific employee.

    Note:

    On the eighth day GUF will release the hold and close the case when definers H, Y and Z are used.

  4. A definer will not be accepted if the unpostable case has not been closed.

  5. If the unpostable case is not available for review with CC UPDIS, CC UPTIN may be used to verify that the closing action was correct.

3.30.28.5.9  (03-01-2007)
Service Center Recognition/Image Processing System

  1. The Service Center Recognition/Image System (SCRIPS) is a stand alone system that replaced REI systems at the processing sites. It is a new, efficient and effective method of capturing data and processes Forms 1040EZ, FTD Coupons, and IRP documents.

  2. SCRIPS provides authorized IRS Quality Review personnel and SCRIPS managers on-line access to all completed work. The on-line quality review functions allow the reviewer to conduct an independent review of the before and after at each point in the processing cycle where there is manual intervention by a SCRIPS operator. It also provides direct on-line input of defect codes to Form 3926.

  3. Specific instructions for data processed through SCRIPS are issued in the following Internal Revenue Manuals:

    IRM Number Title
    3.41.268 FTD Processing on SCRIPS
    3.41.269 Information Returns Processing on SCRIPS
    3.41.274 General Instructions for Processing via SCRIPS
    3.41.275 Scanner Operations on Service Center Recognition/Image Processing System (SCRIPS)

3.30.28.5.9.1  (03-01-2007)
Overview of Functions Performed on SCRIPS

  1. Original Entry (OE)—In the OE function, operators enter data in templates, from either scanned images of documents or paper documents. Imaged documents that come to OE are documents that have either been scanned for the express purpose of having the data entered by an OE operator, or they failed the minimum scan recognition criteria. Paper documents come to OE either because they are too damaged to go through the scanner, or they may need to be inserted into a specific block/UW, or they are pre-numbered blocks given to OE operators to be entered from paper.

  2. Data Validation (DV)—In the DV function, any field that fails SCRIPS validation is flagged and highlighted for the operator to either verify and correct data, or simply verify the data in flagged fields. DV may be performed from either images or paper documents, and could come from either the scanner or OE.

3.30.28.5.9.2  (03-01-2007)
QR Selection Process

  1. Daily, SCRIPS gathers statistical data about the number of documents worked on, and program/function performed by each operator for all work processed through SCRIPS. This information is summarized after the block/UW has completed DV and is ready for downstream processing. The information is placed in a Block Summary Table for use during the QR selection and review process. The following functions and programs are applicable to SCRIPS:

    Figure 3.30.28-21a

    Number Program
    15810 FTD
    44340 IRP

    Figure 3.30.28-21b

    Number Function
    470 DV
    471 DV2
    47X All DVs
    480 OE Image
    481 OE Paper
    484 OE Paper Pre-numbered
    48X All OEs

    SCRIPS Programs and Functions

  2. Once a day a QR Selection process is automatically run. This process selects the returns to be quality reviewed for each operator, program, and function contained in the Block Summary Table. The time at which this process runs is a system parameter that can be changed by a System Administrator.

  3. The QR Selection process selects documents to be reviewed from the total number of documents ready for IRS downstream processing that have been processed since the last QR Selection process was performed.

  4. The number of returns selected for each operator is based on the information contained in the following three SCRIPS QR tables.

    1. QR Selection Criteria Table— contains the default number of documents to be selected for Individual and Process Review for each program and function. The contents of this table can be changed by an authorized QR operator.

      Note:

      The QR operator should input the number of documents for review from information received from the employee’s manager.

    2. QR Override Criteria Table—lists operators that have quality review requirements which override the QR Selection Criteria Table default values.

      Note:

      Manually increase or decrease the number of documents to be reviewed..

    3. QR Operator Status Table—lists operators who have work to be quality reviewed and contains the following information for each operator:

    How many documents to sample for QR.
    How many documents are available to QR.
    How many documents have been reviewed in the week to date.

  5. The selection process first checks the QR Override Criteria Table to see if another number has been set up for selection for an operator/program/function. If there is an override value, this is the number of documents selected for the operator. If an override value does not exist for an operator/program/function, the QR Selection Criteria Table is read to obtain the current default number of documents to select.

  6. The QR Operator Status Table is then read to determine the number of documents that have been reviewed for the week for the operator/program/function.

    1. Using this number and either the override selection value, or the default selection value, the number of documents to be selected is determined. For example, if 30 FTD documents are required for review for an OE operator for the week and 15 documents have already been reviewed, then SCRIPS will only select 15 FTD documents for that operator during that day’s QR Selection run.

    2. If all the documents for the operator/program/function for the week have been reviewed, the Selection process bypasses this operator/program/function.

  7. After the number of documents to be selected is determined, the QR Selection process uses a random number generator algorithm to create a list of random numbers equal to the number of documents required for selection for an operator/program/function.

    1. If 30 documents are required for selection from 200 that an operator worked on, 30 random numbers are generated.

    2. Using this list of random numbers, documents are selected for QR from the total number of documents worked on by each operator for each program and function.

    Caution:

    Do not review a week’s sample in one day.

  8. The QR Selection process also re-initializes the weekly number of documents reviewed for the week to zero for each operator/ program/ function during the first selection process of the week. A QR selection week runs from Saturday 12:01 AM through Friday midnight.

  9. The DLN or Sequence Number (SN) of each document selected for review is placed in a QR Document Work In Progress (WIP) Table.

    1. It is from this table that the next document to be reviewed is selected.

    2. The oldest returns in the queue are selected first in order for them to be reviewed within 48 hours after selection. As each document is reviewed, its DLN or SN is removed from this table so that it is no longer in the QR queue for an operator/program/function.

3.30.28.5.9.3  (03-01-2007)
SCRIPS Individual Review Guidelines

  1. Individual QR is done on a weekly basis for each operator and for each program and function worked on by that operator.

  2. First determine what work is available for review for each operator. The QR Inventory Report can be run for this information. The procedures for running this report are contained in IRM 3.30.28.5.9.4.

  3. After determining what is available for review, the reviewer can select the operator, program, and function for review.

3.30.28.5.9.3.1  (03-01-2007)
Individual Review Selection

  1. Perform the following steps to select the operator, program and function for review:

    1. In the Main Menu, type 5 for Quality Review (QR).

    2. Press the (ACTION/Enter) key. The Main Menu window closes and the Quality Review (QR) Selection Menu window opens as shown in Figure 3.30.28–24.

      Figure 3.30.28-22

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

      Quality Review (QR) Selection Menu

    3. In the Quality Review (QR) Selection Menu, type 1 for Quality Review.

    4. Press the (ACTION/Enter)key. The Quality Review (QR) Selection Menu window closes and the Quality Review Selection Menu window opens as shown in Figure 3.30.28–25.

