3.30.30  Embedded Quality for Submission Processing (EQSP) System

Manual Transmittal

January 02, 2015

Purpose

(1) This transmits a revision to IRM 3.30.30, Work Planning and Control - Embedded Quality for Submission Processing (EQSP) System.

Scope

IRM 3.30.30 is intended to be used by Quality Reviewers and all levels of management that use the EQSP database to input review data.

Material Changes

(1) Changed signature from Jerald H. Herschel to Paul J. Mamo.

(2) IPU 13U0241 issued 01-30-2013 IRM 3.30.30.5.1.1(3) Updated Employee Profile Instructions.

(3) IPU 14U0474 issued 3-13-2014 IRM 3.30.30.1.6 Updated Time Reporting Table.

(4) IPU 14U0506 Issued 3-17-2014 IRM 3.30.30.5.1.2 Removed duplicate instructions for Searching for an Employee Profile.

(5) IRM 3.30.30.1(2) Revised statement for MEPS parallel year.

(6) IRM 3.30.30.1(6) Added statement on EQSP web-based system.

(7) IRM 3.30.30.1.1(1) Added Operation 12 Statistics of Income function chart.

(8) IRM 3.30.30.1.1(2) Revised Receipt and Control Operation function chart.

(9) IRM 3.30.30.1.1(3) Revised ITIN Operations function chart

(10) IRM 3.30.30.1.1(4) Revised Document Perfection Operation function chart.

(11) IRM 3.30.30.1.1(5) Revised Data Conversion Operation function chart.

(12) IRM 3.30.30.1.1(6) Revised Input Correction Operation function chart.

(13) IRM 3.30.30.1.1(7) Revised Accounting Operation function chart.

(14) IRM 3.30.30.1.2 Revised information throughout the section on Quality Review Objectives.

(15) IRM 3.30.30.1.4(4) Added reminder for research tools.

(16) IRM 3.30.30.1.5 Updated section Quality Review types.

(17) IRM 3.30.30.1.6 Updated section for Time Reporting.

(18) IRM 3.30.30.1.6(1) Added note to Time Reporting

(19) IRM 3.30.30.1.6(2) Revised table for Time Reporting.

(20) IRM 3.30.30.2 Revised and added further instructions for Roles and Responsibilities.

(21) IRM 3.30.30.3 Updated section on System Requirements.

(22) IRM 3.30.30.3.1 Updated section on Accessing the EQSP System.

(23) IRM 3.30.30.4 Revised instructions on System Profiles (Permissions)

(24) IRM 3.30.30.4 (2) Updated table on System Profile Permissions

(25) IRM 3.30.30.5 Revised instructions on Employee Profile Management.

(26) IRM 3.30.30.5(1) Deleted note.

(27) IRM 3.30.30.5.1 Updated section on Manager's Main Menu Screen.

(28) IRM 3.30.30.5.1 Updated figure 3.30.30-1 Manager's Main Menu Screen.

(29) IRM 3.30.30.5.1.1 Revised instructions on Creating an Employee's Profile.

(30) IRM 3.30.30.5.1.1 Updated figure 3.30.30-2 Add Employee Profile Screen.

(31) IRM 3.30.30.5.1.1(7) Updated figure 3.30.30-3 Edit User Profile to Edit Employee Program Status Screen .

(32) IRM 3.30.30.5.1.2 Updated figure 3.30.30-4 Search for Employee Profile screen.

(33) IRM 3.30.30.5.1.2 Revised instructions on Searching for an Employee's Profile.

(34) IRM 3.30.30.5.1.2(4) Updated figure 3.30.30-5 Manager's Main Menu Screen (Search Results).

(35) IRM 3.30.30.5.1.2(4) Updated figure 3.30.30-6 Edit User Profile Screen.

(36) IRM 3.30.30.5.1.3 Revised instructions on Generating and Reviewing User Access Listing.

(37) IRM 3.30.30.5.2 Revised instructions on Proxy Role.

(38) IRM 3.30.30.5.2.2 Revised instructions on Time Limitations for a Proxy Role.

(39) IRM 3.30.30.5.2.3(3) b Updated figure 3.30.30-7 Manage Proxy Screen.

(40) IRM 3.30.30.5.2.3.2 Revised instructions on Terminating a Proxy.

(41) IRM 3.30.30.5.2.4 Updated figure 3.30.30-8 Use Proxy Screen.

(42) IRM 3.30.30.5.2.4.2 Revised the instructions on Selecting a Proxy Role.

(43) IRM 3.30.30.5.2.4.2(2) Updated figure 3.30.30-9. Reviewer's main menu Screen displaying the assigned proxy.

(44) IRM 3.30.30.5.2.4.3 Removed the instructions on Proxy Role Audit.

(45) IRM 3.30.30.6 Revised and added further instructions on Data Collection Instrument(DCI) Overview.

(46) IRM 3.30.30.6 Updated figure 3.30.30.10 Reviewer's Main Menu Screen.

(47) IRM 3.30.30.6.1.1 Added new section on Search Reviews.

(48) IRM 3.30.30.6.1.2 Revised and added further instructions for Review Header Screen.

(49) IRM 3.30.30.6.1.2(2) Updated figure 3.30.30 -11 Review Header Screen.

(50) IRM 3.30.30.6.1.3 Revised and added further instructions on Schedule Selection Screen.

(51) IRM 3.30.30.6.1.4 Revised instructions on Review Details Screen.

(52) IRM 3.30.30.6.1.4(1) Updated figure 3.30.30 -12 Review Details screen.

(53) IRM 3.30.30.6.1.5 Revised instructions on Instructions and Guidelines for Coding the DCI.

(54) IRM 3.30.30.6.1.5(10) Removed figure and instructions on Error Code Screen.

(55) IRM 3.30.30.6.1.6 Revised instructions on Review Summary Screen.

(56) IRM 3.30.30.6.1.7 Revised instructions on Searching for a review.

(57) IRM 3.30.30.6.1.7 Updated figure 3.30.30-16 Provide Search Criteria Screen.

(58) IRM 3.30.30.6.2 Removed instructions for EQSP Sampling Plans.

(59) IRM 3.30.30.6.3 Removed instructions for EQSP (Unmeasured) Sampling Procedures for High Quality Function and Non High Quality Function.

(60) IRM 3.30.30.6.3.1 Removed instructions for EQSP (Unmeasured Sampling Steps.

(61) IRM 3.30.30.6.4 Removed Instructions for Unmeasured sampling procedures for High Quality Function.

(62) IRM 3.30.30.6.5 Removed instructions for Discretionary EQSP Sampling.

(63) IRM 3.30.30.7 Added new section Quality Review Sampling.

(64) IRM 3.30.30.7.1 Added new section Individual Review Sampling.

(65) IRM 3.30.30.7.2 Added new section High Quality Work Sampling.

(66) IRM 3.30.30.8 Added further instructions for EQSP Reports.

(67) IRM 3.30.30.8(3) Updated figure 3.30.30-17 Reports Selection Screen.

(68) IRM 3.30.30.8.1 Updated figure 3.30.30-18 for Individual Employee Report

(69) IRM 3.30.30.8.1(3) Revised chart for Individual Employee Report.

(70) IRM 3.30.30.8.2(1) Updated figure 3.30.30-19 for Individual Performance Report Cumulative.

(71) IRM 3.30.30.8.2(3) Revised chart for Individual Performance Report Cumulative.

(72) IRM 3.30.30.8.3(1) Updated figure 3.30.30-20 for Team Report.

(73) IRM 3.30.30.8.3(3) Revised chart for Team Report.

(74) IRM 3.30.30.8.4 Updated figure 3.30.30- 21 for Department Report.

(75) IRM 3.30.30.8.4(3) Revised chart for Department Report.

(76) IRM 3.30.30.8.5 Updated figure 3.30.30-22 for Operation Report.

(77) IRM 3.30.30.8.5(3) Revised chart for Operation Report.

(78) IRM 3.30.30.8.6 Updated figure 3.30.30-23 for Site Director Report.

(79) IRM 3.30.30.8.6(3) Revised chart for Site Director Report.

(80) IRM 3.30.30.8.7 Updated figure 3.30.30-24 for EQSP Defect Summary Report.

(81) IRM 3.30.30.8.7(3) Revised chart for EQSP Defect Summary Report.

(82) IRM 3.30.30.8.8 Updated figure 3.30.30-25 for EQSP Site Program Summary Report.

(83) IRM 3.30.30.8.(3) Revised chart for EQSP Site program Summary Report.

(84) IRM 3.30.30.8.9 Added new section for Blank DCI Report.

(85) IRM 3.30.30.8.9(3) Added figure 3.30.30-26 for Blank DCI Report.

(86) IRM 3.30.30.9 Revised instructions for EQSP website.

(87) IRM 3.30.30.10.1(4) Revised EQSP template spreadsheet.

(88) IRM 3.30.30.10.2 Revised and added further information throughout the section on EQSP Opportunity change request.

(89) IRM 3.30.30-1 Added chart for SOI Operation.

(90) IRM 3.30.30-2 Revised chart for Receipt and Control Operation.

(91) IRM 3.30.30-3 Added chart for ITIN Operation.

(92) IRM 3.30.30-4 Revised chart for Document Perfection Operation.

(93) IRM 3.30.30-5 Revised chart for Data Conversion Operation.

(94) IRM 3.30.30-4 Revised chart for Input Corrections Operation.

(95) IRM 3.30.30-7 Revised chart for Accounting Operation.

(96) IRM 3.30.30-9 Revised Exhibit for Roles and Responsibilities.

Effect on Other Documents

IRM 3.30.30, dated 5/04/2012, is superseded. This IRM also Incorporates Interim Guidance 13U0241 issued 3-13-2014, 14U0474 issued 03-14-2014, and 14U0506 issued 03-17-2014.

Audience

All Submission Processing Operations on each campus that perform Embedded Quality for Submission Processing reviews.

Effective Date

(01-02-2015)


Paul J. Mamo
Director, Submission Processing
Customer Account Services
Wage and Investment Division

3.30.30.1  (12-01-2014)
Embedded Quality for Submission Processing (EQSP) System Overview

  1. The EQSP System provides a method to monitor, measure, and improve the quality of work throughout Submission Processing. Review data is used to identify trends, problem areas, training needs, and opportunities for improvement to each process.

  2. Measured Employee Performance System (MEPS) collects data through the EQSP System; the data is used to measure employees on the quality critical job element(CJE).

  3. EQSP is used by Site Management and Headquarters to determine site-specific quality level and identify potential best practices.

  4. Managers use this System to create and edit profile information for employees they manage. See IRM 3.30.30.5.1.1, Creating an Employee's Profile.

  5. EQSP supports Treasury’s goals and Wage and Investment (W&I) strategy by creating an objective and valid system for measuring the quality of products provided to taxpayers and other customers.

  6. Release Recall Listings are created utilizing Release Recall Screens accessed through the EQSP System.

  7. EQSP is a web-based system accessed through the IRS Intranet. The system:

    • Captures data on reviews performed by Quality Reviewers, Managers, and Analysts.

    • Gathers data, detailing the opportunities, defects, defect types, and defect descriptions.

      Note:

      An opportunity is the point at which a specific action of an employee's job was either performed, or should have been performed. A defect occurs when an opportunity is omitted or performed incorrectly.

    • Generates employee and organizational reports from the data collected during the review process.

    • Gathers Individual Performance Reviews, High Quality Work Reviews, Learning Curve Reviews, and Team Defects for MEPS.

3.30.30.1.1  (12-01-2014)
Operations and Functions in the EQSP System

  1. Operation 12, Statistics of Income, Functions include:

    1. 220 - SOI Editing

    2. 360 - Imaging

    3. 720 - Receiving, Sorting, and Miscellaneous

  2. Operation 31, Receipt and Control, Functions include:

    1. 130 - Pre-Batching

    2. 140 - Second Sort

    3. 140 - Extraction

    4. 160 - Remittance Perfection

    5. 160 - Field Office

    6. 170 - Manual Deposit

    7. 180 - Batching

    8. 360 - Imaging

    9. 460 - ICT Validation

    10. 550 - Document Preparation

    11. 720 - Receiving, Sorting, and Miscellaneous

    12. 790 - Tax Accounts Support Activity

  3. Operation 32, ITIN, Functions include:

    1. 380 - ITIN Real Time System (RTS)

    2. 530 - Pulling Returns and Documents

    3. 720 - Receiving, Sorting and Miscellaneous

    4. 790 - Tax Accounts Support Activity

  4. Operation 34, Document Perfection, Functions include:

    1. 190 - Numbering

    2. 210 - Code and Edit

    3. 220 - SOI Editing

    4. 390 - Entity

    5. 550 - Pre-Doc Preparation

    6. 710 - Tax Account Support Activity-1040X

    7. 770 - Correspondence (Form)

    8. 780 - Correspondence

  5. Operation 35, Data Conversion, Functions include:

    1. 230 - ISRP

    2. 440 - Residual Remittance Processing System (RRPS)

    3. 470 - Service Center Recognition Input System (SCRIPS) DV

    4. 480 - SCRIPS (OE)

    5. 550 - Post-Doc Preparation

    6. 790 - Tax Accounts Support Activity (RAVIS/IVES)

  6. Operation 36, Input Correction, Functions include:

    1. 270 - Error Resolution System (ERS)

    2. 290 - Unpostables

    3. 310 - Research

    4. 340 - Error Resolution System (ERS)

    5. 340 - Care

    6. 350 - Rejects

    7. 360 - Imaging

    8. 390 - Entity Unpostables

    9. 510 - Cycle Control and Servicing

    10. 520 - Central File Control

    11. 530 - Pulling Returns and Documents

    12. 540 - Re-filing Returns and Documents

    13. 550 - AIMS

    14. 550 - Undeliverables

    15. 590 - Special Search

    16. 710 - Notice Review

    17. 710 - Tax Account Activity

    18. 770 - Correspondence (Typing)

    19. 770 - Correspondence (Form)

    20. 780 - Correspondence

  7. Operation 37, Accounting Control Services, Functions include:

    1. 340 - ERS(EFTPS)

    2. 420- Automated Manual Assessment

    3. 420- Manual Refunds

    4. 420- ANMF

    5. 420 - Dishonored Checks

    6. 710 - Erroneous Refunds

    7. 710 - Unidentified Remittance

    8. 710 - Excess Collections

    9. 710 - Dept. of Justice

3.30.30.1.2  (12-01-2014)
Quality Review Objectives

  1. Quality Review program's primary objective is to identify problems and eliminate potential for errors in the Submission Processing System. Quality Review data provides the basis for:

    • Measuring and improving program effectiveness

    • Identifying defects resulting from individual actions or inactions

    • Analyzing the reason(s) for defect occurrence

    • Identifying defect trends

    • Recommending and initiating corrective action

    • Following up with process review and analysis to ensure the corrective action was effective

    • Identifying training needs

    • Planning workload distribution

  2. Individual Performance Review process is designed to collect data from employee work and provide feedback for individual performance evaluations (ratings), ranking for promotions, awards, and release recall.

    Note:

    High Quality Work (HQW) receives product review and is discussed in 3.30.30.7.2.

3.30.30.1.3  (12-01-2014)
Quality Reviewer Requirements

  1. Quality Reviewers are required to complete individual review and record review results in the EQSP System.

  2. Quality Reviewers should:

    1. Have a good working knowledge of the work in the particular area that is being reviewed.

    2. Receive training for individual review procedures.

    3. Sit with an experienced reviewer and observe how the reviewer performs the duties associated with the Quality Reviewer Role.

    4. Review employees’ work.

    5. Train on the EQSP system.

    6. Identify defects.

    7. Prepare the necessary forms pertaining to the review process.

    8. Ask the manager/lead questions about the work process.

    9. Have basic personal computer knowledge.

  3. The quality reviewer should completely review the designated sample of an employee’s work to determine how well he/she has followed IRM procedures and guidelines.

    1. Reviews must be accurate, valid, and consistent.

    2. Reviewers must record all defects found.

    3. Reviewers must establish a climate of integrity, efficiency, and fairness.

    4. Reviewers must ensure all defects identified are supported by an RM reference and provide the IRM reference to support the defect.

      Note:

      IRM references are not required for obvious "finger errors " , for routine required edits such as "Name Control" and

      "Tax Period," or for any Data Conversion Operation obvious transcription defect.

3.30.30.1.4  (12-01-2014)
Research Tools

  1. A number of IRMs impact the work done by employees in the Submission Processing Centers. Refer to IRM Numerical Index Part 3 Visit (web link Visit the Website: http://publish.no.irs.gov/pubsys/irm/numind.html ) for a list of Submission Processing manuals.

  2. The Submission Processing Research Portal web page contains revisions and updates (e.g. IPUs) to the IRM procedures. Visit the Website at: http://serp.enterprise.irs.gov/databases/portals.dr/sp-portal/sp_default.htm.

  3. Reviewers use various IDRS command codes to review cases. Refer to IRM Numerical Index Part 2. Visit the Website http://publish.no.irs.gov/pubsys/irm/numind.html IRM 2.3, Terminal Responses, and IRM 2.4, Terminal Input, for a complete list and instructions of all IDRS command codes.

  4. Local procedures are deviations from the IRM. Only local procedures approved by Headquarter's Program Management can be considered when evaluating quality.

    Note:

    An IRM may include statements indicating "follow local procedures" or may state a specific guide should be followed. These are valid IRM references (approved by Headquarter's Program Management) and employees are subject to defects if the local procedures are not followed.

    Reminder:

    If the procedure is not in an IRM or issued as an Interim IRM Update(IPU), an error cannot be charged.