      Figure 3.30.28-23

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

      Quality Review Selection Menu

    5. In the Quality Review Selection Menu, type 1 for Individual Review.

    6. Press the (ACTION/Enter) key. The Quality Review Selection Menu window closes and the Individual Review window opens as shown in Figure 3.30.28–26.

    7. Type the Operator ID of the operator to be reviewed.

    8. Press the (ACTION/Enter) key.

    9. Type the code for the Function.

    10. Press the (ACTION/Enter) key.

    11. Type the code for the Program.

    12. Press the (ACTION/Enter) Key. The Individual Review window closes and the first available document for the specified operator, function, and program opens.

    13. To review work performed by an operator during DV, see IRM 3.30.28.5.9.3.2.

    14. To review work performed by an operator during OE, see IRM 3.30.28.5.9.3.3.

    Figure 3.30.28-24

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

    Individual Review Screen

  2. If there are no documents for review for the specified operator, function, and program, the following actions occur:

    1. The screen clears as if to open a review window. A message window opens informing the reviewer that no work is available.

    2. Press the (ACTION/Enter) key to acknowledge the message. The message window closes and the Individual Review window reopens.

    3. Enter data to select another operator/function/program or,

    4. Press the <ALT>-X key combination to exit the window and return to the Quality Review Selection Menu.

    5. Press the <Alt>-M key combination to return directly to the Workstation Main Menu.

  3. There are two types of Help windows available during the QR process.

    1. Help (F1) is available for displaying the defect code listing and their descriptions. The defect codes will be displayed in numerical order and will remain in numerical order when updated.

    2. Help (Ctrl+F1) is available for reviewing the Help windows that were available to an operator for certain fields within the application documents.

  4. Actions performed by the function keys and the special function keys are consistent across OE and DV. The function keys and special function keys are summarized in the following table:

    SCRIPS Key Functions

        Operator Function
    Key Function Key Assigned OE DV QR
    Auto On/Off <CTRL> AUTO   X X
    Clear Form (1040PC) <CTRL>F3 X X  
    Delete All Characters in Field and Put Cursor at Beginning of Field F3 X X X
    Delete Character at Current Cursor Position
    • DEL CHR

    • Delete (Central Pad)

    • Del (Num. Pad)

    X X X
    Delete Characters in Field to Right of Cursor Position F2 X X X
    Delete Defect Code (QR Only) <CTRL>DEL REC     X
    Delete Document (except IRP) <CTRL>DEL REC X X  
    Delete Field (1040PC) <ALPHA> DEL REC X X  
    Delete Form (1040PC) <ALT> DEL REC X X  
    Display Field History (QR Only) F12     X
    Display Form 1096 Data F5 X X X
    Display Form Data (except 1040EZ) F11 X X X
    Display Image Strip F13 X* X* X*
    Display Prior Document F7 X X  
    Display Previous Field DUP X X  
    Escape Key ESC X X X
    Field Release
    • ACTION

    • Enter (Num. Pad)

    X X X
    FTD Form Select (FTD only) F4 X X  
    Go to Next Page
    • Page Down (Central Pad)

    • Pg Dn (Num. Pad)

    X X X
    Go to Previous Page
    • Page Up (Central Pad)

    • Pg Up (Num. Pad)

    X X X
    Help (FTD/941/1040PC) F1 X X X
    Help - Quality Review <CTRL>F1     X
    Insert Character at Current Cursor Position
    • INS CHR

    • Insert (Central Pad)

    • Ins (Num. Pad)

    X X X
    Insert Defect Code (QR Only) <CTRL> INS REC     X
    Insert Document (except IRP) <CTRL> INS REC X X  
    Insert Field (1040PC) <ALPHA> INS REC X X  
    Insert Form (1040PC) <ALT> INS REC X X  
    Interrupt/Suspend F9 X X X
    Magnification DISPLAY X* X* X*
    Move Cursor Left One Character CHR
    X X X
    Move Cursor Right One Character
    <CTRL> CHR
    X X X
    Move Cursor to Next Field
    • Down Arrow (↓) (Central Pad)

    • Down Arrow (↓) (Num. Pad)

    X X X
    Move Cursor to Preceding Field
    • Up Arrow (↑) (Central Pad)

    • Up Arrow (↑) (Num. Pad)

    X X X
        Operator Function
    Key Function Key Assigned OE DV QR
    Move One Document Back in Block/UW
    • Page Up (Central Pad)

    • Pg Up (Num. Pad)

    X** X**  
    Move One Document Forward in Block/UW
    • Page Down (Central Pad)

    • Pg Dn (Num. Pad)

    X** X**  
    Move to First Document in Block/UW
    • Home (Central Pad)

    • Home (Num. Pad)

    X** X**  
    Move to Last Document Worked
    • End (Central Pad)

    • End (Num. Pad)

    X** X**  
    Move to Next Field TAB X X X
    Move to Previous Field <CTRL>TAB X X X
    Num Lock On/Off Num Lock (Num. Pad) X X X
    Numeric On/Off NUMERIC X X X
    Override (IRP and 1040PC) F14 X X  
    Position Cursor at Beginning of Field
    • Home (Central Pad)***

    • Home (Num. Pad)***

    • Left Arrow Key (←) (Central Pad)

    • Left Arrow (←) (Num. Pad)


    • <CTRL> FLD

    X X X
    Post-To-Close <CTRL>P X X X
    Print 9200 Report F7     X
    Print Process Review F8     X
    Print Screen Prnt Scrn X X X
    Re-Image Flag or Pull Document Flag F12 X X  
    Re-position to Bottom of Form <CTRL> Down Arrow (↓) X X X
    Re-position to Top of Form <CTRL> Up Arrow (↑) X X X
    Release Block/UW F8 X**** X****  
    Release Document F6 X X X
    Release Form (1040PC) F15 X X X
    Release Page(1040PC) F4 X   X
    Return To Next Perfectible Document F10 X X  
    Reveal Field Key (IRP) <CTRL>V   X X
    Rotate 90 degrees F16 X X X
    Skip to Field (IRP/941/1040PC) SKIP X X X
    Skip to Form (1040PC) F5 X X X
    • * In all applications, both the F13 key and the DISPLAY function key allow you to display the magnified field image strip.

    • ** Only available when AUTO mode is Off and only for Form 1040EZ and IRP documents.

    • *** In OE, only for FTD. In DV, only for Form 1040EZ and IRP when AUTO is On and FTD whether AUTO is On or Off.

    • **** In OE, for Form 1040EZ, Form 941, and Form 1040PC, the F8 key releases a Block and for IRP and FTD, the F8 key releases a Unit-of-Work (UW). In DV, the F8 key only works for FTD UWs.

  5. As documents are reviewed, the QR Operator Status Table is updated by reducing the number of documents to be QR’d by 1.

  6. The QR Work in Progress (WIP) table is updated. As each document is reviewed, its DLN or SN is removed from this table so that it is no longer in the QR queue for an operator/program/function.

3.30.28.5.9.3.2  (03-01-2007)
QR on DV Operators

  1. The DV operator validated or corrected those fields flagged and highlighted for DV.

  2. The DV operator also has the capability to correct fields that are not highlighted but are in error. All of those fields touched by the DV operator are subject to QR.

  3. When the DV QR display opens, the document image, the template containing the ASCII data for that document, and a small window in which a defect code can be entered are displayed.

  4. If the document selected for DV QR was entered from paper, the document image does not appear.

  5. Press the (F12) function key to see the Before and After values of the highlighted field. This opens a small window immediately below the highlighted area. The screen display with the image and template can be printed by pressing the (Print Scrn) key. An example of a DV QR display with a Field History Window is shown in Figure 3.30.28–27.

    Figure 3.30.28-25

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

    DVC QR Display with Field History Window

  6. The small defect code window is the only window in which data can be entered.

  7. A magnified image strip of the highlighted field can be displayed by pressing the (F13) key. The image strip is displayed above the template window. Moving to the next highlighted field in the template will not cause the image strip to disappear. The image strip remains displayed and shows the contents of this next field. Press the (F13) key again to close the magnified image strip.

  8. The Status line at the bottom of screen shows the following fields of information:

    1. Program Number (Prgm) of the documents being reviewed.

    2. DLN or SN of the current document under review.

    3. The document count (Doc) showing the number of documents the reviewer is on compared to the total number of documents to be reviewed.

    4. The Auto (Au) field indicates whether the Auto mode is on or off.

    5. The Insert (In) field indicates whether the Insert mode is on or off.

    6. The Numeric (Nu) field indicates whether the numeric feature is turned on or off.

3.30.28.5.9.3.2.1  (03-01-2007)
Procedures for QR on DV Operators

  1. The first field in the document that was touched by the DV operator under review is highlighted in the template. Fields not touched by the DV operator are grayed out.

  2. Perform the following steps to do QR on a DV operator:

    1. To display the field history for the highlighted field, press (F12). The Field History window opens displaying the "Before" and "After" values of the field.

    2. If no defect code is needed for the highlighted field, press the (TAB) key to go to the next field requiring review. If the Field History window was open for that field, it disappears.

    3. To enter a defect code for the highlighted field, type the defect code. To display a list of defect codes, press ( F1). Press (F1) again to close the Defect Code List window. Only one defect code can be entered per field.

    4. Press the (ACTION/Enter) key to record the error. The prompt area of the screen displays the message: "Defect Code ### recorded." Then press the ( TAB) key to move to the next field requiring review.

  3. A reviewer can move to a field and enter a defect code when an operator failed to correct the field.

    1. Press the (CTRL+AUTO) key combination to turn the AUTO mode off.

    2. Press the (TAB) key to move forward to the field or the Arrow keys to move backwards to the field.

    3. Enter the defect code and press the ( ACTION/Enter) key. Then press the (CTRL+AUTO) key combination again to turn the AUTO mode back on.

    4. Repeat steps in (2) and (3) until all the fields in the document are reviewed.

  4. Press (F6) to release the document. The display for the next document to be reviewed opens. If a defect code(s) was entered for a field or fields in the document, a Question window opens. "Print before and after data? Yes, No."

  5. Answer the question by taking one of the following actions:

    1. Type Y to print out the before and after data. A second Question window opens. "Print screen image? Yes, No."

    2. Type a Y to print out the screen image or,

    3. Type an "N" if no print out is desired.

  6. A message window opens when the last document for the operator/program/function is released. "No more documents for QR, returning to menu." Press the (ACTION/Enter) key to acknowledge the message. The Individual Review window reopens. Another operator or the same operator for another function/program can be reviewed.

  7. Press <Alt>-X key combination to exit to the Quality Review Selection menu. Press the <Alt>-M key combination to exit directly to the Workstation Main Menu.

  8. If review is to be stopped before reaching the end of the documents available for review, it can be stopped by entering a Post-To-Close command <CTRL>-P).

    1. Press (F6) to release the document currently being reviewed. The Individual Review window will display instead of another document. Review another operator, or

    2. Press the <AlT>-X key combination to exit the QR Menu, or press the <Alt>-M key combination to exit directly to the Workstation Main Menu.

  9. If the reviewer is in the middle of a document and wants to stop, the reviewer may interrupt work rather than waiting to finish. When work is resumed after an interrupt, the system will start the reviewer at the exact place the reviewer left off. To interrupt work,

    1. Press the (F9) function key. The screen blanks out whatever is displayed on the screen and a small Interrupt or Suspend Window opens in the middle of the screen.

    2. Type I for Interrupt. Whatever is currently displayed on the screen disappears and the Application Temporarily Interrupted window opens. If the reviewer decides not to interrupt after pressing the (F9) key, that reviewer can get out of the window by pressing the <ESC> key.

  10. For security reasons, the reviewer has to reenter his/her password to resume work. Press the (ACTION/Enter) key.

    1. If the password is entered correctly, the interrupt window will close. The window in which the reviewer was working when the work was interrupted reappears.

    2. If the password is entered correctly, an error message will appear across the bottom of the window stating: "Invalid Password, Please Wait ..." . After the message disappears, the reviewer can enter the password again.

      Note:

      There is no limit as to how many times a reviewer can attempt to enter his/her password in this window, therefore, the only way for the reviewer to continue working on interrupted work is to enter the correct password.

3.30.28.5.9.3.3  (03-01-2007)
QR on OE Operators

  1. In OE processing, the operator enters all the data in the template; therefore, all fields containing data in the template will have been "touched" by the OE operator and are subject to QR.

  2. Procedures for doing QR on OE operators are exactly the same as for DV operators. Refer to IRM 3.30.28.5.9.3.2.1 above.

  3. If reviewing documents entered in OE from paper, run the QR Inventory Report to find out what documents have been selected for QR in that function. This report can then be used to determine which paper documents need to be pulled to do QR.

3.30.28.5.9.4  (03-01-2007)
Individual QR Reports

  1. There are three QR reports that provide statistical information about the results of the review process including: Form 3926—Quality Assurance Review Record; Form 9200—SCRIPS On-Line Review Recordation Sheet; and QR Inventory Report.