3.30.30.1.5  (12-01-2014)
Quality Review Types

  1. The Quality Review Results are entered into the EQSP System as the following Review Types:

    1. Individual Performance Review (measured employee performance review).

      Note:

      The EQSP system recognizes any Operation Function (OF) that is considered HQW and systemically changes and displays the review type as "High Quality Work" . Similarly, if the sample is counted towards the employee's Learning Curve requirement, the review type is changed to "Learning Curve Review."

    2. Product Feedback Review (Does not require an employee SEID).

    3. Team Defect Review (Defects removed from an employee and charged to the team and multiple identical defects.)

    4. Managerial/OJT Review (requires an employee SEID).

  2. Individual Performance reviews are samples of an employee’s completed work for measured sample plans including High Quality Work (HQW).

    Note:

    The Standard Employee Identifier Number (SEID) is required.

  3. Product reviews are used when work sampled for feedback does not need to be associated to an individual. The results are provided to groups of employees, managers, and management officials for analysis, trending, and process improvements.

    Note:

    The SEID is NOT required.

  4. Team Defect review type is used to record defective documents identified in an employee's completed sampled work when charging defects to a team. Team Defects include Multiple Identical Defects and procedural or systemic defects removed from the employee and charged to the Team. Team Defects do not count towards an employee's measured performance rating.

    Note:

    The SEID is required.

  5. A defect is considered a multiple identical when the quality reviewer identifies the same defect on all the documents in the sample or every error in the sample is the same defect.
    If a defect is charged as a multiple identical, in these cases.

    • One defect is charged to the employee and the remaining like defect(s) are charged to the team (each additional defect is entered as a Team Defect review).

    • All defects must be charged to the employee if at least one document in the sample with the same opportunity for error is worked correctly.

    • Any additional defect found in the sample that is not considered a multiple identical is charged to the employee.

  6. Procedural or Systemic defects are removed from the employee and charged to the team when defects are attributed to training program deficiencies, incurred due to procedural changes not shared with the employee, or a result of systemic deficiencies rather than a result of employee actions or inactions.
    In these cases:

    • The Individual Performance Review is deleted from the employee’s sample and entered as a Team Defect review.

    • The employee neither receives credit for the document as part of the sample nor credit for a document reviewed.

      Note:

      Multiple Identical Defects and Procedural or Systemic Defects are never charged as a Team Defect if the employee is on Learning Curve (EQSP System prevents entering a Team Defect if the employee’s Learning Curve Requirements are not met).

  7. Managerial/OJT reviews are used to assess an employee job performance, identify training needs, determine job readiness, and monitor employee's procedural skill. These samples are typically 100% reviewed during an initial training or when additional coaching is required (samples are reviewed after the work has been subject to Individual Performance Review).

    Note:

    The SEID is required.

3.30.30.1.6  (12-01-2014)
Time Reporting

  1. See IRM 3.30.20, OFP Code List, for appropriate Work Planning & Control (WP&C) Organization, Function, and Program (OFP) time reporting codes.

    Note:

    The OFP code 880-0000X is no longer a valid OFP for EQSP in Submission Processing.

  2. See the table below for a list of valid OFP codes for EQSP.

    Organization Function Program Description
    23000 990 08030 Improvement Specialist - For use by employees officially acting in this position
           
    Valid for all Organizations 990 59250 Training
    Valid for all Organizations 990 59300 Briefing/Meetings
    Valid for all Organizations 880 08030 Measured Review- Individual Performance Review/ Team Defect Review- Time spent performing the review and entering measured review in the EQSP system.
    Valid for all Organizations 880 08031 Unmeasured Review- Time spent performing the review and entering review for any unmeasured areas/functions in the EQSP system.
    Valid for all Organizations 880 08032 Measured Review - Managerial/OJT and Product Feedback Review - Time spent performing these reviews and entering reviews in the EQSP system.
    Valid for all Organizations 880 08033 Clerical Duties- Time spent on all clerical duties related to EQSP, such as selecting samples, filing, and any other clerical activities.

3.30.30.2  (12-01-2014)
Roles and Responsibilities

  1. There are several specific roles in the EQSP system. Each role has responsibilities important to the Quality Review process.

  2. Management Assistant:

    1. Create and edit employee profile information within their span of control.

    2. Add, search and view employee profiles within their site and Operation.

  3. Quality Reviewer (QR):

    1. Effectively use IRM 3.30.30, Embedded Quality for Submission Processing System, and all relevant IRMs to perform an unbiased, consistent, accurate review of all work.

    2. Protect the documents that are being reviewed.

      Note:

      All documents and information must remain secure and confidential to protect the privacy and confidentiality of taxpayer data.

    3. Input review data using the EQSP system.

    4. Identify and code defective opportunities appropriate for a particular work product.

    5. Identify changes needed to the Data Collection Instruments (DCIs).Provide recommendations for corrections/ improvements for IRM 3.30.30, Embedded Quality for Submission Processing System, and EQSP Training Material.

    6. Generate and print Single Event Individual Employee Reports for reviews performed. Identify and report all problems to the Quality Review (QR) Manager.

  4. Quality Review (QR) Manager:

    1. Review access permissions regularly for users within span of control.

    2. In sites that do not have a QR Manager, the Team Manager is responsible for this role.

    3. Maintain the integrity and quality of the EQSP system by monitoring and reviewing work performed by a Quality Reviewer.

    4. Effectively use IRM 3.30.30, Embedded Quality for Submission Processing System, and all relevant IRMs to ensure an unbiased, consistent, accurate review of all work.

    5. Protect the documents being reviewed.

      Note:

      All documents and information (including taxpayer information) must remain secure and confidential to protect the privacy and confidentiality of taxpayer contacts.

    6. Ensure the QR Team receives complete training in the quality review process and related systems used in reviewing.

    7. Monitor the sampling techniques to meet internal guidelines.

    8. Ensure all work is sampled and reviewed within prescribed guidelines.

    9. Identify opportunities for a particular work product.

    10. Identify and elevate EQSP issues to the Site Improvement Specialist.

    11. Provide timely feedback and relevant EQSP information to all managers in the operation or function.

    12. Enter adjustments to quality review results.

    13. Create and maintain accurate profiles for assigned employees.

    14. Unlock and reset reviewer passwords as necessary when account is locked due to three unsuccessful login attempts.

  5. Team Manager/Team Leader:

    1. Review access permissions regularly for users within span of control.

    2. Ensure all completed work is available for sampling.

    3. Create and maintain accurate profiles for assigned employees.

    4. Use individual and team reports to identify error trends and take corrective actions.

    5. Timely share Single Event Individual Employee Reports.

    6. Identify and elevate EQSP issues to the Site Improvement Specialist.

    7. Communicate QR and relevant EQSP information to all team members.

    8. Input adjustments to erroneously reported employee performance data (hours and/or volume) through the EQSP IPR Adjustment Screen.

  6. Department Manager:

    1. Confirm completion of reviews for access permissions regularly for users within span of control.

    2. Identify and elevate EQSP issues to the Site Improvement Specialist.

    3. Assist in creating and maintaining accurate employee profiles.

    4. Communicate QR and relevant EQSP information to all team members.

    5. Initiate improvement activities.

  7. Operation Manager:

    1. Confirm completion of reviews for access permissions regularly for users within span of control.

    2. Ensure error trends are shared with the P&A/Improvement Team.

    3. Ensure operations comply with EQSP procedures and guidelines.

    4. Coordinate improvement activities with the Site Improvement Specialists.

    5. Initiate improvement activities.

    6. Request Release Recall final listing.

  8. Site Director:

    1. Monitor all EQSP site activities.

    2. Provide support for national improvement strategies.

  9. Site Administrator (Improvement Specialist):

    1. Approve On-line 5081s and establish or modify profiles using the EQSP System.

    2. Troubleshoot, problem solve, and elevate system issues to the System Administrator.

    3. Coordinate with site Operations to identify Subject Matter Experts (SMEs) to work with HQ for support (e.g., roll out of new functions/programs).

    4. Implement "EQSP Issue Resolution Process."

    5. Identify and resolve calibration issues within Operations.

    6. Provide input to HQ regarding defect calibration issues.

    7. Ensure defect identification guidance is communicated to all affected reviewers.

    8. Monitor profile maintenance issues at site and resolve issues as necessary.

    9. Monitor and maintain EQSP profiles utilizing the EQSP User Access Listing (UAL)

    10. Report system issues (e.g., system outage, slow response, missing DCIs or opportunities) to HQ.

    11. Provide training assistance to Operations.

    12. Use MEPS and EQSP data to monitor accuracy.

    13. Use EQSP data to identify defect trends.

    14. Monitor Quality Review Sampling to ensure compliance with sampling plan.

    15. Partner with stakeholders to address identified improvement opportunities within functions.

  10. Site Assistant (Functional Coordinator or EQSP On-line 5081 Site approver):

    1. Approve On-line 5081s and establish or modify profiles using the EQSP System.

    2. Monitor and maintain EQSP profiles utilizing the EQSP User Access Listing (UAL).

  11. Planning and Analysis (P&A)Analyst:

    1. Monitor and analyze EQSP reports for functional/organizational performance.

    2. Communicate findings and recommendations to management on local and national issues.

    3. Work in conjunction with the Site Improvement Specialists regarding improvement activities.

  12. Headquarters Manager / Analyst

    1. Create and validate DCIs for new functions/programs.

    2. Review all applicable IRM changes for impact on the EQSP system.

    3. Implement "EQSP Issue Resolution Process" .

    4. Alert field to calibration issues regarding defect coding.

    5. Provide guidance to facilitate defect calibration.

    6. Obtain field input to maintain the EQSP IRM and training materials.

    7. Use EQSP data to monitor document accuracy by function on a weekly basis.

    8. Use EQSP data to identify specific defects.

    9. Monitor EQSP sampling.

    10. Prepare National Quality reports.

    11. Through analysis and drill-down, identify improvement opportunities within assigned functions – both within a site and across sites.

    12. Partner with stakeholders to address improvement opportunities.

    13. Communicate system updates, changes, and revisions to Management and Improvement Specialists.

    14. Maintain the EQSP system.

    15. Provide program and procedural guidance.

    16. Coordinate program development/realignment activities.

    17. Provide support and guidance to Site Improvement Specialists.

  13. See Exhibit 3.30.30-9.

3.30.30.3  (12-01-2014)
System Requirements

  1. Access to the EQSP Database System requires a personal computer with at least:

    1. A Pentium-based processor with a minimum of 32 megabytes of system memory

    2. Windows 2000/NT or greater operating system

    3. Microsoft Internet Explorer (IE), version 5.1 or higher

    4. Connection to the IRS Intranet

  2. Users need to know their Standard Employee Identifier Number (SEID).

  3. Users need a password to access the EQSP System. To get a default password, use the On-line 5081 application. Visit Website https://ol5081.enterprise.irs.gov/. Follow the on-line instructions to complete the application request. EQSP applications are:

    • EQSP- W/I HQ

    • EQSP- Austin

    • EQSP- Cincinnati

    • EQSP- Fresno

    • EQSP- Kansas City

    • EQSP- Ogden

    Note:

    All requests should be made to your applicable EQSP Site application with the exception of Site Administrator, Site Assistant, Release Recall Only, and Headquarter Personnel. These roles need to be requested through the EQSP W/I HQ application.

  4. Enter the information listed below in the Special Instructions section of the On-line 5081:

    1. The Site

    2. The 5 digit Organization Code

    3. The user's telephone number

    4. The user's job series ID

    5. The EQSP’s Role requested for the employee. Options include: Site Director, Operations Manager, Department Manager, Quality Manager, Team Manager, Quality Reviewer, Site Administrator, Management Assistant, Site Assistant, and P&A Analyst.

  5. Once the manager approves the employee's On-line 5081 request, it will be routed automatically to the EQSP Site Administrator who will verify the users information.

  6. When the On-line 5081 process is complete, an E-mail will be received from On-line 5081 asking for a signature and the retrieval of the default password. This default password needs to be changed during the first login to the EQSP system and within 48 hours of receiving system approval.

  7. Protect the password as you would any other official IRS password.

  8. Users who have not logged into EQSP for 45 days will automatically have their account locked. If users attempt to login to EQSP after a 45 day period of inactivity, they will receive an account locked message on the EQSP Login screen.

  9. Users who have not logged into EQSP at least once every 90 days will automatically have their account deactivated. If users attempt to login EQSP after a 90 day period of inactivity, they will receive a message on the EQSP Login screen that says, "Your account has been removed from On-line 5081. Please submit a request to On-line 5081 to regain access to the EQSP Application."

  10. Submit an On-line 5081 to modify profile if users roles or Organization change.

  11. Submit an On-line 5081 delete request when access to EQSP is no longer required. If the employee is going to remain in the SP organization, special instructions should address a role change to an "employee" role.

3.30.30.3.1  (12-01-2014)
Accessing the EQSP System

  1. The first step to accessing the EQSP System is to open the Internet Explorer browser, and in the address window type: http://eqsp.enterprise.irs.gov:7778/eqsp/login/login.jsp .Then click the "Enter" key on the keyboard.

    Note:

    After connecting to this site, save the address to Favorites or create a shortcut on your desktop.

  2. In the EQSP Login dialog box enter Username ( SEID) and the temporary Password. A prompt will appear on the screen with boxes to create a new password. The criteria for the EQSP password is:

    • Must be at least eight characters long.

    • At least one numeric or special character.

    • A mixture of at least one uppercase and one lowercase letter.

    • Cannot be reused for a period of at least six months.

    • It cannot be one of the last 24 passwords used for the same account.

    Note:

    The system will lock the account, after three failed login attempts (incorrect SEID or password). Contact your manager or Site Administrator if assistance is necessary.

  3. There are two buttons on the Login Screen:

    1. Login: Select after you have successfully entered your Username (SEID) and Password.

    2. Clear: Select if you typed the incorrect Username (SEID) and/or Password, allowing you to reenter the information.

  4. If you used a default password to login the system, the Change Password Screen will generate.

    Note:

    If this screen does not generate, select the "Change Password hyperlink" located in the upper right corner of the screen.

    1. Enter your new password in the "New Password Box." (The EQSP Password is case sensitive.)

      Note:

      You cannot change your password more than once during a two-day period.

    2. Reenter your new password in the "Confirm New Password" box.

    3. If the new password was not entered correctly, select "Clear" and reenter the new password.

    4. After successfully entering your new password, select "Save."

  5. After you have successfully entered your login information, select the "Login" button.

  6. The system role is determined by job function. Your specific profile determines which actions you are allowed to perform in EQSP. See IRM 3.30.30.2, Roles and Responsibilities, and IRM 3.30.30.4, System Profile (Permissions).

  7. Listed below are some navigational shortcuts:

    1. Left mouse button: Use to select the fields you want to enter.

    2. Tab key: Use this key to move forward from one field to the next.

    3. Shift Tab key: To use this key combination, you must hold down both keys to move backward to previous fields.

    4. Page Up: Use this key to scroll up in the DCI.

    5. Page Down: Use this key to scroll down in the DCI.

    6. Hyperlinks: Use links to move from page to page within a DCI or to go to another screen to perform various actions, i.e., coding repeated opportunities, generating reports, searching for profiles or reviews, etc. Links appear in blue underlined text or numbers.

      Note:

      Look for these links when dealing with Repeated Line Opportunities.

  8. If you have problems accessing or using EQSP, contact your Site Administrator.

  9. If you have problems accessing the Intranet or using Internet Explorer input a trouble ticket using OS GetServices. The web link is: http://getservices.web.irs.gov/webtier/ess.do.

3.30.30.4  (12-01-2014)
System Profiles (Permissions)

  1. System Profiles define the level of access a user is allowed, and the activities granted by that access.

    Example:

    Managers can create (DCIs) for their employees, and view reports for their team, department, operation and site. Quality Reviewers can create DCIs, view and edit DCIs they created, and view the Single Event Individual Employee Report.

  2. For specific System Profiles, refer to the table below.

    Role System Profile (Permissions)
    Management Assistant
    1. Search/view employee profiles within their site.

    2. Create/edit employee profiles.

    3. Change a manager profile to an employee profile.

    Quality Reviewer
    1. Create a DCI within assigned Site and Operation.

    2. View a DCI they created within their Site and Operation.

    3. Edit and delete DCIs they created within 5 business days from the start of the review.

      Note:

      Contact the EQSP Site Administrator to delete older reviews.

    4. View the Single Event Individual Employee Report for a review they created.

    Quality Review Manager
    1. Create and edit the profile information of EQSP Employee roles within their span of control.

    2. Edit profile information of EQSP Quality Reviewer roles within their span of control.

    3. Create a DCI within assigned Site and Operation.

    4. View, add or modify information pertaining to the Release/Recall for the Team in which they are assigned.

    5. View any DCI they created at any time.

    6. View any DCI created by a Quality Reviewer, who they manage, at any time.

    7. View any DCI created by a Quality Reviewer for an employee they manage.

    8. Edit any DCI they created within 18 months of the completion of that review.

    9. Edit any DCI created by a Quality Reviewer or for an employee, who they manage, within 18 months of the completion of that review.

    10. Delete any DCI they created within 15 months of the completion of that review.

    11. Delete any DCI created by a Reviewer or for an employee, they manage, within 5 business days from the start of that review.

      Note:

      Contact the EQSP Site Administrator to delete older reviews.

    12. Request an Ad-hoc Individual Performance Report (IPR) for employees they manage.

    13. View CORE/MEPS reports and listings systemically generated and sent to Control-D as indicated in Exhibit 3.30.30-9, Roles and Responsibilities.

    14. Search and view Quality Base Points for employees in their site.

    15. Search and view Efficiency Base Points for employees in their site.

    16. Search or view learning curve information for the employee and programs in which the employees work by program or SEID.

    17. Create and view the Single Event Individual Employee and Cumulative Individual Performance reports on reviews created by a Quality Reviewer they manage.