  2. When a report is generated on SCRIPS, it is assigned a report number. The report number shows the report module number, the month, day, hour, and minute when the report was generated. The report module number is a unique number assigned to each report type. For example ips00811 is the report module number for QR Inventory Reports. Below is a breakout of the components of a report number (ips00811.01.13.17.23).

    ips00811 01 13 17 23
    Report Month Day Hour Minute

3.30.28.5.9.4.1  (03-01-2007)
QR Inventory Report

  1. The QR Inventory Report is produced on demand in hard copy or screen display mode. The report provides a list of documents not yet reviewed that were selected for QR by the QR Selection process. The report is generated as a front end report and is not saved on the system after generation. The report is selected off the Quality Review Selection Menu.

  2. The QR Inventory Report can be generated using one of the following sets of report options:

    1. Operator ID—a single operator can be selected by entering the Operator ID, or all operators can be selected by entering zeros in the field. Leave this field blank to run the report by Organization Code or Group Code. If this field is left blank, the Function Code and Program Number fields are bypassed.

    2. Function Code—allows selection of a specific function (Data Validation or Original Entry functions, or all DV, or all OE functions) performed by a given operator. This option is bypassed if no Operator ID is entered.

    3. Program Number—allows selection of FTD, or IRP programs for work performed by a given operator. This option is bypassed if no Operator ID is entered.

    4. Organization Code—allows selection of all the operators within a specific Organization Code. If this option is used, the Operator ID, Function Code, and Program Number data is not used for the report generation.

    5. Group Code—allows selection of all operators within a specific group code. If this option is used, the Operator ID, Function Code, and Program Number data is not used for the report generation.

3.30.28.5.9.4.1.1  (03-01-2007)
Access the QR Inventory Report Windows

  1. To access the QR Inventory Report windows, perform the following steps:

    1. Type 5 for Quality Review (QR) in the Workstation Main Menu.

    2. Press the ACTION/Enter key. The Workstation Main Menu window closes and the Quality Review (QR) Selection menu window opens as shown in Figure 3.30.28-26.

      Figure 3.30.28-26

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

      Quality Review (QR) Selection Menu

    3. Type the code for Quality Review in the Quality Review (QR) Selection Menu. (The exact number for the Quality Review option depends on how many options are listed in the menu.)

    4. Press the ACTION/Enterkey. The Quality Review (QR) Selection window closes and the Quality Review Selection Menu window opens as shown in Figure 3.30.28–29.

      Figure 3.30.28-27

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

      Quality Review (QR) Selection Menu

    5. Type a 6 for QR Inventory Report in the Quality Review Selection Menu window.

    6. Press the ACTION/Enterkey. The Quality Review Selection Menu window closes and the Quality Review Inventory Report Parameters window opens as shown in Figure 3.30.28–28.

      Figure 3.30.28-28

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

      Quality Review Inventory Report Parameters Window

    7. Use the UP Arrow and Down Arrow keys to move to fields that need to be corrected. Then type over the data. If an error is detected while still in the field, use the Left Arrow key to move to the beginning of the field, and then type over the data.

    8. Press the <ALT>-X key combination to exit the window if a decision is made to not generate a report at this time.

3.30.28.5.9.4.1.2  (03-01-2007)
Generate and Print a QR Inventory Report

  1. In the Operator ID area, take one of the following actions:

    1. To run this report for one operator, type the Operator ID or the operator to be reviewed, and press the (ACTION/Enter ) key. The cursor moves to the Function Code area.

    2. To run this report for all operators, type 000, and press the (ACTION/Enter) key. The cursor moves to the Function Code area.

    3. To run this report for operators within an Organization, or Group, or both, leave the field blank and press the (ACTION/Enter ) key. The cursor moves to the Organization Code area. Go to Step 4.

  2. In the Function Code area, take one of the following actions:

    1. To display all functions, leave the field blank and press the (ACTION/Enter) key. The cursor moves to the Program Number area.

    2. To run this report for a specific function, type the code for the desired function and press the (ACTION/Enter ) key. The cursor moves to the Program Number area.

  3. In the Program Number area, take one of the following actions:

    1. To display all program numbers, leave the field blank and go to Step 6.

    2. To run this report for a specific program number, type the code for the desired program number and press the ( ACTION/Enter) key. The cursor moves to the Organization/Group Code area.

  4. In the Organization Code Field, take one of the following actions:

    1. To run this report for the operators within a specific organization, type the desired Organization Code and,

    2. Take one of the following actions: go to step 6 if a Group Code will not be entered; press the (ACTION/Enter ) key if a Group Code is to be entered. The cursor moves to the Group Code field.

  5. In the Group Code Field, take one of the following actions:

    1. To run this report for the operators within a specific group, type the desired Group Code.

    2. If a Group Code will not be entered for this report for the operators within a specific group, leave the field blank.

  6. Press the (ACTION/Enter) key and one of the following actions occurs:

    1. If no records are found, the Quality Review Inventory Report Parameters window closes and a message window appears as shown in Figure 3.30.28–29. Press the (ACTION/Enter) key to acknowledge the message. The message window closes. The Quality Review Inventory Report Parameters window opens.

      Figure 3.30.28-29

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

      Quality Review Inventory Report Message Window

    2. If records are found, the Quality Review Inventory Report Parameters window closes and the Quality Review Inventory Report appears on-screen as shown in Figure 3.30.28–30.

    Figure 3.30.28-30

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

    On-Screen Quality Review Inventory Report

  7. Use the Up Arrow and Down Arrow keys to move one line at a time, or use the Page-UP and Page-Down keys to move to the next or previous page of the report.

  8. To print the report, press the <ALT>-P key combination.

    1. If the report is successfully printed, a message window appears as shown in Figure 3.30.28–31.

      Figure 3.30.28-31

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

      Quality Review Inventory Report Message Window

    2. Press the (ACTION/Enter) key to acknowledge the message. The message window closes. The printed report looks like the example shown in Figure 3.30.28–32.

      Figure 3.30.28-32

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

      Quality Review Inventory Report Printout

    3. If there is a problem and the report is not printed, a message window appears stating "Unable to Generate Report, Could not insert into print queue" .

    4. Press the (ACTION/Enter) key to acknowledge the message. The message window closes. Report the problem to management/Systems Administrator.

  9. To exit the on-screen Quality Review Inventory Report, press the <ALT>-X key combination to close the window and return to the Quality Review Inventory Report Parameters window.

  10. To exit the Quality Review Inventory Report Parameters window, follow the instructions on the bottom of the screen.

  11. To generate and print additional reports, repeat Steps 1 through 8 above.

3.30.28.5.9.4.1.3  (03-01-2007)
Description of Quality Review Inventory Report

  1. The header area at the top of the on-screen Quality Review Inventory Report provides the following information as shown in Figure 3.30.28–30.

    • Title of the report

    • Operator(s), Function(s), and Program(s) covered on the report

    • Organization Code

    • Group Code

    • Run Date of the report

  2. The final line of the report header contains titles of the columns on the report. This sample report was generated for all Operators, for all Function Codes, and for all Programs.

  3. On the printed report, the IPS number or the report module, the campus at which it was run, and the run date and run time are printed along with the Reviewed Operation, which will always be SCRIPS. The page number is also shown.

  4. The first column shows the Organization Code to which the operator(s) belongs.

  5. The second column shows the Group Code to which the operator(s) belongs.

  6. The third column shows the Operator ID of the workstation operators who have work to be reviewed.

  7. The fourth column shows the Function Code of the function in which the work was performed.

  8. The fifth column shows the Program Number of the form type on which the work was performed.

  9. The sixth column shows the Batch Number of the Form 1040EZ documents. If the form type available for review is not a 1040EZ form, this column title is displayed but there will be no entry in the column.

  10. The seventh column shows the DLN or SN of each document selected for QR.

  11. The eighth column shows the date the document was worked by the workstation operator in the indicated function and program.

  12. The ninth column shows the status of the documents selected for QR. If the status is Ready, the document is ready to be reviewed. If the status is Locked, the document is currently being reviewed by another QR operator.

3.30.28.5.9.4.2  (03-01-2007)
F9200—SCRIPS On line Review Recordation Sheet

  1. The purpose of a F9200 report is to provide the employees with a record of their review and allow review and modification of defect codes as necessary.

  2. SCRIPS produces, on demand, the F9200 report in either hard copy or screen display. When a hard copy print of the Form 9200 is requested, SCRIPS assigns and includes on the Form 9200 an internally generated report number. This report number should be used when initiating a request to update a specific F9200. SCRIPS uses the report number to select and display for updating, the documents printed on a previously requested F9200.

  3. After completion of the review, a final F9200 containing any updates can be produced. If more than one reviewer performed QR on an operator/function/program, the ID of the quality reviewer who generates the final F9200 Report will appear on the final report.

    Note:

    When a document is being worked on it is closed (locked) so no one else can access it.

  4. To generate a F9200 report:

    1. In the Workstation Main Menu, type 5 for Quality Review (QR) Selection Menu.

    2. Press the (ACTION/Enter) key. The Main Menu window closes and the Quality Review (QR) Selection Menu window opens.

    3. In the Quality Review (QR) Selection Menu, type the code for Quality Review.

    4. Press the (ACTION/Enter) key. The Quality Review Selection Menu window opens.

    5. In the Quality Review Selection Menu, type 4 for F9200. A F9200 Selection Criteria window opens as shown in Figure 3.30.28–35.

      Figure 3.30.28-33

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

      Form 9200 Selection Criteria

    6. Type the Operator ID of the reviewed operator.

    7. Type the Reviewer ID of the QR reviewer.

    8. Type the code for the Function that was reviewed.

    9. Type the code for the Program that was reviewed.

    10. The cursor moves to the last field. To go back or move back and forth through the fields to change any of the parameter values, press the (Up Arrow) and (Down Arrow ) keys, or press the <Ctrl>TAB key combination, or the TAB key.

    11. Press the (ACTION/Enter) key if not a final Form 9200 report. The Form 9200 Selection Criteria window closes and the Output Selection window opens.

    12. If report is a final Form 9200, type 1. The Form 9200 selection Criteria window closes and the Output Selection window opens.

  5. In the Output Selection window perform the following:

    1. Type 1 if the output is to go to the monitor screen.

    2. Press the (ACTION/Enter) key. The Output Selection window closes and the SCRIPS Online Review Recordation Sheet window opens as shown in Figure 3.30.28–34.

      Figure 3.30.28-34

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

      SCRIPS Online Review Recordation Sheet Window

    3. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to previous pages of the display.

      Note:

      Write down the report number to help identify which report to choose if modification is necessary.

    4. Press the (ESC) key to close the SCRIPS Online Review Recordation Sheet window. The Form 9200 Selection Criteria window opens. Either enter values for another report or,

    5. Press <ALT>-X key combination to exit to the Quality Review Selection Menu.

    6. Type 2 if the output is to go to the printer with the reviewed operator’s name on the form.

    7. Press the (ACTION/Enter) key. The Output Selection window closes and Form 9200 Selection Criteria window opens again. The report is printed out on the printer and the reviewed operator’s name is in the header of the report.

    8. Type 3 if the generated report is to go to the printer without the reviewed operator’s name on the form.

    9. Press the (ACTION/Enter) key. The output Selection window closes and the Form 9200 Selection Criteria window opens again. The report is printed out on the printer without the reviewed operator’s name.

    10. In the Form 9200 Selection Criteria window, follow steps in IRM 3.30.28.5.9.4.2 (4) above to create another Form 9200 report.

3.30.28.5.9.4.3  (03-01-2007)
Modify a Specific F9200

  1. This process provides the ability to update (add, delete, or change) defect codes and delete DLNs or SNs for a specific Form 9200 that has been previously provided in hard copy or screen display mode. If a document does not have a defect code, one cannot be added to that document.

  2. If a Form 9200 report was generated but there were no defect codes, you can still delete DLNs and SNs from that Form 9200 report. If all DLNs and SNs are deleted from a report, the report is automatically deleted.

  3. To modify a Form 9200 report, you should have the report number of the specific Form 9200 report which is to be modified. A reviewer may choose the report from a list of Forms 9200 reports.

  4. Any changes made to a Form 9200 report will be automatically reflected in the Form 3926 report.

    Note:

    The supervisor shall have "read only" capability, and not be allowed the capability to update Form 9200 and/or Form 3926 quality review reports unless specifically profiled for quality review.

  5. Perform the following steps to open a specific Form 9200 Report:

    1. Access the Quality Review Selection Menu, and type 5 for Modify Form 9200. The Quality Review Selection Menu closes and a Modify Form 9200 window opens as shown in Figure 3.30.28–37.

      Figure 3.30.28-35

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

      Modify Form 9200 Window

    2. Use the (Down Arrow) key or (Up Arrow) key to move through the list to the desired report.

    3. Enter the Report Number of the Form 9200 Report to be modified.

    4. Press the (ACTION/Enter) key. The Modify Form 9200 window closes and the specified SCRIPS Online Review Recordation Sheet window opens as shown in Figure 3.30.28–36.