    18. View Team, Department, Operations, and Director’s Reports.

    19. Unlock the account of a Quality Reviewer or an employee they manage if the employee fails to login after 3 attempts.

    20. Reset a password (to a default password) of a Quality Reviewer or employee they manage.

    Team Manager
    1. Create and view Individual Performance, Product, and Managerial/OJT reviews for employees they manage.

    2. View any reviews performed by a Quality Reviewer they manage.

    3. Edit any quality review they created or that were created for employees they manage within 18 months of the completion of that review.

    4. Delete any quality review created for an employee they manage, within 5 business days, without considering holidays and weekends, from the start of that review.

      Note:

      Contact the EQSP Site Administrator to delete older reviews.

    5. Unlock an account for an employee they manage, if employee failed to login after 3 attempts.

    6. Reset the password (to a default password) for an employee they manage.

    7. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    8. Complete employee time/volume IPR adjustments for employees they manage.

    9. View, add or modify information pertaining to the Release/Recall for the Team in which they are assigned.

    10. Search and view Quality Base Points for employees in their site.

    11. Search and view Efficiency Base Points for employees in their site.

    12. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Operation and Function.

    Department Managers
    1. Create DCIs for Managerial/OJT or Product Feedback review on an employee within their span of control.

    2. View any DCI created for employees within their span of control.

    3. Edit Managerial/OJT and Product Feedback DCIs they created or that were created for employees within their span of control, within 18 months of the completion of that review.

    4. Delete DCIs they created for Managerial/ OJT, and Product Feedback review within 5 business days of the completion of that review without considering holidays and weekends.

      Note:

      Contact the EQSP Site Administrator to delete older reviews.

    5. Create employee profile and edit the profile information of any employee within their span of control.

    6. Unlock an account for an employee they manage, if employee failed to login after 3 attempts.

    7. Reset the password (to a default password) for an employee they manage.

    8. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    9. Complete employee time/volume IPR adjustments for employees they manage.

    10. Search and view Quality Base Points for employees in their site.

    11. Search and view Efficiency Base Points for employees in their site.

    12. View, add or modify information pertaining to the Release/Recall for the Department in which they are assigned.

    13. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Operation and Function.

    Operation Manager and Site Director
    1. View any DCI created for employees within their span of control.

    2. Create employee profile and edit the profile information of any employee within their span of control.

    3. Unlock an account for an employee they manage, if employee failed to login after 3 attempts.

    4. Reset the password (to a default password) for an employee they manage.

    5. View EQSP Core Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    6. Complete employee time/volume IPR adjustments for employees they manage.

    7. View, add or modify information pertaining to the Release/Recall for the Operation/Site in which they are assigned.

    8. Request Release/Recall Final Listing for the Operation in which they are assigned (Operation Manager only).

    9. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Operation and Function.

    10. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    11. View, add, and revise Efficiency Basepoints within their span of control.

    12. Search and view Quality Base Points for employees in their site.

    13. Search and view Efficiency Base Points for employees in their site. (Operation Managers can add and revise Efficiency Base Points for their Operation).

    Planning and Analysis
    1. Create DCIs for Product Feedback review.

    2. View Product Feedback review DCIs they created.

    3. Edit and delete DCIs they created within 5 business days without considering holidays and weekends, from the start of that review.

      Note:

      Contact the EQSP Site Administrator to delete older reviews.

    4. View EQSP Core Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities. .

    5. Planning & Analyst Staff Manager only: Create and edit the profile information of an employee that he/she is managing, including assigning permission to that employee.

    Headquarters’ Manager/Analyst
    1. View EQSP Core Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    2. Search and view Quality Base Points for employees in their site.

    3. Search and view Efficiency Base Points for employees in their site.

    4. Headquarter Manager only: Create and edit the profile information of an employee that he/she is managing, including assigning permission to that employee.

    Site Assistant
    1. Add, view, modify, delete and lock profile information for employees in their site.

    Site EQSP Administrators
    1. Create DCIs for Individual Performance, Product, Team Defect, Managerial/OJT reviews for employees at their site.

    2. View, edit, and delete DCIs they created or created by employees at their site at any time.

    3. Add, modify, and lock employee profile information for their site.

    4. Unlock an employee’s account, at their site, if they fail to login after 3 attempts.

    5. Reset an employee’s password at their site (to a default password).

    6. Create and edit the profile information for any employee at their site.

    7. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    Site MEPS Administrator
    1. Create Product Feedback DCIs for employees at their site.

    2. View, edit, and delete Product Feedback DCIs created at their site at any time.

    3. View employee profile information for their site.

    4. Complete employee time/volume IPR adjustments for employees they manage.

    5. View Quality Base Points.

    6. View, add and revise Efficiency Base Points.

    7. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for the Site.

    8. Request Release/Recall Final Listing for the Site.

    9. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    Site Administrator The Site Administrator has all the roles and responsibilities as listed above for Site EQSP Administrator and Site MEPS Administrator.
    System Administrator
    1. Create DCIs for Individual Performance, Product, Team Defect, Managerial/OJT reviews for employees at all sites.

    2. View, edit, and delete DCIs created at any site at any time.

    3. Add, modify and lock employee profile information at all sites, including headquarters.

    4. Unlock an employee's account at all sites including headquarters, if they fail to login after 3 attempts.

    5. Reset an employee’s password at all sites including headquarters (to a default password).

    6. Create and edit the profile information for any employee at all sites including headquarters.

    7. View EQSP Core/MEPS Reports as listed in Exhibit 3.30.30-9, Roles and Responsibilities.

    8. Complete employee time/volume IPR adjustments as requested.

    9. View, add, and revise Quality Base Points.

    10. View, add and revise Efficiency Base Points.

    11. View Employee Learning Curve status and search for Learning Curve requirements (sample pulls and documents per sample) for all sites.

    12. Request Release/Recall Final Listing for any site.

    13. Add, modify, delete EQSP DCIs(including End of Year form changes).

3.30.30.5  (12-01-2014)
Employee Profile Management

  1. It is necessary to create a profile for an employee before reviews are input into EQSP.

    Note:

    Review all the information for each employee, data cannot be entered if the information for an employee is missing or incorrect.

  2. To ensure the information for the employee is correct, managers and/or site administrators should:

    1. Input information under the correct SEID.

      Note:

      If an error exists in the SEID field, Administrators can correct the SEID. Do not create a second profile for the employee or review data may be lost. Continue to use the existing profile and request an SEID correction through your local Site Improvement Specialist. All reviews will transfer to the correct SEID profile once updated.

    2. Validate employee’s Operation, Department, Team, Function, and Program information.

    3. Correct any information that needs to be corrected.

  3. Contact your Site Improvement Specialist if you need assistance.

3.30.30.5.1  (12-01-2014)
Manager's Main Menu Screen

  1. To access the Manager's Main Menu Screen (Figure 3.30.30-1), login to the EQSP System. For instructions see IRM 3.30.30.3.1, Accessing the EQSP System.

  2. The Manager's Main Menu Screen contains a menu option for managers to enter and edit employee's information, e.g. SEID, job series, Operation, Department. This information is the Employee’s Profile.

    Figure 3.30.30-1
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  3. The Manager's action buttons and hyperlinks are listed below:

    1. Profiles button

    2. Create New Profile hyperlink

    3. Search for Profile hyperlink

    4. Back to Reviews hyperlink

    5. Manage Proxy hyperlink

    6. Use Proxy hyperlink

    7. Reports hyperlink

    8. MEPS hyperlink

    9. Release/Recall hyperlink

    10. User Access Listing hyperlink

3.30.30.5.1.1  (12-01-2014)
Creating an Employee’s Profile

  1. Managers will enter their employee's profile information on the create new Profile Screen. See Figure 3.30.30-2.

    Figure 3.30.30-2
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  2. To generate the Add Employee Profile Screen, select the Create new profile hyperlink on the Manager’s Main Menu Screen. The Add Employee Profile Screen has several fields and action buttons in which the manager has to either enter or select information.

  3. To enter employee information:

    1. Enter the employee's SEID. The SEID will default to all CAPS. The Username will populate with the employee's SEID.

      Note:

      Once entered and saved, the SEID cannot be edited. If an employee is profiled with an incorrect SEID the SEID field can be updated by a Site Administrator and all data associated with the incorrect SEID moves to the correct SEID. However, if the employee is profiled to an incorrect SEID, and a correct SEID, and reviews have been completed on the incorrect SEID the profiles cannot be merged.

    2. Enter the employee's First Name, Middle Initial, and Last Name.

      Note:

      The system will display a warning message if the first and last name of the user they are creating is already in the data base. "That name already exists with SEID XXXX." This will prevent creating more than one profile for an employee. The manager will have the option to continue to create the profile or return to the profile screen. If multiple users are returned with the same name, the manager will have the capability to review the names that are the same before they save the user.

    3. Enter the employee’s or manager’s Phone Number.

    4. In the Class Code field, click the down arrow and select either Permanent, Seasonal, Temp Intermediate (Career), Temp Intermediate (Non-Career), or Term.

      Note:

      The class code cannot be edited after entered and saved. The field will update from the EMF.

    5. The Profile screen displays a Quality Performance Plan field with a Quality Plan Date field, and an Efficiency Performance Plan field with a Efficiency Plan Date field for Employee role and Reviewer role .

      Note:

      The Quality performance plan defaults to Measured for Employee and Quality Reviewer Roles. The Plan Date defaults to the date the profile is created and updates to the subsequent Sunday (or to the applicable Sunday if a later date is entered) when the profile is saved.

      Note:

      The Efficiency Performance Plan defaults to Measured for Employee Role and Unmeasured for Quality Reviewer Role. The Plan Date defaults to the subsequent Sunday (or to the applicable Sunday if a later date is entered) when the profile is saved.

      Reminder:

      Managers create profiles for employees only. All other roles, including Quality Reviewers, require an Online 5081 to gain access. Site Administrators create profiles when Online 5081s are approved.

    6. The Measured Performance Plan Dates begins the 63 day counter for Quality and for Efficiency (Measured employees are required to be on a measured performance plan for 63 days before they are considered measurable). The day counter increases 7 calendar days for every Form 3081 submitted. If the date is changed and the 63 day requirement has not been met, the day counter recalculates.

      Note:

      If a profile exited for any employee prior to October, 2011, the Performance Plan dates defaulted to 10/01/2011. Any employee who previously met the 63 day requirement on a measured plan in TEPS met the 63 day requirement in MEPS. This requirement must be met only once in an employee career regardless of the number of times changes from measured to unmeasured and back again.

    7. Employees cannot receive evaluations until they have been on their CJEs for at least 60 calendar days in their annual rating period. If measured is selected for the Quality and/or Efficiency Performance Plan, the counter increases 7 days for each Form 3081 submitted until the 60 days are reached and resets at the beginning of the employee's rating period.

    8. It is critical that managers ensure the Performance Plan are updated and Unmeasured is selected if an employee is placed on an Unmeasured Performance Plan. Plan Dates must also be changed to coincide with the date the employee became unmeasured Likewise, Plans and Plan Dates must be changed when an employee returns to a Measured Performance Plan. See IRM 3.43.405 for additional information.

    9. In the Job Series field, click the down arrow and select the employee's Job Series.

    10. Enter the employee’s Grade and Step.

    11. Enter the employee's Assigned Organization code. (EMF updates this field.)

    12. Enter the employee's EOD (Enter on Duty) date.

    13. Enter the employee's SCD (Service Computation Date).

    14. The Site field defaults to your site.

    15. In the Organization: Operation, Department, and Team fields, click the down arrows and select the appropriate information.

      Note:

      Span of control is determined by the Organization fields selected.

  4. If an employee is being detailed to another Operation, Department, or Team (ODT), the losing manager should modify the employee’s profile to reflect the ODT change, if needed.

  5. There are three action buttons located at the bottom of this screen:

    1. Save

    2. Add Programs

    3. Cancel

  6. If you want to save the information entered on the Add User Profile Screen before adding the Employee's assigned programs, select the "Save" button.

    1. If information is missing or entered incorrectly an error message will generate.

    2. If all the information is correct, a screen will generate which states, "The user was saved."

    3. Select the "Continue" button to return to the Manager's Main Menu Screen. Select the "Back to Profile" button and the Edit Employee Profile Screen will generate (see IRM 3.30.30.5.1.2, Searching for an Employee's Profile).

  7. To enter the Employee's assigned programs, select the "Save & Add Programs" button and the Edit Employee Program Status Screen will generate. See Figure 3.30.30-3.

    Note:

    Quality Review cannot be entered into EQSP for the employee's SEID until the program is added on the employee Program Status Screen. Efficiency Learning Curve does not begin until the applicable OFP (4th digit) is added on the Employee Program Status Screen. (See IRM 3.343.405)

    Figure 3.30.30-3

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

    Follow the instructions below:

    1. Select the employee's Operation, Function and Program.

    2. Enter the Start Date (MM/DD/YY).

    3. To add another OFP combination, select the "Save & Add" button. Enter the new OFP combination and follow the instructions above.

      Note:

      Duplicate OFP combinations cannot be added unless an End DT is present for the prior OFP.

    4. When finished, select the "Save" button. The ("The user's program(s) were saved" confirmation screen will generate.

    5. Select either "Continue" to go to the Manager's Main Menu Screen or "Back to Profile" to return to the Edit User Profile Screen.

    6. Select the Cancel button to disregard unsaved changes and to return to the Edit User Profile screen.

  8. Select the "Save" or "Cancel" button on the Edit User's Profile Screen to return to the Manager's Main Menu Screen.

3.30.30.5.1.2  (12-01-2014)
Searching for an Employee’s Profile

  1. Managers are responsible for ensuring their employees' profile information is correct. To validate this information, managers will use the "Search for Profile" hyperlink to search for the employee's profile.

    Note:

    If an employee is detailed or selected for a manager position, the Performance Plan must be changed to unmeasured and the Plan Date entered as the date an employee became a Manager prior to the Online 5081 approval. The Performance Plan fields are grayed and cannot be changed after the Site Administrator changes the Employee Role to a Manager Role.

    Reminder:

    Managers can only search and update profiles of their subordinates.

  2. Select the "Search for Profile" hyperlink (located on the Manager's Main Menu Screen). The Search for Employee Profile Screen will generate. See Figure 3.30.30-4.

    Figure 3.30.30-4
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  3. The searchable parameters are listed in the table below:

    Searchable Parameters
    SEID (the employee's) If you enter the employee's SEID, you do not have to enter any other information.
    Employee’s First Name, Middle Initial, and Last Name If you enter the employee's first or last name, you do not have to enter any other information.
    Site Select the Site only to generate a list of all site employees and their Operation, Department and Team.

    Note:

    Site, Operation, Department and Team will default based on th user's role and span of control.

    Organization:Operation, Department, and Team
    • Select the Site and Assigned Organization to generate a list of your employees in that organization.

    • Select the Site and Operation to generate a list of your employees in that operation.

    • Select the Site, Operation, and Department to generate a list of your employees in that department.

    • Select the Site, Operation, Department, and Team to generate a list of your employees in that team.

    Function Select the Site, Operation and Function to get a list of your employees in that function.
    Program Select the Site, Operation, Function and Program to get a list of your employees assigned to that program.

    Note:

    Multiple search parameters selected will provide a more defined search result. If any information is missing or incorrect, an error message will generate.

  4. After entering your search criteria, select the "Search" button. The search result will display on the Manager's Main Menu Screen. Each row shows a "fountain pen," (edit icon), Employee's Name, Employee's SEID, Role, Operation, Department, and Team.

    Note:

    Additional fields will be displayed based on selected search criteria (i.e., Function and Program).

    See Figure 3.30.30-5 .

    Figure 3.30.30-5

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. Select the pen icon to generate the Edit Employee Profile Screen to edit the employee’s information. See Figure 3.30.30-6.

    Figure 3.30.30-6
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  5. The action buttons on the Edit Employee Profile screen will vary based on EQSP Role assignment. The action buttons on the Edit Employee Profile screen are listed below:

    1. Save

    2. Add Programs

    3. View Plan

    4. IPR Adjustment

    5. Reset Password

    6. Change Account Status.

    7. Cancel

3.30.30.5.1.3  (12-01-2014)
Generating and Reviewing User Access Listing

  1. Managers must regularly review security controls for information systems. Managers must review access and permissions for EQSP at least monthly. User Access List provides an automated mechanism to facilitate the review of user access and permissions.

  2. Select User Access Listing link located on Manager's Main Menu Screen to generate User Access Listing for all users within manager span of control.

  3. Review each user account to ensure only authorized users have access to the system. Lock accounts for users no longer authorized to access the EQSP system.

    Note:

    Initiate Online 5081 requests to delete user access. Coordinate with Site Administrators to delete/terminate EQSP profiles for users not expected to return to position requiring EQSP access.

  4. Review active user roles to ensure users have the minimum level of access needed to perform official duties. (Refer to IRM 3.30.30.4, Systems Profiles, for permissions associated with EQSP roles.) Change assigned role, as needed.

  5. Request audit records for user activities from EQSP System Administrator when review of User Access Listing or information from another report or source indicates improper use of system or unauthorized access.

3.30.30.5.2  (12-01-2014)
Proxy Role

  1. The Proxy Role allows a managerial role to be granted to another user (the grantee) for a specified length of time.

  2. The ability to grant or receive a proxy is limited to:

    1. Team Manager

    2. Quality Review Manager

    3. Operation Manager

    4. Department Manager

  3. Once assigned, proxies give the grantee the same permissions and level of access to the system as if the role was the grantee’s home assignment (original role).

  4. After logging into EQSP, this functionality also allows the grantee to either select a proxy or return to their assigned role.

  5. The grantee’s home assignment must be in the same organizational structure as the proxy grantor.

    Note:

    The EQSP system creates an audit trail for the proxy grantor, proxy grantee, the date the proxy was granted, and the date proxy was terminated.