    Figure 3.30.28-36

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

    SCRIPS Online Review Recordation Sheet Window

  6. The capability to modify defect codes and delete DLNs/SNs is available until the Final Form 3926 report has been created. To modify the defect codes:

    1. Refer to IRM 3.30.28.5.9.4.3.1 to change a defect code.

    2. Refer to IRM 3.30.28.5.9.4.3.2 to add a defect code

    3. Refer to IRM 3.30.28.5.9.4.3.3 to delete a defect code.

    4. Refer to IRM 3.30.28.5.9.4.3.4 to delete a DLN or SN.

3.30.28.5.9.4.3.1  (03-01-2007)
Modify F9200 to Change a Defect Code

  1. Perform the following steps to change a defect code in a Form 9200 report:

    1. Move to the desired defect code by pressing the (Down Arrow) or (Up Arrow) keys within the displayed page.

    2. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to the previous page of the display.

    3. Change the defect code as desired. If an invalid defect code is entered, an error message will appear in the Prompt area indicating the code is invalid.

    4. Press the (TAB) key to release the field and save the change. The description changes to match the new defect code. The cursor moves to the next defect code.

    5. Continue performing the above steps, until all the desired defect codes are changed.

  2. If a change was made to a defect code and it was decided that the change should not have been made, it will be necessary to go back and change the code before pressing the F6 key.

  3. If a change was made to a defect code and the F6 key was pressed before deciding not to make the change, that Form 9200 Report must be reopened to correct the defect code.

  4. Press the (F7) key to print out the modified Form 9200. The Output Selection window opens on the campus of the SCRIPS Online Review Recordation Sheet window.

    1. Select menu choice 1, Print with Reviewed Operator’s Name, or 2, Print without Reviewed Operator’s Name.

    2. Press the (ACTION/Enter) key. The Output Selection window closes, but the SCRIPS Online Review Recordation Sheet window remains open. The report is printed out on the printer.

  5. When modification of Form 9200 is complete, exit the SCRIPS Online Review Recordation Sheet window by pressing the ( F6) key. A question window opens asking the reviewer, " Do You Want to Print This Report" . The question is asked whether or not the reviewer has previously pressed the (F7) key to print the report. The reviewer must answer the question by either typing a Y for Yes, or N for No.

    1. If the reviewer types a Y, the report is printed out. If the reviewer types a N, the report is not printed out. The SCRIPS Online Review Recordation Sheet closes and the Modify Form 9200 window re-opens.

    2. To modify another Form 9200, repeat steps in IRM 3.30.28.5.9.4.3.1(1) through (3) above.

    3. Press the (ESC) key to exit from the Modify Form 9200 window. The Modify Form 9200 window closes and the Quality Review Selection Menu window opens.

3.30.28.5.9.4.3.2  (03-01-2007)
Modify F9200 to Add a Defect Code

  1. A defect code cannot be added to a document that does not have an existing defect code.

  2. To add a defect code to a document, the text cursor must be positioned on a defect code associated with the DLN of that document.

  3. Perform the following steps to add a defect code in a Form 9200 report:

    1. Move to the desired defect code by pressing the (Down Arrow) or (Up Arrow) keys within the displayed page.

    2. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to the previous page of the display.

    3. Press the <CTRL>-INS REC key combination. A partially blank line appears above the line in which the text cursor was located. The DLN field is filled in with the same DLN as the line on which the cursor was located. The text cursor moves to the blank defect code field.

    4. Type the new defect code.

    5. Press (TAB) to release the field and save the change. The Description field is filled in with the Description of the new defect code. The text cursor moves to the next defect code.

    6. Continue performing the above steps until all of the desired defect codes have been added.

  4. When modification of Form 9200 is complete, exit the SCRIPS Online Review Recordation Sheet window by pressing the ( F6) key. A question window opens asking the reviewer, " Do You Want to Print This Report." The question is asked whether or not the reviewer has previously pressed the (F7) key to print the report. The reviewer must answer the question by either typing a Y for Yes, or N for No.

    1. If the reviewer types a Y, the report is printed out. If the reviewer types a N, the report is not printed out. The SCRIPS Online Review Recordation Sheet closes and the Modify Form 9200 window re-opens.

    2. To modify another Form 9200, repeat steps in IRM 3.30.28.5.9.4.3.2(1) through (3) above.

    3. Press the (ESC) key to exit from the Modify Form 9200 window. The Modify Form 9200 window closes and the Quality Review Selection Menu window opens.

3.30.28.5.9.4.3.3  (03-01-2007)
Modify F9200 to Delete a Defect Code

  1. SCRIPS does not provide the capability to record errors to a unit/group.

    1. If an error is removed from an individual and charged to a unit/group, it will be necessary to decrease the volume reviewed by the number charged to the unit/group.

    2. Refer to IRM 3.30.28.5.9.4.3.4 to delete a DLN/SN and decrease the volume Reviewed in Block 6.

    3. Errors charged to the unit/group can be adjusted manually following the procedures in 3.30.28.4.4.3, Record QR Results.

  2. Perform the following steps to delete a defect code from a Form 9200 report:

    1. Move to the defect code to be deleted by pressing the (Down Arrow) or (Up Arrow) keys within the displayed page.

    2. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to the previous page of the display.

    3. Press the <CTRL>-DEL REC key combination. The defect code, description, and DLN on that line will disappear from the report. The DLN will still show in Box 10, DLN of Documents Reviewed and Volume Reviewed, Box 6, will not decrease. The text cursor moves to the next defect code.

    4. If more defect codes are to be deleted, perform steps above until all the desired defect codes are deleted.

    5. Press the (F7) key (optional) to print out the modified Form 9200.

  3. When modification of Form 9200 is complete, press the (F6) key. A question window opens asking the reviewer, "Do You Want to Print This Report." The question is asked whether or not the reviewer has previously pressed the (F7) key to print the report. The reviewer must answer the question by either typing a Y for Yes, or N for No.

    1. If the reviewer types a Y, the report is printed out. The SCRIPS Online Review Recordation Sheet closes and the Modify Form 9200 window re-opens.

    2. To modify another Form 9200, repeat steps in 3.30.28.5.9.4.3.3(1) through (3) above.

  4. Press the (ESC) key to exit from the Modify Form 9200 window. The Modify Form 9200 window closes and the Quality Review Selection Menu window opens.

3.30.28.5.9.4.3.4  (03-01-2007)
Modify Form 9200 to Delete a DLN or SN

  1. Perform the following steps to delete a DLN or SN from a Form 9200 report:

    1. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to the previous page of the display.

    2. Press the <CTRL>-D key combination. A Delete DLN/SN text entry window opens as shown in Figure 3.30.28–39.

      Figure 3.30.28-37

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

      Delete DLN/SSN From Form 9200 Screen

    3. Type the DLN or SN to be deleted.

    4. Press the ACTION/Enter key. The Delete DLN/SN text entry window closes. A Delete DLN/SN Question window opens as shown in Figure 3.30.28.10–40. An error message will appear if the reviewer enters a DLN that is not on the list of DLNs on the Form 9200.

    Figure 3.30.28-38

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

    Delete DLN/SSN Message Window

  2. If you want to delete the DLN/SN, type a Y for Yes. The Delete DLN/SN Question window closes. If there are other DLN/SNs remaining in the report, the designated DLN/SN is removed from the DLN list area (Block 10) of the Form 9200 Report. Volume Reviewed (Block 6) is reduced by the number of DLNs or SNs removed.

    1. If the designated DLN/SN is the only one remaining in the report, a Warning Question window opens which states "Deleting this DLN/SN will delete the report, Do you want to proceed? Yes, No."

    2. If you still want to delete the DLN/SN, type Y for Yes. The Warning Question window and Form 9200 window close. The Form 9200 Report is automatically deleted from the system. The modify Form 9200 window opens.

  3. If you do not want to delete the DLN/SN, type N for No. The Warning Question window closes. The Delete DLN/SN Question window remains open. Type N for No. The Delete DLN/SN Question window closes. The Form 9200 window remains open.

  4. Press the (F6) key to release the report and save the changes. A question window opens asking the reviewer, "Do You Want to Print This Report." The question is asked whether or not the reviewer has previously pressed the (F7) key to print the report. The reviewer must answer the question by either typing a Y for Yes, or N for No.

    1. If the reviewer types a Y, the report is printed out. The SCRIPS Online Review Recordation Sheet closes and the Modify Form 9200 window re-opens.

    2. To delete another DLN/SN from another Form 9200, repeat steps in IRM 3.30.28.5.9.4.3.4(1) through (3) above.

  5. Press the (ESC) key to exit from the Modify Form 9200 window. The Modify Form 9200 window closes and the Quality Review Selection Menu window opens.

3.30.28.5.9.4.4  (03-01-2007)
Form 3926—Quality Assurance Review Record

  1. SCRIPS produces, on demand, the Form 3926 report in either hard copy or screen display format. The data is obtained from the QR Document Summary and QR Document Defect Summary Tables created during the QR process. A report may be several pages long depending on how many operators were reviewed and how many defect codes were entered for the report.

  2. Form 3926 reports for a particular individual can be run as often as desired during the week by entering the reviewer ID, organization code, program and function.

  3. A final Form 3926 for all documents for all operators reviewed for the week must be generated and output to tape.

  4. Procedures for generating non-final and final Form 3926 reports are explained in the following sections.

3.30.28.5.9.4.4.1  (03-01-2007)
Generating a Non-Final Form 3926 Report

  1. Perform the following steps to generate a non-final Form 3926 report:

    1. In the Main Menu, type 5 for Quality Review (QR) Selection Menu.

    2. Press the (ACTION/Enter) key. The Main Menu window closes and the Quality Review (QR) Selection Menu window opens.

    3. In the Quality Review (QR) Selection Menu, type the code for Quality Review Selection Menu.

    4. Press the (ACTION/Enter) key. The Quality Review (QR) Selection Menu window closes and the Quality Review Selection Menu window opens.

    5. In the Quality Review Selection Menu, type 3 for Form 3926 and press the (ACTION/Enter ) key. The Quality Review Selection Menu window closes and a Form 3926 Selection Criteria window opens as shown in Figure 3.30.28–39.

      Figure 3.30.28-39

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

      Form 3926 Selection Criteria Window

    6. Press the (ACTION/Enter) key since this is not a final Form 3926 report. The cursor goes to the reviewer ID field.

    7. Type the Reviewer ID. The cursor moves to the Organization Code field.

    8. Type the Organization Code. The cursor moves to the print field.

    9. In the print field take one of the following actions: Type a 1 to print all reports. The cursor moves to the Function field. Press the (ACTION/Enter) key if all reports are not to be printed. The cursor moves to the Function field.

    10. Type the code for the desired Function. The cursor moves to the Program Number field.

    11. Type the code for the desired Program. The Form 3926 Selection Criteria window closes and the Output Selection window opens.

    12. In the Output Selection window perform one of the following: Type P if the output is to go to the printer. The Output Selection window closes and the Form 3926 Selection Criteria window opens again. The report is printed out on the printer. Type an S if the output is to go to the monitor screen. The Output Selection window closes and the Quality Assurance Review Record window opens as shown in Figure 3.30.28–40.

      Figure 3.30.28-40

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

      Quality Assurance Review Record Window

    13. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to the previous page of the display.

    14. Press the (ESC) key to close the Quality Assurance Review Record window. The Quality Assurance Review Record window closes and the Form 3926 Selection Criteria window opens. Either enter values for another report or,

    15. Press <ALT>-X key combination to exit to the QR Review Selection Menu.

3.30.28.5.9.4.4.2  (03-01-2007)
Generating a Final Form 3926 Report

  1. A Final Form 3926 report must be generated in order to output the weekly report for Quality Review. Once the final report is generated, it cannot be generated again and cannot be viewed or printed again.

  2. Perform the following steps to generate a final Form 3926 report:

    1. In the Main Menu, type 5 for Quality Review (QR).

    2. Press the (ACTION/Enter) key. The Main Menu window closes and the Quality Review (QR) Selection Menu window opens.

    3. In the Quality Review (QR) Selection Menu, type the code for Quality Review.

    4. Press the (ACTION/Enter) key. The Quality Review (QR) Selection Menu window closes and the Quality Review Selection Menu window opens.

    5. In the Quality Review Selection Menu, type 3 for Form 3926 and press the (ACTION/Enter ) key. The Quality Review Selection Menu window closes and a Form 3926 Selection Criteria window opens.

    6. Type 1 for final Form 3926 report. The cursor moves to the Week Ending Date field.

    7. Type the Week Ending Date. The Form 3926 Selection Criteria window closes and the Output Selection window opens.

    8. In the Output Selection window perform one of the following: Type P if the output is to go to the printer. The Output Selection window closes and the Form 3926 Selection Criteria window opens again. The report is printed out on the printer. Type an S if the output is to go to the monitor screen. The Output Selection window closes and the Quality Assurance Review Record window opens.