3.30.30.5.2.1  (12-01-2014)
Proxy Role Hierarchy

  1. The Proxy Role Hierarchy for the Team, Quality Review, Operation and Department Managers are listed in the table below.

    Role Proxy Role Hierarchy
    Team Manager Can access the Manage Proxy and the Use Proxy Screens.
    Can grant:
    1. A proxy to Team Managers within their assigned Site, Operation, and Department.

    2. The proxy role of a Team Manager for their assigned teams within their Site, Operation, and Department.

    Quality Review Manager Can access the Manage Proxy and the Use Proxy Screens.
    Can grant:
    1. A proxy to Quality Review Managers within their assigned Site, Operation, and Department.

    2. The proxy role of a Quality Review Manager for their assigned teams within their Site, Operation, and Department that have a Quality Review Manager.

    Department Manager Can access the Manage Proxy Screen.
    Can grant:
    1. A proxy to Department Manager within their assigned Site and Operation; and Team Managers, within their assigned Site, Operation, and Department.

    2. The proxy role of a Department Manager for their assigned departments within their Site, and Operation; and Team Manager for all teams within their assigned Site, Operation, and Department.

    Operation Manager Can access the Manage Proxy and Use Proxy Screens.
    Can grant:
    1. A proxy to Department, Team, and Quality Review Managers, within their assigned Site and Operation.

    2. The proxy role of an Operation Manager for their assigned Site and Operation; Department Manager for all departments within their assigned Site and Operation; Team Manager for all teams within their assigned Site and Operation; and Quality Review Manager for all teams within their assigned Site and Operation that have a Quality Review Manager.

3.30.30.5.2.2  (12-01-2014)
Time Limitations for a Proxy Role

  1. A grantee will be granted a proxy role for a maximum of 90 calendar days.

  2. The beginning date of a proxy role must be equal to or greater than the current date.

  3. The ending date of a proxy role must not exceed 90 calendar days from the current date.

  4. Proxies automatically terminate at the end of 90 calendar days or on the ending date specified by the grantor.

    Note:

    A warning message displays to the grantee when a proxy will expire within 7 calendar days.

  5. Proxy dates must be in MM/DD/YYYY format.

3.30.30.5.2.3  (12-01-2014)
Manage Proxy Screen

  1. Managers will use the Manage Proxy Screen to either grant or terminate a proxy role.

  2. The manager will not be able to duplicate proxy assignments (same grantee, role, operation, department, and team).

  3. To access the Manage Proxy screen:

    1. From the Manager’s Main Menu screen select the "Manage Proxy" hyperlink.

    2. The Manage Proxy Screen will generate. See Figure 3.30.30-7.

    Figure 3.30.30-7
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  4. The Manage Proxy Screen displays the following:

    1. Assignee: A list of names from which the grantor may select an individual to grant a proxy.

    2. Beginning date (mmddyy): The date the proxy begins.

    3. Ending date (mmddyy): The date the proxy ends.

    4. Assign to organization – Operation, Department, and Team: lists the current managers' span of control.

    5. Currently Assigned: A list of active proxy roles(displayed alphabetically by the grantee's last name), with applicable Operation, Department, Team and Beginning and Ending dates. This list may be resorted by selecting the column headers.

    6. Add Proxy button: Select to add the proxy information.

    7. Cancel button: Select to remove entered fields and return to Manager's home page.

3.30.30.5.2.3.1  (12-01-2014)
Granting a Proxy

  1. To grant a proxy, from the Manager Proxy Screen:

    1. Select a grantee from the Assignee drop down menu.

    2. Enter the Beginning date (mmddyy).

    3. Enter the Ending date (mmddyy).

    4. Select the Operation, Department, and Team.

    5. Select the "Add Proxy" button. Either a Confirm Assignment Screen or Confirmation Message Screen will generate.

    6. The Confirm Assignment Screen will state, "Are you sure you want to grant the following proxy?" The grantee’s name and proxy information will also be listed.

    7. Select either the "Yes" button to accept the proxy assignment or the "No" button to cancel your selections and return to the Manage Proxy Screen.

    8. If you select "Yes," a confirmation message will generate stating, "The following user proxy was granted." The grantee’s name and proxy information will also be listed.

    9. Select either the "Continue" button to return to the Manager’s Main Menu Screen or the" Back to Manage Proxy" button to return to the Manage Proxy Screen to grant another proxy.

    10. If the grantee is assigned a proxy role for a team that already has a Quality Manager, the "Confirmation Message Screen" will generate, stating, "This team has quality review employees. Do you want to assign the proxy for a Quality Manager?"

    11. Select either the "Yes" button to assign the proxy of a Quality Manager to the team or the "No" button to assign the proxy of a Team Manager to the team.

      Note:

      This is necessary because some teams have both a Quality Manager and a Team Manager.

3.30.30.5.2.3.2  (12-01-2014)
Terminating a Proxy

  1. Only the grantor of a proxy may manually terminate the proxy

  2. To terminate a proxy role, from the Manage Proxy Screen:

    1. Select the red X, located to the left of the grantee’s name. A Confirm Termination Screen generates asking, "Are you sure you want to terminate the following proxy?" The grantee’s name and proxy information is listed.

    2. Select either the "Yes" button to accept the terminate proxy role or the "No" button to cancel and return to the Manage Proxy Screen.

3.30.30.5.2.4  (12-01-2014)
Using a Proxy Role Overview

  1. A grantee may have more than one proxy at a time.

  2. Grantees may only use one role at a time, either the proxy or their assigned role.

  3. The grantee selects the proxy role through the "Use Proxy" hyperlink.

  4. The grantee returns to their assigned role through the "Use Proxy" hyperlink.

  5. After logging into EQSP, the system checks for any proxies that expire within 7 calendar days.

    1. A "Warning Message" generates stating, "One or more current proxy roles will expire within 7 days."

    2. Select the "OK" button to continue.

3.30.30.5.2.4.1  (12-01-2014)
Use Proxy Screen

  1. Accessing the Use Proxy Screen:

    1. From the Main Menu Screen, select the "Profile" button, select the "Use Proxy" hyperlink.

    2. The Use Proxy Screen will generate. See Figure 3.30.30-8.

    Figure 3.30.30-8
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  2. The Use Proxy screen displays the following:

    1. Return to Assigned Role information: List of active proxies by Role (displayed alphabetically by last name), Operation, Department, and Team.

      Note:

      The grantee’s assigned role will determine if the Department and Team will display.

    2. Select Proxy to Use Information: Role (displayed alphabetically by last name), Operation, Department, Team, and Ending Date.

    3. Cancel button: Select to return to the Manager’s Main Menu Screen.

3.30.30.5.2.4.2  (12-01-2014)
Selecting a Proxy Role

  1. Select "Use Proxy " from the Manager's home page.

  2. To select the proxy role from the "Use Proxy Screen" :

    1. Under Select Proxy to Use, select the Arrow Icon. The "Confirm Proxy Change Screen" generates stating, "Are you sure you want to change to the following proxy?" The proxy information will also be listed.

    2. Select "Yes" button to accept the change or the "No" button to cancel your selections and return to the Use Proxy Screen.

    3. IF "Yes" is selected, a Proxy Change acknowledgment screen generates stating, "Proxy has been changed." Select the "OK" button. The Main Menu Screen generates.

    4. The Main Menu Screen displays the grantee’s assigned proxy role. See Figure 3.30.30-9. The Operation, Department, and Team will appear as necessary.

      Example:

      If the grantee is using an Operation Manager’s role, only the Operation will display.

    5. Grantees will remain in this proxy role until either logging out of EQSP or going back to their assigned role.

    Figure 3.30.30-9
    This image is too large to be displayed in the current screen. Please click the link to view the image.

3.30.30.5.2.4.3  (04-13-2010)
Returning to the Assigned Role

  1. Assigned Role is accessed from the "Use Proxy" screen.

  2. To return to the assigned role:

    1. Select the Arrow Icon next to the assigned role. A "Confirm Proxy Change" message generates asking, "Are you sure you want to change to your home role ?"

    2. Select "Yes" to accept the change and generate an acknowledgment message indicating "Proxy has been changed" . Select the "OK" to acknowledgment the Manager's Main Menu screen.

    3. Select "NO" , to cancel the selection and return to the, "Use Proxy " screen.

3.30.30.6  (04-13-2010)
Data Collection Instrument (DCI) Overview

  1. Each function within Submission Processing has a Data Collection Instrument (DCI) which is unique to the work performed by the employees in that area.

  2. Each review will be assigned a unique DCI number. The number will consist of the year the review was created followed by a system-generated number.

  3. Opportunities on the DCI's are listed in the order they appear on the form or non-form document. The Key Elements of the DCI, which are located on the Review Detail Screen are:

    1. Section: identifies opportunities that are grouped together to form a work process.

    2. Location: clarifies where this opportunity might be found on the form or in relation to the work process.

    3. Opportunity is the point at which a specific action of an employee’s job was either performed or should have been performed.

    4. Defect Types are used to describe an inappropriate action for the work under review. The defect types are "Incorrect" and "Omitted."

    5. Defect Description explains the characteristics of a defect type. A defect description is required whenever a defect type is identified during a review.

3.30.30.6.1  (12-01-2014)
Reviewer's Main Menu Screen

  1. There are several menu options shown on the Reviewer's Main Menu Screen. See Figure 3.30.30-10.

    Figure 3.30.30-10
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  2. The menu options are listed below.

    1. Review Type: Select Individual Performance Review, Product Feedback Review, Team Defect Review, Managerial/OJT Review. See IRM 3.30.30.1.5, Quality Review Types.

    2. SEID : Enter the SEID (the SEID will default to all CAPS) of the employee you are reviewing.

    3. Create Review: Select to begin the review.

    4. Reports : Select to generate the Reports Screen.

    5. Search: Select to generate the Search Screen.

    6. Change Password: Select to generate the Change Password Screen.

    7. Logout: Select to logout of the EQSP.

3.30.30.6.1.1  (12-01-2014)
Search Reviews

  1. The Search hyperlink allows Quality Reviewers to view and edit DCIs they created within their Site and Operation.

  2. The results returned will depend on the parameters entered in the "Provide Search Criteria" screen.

  3. The screen displays a list of reviews. This lists shows the DCI number, Review Type, Input Date, SEID, Sample Pull, Review Date, OFP, and Status.

    Note:

    A review reflecting an "In Progress" status should be completed or deleted.

3.30.30.6.1.2  (12-01-2014)
Review Header Screen

  1. To create a review, select the "Review Type," enter the employee's SEID and then select "Create Review." The "Review Header" screen will generate.

  2. The Review Header screen will only show fields applicable to the Operation, Function, and Program of the employee being reviewed. See Figure 3.30.30-11.

    Figure 3.30.30-11
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  3. The system will automatically generate information such as the DCI number, Input Date, Reviewer SEID, and Review Date.

    Note:

    The Input Date and the Review Date will default to the current date.

  4. The system will automatically enter slashes when a reviewer is entering a date into a date field. The system will convert a two-digit year ending entry into a four-digit year entry.

    Caution:

    If a four digit number is entered for the year (e.g., 2012), the system will pick up the first two digits and convert it to a four digit year. So if you enter "2012" , the system will generate "2020" as the year (picking up the first two digits you entered).

  5. Drop down menus are Character Key sensitive. This allows you to select an entry by entering the first character from a drop down menu instead of manually scrolling through the entire menu to locate it.

    Example:

    Program 44110, can be accessed by first displaying the drop down menu and entering the number 4. The drop down selection list will go to the first program that begins with a 4.

  6. The Organization Field contains fields for Operation, Department, and Team. These fields reflect the assigned organization of the employee being reviewed. They will default to the employee's assigned organization.

    Exception:

    If an employee has moved to another Operation, Department, or Team, the reviewer must select the correct Organization.

    Note:

    The reviewer can use the default information to identify the current assigned organization. If the information is not correct, contact the employee's manager.

  7. The Review Date field is computer-generated. The date the review was performed starts the systemic date counting. After completing a review, reviewers have five business days, from this date, to modify/delete the review.

    Note:

    The review date should be edited when EQSP input is not performed the same day as the review was completed.

  8. The Function field contains codes available for the type of work being reviewed. This field will default to the employee's assigned function.

    Exception:

    If the employee is assigned to more than one function, the reviewer must select the correct function.

    Note:

    Inform management if the function is incorrect.

  9. The IRS Received Date field is entered as mmddyy and will result in a mm/dd/yyyy format. It is the date the document/form was received in the site. This is an optional field.

  10. The Program field contains codes available for the type of work being reviewed. This field will default to the employee's assigned program.

    Exception:

    If the employee is assigned to more than one program, the reviewer must select the correct program.

    Note:

    Inform management if the program is unavailable for selection.

  11. The Area Received Date field is entered as mmddyy and will result in an mm/dd/yyyy format. It is the date the document/form was received in the functional area. This is an optional field.

  12. The Category field allows the type of return to be captured. Only one Category can be associated with each review.

  13. The Sample Pull ID field is an identification number assigned to all documents within a single sample pull. Each document will have a unique DCI number but can share the same Sample Pull ID. Proper use of the Sample Pull ID is critical to MEPS calculations for learning curves. Assign separate Sample Pull IDs to groups of documents sampled at different times of day.

    Example:

    When entering an OFP review sample of 5 documents for an employee, assign all 5 documents the same Sample Pull ID. If entering an additional review sample of 4 documents pulled later in the day for the same OFP and employee, assign a new Sample Pull ID for the group of 4 documents. There will be two Sample Pull ID's recorded for the employee SEID, one sample pull of 5 documents and one sample pull of 4 documents.

  14. The Documents Correct Count box is used to enter the number of correct documents within a sample pull. Select Next to create a DCI for each defect free document entered in the Documents Correct Count box within a sample pull. Select "Finish" or select "Finish and go to Single Event Report" to complete the review.

  15. The Schedule checkbox should be selected when a defect is identified on schedules or forms included in the sample for review. Click inside the box to generate a check mark.

  16. Select the "Next" button located in the upper right corner.

    1. If the Schedules checkbox was selected and schedules or forms are not available for the selected OFP combination, the following error message will generate: "Currently there are no Schedules for this OFP combination." To clear the error Message, select the "Continue" option to go to Review Detail page, or select the "Cancel" option to cancel and return to the Review Header Screen to correct the OFP combination.

    2. If the Schedules checkbox field was selected, the Schedule Selection Screen will generate displaying the schedules and forms that are associated with the OFP of the document being reviewed.

    3. If the Schedule checkbox field was not selected, the Review Detail Screen will generate.

3.30.30.6.1.3  (12-01-2014)
Schedule Selection Screen

  1. Review the document and select the checkbox for schedules and/or forms that are included in the sample and have a defect to be coded.

  2. The Quantity Entry box defaults to "1" . This number can be changed to accommodate multiple schedules and/or forms.

    Example:

    If there are two Schedule C, enter "2" in the quantity entry box.

  3. Select the "Submit" button, and the Review Detail Screen will generate.

  4. Select the "Cancel" button to return to the Review Header Screen.

    1. If you remove the check mark in the Schedule checkbox field, and select the "Next" button, an error message will generate which states, "Un-checking Schedule checkbox will cause all the schedules attached to the current DCI to be erased. Do you want to continue?"

      Note:

      The schedules will not be erased from the system; they will only be unavailable for review with this sample.

    2. Select "OK " or "Cancel" to generate the Review Detail Screen.

3.30.30.6.1.4  (12-01-2014)
Review Details Screen

  1. The Review Details Screen is used to code the defect(s) for the reviewed document. See Figure 3.30.30 - 12.

    Figure 3.30.30-12
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  2. The Review Header portion of this screen contains the following:

    1. DCI Number

    2. SEID of the employee being reviewed

    3. Reviewer SEID

    4. Sample Pull ID

    5. Review Date

    6. Input Date

    7. Operation

    8. Department

    9. Team

    10. Function

    11. Program

    12. Edit Header hyperlink (Select if you need to edit the Header information)

    13. Save and Return to List hyperlink (Select if you want to save the review and finish it later)

    14. Finish hyperlink

    Note:

    The Header information systemically populates from information input to the Review Header screen.

  3. The Review Detail portion of this screen contains a list of opportunities that apply to the document being reviewed.

    1. Schedules Tab: select to review the requested schedules and/or forms.

      Note:

      The Schedules Tab will only appear if a schedule selection was requested.

    2. Page Hyperlinks: select to navigate through available pages of the DCI.

    3. Section: identifies opportunities that are grouped together to form a work process.

    4. Location: clarifies where this opportunity might be found on the form or in relation to the work process.

    5. Opportunity is the point at which a specific action of an employee’s job was either performed or should have been performed.

    6. The "Correct?" column lists three radio buttons: Y (Yes); N (No); and NA (Not applicable).

      Note:

      The radio button defaults to NA value for all opportunities. Change the default value to N to code defective opportunities identified during the review

    7. Defect Type is only selectable when "Correct?" was coded with an N value. There are two Defect Types: Incorrect indicates an incorrect action was taken. Omitted indicates a required action was not taken

    8. Defect Description further defines how the opportunity was defective.

      Example:

      Entry, Keying, or Edit.

  4. When all defective opportunities have been coded, select the Finish hyperlink. The Review Summary Screen will generate. See IRM 3.30.30.6.1.5 the Review Summary Screen.

3.30.30.6.1.5  (12-01-2014)
Instructions and Guidelines for Coding the DCI

  1. The methods used for coding the DCI are similar in all functions. The opportunities were established based on the actions taken by employees, according to the applicable IRM procedures, to complete their duties.