    9. Use the (Page Up), (Page Down), (Home), or ( End) keys to go to the next page of the display or to the previous page of the display.

    10. Press the (ESC) key to close the Quality Assurance Review Record window. The Quality Assurance Review Record window closes and the Form 3926 Selection Criteria window opens. Either enter values for another report or,

    11. Press <ALT>-X to exit to the QR Review Selection Menu.

  3. The Final Form 3926 report stays on the system until it is purged. When a purge is attempted on this report, the system checks to see if the report has been output to tape. If it has not yet been output to tape, the system will not allow it to be purged

3.30.28.5.9.5  (03-01-2007)
Form 3926 Output Guidelines

  1. This process produces the 3926 interface tape required at the end of the week. The data to be output would be the same data that would be printed if a final 3926 Quality Assurance Review Record was printed.

  2. When run, the tape parameter used for the output files will be the QR week ending date (the same date used to create the 3926).

  3. Upon acknowledgment that the 3926 tapes are good, the supervisor or designated employee can purge the documents from the QR Document Summary and QR Document Defect Summary Tables.

  4. A determination may be made locally to determine who should run this tape.

3.30.28.5.9.6  (03-01-2007)
Quality Review Purge

  1. Quality Review files and Form 3926 Report data are purged from the database after they are no longer needed. The purge process deletes document data from the QR Block WIP and QR Document WIP tables and updates the document count in the QR Operator Status table. Any entry in the QR Block WIP table that is Locked is not subject to purge. A message is displayed to the reviewer if any such entries exist which match the criteria specified.

  2. Upon notification that the 3926 interface tape is good, the quality review manager or designated employee can request a 3926 purge by selecting this option from the Quality Review (QR) Selection Menu.

  3. Quality Review Purge is initiated to purge any documents that have been selected for QR but need to be purged based on the following purge criteria:

    • Operator ID

    • Block Number

    • Documents that have been in the QR queue for more than 48 hours

    • Purge All Inventory

  4. Items to be reviewed shall be available for review for a period of two days. However, the actual blocks of work may be released before the end of 48 hours.

  5. At the end of the two day period, SCRIPS will prompt the reviewer as to the files to be purged from the QR queue.

3.30.28.5.9.6.1  (03-01-2007)
Accessing the QR WIP Purge Criteria Window

  1. Perform the following steps to access the QR WIP Purge Criteria window to purge QR files:

    1. In the Main Menu, type 5 for Quality Review (QR) Selection Menu window.

    2. Press the (ACTION/Enter) key. The Main Menu window closes and the Quality Review (QR) Selection Menu window opens.

    3. In the Quality Review (QR) Selection Menu window, type the code for Quality Review Purge.

    4. Press the (ACTION/Enter) key. The Quality Review (QR) Selection Menu window closes and the QR WIP Purge Criteria window opens as shown in Figure 3.30.28–41.

    Figure 3.30.28-41

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

    QR WIP Purge Criteria Window

  2. The procedures for purging QR files for each of the QR WIP Purge criteria are described in the following sections.

3.30.28.5.9.6.1.1  (03-01-2007)
Purging QR Files by Operator ID

  1. When the Operator ID is entered, a list window is displayed identifying all unique program/function/operator combinations for which there are documents scheduled for QR for a specified operator. The document files themselves are not listed in the window, only the criteria for selecting the files.

  2. Entries can be selected by following the instructions on the right side of the window.

  3. Documents not selected for purge can either be removed in a subsequent purge operation or when the documents are quality reviewed.

  4. Perform the following steps to purge QR files selected by Operator ID:

    1. In the QR WIP Purge Criteria window, type 1 for Operator ID.

    2. Press the (ACTION/Enter) key. The QR WIP Purge Criteria window closes. The Operator Stats window opens. (To exit the Operator Stats window, before making a selection, press the (ESC) key).

    3. Type the Operator ID.

    4. Press the (ACTION/Enter) key. The Operator Stats window closes.

    5. One of two actions occur: A Message window opens explaining there are no records in QR for the specified operator. Press the (ACTION/Enter) key to acknowledge the message. The message window closes and the Operator Stats window opens. A List window opens as shown in Figure 3.30.28–42.

      Figure 3.30.28-42

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

      Operator Stats Window

    6. If the List window opens, read the instructions on the right side of the window and take the desired action. (To exit the List window without purging files, press <ALT>–X key combination to return to previous menu).

    7. Use the (Up/Down) arrows and space bar to select/unselect records to be purged, or

    8. Press (F12) to select all records in the list.

    9. Press <CTRL>–DEL REC key combination to purge selected records. A Purge Confirmation question window opens stating "Are you sure? Yes, No."

    10. To purge, type Y for Yes. The Question window closes. The purge process is initiated on the Multiprocessor Server. The Operator ID List window closes. The Operator Stats window opens.

    11. If you don’t want to purge, type N for No. The Question window closes. The Operator ID List window remains displayed.

    12. To exit the Operator ID List window, press the <ALT>–X key combination. The Operator ID List window closes. The Operator Stats window opens. Press ESC to exit the Operator Stats window.

3.30.28.5.9.6.1.2  (03-01-2007)
Purging QR Files by Block Number

  1. When the Block Number is entered, a list window is displayed identifying all unique program/function/operator combinations for the specified block for which there are documents scheduled for QR. The document files themselves are not listed in the window, only the criteria for selecting the files.

  2. Perform the following steps to purge QR files selected by Block Number:

    1. In the QR WIP Purge Criteria window, type 2 for Block Number.

    2. Press the (ACTION/Enter) key. The QR WIP Purge Criteria window closes. The Block Stats window opens. (To exit the Block Stats window before entering data, press the ( ESC) key).

    3. Type the Block Number.

    4. Press the (ACTION/Enter) key. The Block Stats window closes.

    5. A Message window opens explaining that the specified block is not scheduled for QR. Press the (ACTION/Enter) key to acknowledge the message. The message window closes and the QR WIP Criteria window opens.

    6. An Operator ID List window opens as shown in Figure 3.30.28–4 with two differences. The message line at the top of the window will read: "Block < Block Number > comprises the following records in QR." Example, if you entered Block Number 961500000103 the message will read: "Block 961500000103 comprises the following records in QR." The other difference is that multiple Operator IDs may be listed in the Oper ID column.

    7. If the List window opens, read the instructions on the right side of the window and take the desired action.

    8. If there are no other QR files to purge, exit the QR WIP Purge window by pressing the <ALT>–X key combination to return to the QR WIP Purge Criteria window.


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