  2. Locate the opportunity the employee performed incorrectly or omitted.

  3. Select the "N" radio button for all defective opportunities identified on a review. The drop down menu for "Defect Type" will generate. An error message indicating "Please select defect type" appears if a defect type is not selected. Select "OK" and select a defect type to clear the error message.

    Note:

    Code the point of error as the defect. In some cases an employee's action or failure to complete an action may result in subsequent defects. For both employee feedback and for error analysis, it is important to identify the point where the first error occurred, i.e.,, "point of error." Do not code "ripple" errors.

  4. Select the appropriate defect type: "Omitted" or "Incorrect." The drop down menu for "Defect Description" will generate.

  5. Select the appropriate description for the defective opportunity. An error message indicating "Please select description" appears if a defect description is not selected. Select "OK" and select a defect description to clear the error message.

    Example:

    Functions requiring transcription use Keying and Entry Defect Descriptions. Keying should be used when an employee transcribed an entry incorrectly. Entry should be used when the employee transcribed an entry on the wrong line or to describe an omission.

  6. All defect descriptions default to N/A.

  7. The Y value is used as listed:

    • If a DCI was created using the Documents Correct Count feature and the "Quality Review Details" screen is entered Code the first opportunity as "Y" to avoid losing the DCI details on the Single Event Individual Report.

    • If a Defect-Free DCI is created without using the Documents Correct Count feature, code one opportunity as Y and select "Finish."

    • If a defective document has only one defect on the DCI and the defect was charged incorrectly, change the "N" to a "Y" .

      Note:

      Delete the DCI if the defect is removed from the employee and charged to the Team.

    .

  8. A "Location" with Repeated Opportunities is identified in blue with an underlined hyperlink. See Figure 3.30.30-13. This functionality allows you to code opportunities that occur multiples times.

    Figure 3.30.30-13
    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. Enter the number of repeated opportunities in the "# of Repeated Lines " box.

    2. Select the blue colored hyperlink location. A screen generates listing the repeated opportunities.

      Note:

      If you did not enter a number in the box, an Error Message will generate, which states, "Number of Repeated lines must be between 1- 100." To clear the error message, select the OK option and enter a number in the box.

    3. Code the defective opportunities.

    4. Select either the "Cancel" hyperlink to cancel your selections and return to the Review Detail Screen, or select the "Save " hyperlink to save your selections. "The Repeated lines have been saved" confirmation screen will generate.

    5. Select "Close" to return to the Review Detail Screen.

  9. Complete coding of any additional defective opportunities.

    Note:

    To move between pages, select the Page Number link or the Next page link, located at the top right or bottom right of the DCI.

    Caution:

    Do not use the back or forward browser buttons.

  10. When defects are identified on schedules or forms included in the review, select the "Schedules" tab at the top to the right of the Review Details tab and code the appropriate defects. See Figure 3.30.30-14.

    Figure 3.30.30-14

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. If multiple schedules or forms were identified for review, select the drop down arrow from the "Select a Schedule" field. Highlight the schedule/form and then select "Go."

    2. Complete defect coding through all requested schedules or forms.

  11. Select the "Finish" hyperlink.

    Note:

    If a Defect Type or Defect Description was not selected, an error message will generate.

3.30.30.6.1.6  (12-01-2014)
Review Summary Screen

  1. The Review Summary Screen summarizes the total number of defects based on the review just completed. You should validate that the total defects coincide with the review document. See Figure 3.30.30- 15.

    Figure 3.30.30-15
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  2. The Review Header portion of this screen displays the following:

    1. DCI Number

    2. SEID

    3. Reviewer SEID

    4. Sample Pull ID (Not Required on a Product Review)

    5. Review Date

    6. Input Date

    7. Operation

    8. Department

    9. Team

    10. Function

    11. Program

      Note:

      Items a through k systemically populate from information input to the Review Header screen.

    12. "Edit Header" hyperlink: Select if you need to edit the information shown in the header. The Review Header Screen will generate.

      Note:

      You may edit the Schedule Checkbox or Review date when selecting the Edit Header option. If other fields need to be changed, the review has to be deleted and started again.

      Exception:

      Not available if the reviews were created using the "Document Correct Count" feature.

    13. "Modify Review Details" hyperlink: Select if you need to edit the information that was previously coded. The Review Details Screen will generate.

      Exception:

      Not available if the reviews were created using the "Document Correct Count" feature.

    14. "Return to List" hyperlink: Select if you want to save the review and finish it later. The Reviewer's Main Menu Screen will generate.

    15. "Finish" hyperlink: Select the "Finish" hyperlink again to complete the review and save all data entered. The Reviewer's Main Menu Screen will generate.

      Note:

      Only completed DCIs will be used for system calculations.

    16. "Finish and go to Single Event Report" select this hyperlink to complete the review and generate the "(Individual Employee Report/ Single Event/Sample Pull)" report.

      Note:

      The quality review team manager must ensure each Single Event Individual Employee Report is printed and provided to the team manager for every quality review input to the employee’s SEID. The team manager must provide the employee with a copy of the report. This notification serves as a record of all quality reviews completed for each employee as well as a record of any defect(s) identified.

  3. The Quality Review - Summary displays below the Review header.

    • Sample Pull Id

    • Total number of defect opportunities

    • Total number of defects found

    • For defective DCIs Forms, Section, Line Number, Line Text, Defect Type, and Description are displayed.

    1. "Create New Review Just Like This" hyperlink: If the next document belongs to the same employee and the OFP combination is the same; the reviewer can select the hyperlink. The system will generate a new DCI, identical to the one just reviewed, under the same Sample Pull ID number. The Review Detail Screen automatically generates. You must ensure schedules/forms in the new DCI are appropriate for the next document. If new schedules/forms are necessary, select the "Edit Header" hyperlink, after you finish coding the new Review Detail portion of the DCI. An identical Review Header Screen generates. Select the Schedules checkbox; select the Next button and select the appropriate schedules/forms. Continue reviewing the document.

    2. "Defects Summary" shows the defect information i.e., Total Number of Defect Opportunities, Total Number of Defects Found, Form, Section, Line Number, Line Text, Defect Type, Description.

    • Sample Pull Id

    • Total number of defect opportunities

    • Total number of defects found

    • For defective DCIs Forms, Section, Line Number, Line Text, Defect Type, and Description are displayed.

3.30.30.6.1.7  (12-01-2014)
Searching for a Review

  1. To generate the Provide Search Criteria Screen (see Figure 3.30.30-16), go to the Reviewer's Main Menu Screen (see Figure 3.30.30-15) or the Manager Main Menu Screen (see Figure 3.30.30-5) and select the "Search" button.

    Figure 3.30.30-16
    This image is too large to be displayed in the current screen. Please click the link to view the image.
  2. This screen has hyperlinks; "Search" returns the search criteria entered; "Cancel" returns you to the Main Menu Screen;" Clear" removes the current search criteria entered.

  3. To search for a review enter or select one or more of the following searchable parameters:

    1. Review Date Range (mmddyy): "From" and "To" date (the "To" date is not required for a single day search).

    2. DCI number

    3. Sample Pull

    4. SEID (of the employee)

    5. Site (computer generated)

    6. Organization (Operation, Department, and Team)

    7. Function

    8. Program

    9. Reviewer SEID (limited to Quality Review Manager)

    10. Review Type (all, Individual Performance Review, High Quality Work, Team Defect Review, Learning Curve Review, Managerial/OJT Review, or Product Feedback Review)

    11. Status (all, In-progress, completed, or deleted)

  4. Select the Search Button. The Review Search Results displays in a row or rows on the Reviewer's Main Menu Screen. Each row shows a "red X" (delete icon), a "fountain pen" (edit icon), DCI numbers, Review Type, Input Date, Employee's SEID, Sample Pull , Review Date, Reviewer, OFP, and Status.

    Note:

    If no reviews satisfy search criteria, a message will generate at the bottom of the screen, which states, "No Reviews were found matching your search criteria."

    1. Selecting the "red X" will delete the DCI. See IRM 3.30.30.4, System Profiles (Permissions), to determine which reviews may be deleted.

    2. Selecting the" fountain pen" will allow you to edit the DCI, beginning at the Review Header Screen. See IRM 3.30.30.4, System Profiles (Permissions), to determine which reviews may be edited.

      Note:

      Once a manager makes a change to a review, Quality Reviewers and P&A Analysts will not be able to modify the review. They will receive an error message stating, "This review was last edited by a Manager. Only Managers may now change this review."

    3. Selecting a column header will sort lists by the selected column. A warning message will generate, if a sorted column header will cause a delay, stating, "Warning! Large list size will cause a long sort delay. Continue?" Select either Continue or Cancel.

3.30.30.7  (09-30-2014)
Quality Review Sampling

  1. The process of selecting a portion of completed work to be reviewed is called sampling.

  2. Random sampling is the process of selecting a portion of completed work during each week in such a way that all completed work has the same opportunity of being sampled.

  3. All programs within a measured Function must be equally available for quality review sampling, regardless of when the work is completed; this includes regular time, overtime, comp time, and/or credit hours.

  4. The sample is selected by the quality review clerk. Quality Reviewers can select the sample in limited circumstances but the reviewer of the work should never select the sample.

  5. To ensure each employee’s work is identified for sampling, the employee’s work must have the date the work was completed and at least one of the following:

    • The employee’s name.

    • The employee’s SEID.

    • The employee's IDRS number.

    • Other Identification.

  6. Similar OFP work must be batched together to facilitate sample selection and include the OFP and volume of each batch.

  7. Sites may use the Randomizer located on the EQSP Web, a Table of Random Numbers, or other method to secure a random sample pull from all completed work.
    To use the Randomizer:

    • Access Embedded Quality Submission Processing, Training and Sampling at: http://win.web.irs.gov/EQSP/Training.htm.

    • Select "New! Randomizer.org" and "Randomize Now."

    • Set of Numbers - Generate "1" set of numbers to be used for all employees or generate the number of employees being reviewed to obtain a set of random numbers for each employee.

    • Numbers Per Set - Enter the number of documents required for the sample pull.

    • Number Range - Enter the number of documents available in the completed work (the number to be sampled from, always beginning with the number "1" .

    • Leave the number in a set to remain unique, sort the numbers that are generated, and view your random numbers with "Place Markers Off."

    • Click "Randomize Now" to obtain the set(s) of unique random numbers requested.

3.30.30.7.1  (09-30-2014)
Individual Review Sampling

  1. The Recommended Annual Sample (RAS) is the recommended number of reviews required for each OF the employee works during the employee's annual rating period, regardless of the number of programs worked or the length of the season.

  2. The RAS Annual Sample for each OF is 260 documents per employee. the minimum sample should not be lower then the RAS; additional documents can be sampled.

  3. Management must provide a sample size for each employee.

  4. Because an employee may work several OFP's within an OF, the manager should inform the Quality review team of the programs the employee works to ensure the samples adequately represent an employee's actual performance.

    Note:

    A Sampling Report generated in MEPS weekly is utilized by Team Managers and Quality Review Teams to monitor and adjust each employee’s sample size. See IRM 3.43.45 for information on MEPS Sampling Report

    .

  5. Individual Quality Review Sampling includes the following requirements:

    • Samples must be randomly pulled from all work the employee completes.

    • Samples must be pulled across the week.

    • Each employee should have at least 4 sample pulls per week.

    • A sample must contain at least 1 document but there is no maximum limit of documents in a sample.

  6. Managers must monitor samples and ensure MEPS Learning Curve is met for each parent program the employee works (Learning Curve is based on a specific number of sample pulls and a specific number of documents within the sample pull).

  7. Review results for all documents within a sample are input to EQSP with the same Sample Pull ID and require the same review date:

    • The review date should be the date the sample was pulled for review to ensure the date reflects the week the work was completed.

    • If review on a document within a sample is completed later than review on other documents within the sample, select the applicable "Sample Pull Id" and change the "Review Date" to coincide with the review date for the other documents.

    Note:

    A review date for a prior week may be entered until COB Wednesday and still be picked up for the prior week during MEPS weekly processing and appear on weekly Performance Data Reports. Multiple identicals and Team defects should always be entered with the original review date regardless of which week the reviews are input.

    Reminder:

    All multiple identical defects and defects removed from the employee and charged to the team should be recorded in EQSP as Team Defect Review type (will not carry the same sample pull id). The employee does not receive credit for the document sampled. Because Learning Curve Reviews are not part of the employee’s sample for measured purposes, Multiple Identical and Team defects are never removed from Learning Curve Reviews.

3.30.30.7.2  (09-30-2014)
High Quality Work Sampling

  1. HQW is sampled as OF review and not Individual Review and receives HQF (High Quality Function) product review.

  2. HQW includes work that produces an accuracy rate of 97 percent or above for an Operation, Function (OF) and therefore does not require the same degree of sampling as worked producing a lower accuracy rate.

  3. HQF sampling requirements for an OF for the quarter are:

    • A minimum of 1,500 documents/cases Nationwide.

    • A minimum of 300 documents/cases per Submission Processing Site.

    • An average of five documents per day per quarter if sampled five days each week.

      Note:

      Additional samples can be pulled. There is no minimum sample.

  4. Random sampling must include any work processed within the function (from all shifts) throughout the week at a minimum of 4 days per week.

    Note:

    If sample averages 4 days per week, the average daily sample must be increased to ensure the minimum 300 documents/cases per quarter are reviewed.

  5. High Quality Function(HQF) review results are input to EQSP as Individual Performance Reviews (employee’s SEID) with the same Sample Pull ID for each document within the sample and must reflect the same review date for each document within the sample.

    Reminder:

    The EQSP system recognizes the Individual Performance Review is for a HQF and changes the review type to "High Quality Work" unless the employee has not met Learning Curve for the OF; the system then changes the review type to "Learning Curve" .

3.30.30.8  (12-01-2014)
EQSP Reports

  1. The EQSP Reports:

    1. Capture specific defect information.

    2. Provide a data to assist with SP work process improvement initiatives.

  2. Listed below are ten reports that can be generated using the EQSP Quality Review System:

    • Single Event Individual Employee Report

    • Cumulative Individual Employee Report

    • Cumulative Employee (Team)

    • Team Report

    • Department Report

    • Operation Report

    • Site Director Report

    • Defect Summary Report

    • Site/Program Summary Report

    • Blank DCI Report

    Note:

    Your user role will determine which reports you can generate. See IRM 3.30.30.2, Roles and Responsibilities, and IRM 3.30.30.4, System Profiles (Permissions).

  3. From the Reviewers or Manager Main Menu Screen select the "Reports" button. The Report Selection Screen will generate. See Figure 3.30.30 – 17.

    Figure 3.30.30-17

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. A report can be generated by selecting the report type from the drop down menu.

      Note:

      If a report type is not selected an error message will generate "please select a report type."

    2. Continue by entering or selecting the appropriate parameters to generate the desired report

3.30.30.8.1  (12-01-2014)
Individual Employee Report (Single Event/Sample Pull)

  1. The Individual Employee Report provides real-time feedback on an employee's quality performance. See Figure 3.30.30-18.

    Figure 3.30.30-18

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details from a single individual sample pull.

    2. The Report Detail contains information for one DCI or multiple DCIs for a single sample. In the event of multiple DCIs, all reviews must be the same Review Type, Operation, Function, and Program.

    3. This report will ONLY generate details for reviews in a "Completed" status.

  2. Team Managers must provide the employee with a copy of the report.

    Note:

    The quality review team manager must ensure each single Event Individual Employee Report is printed and provided to the team manager for every quality review input to the employee's SEID. The team manager must provide the employee with a copy of the report. This notification serves as a record of all quality reviews completed for each employee as a record of all quality reviews completed for each employee as well as a record of any defect(s) identified. It also provides required written notification when Learning Curve is met for each OFP (parent).

    1. Review errors and provide specific suggestions for improvement.

    2. Identify training needs.

  3. The table below describes each item shown on the Individual Employee Report (Single Event/Sample Pull).

    Number Item Explanation
    1 Sample Pull System generated number used as sample identifier.
    2 Employee SEID SEID of employee reviewed.
    3 Team Employee's team.
    4 Total DCI's in Sample Number of DCI's within the Sample Pull.
    5 Total Defective DCI's Total number of defective documents in the sample.
    6 Review Date The calendar date the review was performed.
    7 Review Type The type of review (Individual Performance, High Quality, Team Defects, Learning Curve, or Managerial/OJT) performed.
    8 Report Run date The calendar date the report was generated.
    9 Employee Initials Placeholder for employee's initials (proof of receipt).
    10 Date Placeholder for the date the employee received feedback.
    11 DCI Details Summary of the review sampled.
    12 OFP Operation, Function, and Program details of the DCI.
    13 Defect Count Total number of defects from each individual review within the sample.
    14 Defect Details Summary of review results for each individual ID number within the sample(indicates "0" on defect free review).
    15 DCI Number System generated number for the Individual review within the sample and the related (Form/Program).
    16 Form The name of the form/type where a defect occurred.

    Note:

    "No Defects" is indicated on defect free DCIs and all fields listed below are blank.

    17 Section The name of the section where a defect occurred. (Blank on defect free DCIs).
    18 Location The name of the location where a defect occurred. (Blank on defect free DCIs).
    19 Opportunity The name of the opportunity where the defect occurred. (Blank on defect free DCIs).
    20 Defect Type A description of how the opportunity was defective. (Blank on defect free DCIs).
    21 Defect Description A description of why the opportunity was defective. (Blank on defect free DCIs).
    22 Defect Count Total number of occurrences for the defect identified.
    23 Employee Notification An "Important Notification" generates when quality review samples are applied to Learning Curve for the specific OFP. "This sample is under Learning Curve and will not be used in evaluative data" indicates the employee is on Learning Curve. "This is your last sample while under Learning Curve. All future individual reviews may be used in evaluative data" notifies the employee Learning Curve has been met.

    Note:

    Effective November 2014 an "IRM Reference." column will display the IRM tridoc supporting the defect identified. The field will be blank if the reference was not input for the defect on the Quality Review Details screen and for defect free DCIs.

3.30.30.8.2  (12-01-2014)
Individual Performance Report (Cumulative)

  1. The Individual Performance Report (Cumulative) provides individual employee quality data for a specific time period, defined by the date parameters input on the Reports Selection Screen. It displays quality performance and feedback by all review types and OFP combinations. See Figure 3.30.30-19.

    Figure 3.30.30-19

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details, by Review Type.

    2. The Report Detail contains the summary information. All employee quality data is stratified by Review Type and OFP. All reviews with the same Review Type and OFP combination within the defined time period will be summarized.

    3. This report will ONLY generate details for reviews in a "Completed" status.

  2. Managers and/or Leads may share this report with the employee:

    1. Review what was done correctly.

    2. Review errors and provide specific suggestions for improvement.

    3. Identify coaching opportunities.

    4. Identify training needs.

  3. The table below describes each item shown on the Individual Performance Report (Cumulative).

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Name Name of employee reviewed.
    3 Employee SEID SEID of employee reviewed.
    4 Series/Grade The employee's job series and grade.
    5 Team Employee's team
    6 Review Type The type of review (Individual Performance, High Quality, Team Defects, Learning Curve, or Managerial/OJT) performed.
    7 DCI's Total DCIs for each review type.
    8 Def DCI's Total defective DCIs for each review type.
    9 Total Cumulative total of DCI's and defective DCI's
    10 Run Date The calendar date the report was generated.
    11 DCI's Total DCI's included in "Accuracy" calculation.
    12 Defective DCI's The total number of defective documents in the sample.
    13 Accuracy Calculated accuracy
    14 "*" Identifies specific review types used in "Accuracy"
    15 OFP Operation, Function, Program and related form details.
    16 Review Type Identifies review type related to the review details being displayed.
    17 Sample Pull Count Number of samples included in the review type for the related OFP
    18 Total DCI's Number of DCIs included in the review type for the related OFP.
    19 Total DCI's Defect Type Number of defective DCIs included in the review type for the related OFP.
    20 Form The name of the form/type where a defect occurred.

    Note:

    Field will display "No Defects" on defect free reviews.

    21 Section The name of the section where a defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    22 Location The name of the location where a defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    23 Opportunity The name of the opportunity where the defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    24 Defect Type A description of how the opportunity was defective.
    25 Defect Description The descriptive of why the opportunity was defective.
    26 Total Defects Total number of occurrences for the defect identified.

    Note:

    A team manager may choose the "Cumulative Employee (Team)" option on the Reports Selection screen to produce an "Individual Performance Report (Cumulative)" for each individual in the team. This feature allows a team manager to input the report parameters one time and each individual team member should be on their own page(s) when the "print" option is selected.

3.30.30.8.3  (12-01-2014)
Team Report

  1. The Team Report provides quality data for a defined period of time. The Report displays quality performance and feedback by all review types and OFP combinations within the designated period of time. See Figure 3.30.30- 20.

    Figure 3.30.30-20

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details from a single team (as defined by the date parameters on the Reports Screen). Details on all reviews are provided by Review Type for a single team.

    2. The Report Detail contains a single team’s summary information. All quality data is stratified by the employees who belong to the team. All Review Types are aggregated in the employee details.

    3. This report will ONLY generate details for reviews in a "Completed" status.

  2. This report contains performance information for all employees on the team. The manager and/or lead should use this report to:

    1. Identify Best Practices for leveraging to other teams.

    2. Review the team’s performance.

    3. Identify points for process improvement.

    Note:

    This report contains specific employee data for all team members and should not be shared with the employees.

  3. The table below explains each item shown on the Team Report.

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Operation The name of the Operation selected by the end user.
    3 Department The name of the Department selected by the end user.
    4 Team The name of the Team selected by the end user.
    5 Review Type The type of review (Individual Performance, High Quality, Team Defects, Learning Curve, or Managerial/OJT) performed.
    6 DCI's Total DCIs for each review type.
    7 Total Defective DCI's Total defective DCIs for each review type.
    8 Accuracy Calculated accuracy
    9 Total Cumulative total of DCI's and defective DCI's
    10 Run Date The calendar date the report was generated.
    11 DCI's Total DCI's included in "Accuracy" calculation.
    12 Defective DCI's The total number of defective documents in the sample.
    13 Accuracy Calculated accuracy
    14 "*" Identifies specific review types used in "Accuracy"
    15 Top 5 Defects The summary of the Team's top 5 defects.
    16 Form The name of the form/type where a defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    17 Section The name of the section where a defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    18 Location The name of the location where a defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    19 Opportunity The name of the opportunity where a defect occurred.

    Note:

    Field will be "blank" on defect free reviews completed.

    20 Defect Type A description of how the opportunity was defective.
    21 Defect Description A description of why the opportunity was defective.
    22 Defect Count The number of occurrences for the defect identifed.
    23 Employee Summaries Review summaries for each employee will be displayed.
    24 Employee Name/SEID Name and SEID of employee reviewed.

    Note:

    Team defects are identified as "Team"

    25 Total DCI's Total DCIs from all review types with the exception of Managerial /OJI.
    26 Total Defective DCI's Total DCIs with defects from all Review Types with the exception of Managerial/OJI.
    27 Managerial/OJI Summaries Review information associated to Managerial/OJI review type will be displayed following the same format as "Employee Summaries" .

3.30.30.8.4  (12-01-2014)
Department Report

  1. The Department Report provides departmental quality data for a specific time period defined in the date parameters on the Reports Screen. The Report displays quality performance by all Review Types and OFP combinations within the designated period of time. See Figure 3.30.30-21.

    Figure 3.30.30-21

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details from a single department. Details on all reviews are provided by Review Type for the selected department.

    2. The Report Detail contains a department’s summary information for Individual Performance, High Quality, and Team Defect Review Types only. All quality data is stratified by the teams in the department.

    3. This report will ONLY generate details for Individual Performance, High Quality, and Team Defect Reviews in a "Completed" status.

  2. This report should be used to:

    1. Identify Best Practices for leveraging to other areas.

    2. Review the department’s performance.

    3. Identify points for process improvement.

  3. The table below explains each item shown on the Department Report.

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Operation The name of the Operation from the end user selection.
    3 Department The name of the Department from the end user selection.
    4 Review Type The type of review. (Individual Performance, High Quality, Team Defects, Learning Curve, or Managerial/OJT) performed.
    5 DCIs The total number of DCI's for a given review type within the date parameters.
    6 Def DCIs The total number of defective DCI's for a given review type within the date parameters.
    7 Accuracy Calculated accuracy
    8 Total Cumulative total of DCI's and defective DCI's.
    9 Run Date The calendar date the report was generated.
    10 DCIs Total DCI's included in "Accuracy" calculation.
    11 Defective DCIs The total number of defective documents in the sample.
    12 Accuracy Calculated accuracy
    13 "*" Identifies specific review types used in "Accuracy" .
    14 Top 5 Defects The name of the form/type where a defect occurred. Summary of the Department's Top 5 defects.

    Note:

    Format is the same as the "Team Report" .

    15 Team Summaries Summary of each team in the Department.
    16 Team Name Indicates that summary information is going to be provided for the identified team and then further defined by the OFPs that were worked in that team for the time period parameter selected.
    17 Team Name Identifies the team summary information pertains to.
    18 Total DCIs Cumulative DCIs pertaining to the team identified.
    19 Total Defective DCIs Cumulative defect DCIs pertaining to the team identified.
    20 Total Defects Cumulative defects pertaining to the team identified.
    21 Team/OFP Identifies the "team" and "OFP" following summary information pertains to.
    22 Total DCIs DCIs pertaining to the team and OFP combination identified.
    23 Total Defective DCIs Defect DCIs pertaining to the team and OFP combination identified.
    24 Total Defects Defects pertaining to the team and OFP combination identified.
    25 Top 5 Defects Reflects the top 5 defects pertaining to the team and OFP combination identified.

    Note:

    Follows the same format as all other" Top 5 Defects " areas.

3.30.30.8.5  (12-01-2014)
Operation Report

  1. The Operation Report provides operational quality data for a specific period of time. The Report displays quality performance by all review types and OFP combinations. See Figure 3.30.30-22.

    Figure 3.30.30-22

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details from a single operation for a specific time period (as defined in the date parameters utilized on the Reports Screen). Details on all reviews are provided by Review Type for the selected operation.

    2. The Report Detail contains a single operation’s summary information. All quality data is stratified by the departments belonging to the operation (as defined in the Operation parameter in the Report screen). ONLY Individual Performance Review, High Quality and Team Defect Types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance, High Quality, and Team Defect Reviews in a "Completed" status.

  2. This report should be used to:

    1. Identify Best Practices for leveraging to other areas.

    2. Review the operation’s performance.

    3. Identify points for process improvement.

  3. The table below explains each item shown on the Operation Report.

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Operation The name of the Operation from the end user selection.
    3 Review Type The type of review. (Individual Performance, High Quality, Team Defects, Learning Curve, or Managerial/OJT) performed.
    4 DCI Number of DCI's in the Sample Pull.
    5 Total Def DCIs The total number of defective opportunities from all DCI's in the sample.
    6 Accuracy Calculated accuracy
    7 Total Cumulative total of DCI's and defective DCI's.
    8 Run Date The calendar date the report was generated.
    9 DCIs The calendar date the report was generated.
    10 Defective DCIs Total defect DCI's included in "Accuracy" calculation.
    11 Accuracy Calculated accuracy
    12 "*" Identifies specific review types used in "Accuracy" .
    13 Top 5 Defects Reflects the cumulative top 5 defects related to the team.
    14 Department Summaries Summary of each department in the Operation.
    15 Department Name Indicates that summary information is going to be provided for the identified department and then further defined by the OFP’s worked in that department for the specified time period.
    16 Department Name Identifies the department summary information pertains to.
    17 Total DCIs Cumulative DCIs pertaining to the department identified.
    18 Total Defective DCIs Cumulative defect DCIs pertaining to the department identified.
    19 Total Defects Cumulative defects pertaining to the department identified.
    20 Department and OFP Identifies the "department " and" OFP" the following summary information pertains to.
    21 Total DCIs DCIs pertaining to the department and OFP combination identified.
    22 Total Defective DCIs Defect DCIs pertaining to the department and OFP combination identified.
    23 Total Defects Defects pertaining to the department and OFP combination identified.
    24 Top 5 Defects Reflects the top 5 defects pertaining to the department and OFP combination identified. Note: Follows the same format as all other "Top 5 Defects" areas.

3.30.30.8.6  (12-01-2014)
Site Director Report

  1. The Site Director Report provides operational quality data for a specific time period. The Report displays quality performance by all review types and OFP combinations. See Figure 3.30.30- 23.

    Figure 3.30.30-23

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details from a single site over a given period of time (as defined in the date parameters in the Reports screen). Details on all reviews are provided by Review Type for the selected site.

    2. The Report Detail contains a single site’s summary information. All quality data is stratified by the operations that belong to the site. ONLY Individual Performance, High Quality, and Team Defect review types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance, High Quality, and Team Defect Reviews in a "Completed" status.

  2. This report should be used to:

    1. Identify Best Practices for leveraging to other areas.

    2. Review the site’s performance.

    3. Identify points for process improvement.

  3. The table below explains each item shown on the Site Director Report.

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Site The name of the Site from the end user selection.
    3 Review Type The type of review. (Individual Performance, High Quality, Team Defects, Learning Curve, or Managerial/OJT) performed.
    4 DCIs Number of DCI's in the Sample Pull.
    5 Def DCIs The total number of defective opportunities from all DCI's in the sample.
    6 Accuracy Calculated accuracy
    7 Total Cumulative total of DCI's and defective DCI's.
    8 Run Date The calendar date the report was generated.
    9 DCIs The calendar date the report was generated.
    10 Defective DCIs Total defect DCI's included in "Accuracy" calculation.
    11 Accuracy Calculated accuracy
    12 "*" Identifies specific review types used in "Accuracy" .
    13 Operation/OFP Identifies the "operation" and "OFP" following summary information pertains to.
    14 Operation Name Identifies the operation summary information pertains to.
    15 Total DCIs Cumulative DCIs pertaining to the operation identified.
    16 Total Defective DCIs Cumulative defective DCIs pertaining to the operation identified.
    17 Total Defects Cumulative defects pertaining to the operation identified.
    18 Top 3 Defects Reflects the top 3 defects pertaining to the operation identified.

    Note:

    Follows the same format as the "Top 3 Defects " areas.

3.30.30.8.7  (12-01-2014)
EQSP Defect Summary Report

  1. The EQSP Defect Summary Report provides functional quality data for a defined period of time. The Report displays functional quality performance by all review types and OFP combinations within the designated period of time. See Figure 3.30.30-24.

    Figure 3.30.30-24

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains the period of time (as defined in the date parameters in the Reports screen).

    2. The Report Detail contains all of Submission Processing’s Defect summary information. All quality data is stratified by function. ONLY Individual Performance, High Quality, and Team Defect Review types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance, High Quality, and Team Defect Reviews in a "Completed" status.

  2. This report should be used to:

    1. Identify Best Practices for leveraging to other areas.

    2. Review the site’s performance.

    3. Identify points for process improvement.

  3. The table below explains each item shown on the EQSP Defect Summary Report.

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Report Date The calendar date the report was generated.
    3 DCI's The calendar date the report was generated.
    4 Defective DCI's Total defect DCI's included in "Accuracy" calculation.
    5 Accuracy Calculated accuracy
    6 Submission Processing Top 5 Defects Cumulative top 5 defects for all sites.
    7 Function The name of the function where a defect occurred.
    8 Form The name of the form where a defect occurred.
    9 Section The name of the section where a defect occurred.
    10 Location The name of the location where a defect occurred.
    11 Opportunity The name of the opportunity where a defect occurred.
    12 Total Defects Total number of defects pertaining to the opportunity/defect and type of defect description combination from a defective review.
    13 Top 3 Defects by Site Cumulative top 3 defects for by individual sites.
    14 Site Name Identifies the site summary information is being provided for.

    Note:

    Follows the same format as the "Top 5 Defects" .

3.30.30.8.8  (12-01-2014)
EQSP Site Program Summary Report

  1. The EQSP Site Program Summary Report provides site and program quality data for a specific period of time. The Report displays site quality performance by all review types and OFP combinations. Additionally, the Report provides program quality performance by all review types by all OFP combinations. See Figure 3.30.30-25.

    Figure 3.30.30-25

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains the period of time (as defined in the date parameters in the Reports screen).

    2. The Report Detail contains all sites opportunity and defect summary information. All quality data is stratified by site. ONLY Individual Performance and High Quality Review types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance and High Quality Reviews in a "Completed" status.

  2. This report should be used to:

    1. Identify Best Practices for leveraging to other areas.

    2. Review the site’s performance.

    3. Identify points for process improvement.

  3. The table below explains each item shown on the EQSP Site Program Summary Report.

    Number Item Explanation
    1 Period Covered The "to" and "from" dates used in the parameter selection.
    2 Report Date The calendar date the report was generated.
    3 DCIs Cumulative DCIs for all sites combined.
    4 Defective DCIs Cumulative accuracy for all sites combined.
    5 Accuracy Cumulative accuracy for all sites combined.
    6 Site Program Summary Summarizes program information by each site.
    7 Site Identifies the site program information will be provided for.
    8 Average Sample Size The average number of DCI's per sample pull.
    9 Total DCI's Count Total number of DCIs for a given Review Type within the date parameters.
    10 Total Defective DCI's The total number of defects from all Review types for.
    11 Total Defects The total number of Defects for all Individual Performance Reviews.
    12 Program Summary Summarized information by individual programs.
    13 Program Number Displays individual programs numbers pertaining to summary.
    14 Average Sample Size The average number of DCI's per sample pull.
    15 Total DCI Count Total number of DCIs for a given Review Type within the date parameters.
    16 Total Defects The total number of defects for the Review Type/OFP combination.
    17 Program Defects Summaries defect information by the related program.
    18 Program The name of the program where a defect occurred.
    19 Function The name of the function where a defect occurred.
    20 Form The name of the form/type where a defect occurred.
    21 Section The name of the section where a defect occurred.
    22 Location The name of the location where a defect occurred.
    23 Total Defects Total number of defects pertaining to the opportunity/defect and type of defect description combination from a defective review.

3.30.30.8.9  (12-01-2014)
EQSP Blank DCI Report

  1. The The Blank DCI Report provides a report to allow users to view Incorrect and Omitted defect descriptions for each opportunity in the selected DCI. The report allows users to expand or collapse Incorrect and/or Omitted columns to show or hide the defect descriptions. See Figure 3.30.30-26.

    Figure 3.30.30-26

    This image is too large to be displayed in the current screen. Please click the link to view the image.
    1. The Report Header contains details from a single operation for a specific function and program DCI (based on span of control).

    2. The Report Detail contains information for Incorrect and/or Omitted defect descriptions for each opportunity in the selected DCI

    3. For all opportunities in the entire report, an overall "+" and "-" control appears at the top of the report.

    4. For opportunities within each section of the report, "+" and "-" control appears in the section header for Incorrect defect description and Omitted defect descriptions.

    5. For each individual opportunity within the report, a "+" and "-" control appears in each defect description column.

  2. Any Incorrect or Omitted that does not have associated defect descriptions displays as N/A with a gray background when the field is expanded.

  3. The table below describes each item shown on the Blank DCI Report.

    Number Item Explanation (If needed)
    1 Operation The name of the operation of the DCI.
    2 Function The name of the function of the DCI.
    3 Program The name of the program of the DCI.
    4 Incorrect + or - This field allows users to expand or collapse the defect descriptions for the Incorrect column.
    5 Omitted + or - This field allows the users to expand or collapse the defect descriptions for the Omitted column.
    6 Section The name of the section where a defect will occur.
    7 Location The name of the location where a defect will occur.
    8 Opportunity The name of the opportunity where a defect will occur.
    9 Defect Type - Incorrect A description of the opportunity for Incorrect defect description.
    10 Defect Type - Omitted A description of the opportunity for Omitted defect description.

3.30.30.9  (12-01-2014)
EQSP Web Site

  1. The EQSP web page contains current resources and information for all levels of the EQSP User Community. Visit web address: http://win.web.irs.gov/EQSP/Main.htm.

  2. Comments and questions on this page or the information obtained from it should be sent to the HQ Quality Analyst responsible for the EQSP website maintenance.

3.30.30.10  (12-01-2014)
Issue Resolution Process (IRP)

  1. The Issue Resolution Process (IRP) provides a structured way for users to efficiently communicate their concerns, suggestions, or changes needed regarding the EQSP System.

  2. The EQSP IRP Log and the EQSP Opportunity Change Submission (Excel) Template (Issues Log) are located on the EQSP Web site. Refer to this link: http://win.web.irs.gov/EQSP/Issues.htm

  3. When users from the functional area identify an issue, they should send the information to the Site Improvement Specialist.

  4. The Site Improvement Specialist should:

    1. Review the issue and template (if completed by the functional area) to ensure it is complete.

    2. Validate that the issue is significant and appropriate.

    3. Research the EQSP IRP Log for the same or similar issue(s).

    4. Return the request to the submitter if the issue was already submitted.

    5. Complete the template (if not completed by the functional area).

    6. Submit the reviewed issues to the appropriate Headquarters Quality Section analyst, with a courtesy copy to the backups. The listing of the analysts with program responsibility is located on the EQSP Web home page.

3.30.30.10.1  (12-01-2014)
EQSP Opportunity Change Request Template (Excel spreadsheet)

  1. The Site Improvement Specialist or functional area should complete the EQSP Opportunity Change Request Template to submit a request to add, delete, change, or move a location/opportunity related to DCIs. The Template is on the EQSP Website. Visit the Website at: http://win.web.irs.gov/EQSP/Issues.htm.

  2. Open the spreadsheet. Select "file" , then "save as." In the file name enter the applicable operation symbol (SOI, RCO, DPO, DCO, ITIN, ICO, ACO), program, function, and current date.

    Example:

    ICO - 43110 - F210 - 04-04-2012.

  3. The appropriate HQ Quality Section analyst will enter the Issue Source, Issue Year, Issue Number, Open/Closed, Status, and Comments (if needed) in columns A - E and T.

  4. The Site Improvement Specialist will enter the information listed below to submit a request for an opportunity change:

    1. In Columns F- J enter the Operation Area (SOI, RCO, ITIN, DCO, DPO, ICO,or ACO) Function, Program, Form and/or Schedule.

    2. In Column K (Add/Delete/Change) enter add, delete, or change.

    3. Follow the instructions in the table below:

      If you are... Then...
      Adding a location and an opportunity.
      1. Enter add in Column K

      2. Enter the Current Section in Column L

      3. Enter the New Location in Column P.

      4. Enter the New Opportunity in Column Q.

      5. Enter the Defect Description ( Incorrect) in Column R.

      6. Enter the Defect Description (Omitted) in Column S.

        Note:

        The ALT ENTER functionality will take you to a new line within the same column for listing multiple defect descriptions if more than one is needed.

        Example:

        Data Conversion - Incorrect Entry and Keying; Input Correction - Incorrect: Entry; Omitted: Entry and Perfection; Document Perfection – Incorrect: Edit, Omitted: Edit.

      7. Enter the Comments (indicate placement of the new location and opportunity, etc.) in Column T

        Example:

        Add after Section X, Line X, and Opportunity X (X represents the name or number reference).

      8. Enter Coding Guidance, if any, in Column U

      9. Enter the required IRM reference, in Column V.

      Adding an opportunity.
      1. Enter add in Column K

      2. Enter the Current Section in Column L

      3. Enter the Current Location in Column M.

      4. Enter the New Opportunity in Column Q

      5. Enter the Defect Description ( Incorrect) in Column R.

      6. Enter the Defect Description (Omitted) in Column S.

        Note:

        ALT ENTER functionality will take you to a new line within the same column for listing multiple defect descriptions if more than one is needed.

        Example:

        Data Conversion - Incorrect: Entry and Keying; Omitted: Entry; Input Correction - Incorrect: Entry; Omitted: Entry and Perfection; Document Perfection – Incorrect: Edit; Omitted: Edit.

      7. Enter the Comments (indicate placement of new opportunity, etc.) in Column T.

        Example:

        Add after Section X, Line X, and Opportunity X(X represents the name or number reference).

      8. Enter Coding Guidance, if any, in Column U.

      9. Enter the required IRM reference, in Column V.

      Deleting an opportunity.
      1. Enter delete in Column K

      2. Enter the Current Section in Column L.

      3. Enter the Current Location in Column M.

      4. Enter the Current Opportunity in Column N.

      5. Enter the required IRM reference, in Column V.

      Changing an opportunity.
      1. Enter change in Column K

      2. Enter the Current Section in Column L

      3. Enter the Current Location in Column M.

      4. Enter the Current Opportunity in Column N

      5. Enter the New Section in Column O.

      6. Enter the New Location in Column P.

      7. Enter the New Opportunity in Column Q.

      8. Enter Coding Guidance, if any, in Column U.

      9. Enter the required IRM reference, in Column V.

      Moving an opportunity.
      1. Enter Change in Column K

      2. Enter the Current Section in Column L.

      3. Enter the Current Location in Column M

      4. Enter the Current Opportunity in Column N.

      5. Enter the Comments (indicate placement of new opportunity, etc.) in Column T

        Example:

        Move after Section X, Location X, or Line X (X represents the name or number reference).

      6. Enter Coding Guidance, if any, in Column U.

      7. Enter the required IRM reference, in Column V

  5. The Site Improvement Specialist should E-mail the template to the HQ Quality Section Analyst with responsibility for the impacted Operation. If requested change impacts more than one Operation a separate template is required for each Operation.

3.30.30.10.1.1  (12-01-2014)
Reviewing and Resolving the Opportunity Issue

  1. The Designated HQ Analyst should :

    1. Review and research the issue(s). Coordinate with other HQ Quality Section Analysts on overlapping issues.

    2. Inform the submitter, within five business days, of issue disposition (accepted or rejected). The five day time frame ensures that submitters receive prompt feedback, and helps minimize the number of duplicate issues.

    3. Update/revise the EQSP Opportunity Change Submission Template, if necessary.

    4. Notate in the Status column whether the request is accepted or rejected. If rejected, include a reason.

    5. If the request is accepted, input the changes (if applicable) and send the completed spreadsheet to the HQ Analyst Issue coordinator.

      Note:

      Accepted issues not updated on the system will be completed by the Issue Coordinator or assigned to the System Administrator for updating

    6. If request is rejected, send the completed spreadsheet to the originator, with cc to HQ Analyst Issue Coordinator.

  2. HQ Analyst Issue Coordinator should:

    1. Assign a number to each issue.

    2. Post to and monitor the EQSP IRP Log to ensure information on the log is up to date and timely feedback has been provided to the submitter.

3.30.30.10.2  (12-01-2014)
EQSP Opportunity Change Request Template Used for Non-Opportunity Changes

  1. The Site Improvement Specialist should complete the EQSP Opportunity Change Request Template to submit a request for a change to the EQSP system. This template is located on the EQSP Web Site

  2. Open the spreadsheet. Select "file" , then "save as." In the file name enter ,EQSP system and current date.

    Example:

    EQSP -System- 04-04-2012.

  3. The Site Improvement Specialist should:

    1. Complete the applicable fields on the form.

    2. Complete Column T with a suggestion or explanation of systemic item to be addressed.

    3. Send the form to the System Administrator (cc Administrator backup).

3.30.30.10.2.1  (12-01-2014)
Reviewing and Resolving the Non-Opportunity Issue

  1. The HQ System Administrator will review and research the issue(s) and complete the necessary fields on the EQSP Opportunity Change Template to inform the submitter within two business days of issue disposition (accepted or rejected). The two day time-frame ensures that submitters receive prompt feedback and helps minimize the number of duplicate issues.

  2. The HQ Analyst Issue Coordinator should complete the "Issue Number" field and add the item to the EQSP IRP Log if system issue is received from the System Administrator requesting this action.

3.30.30.11  (12-01-2014)
Exhibits

  1. The following exhibits contain specific coding guidance for each Operation.

Exhibit 3.30.30-1 
SOI Operation (12) - Guidelines for Coding Opportunities

Function Specific Guidance
220
SOI
Opportunities generally revolve around:
• Transcribing or entering data from tax returns, schedules, and other documents
• Interpreting information from documents which data to enter

Note:

Generally forms and schedules are not separated in the EQSP system. The forms are developed and specific schedules are linked to the forms for each program . SOI counts are developed for each return and schedule filed in the package, it is necessary for SOI to follow specific guidance to make online EQSP reports reflect useful quality data. This will affect any form received in SOI that has specific schedules attached to the forms, mainly the 1120 and 1040 return family. For forms or schedules received separately, general coding guidelines can be followed.

360
Imaging
Opportunities generally revolve around:

• The scanning, re-scanning, validating, verifying, associating, releasing, restricting, and quality reviewing tax exempt documents that are imaged for public inspection.
720
Receiving, Sorting and Miscellaneous
Opportunities generally revolve around:

• Annotating edit marks throughout the return.
• Reviewing the entity and subsection code.
• Identifying items not open for public inspection.
• Reviewing for potential entries as found on the OFAC list.

Exhibit 3.30.30-2 
Receipt & Control Operation (31) - Guidelines for Coding Opportunities

Function Specific Guidance
130
Pre-Batching
The Batch/ Block Tracking System (BBTS) Section on the DCI is for the creation of the Form 1332 with RPSID and batch ticket for RRPS input.
140
Extracting
Opportunities generally revolve around:
• Expediting all remittances to a Deposit activity
• Reducing mail delivery time for pipeline processing
• Identifying and controlling all documents to be processed

Sorting Documents could be coded as multiple or repeated opportunities.

The Candling Section of the Extraction DCI may be utilized as a stand alone DCI when the series of actions are limited to only those within the Candling Section.

Visually verified opportunities:
• Scan for checks
• Form Type
160
Remittance Perfection
Opportunities generally revolve around:
• Inputting payments received via tax returns, ES coupons, or various documents such as receipts, notices and Levy payments
• Interpreting from documents which data and codes to enter
170
Manual Deposit
Opportunities for Manual Deposit revolve around the:

• Review of forms, documents and remittances
• Generation/Assignment of DLNs
• Preparation and generation of Form 813 (Document Register
• Preparation and generation of form 813-A (Recapitulation of Document Register.)
• Numbering of returns, documents, and remittance
• Encoding of remittances
• Assignment of Trace ID numbers
• Preparation and generation of deposit tickets (TGAnet/Manual DT-SF 215-A.)
• Balancing of Forms 813/813-A, forms/documents, remittances, and deposit tickets.
180
Batching
The DCI has two sections Assembly and BBTS:
Assembly is the action of counting, identifying and placing the work on a cart/wagon for BBTS input
• The section BBTS is for the creation of Form 9382 and includes the input of opportunities such as program code, tax class, received date, estimated quantity, etc.
360
Imaging

• The DCI has three sections Correspondence Imaging System, Batch Cover Sheet Form 13503 and Batch Verification:
Correspondence Imaging System is the action of scanning the document, and includes the input of opportunities such as batch class and size, document type, category code, program code, document and envelope position, etc,

• The section Batch Cover Sheet Form 13503 is for the creation of Form 13503 Cover sheet, and includes the batch name, scanner operator initials and the volume scanned.

Batch Verification is the action of verification of the batch to be scanned. The opportunities include blank page, original document, and statute cleared date.
460
ICT Validation
Opportunities generally revolve around: The section Validate Scanned Documents is the action of validating documents scanned into the Correspondence Imaging system.

The opportunities include:
• TIN
• name control
• tax period
• document type
• category code
• program
• CSR number
• sequence number
• poor quality image
• etc.
550
Document Preparation
The DCI has four sections Preparing Documents, Assembly, Batch Cover sheet - Form 13503, and Miscellaneous.

The section Preparing Documents is the action of preparing the documents to be scanned into the Correspondence Image System. The opportunities include:

•Staples, paper clips or rubber bands
• ICT received date
• Damaged or torn document
• self stick note
• original document unreadable
• photocopied document
• oversized enveloped
• multiple taxpayers
720
Receiving, Sorting, and Miscellaneous
Opportunities generally revolve around :
• Sorting the mail receipts
• Disassemble documents for scanning
• Inserting document separator sheets
•Creating Batch Cover Sheets

Exhibit 3.30.30-3 
ITIN Operation (32) - Guidelines for Coding Opportunities

Function Specific Guidance
180
Batching
Opportunities generally revolve around:
• Batching incoming documents
• Preparing documents for input

Note:

The documents are sorted by the following categories; ITIN CP notices, ITIN correspondence, W7- without returns, W7 with returns

380
ITIN Real Time System (RTS)
Opportunities generally revolve around :
• Processing request using the RTS system

Example:

Situation: Editing may be necessary when processing a W-7 with return . Form 2848 is submitted with W-7 to authorize an individual to represent the applicant before the IRS ( follow procedures 3.21.263) but TE neglects to edit the ITIN on the form. Coding: In the Edit section for program 33350, code the Location Form 2848, Opportunity POA, Defect type Omitted, and Defect description ITIN

530
Pulling Returns and Documents
Opportunities generally revolve around;
• Pulling Returns from the ITIN suspense wall
• Association of CP 566's
720
Receiving Sorting and Miscellaneous
The DCI has 6 sections:
• Folders
• Document Sort
• Assembly
• Edit
• Batch Slip Document
• Sort
790
Tax Account Support Activity
Opportunities generally revolve around;
• Preparing Documents to be filed.
• Stripping CP notices, undeliverables, W-7's and etc..

Example:

Situation: Clerk prepared application to be sent to Files for retention and failed to remove all original supporting identification documentation to be mailed back to the applicant per instructions in IRM 3.21.263.



Coding: In the Assembly section of the program 33350 code the Location Attachments and Opportunity Original Documentation with the defect type as Omitted and the defect description Action.

Exhibit 3.30.30-4 
Document Perfection Operation (34) - Guidelines for Coding Opportunities

Function Specific Guidance
190
Numbering
Opportunities generally revolve around:
• Visual verification of the information entered on Forms 9382 and 1332 and editing of the block/batch volume
• Numbering the returns in sequential order according to block size
• Ensure the DLN is legible.
• Ensuring the correct DLN is numbered on every return in the block
• Ensuring all documents in the block are the same form type for the assigned program number
220
SOI Editing
Opportunities generally revolve around:
• Transcribing or entering data from tax returns, schedules, and other documents
• Interpreting from documents which data to enter

Note:

Generally forms and schedules are not separated in the EQSP system. The forms are developed and specific schedules are linked to the forms for each program . SOI counts are developed for each return and schedule filed in the package, it is necessary for SOI to follow specific guidance to make online EQSP reports reflect useful quality data. This will affect any form received in SOI that has specific schedules attached to the forms, mainly the 1120 and 1040 return family. For forms or schedules received separately, general coding guidelines can be followed.

210
Code & Edit
710
1040X
Prior year opportunities should always be coded as NA when reviewing current year returns.

For Section (Miscellaneous), Location (Miscellaneous) and Opportunity (Sequence order):
• Code N when the parent return and all schedules and attachments are NOT in proper transcription order
• Leave as NA when reviewing a single page return
Items that are not opportunities:
• A line should not have and does not have an entry
• A non T-line has an entry but requires no TE action
• No coding is required and none is there

Visually verified opportunities:
• T-lines and T-COMPUTE lines
• Sequence of Schedules and Forms
• Sequence Number
• Signature
• Tax Period
770/780
Correspondence
There are two different DCIs for Correspondence:
1. Correspondence Typing is used by typing/clerical units who input letters into IDRS
2. Correspondence Forms is used by teams who complete correspondence request forms (e.g., Form 6001, 3696, etc.) and correspondence forms (e.g., Forms 3531, 6800, etc.)

Opportunities generally revolve around:
• Paragraph selections and fill-ins
• Selection of the correct letter
• Typing correct and complete information to generate a letter
• Corresponding when appropriate

Visually verified opportunities:
• TIN, MFT and Tax Period
• Name Lines
• Address, City, State and Zip Code
• Signature Code

Exhibit 3.30.30-5 
Data Conversion Operation (35) - Guidelines for Coding Opportunities

Function Specific Guidance
230
ISRP
Block Header:
•To select the Block Header for review, click the Schedule box on the Review Header Screen and select Form 1332 from list of schedules.
•The Block Header should be included in the review as an attachment to the first document sampled within a single block/folder of work.
•It should not be counted as part of the sampling count, but should be considered as an attachment to the first document sampled within a single block/folder of work. Exception: If a resume block is selected and the employee being reviewed is not responsible for the Block Header, then the Form 1332 should not be selected for review.
Must Enter Fields:
•Must Enter Fields are opportunities only when an entry is present or an entry is input when no entry is present. The input of F7 or zero(s) to by-pass a must enter field is not an opportunity.
• For example, RPC is a must enter field.
1.If an RPC is not edited on the tax return, but one is input, the opportunity should be coded as "N" with defect type "incorrect."
2. If an RPC is edited on the tax return, but is not input, the opportunity should be coded as "N" with the defect type "omitted."
Omission of transcription data for a field may impact coding for subsequent fields:
•If a transcriber omits an entry for a field, this action may prevent subsequent fields from becoming must enter fields. When this happens, the subsequent fields would not be considered opportunities, if the field is blank. For example: the dependent check box only becomes an opportunity when the name control or SSN are also input.
This Opportunity will only be coded "N" if an employee enters or fails to enter a section which has data required to be transcribed. Examples:
1. If an employee failed to transcribe a section with significant entries present on a document, code "N" Omitted for the opportunities that were not transcribed. Code "N" Omitted if the Blank Section should have been transcribed and was not.
2. If an employee enters information in a section which has no data to be transcribed. Code field with the erroneous entry as "N" Incorrect.
440
RRPS
Opportunities generally revolve around:
• Inputting payments received via tax returns, ES coupons, or various documents such as receipts, notices, and Levy payments.
• Interpreting from documents which data and codes to enter.
Items are not opportunities when:
• A line should not and does not have an entry.
• A must enter field has no significant entry. Must Enter Fields are opportunities if:
• There is a significant entry and there should be.
• There is no entry and there should be.

Note:

SSN/EIN, Name Control or Check Digit, and Primary Transaction Amount are always considered opportunities.


Must Enter Fields are not opportunities if:
• There is no significant entry and there should not be (the must enter field is blank or zero).

Note:

Significant entry is equal to a positive or negative number other than zero.

470/480
SCRIPS
These returns are scanned through SCRIPS. If the information is not picked up by the scanner, the data transcriber (DT) is responsible for inputting this information. For example, the scanner did not pick up the information on line 10. The DT was required to input Line 10, but incorrectly input the entry on Line 11. Code an incorrect entry for Line 11.
550
Post Doc Prep
For Post-Doc Prep, defects generally revolve around:
• Preparing documents for Files
• Perfection of Document Locator Numbers (DLN)
DLN sequencing Items are not opportunities when:
• The IRM does not address the item.
Many of the decisions you make about opportunity identification will involve required actions per the IRM. Required action
• There is no action and there should be.

Example:

DLN not written on folder, DLN Sequence, and DLN perfection will always be a required action

790
RAVIS/IVES
Opportunities generally revolve around:

• Requests received from taxpayer or their representatives on Form 4506, Request for Copy of Tax Return or Form 4506.
• Request for Transcript of Tax Return.
• Actions an employee took to complete their duties, e.g., validating requests that are processable; completing requested actions and notifying the taxpayer.
• EQSP provides 1 main DCI and several optional DCIs (schedules) to record quality review results for Return and Income Verification Services (RAIVS). Main DCI – Tax Account support Activity (790). Code when the tax examiner is required to validate a taxpayer request that may consist of:

• Review of the proper fee amount received
• Completeness of request
• Identification and authentication of taxpayer
• Proper authorization for disclosure and accuracy of data input to TDS.

Exhibit 3.30.30-6 
Input Correction Operation (36) - Guidelines for Coding Opportunities

Function Specific Guidance
270
Error Resolution
Whenever possible, code the point of error and do not code subsequent "ripple" defects.

Example:

Workable Suspense Inventory (ERS 13-42).

To resolve the case, the tax examiner is required to:
• As the documents are returned, enter the date received at the bottom of the charge-out.
• Associate charge-out from the appropriate control area with the document.
• If the record is in the Unworkable Suspense Inventory, use CC ACTVT to transfer the record to the workable file.
• The following day use ERS 13-42 for assigning the record, or refer to local procedures.
290
Unpostables
Whenever possible, code the point of error and do not code subsequent "ripple" defects.

Example:

Transcription error: Form 4251 was received with an unpostable code (UPC) 176, indicating the taxpayer name was incorrectly transcribed.
To resolve the case, the tax examiner is required to:
Research IDRS – CC INOLE
Compare information on Form 4251 with the information. retrieved on IDRS to determine the correct taxpayer name
Access IDRS – CC UPRES input URC 6 to correct the Name Control and name line to resolve the case.
Edit Form 4251 indicating actions taken to resolve case.

310
Research
Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill requests for documents received from IRS employees for returns that have been sent to FRC and to re-file those documents to.
• EQSP provides one DCI’s for FRC to record quality review results in Input Correction Function 520 Program 37500. Code for accuracy when the employee is required to request and re-file documents with FR.
•There are no schedules.
340/350
CARE
ERS
Rejects
Whenever possible, code the point of error and do not code subsequent "ripple" defects.

Example:

TE did not correct an SSN that had been input incorrectly and instead sent the TPNCs indicating that person had been disallowed. In this case, code the defect for the SSN but not for the TPNCs.



If subsequent incorrect TPNCs are not related to the original point of error, code them as defects.
360
Correspondence Imaging
Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill request for documents received from IRS employees.
• EQSP provides one DCI for CIS to record quality review results in Input Correction Function 360.
• Code for accuracy when the employee is required to prepare and scan documents input to CIS.
• There are no schedules.
390
Entity Unpostables
Whenever possible, code the point of error and do not code subsequent "ripple" defects.

Example:

The tax examiner accessed IDRS – CC INOLES and determined the name line was transcribed on the Form 4251 with the wrong last name. Though the tax examiner accessed CC UPRES, he/she fail to input URC 6 to correct the name control and name line.

510
Cycle Control
Opportunities generally revolve around:

• Receiving documents from mainline processing and preparing them for filing.
• EQSP provides four DCI’s for FRC to record quality review results in Input Correction Function 510.
1) Document Preparation (00000)
2) Shelving (00001)
3) 5147 IDRS Association (00002)
4) Listing (00004)

• Code for accuracy when the employee is required to request and refile documents with FRC.
•There are no schedules.
520
Central File Control
Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill requests for documents received from IRS employees for returns that have been sent to FRC and to refile those documents to.
• EQSP provides one DCI’s for FRC to record quality review results in Input Correction Function 520 Program 37500.
• Code for accuracy when the employee is required to request and refile documents with FRC.
• There are no schedules.
530
Pulling Returns
Opportunities generally revolve around:

• Actions an employee takes to complete a request received from various functions within the IRS, including all sites and area offices.
• EQSP provides four DCI’s for Pulling Returns and Documents to record quality review results in Input Correction Function 530.
540
Re-filing Returns
Opportunities generally revolve around:

• Actions an employee takes to complete refilling requests received from various functions within the IRS, including all sites and area offices.
• EQSP provides one DCI’s for re-filing returns and documents to record quality review results in Input Correction Function 530.
550
AIMS
Opportunities generally revolve around:

• Actions an employee took to complete their duties to fill requests for document request received from IRS Exam employees.
• EQSP provides one DCI for AIM to record quality review results in Input Correction Function 550 Program 00000.
• Code for accuracy when the employee is required to fill an AIMS request.
• There are no schedules.
550
Undeliverables
Opportunities generally revolve around:

• Timely actions an employee took to complete their duties to resolve undeliverable notices.
• EQSP provides one DCI for Undeliverable Notices to record quality review results in Input Correction Function 550 Program 00000.
• Code for accuracy when the employee is required to resolve an Undeliverable Notice.
590
Special Search
Opportunities generally revolve around:

• Actions an employee took to locate requested returns or documents. The scope and sequence (how for to go in searching and where to go in searching) varies with the circumstances of each search, but do not close the case until all likely sources of information have been checked.
• EQSP provides one DCI for Special Search to record quality review results in Input Correction Function 590 Program 00000 .
• Code for accuracy when required to locate return/document.
• There are no schedules.
710
ID Theft
Whenever possible, code the point of error and do not code subsequent "ripple" defects.

•The tax examiner reviewed the assigned math error notices for accuracy and determined the notices were correctly issued.
•Tax examiner entered P in ONLR to release the notices. The return should be coded into EQSP as: first opportunity coded “Y” to indicate a completed review.
710
Notice Review
Whenever possible, code the point of error and do not code subsequent "ripple" defects.

Example:

If a REQ54 Code adjustment was required, but the TE did not initiate one, code the opportunity "REQ 54 input initiated " as "NO/omitted/point of error." Do not code the opportunities in the "Taxpayer Account: Adjustment" section that should have been accomplished as NO.

Example:

If a REQ54 was initiated and should not have been, Code the opportunity "REQ54 input initiated" as "NO/incorrect/point of error" . Do Not code anything in the Taxpayer Account: Adjustment section.

770/780
Correspondence
There are two different DCIs for Correspondence:
1. Correspondence Typing is used by typing/clerical units who input letters into IDRS
2. Correspondence Forms is used by teams who complete correspondence request form (e.g., Form 6001, 3696, etc.) and correspondence forms (e.g., Forms 3531, 6800, etc.)

Opportunities generally revolve around:
•Paragraph selections and fill-ins
•Selection of the correct letter
• Typing correct and complete information to generate a letter
•Corresponding when appropriate

Exhibit 3.30.30-7 
Accounting Control Services Operation (37) - Guidelines for Coding Opportunities

Function Specific Guidance
340
ERS(EFTPS)
Site Specific(Ogden)
420
Automated Manual Assessment
Opportunities for AMA revolve around:

• Validation of Form 2859 for taxpayer data, transaction entries, and math calculations
• Generation of Document Locator Number (DLN)
• Input of Form 2859 information
• Creation and printing of Form 3552C - Prompt Assessment Billing documents.
• Printing of Form 813 (Document Register), listing Form 2859 assessment amounts, totals, and annotation of general ledger accounts for journalization.
420
Automated Non-Masterfile
When the Accounting Technician processes a request in error or omits processing the correct request per the taxpayer information input, the quality reviewer should limit coding to the following opportunity to prevent a ripple effect.

(Request processed) When the Acctng. Tech fails to process the F2859, but should have:
Code the opportunity “Request processed” as “N”, Omitted, Processing.
420
Dishonored Checks

• Add checks to establish the case on DCF.
•Balance and verify entries and make corrections to amounts input erroneously.
•Research and identify audit trail of original credit.
•Apply debits to taxpayer accounts.
•Redeposit returnable checks.

There are 3 main DCIs and several accompanying DCIs listed as "schedules" used to process cases for Dishonored Checks.
1. 37300 Dishonored Checks (BDADD):
• Code when an employee balances and adds checks to the Dishonored Check File (DCF) using IDRS.
2. 37300 Dishonored Checks (BDAPL):
• Code when an employee applies debits from the DCF to taxpayer accounts.
3. 37300 Dishonored Checks (BDOUT):
• Code when an employee corrects money amounts on DCF to balance totals, or when an item amount is removed from DCF.

Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for BDADD and BDAPL:
- Form 2424
- Form 3244
- Form 3699
- Form 8157
- Form 8252
- Form 8269
- Form 8290
- Form 12993
- Form 2287C
420
Manual Refunds
Opportunities revolve around:

• Validation requirements and the processing of manual refunds:
• Review requests for completeness and legibility Confirm there are no strike through or white outs.
• Verify requests are received on current form revision Review supporting documentation.
• Validate authorized approving official signature and printed name.
• Confirm entry of Employee ID number and phone number.
• Verify taxpayer and tax account information verification on IDRS.
• Verify accuracy of the refund and interest amounts using COMPAC/COMPAD; identification and correction of errors prior to input to REFAP.
• Maintain case history Monitor requests weekly and process requests within required time-frame.
420
Refund Intercept
Site Specific (Ogden and Cincinnati)
710
Erroneous Refund


The 710 Erroneous Refund DCI is the main DCI. This DCI will be selected when reviewing all erroneous refund cases. Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for Erroneous Refund:
- ER History Sheet
- 86C Letter
- 510C Letter
- Form 813
- Form 2209
- Form 2209-A
- Form 1099 or MISC
- Form 3244
- Form 3245
- 3064C Letter
- Form 3753
- Form 3809
- 3414C Letter
- Form 8758
- Form 12857
710
Unidentified Remittance

• Adding remittances to the URF File.
• Researching remittances for proper disposition.
• Applying remittances from the URF.
EQSP provides 2 main DCIs and several optional DCIs to record quality review results for Unidentified (UNID):
1. 37400 Unidentified Remittance (URADD):
• Code when an employee adds remittance to the Unidentified Remittance File (URF).
2. 37400 Unidentified Remittance (URAPL):
• Code when an employee applies or transfers remittances. Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for URADD and URAPL.
- Form 1687C (IDRS Letter)
- Form 2424
- Form 8765
- Form 3731C (IDRS Letter)
- Form 13154
- Form 4830
 
 
     
 
 
 
710
Excess Collection

• Adding credits to the Excess File
• Researching credits for proper disposition Applying or refunding credits to taxpayer accounts or taxpayer from Excess
• 37600 Taxpayer Account (XSADD): Code when an employee adds credits to the Excess Collection File
• 37600 Excess Collection (XSAPL): Code when an employee applies or transfers a credit
• 37600 Excess Collection (Research): Code when research is performed on open Excess Collection cases Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed for XSADD and XSAPL.
• 0012C (IDRS Letter)
• 0018C (IDRS Letter)
• 0112C (IDRS Letter)
• 0135C (IDRS Letter)
• 0143C (IDRS Letter)
• 0320C (IDRS Letter)
• 1505C (IDRS Letter)
• 1687C (IDRS Letter)
• 2349CG (IDRS Letter)
• Form 8758
• Form 8765
• Form 8766 / History sheet
 
 
 
 
710
Dept. of Justice
Site Specific (Kansas City)  
 
 

Exhibit 3.30.30-8 
Glossary

Batch: A batch is typically equivalent to one cart/truck of completed work.

Block: A block is typically equivalent to one folder of one employee’s work, with multiple documents in it. Blocks are typically broken into 3 approximate sizes (<25 documents, 50 documents, or 100 documents). The block size depends on how many documents fit into a folder. Blocks may be in carts/trucks, bins, clips, baskets, etc.

Critical Job Elements (CJE): IRS document, specific to each position series, which states the performance requirements for the specific position series.

Data Collection Instrument (DCI): A Data Collection Instrument (DCI) is equivalent to one review in EQSP. One sample pull per DCI with one document reviewed is the standard (exceptions are Numbering and Batching).

Defect: An incorrect action taken or correct action not taken on a document/case/return.

Defect Description: The characteristics of the Defect Type within a work process.

Defective Document/Case/Return: a document/case/return which contains one or more defects.

Defect Type: General category used to describe an action inappropriate for the function being reviewed. For the EQSP system, there are two primary defect types – incorrect and omitted.

Document: One document is typically equivalent to one review in EQSP. If the weekly sample size for a function is 5 documents, then the sample process would consist of using the Random Number Calendar to identify first the block and then the document. Exceptions are the Batching and Numbering functions, where one block is equivalent to one document.

Embedded Quality Submission Processing (EQSP): A measurement system that will identify the cause and impact of errors, apply common measures to every level of the organization, and enable frontline employees to understand how their contributions impact IRS’ performance.

Individual Feedback Review: Review conducted on completed work performed by trained employees to determine effectiveness of training and readiness of the employee for individual review.

Individual Performance Review: A process designed to sample an individual’s work for the purpose of providing feedback to the employee and to provide the basis for evaluation of the employee’s performance.

Location: Further clarifies where this opportunity might be found.

Example:

On a tax form location would be, Line 7. For Non-Form based actions, the Location text matches the Opportunity text.

On-the Job Training (OJT) Review: Reviews are typically 100% reviews of an employee's work during an initial training or coaching period. The results are used to identify training issues, determine job readiness, and monitor employees’ procedural skill and progress.

Organization-Function-Program (OFP): The Organization, a five position number, representing (from left to right) two digits for the Operation, one digit for the Department, and two digits for the Team or Group. The Function, a three position number, represents a work action, group of actions, or specific action.

Percent Accurate: A figure representing the accuracy rate achieved by the employee per OFP/grade combination. Although this terminology continues to display on the system-generated reports, it is not currently used in EQSP.

Precision Margin: The degree of accuracy of sampled results.

Product Review: Random samples of a team's completed work to determine the quality of the product versus quality of the team's performance.

Opportunity: An opportunity is the point at which a specific action of an employee’s job was either performed, or should have been performed, and must be Critical to Quality.

Quality Analysis: An appraisal of an operation or process to determine and report on whether that operation/process is functioning properly and whether it is conforming to established procedures, or to determine the core cause of quality problems.

Quality Improvement: The process of identifying problems or areas for improvement and approaching them with methodical problem-solving process.

Random Numbers Table: A table of numbers created by generating the digits "Zero" through "Nine" one after another in such a way that the order of the digits cannot be predicted.

Rateable: An employee is rateable when he or she spends at least 25% of his/her total time on measurable work or 40% of his/her direct time on measurable work.

Review Detail Screen: This screen contains the following information: Section, Location, Opportunities, Correct, Defect Type, Defect Description, and Schedules.

Review Header Screen: This screen gathers data such as the "Who, What, When, Where, and Why" of each review. It includes items such as Employee SEID, Organization, Function and Program.

Review Summary Screen: This screen displays the Defects Summary, total opportunities and total number of defects.

Sample Pull ID: The unique identification number for the sample being reviewed. The ID number groups like review samples into a single group. You must create a new Sample Pull ID every time a different employee or a different work product is being reviewed.

Sample Size: A group of items or documents selected for a quality review.

Section: The Sections on the Form, Schedule or Product.

Standard Employee Identifier (SEID): A unique five place identifier assigned to each IRS employee.

Issue Resolution Process: A structured approach to reviewing a system/process to determine how people, material, equipment, methods and environment impact output. This will identify and recommend improvement opportunities.

Tubs/Baskets: Either blocks or individual documents may be located in tubs and baskets. If there are multiple blocks in the tub/basket, then treat it like a cart/truck. If there are multiple documents in the tub/basket which make up one block, then treat it like it is a block for counting purposes.

Exhibit 3.30.30-9 
Roles and Responsibilities

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