3.30.30  Embedded Quality for Submission Processing (EQSP) System

Manual Transmittal

May 4, 2012

Purpose

(1) This transmits an revised 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 Pamela J. Walker to Jerald H. Heschel.

(2) IRM 3.30.30.1 (2) Added updated information

(3) IRM 3.30.30.1.1(5), Revised Input Correction Operation function chart

(4) IRM 3.30.30.2, Revised security requirements

(5) IRM 3.30.30.5.1.4, Added new subsection

(6) IRM 3.30.30.7.4 (4), Revised Language in chart

(7) IRM 3.30.30.1 (4), Revised note

(8) IRM 3.30.30.2 (4) (5) (10), Removed note

(9) IRM 3.30.30.5.1(5) Removed note

(10) IRM 3.30.30.5 (1), Revised note

(11) IRM 3.30.30.5.1.2 (1), Removed one note

(12) IRM 3.30.30.8.1 (1), Removed note

(13) IRM 3.30.30.8.2 (1), Removed note

(14) IRM 3.30.30.8.3 (1), Removed note

(15) IRM 3.30.30.1.3 (2) a. Revised statement regarding Quality Review requirements.

(16) IRM 3.30.30.1.3 (3) b. Added further instructions for Quality Review.

(17) IRM 3.30.30.1.3 (3) c. Added further instructions for Quality Review.

(18) IRM 3.30.30.1.5 (1) Added further instructions for Quality Review types.

(19) IRM 3.30.30.1.5 (1) b. Revised statement for Quality Review types.

(20) IRM 3.30.30.1.5 (1) e. Added further instructions for Quality Review types.

(21) IRM 3.30.30.1.5 (3) Revised instructions for Quality Review types.

(22) IRM 3.30.30.1.5 (6) Added information for High Quality Work.

(23) IRM 3.30.30.1.6 (2) Added further instructions for Time Reporting

(24) IRM 3.30.30.2 (8) Revised statement to remove Site Assistant.

(25) IRM 3.30.30.2 (9) Added further information about Roles and Responsibilities.

(26) IRM 3.30.30.3 (4) c. and d. Revised instructions for requesting on the 5081 system.

(27) IRM 3.30.30.3.1 (6) Added the term role and removed profile.

(28) IRM 3.30.30.4 Revised Charts for System Profile.

(29) IRM 3.30.30.5 Updated instructions for Employee Profiles.

(30) IRM 3.30.30.5.1.1 Updated screen print for Employee's profile.

(31) IRM 3.30.30.5.1.2(3) Added further instructions for Employee's profile.

(32) IRM 3.30.30.5.2.2 Provided further information on Proxy Roles.

(33) IRM 3.30.30.6.1 Revised information and screen for Reviewer's Main Menu.

(34) IRM 3.30.30.6.1.1 Revised information and screen for Review Header Screen.

(35) IRM 3.30.30.6.1.3 (3) Revised information for the Review Detail screen.

(36) IRM 3.30.30.6.1.4 Added further instructions for Coding the Data Collection Instrument (DCI).

(37) IRM 3.30.30.6.1.5 Added further instructions for the Review Summary Screen.

(38) IRM 3.30.30.6.1.6 Added further Searching for a Review instructions.

(39) IRM 3.30.30.7 Removed references to Business intelligence.

(40) IRM 3.30.30.8 Revised and added further information throughout the section on EQSP reports.

(41) IRM 3.30.30.10.1 Revised and added further instructions on the If and Then table for the EQSP Opportunity Change Template.

(42) IRM 3.30.30-5 Revised charts for the Accounting Operation.

(43) IRM 3.30.30-6 Updated Glossary.

(44) Exhibit 3.30.30-7 Added Exhibit for Roles and Responsibilities.

(45) IRM 3.30.30.10 Revised information.

Effect on Other Documents

IRM 3.30.30, dated 3/28/2011, is superseded. This IRM also incorporates Interim Guidance 110957 and 110957.

Audience

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

Effective Date

(05-04-2012)


Jerald H. Heschel
Director, Submission Processing
Customer Account Services
Wage and Investment Division

3.30.30.1  (05-04-2012)
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 process improvement.

  2. Per Article 12, Section 13 of the National Agreement II, Measured Employees Performance System (MEPS) will run parallel with Total Evaluation Performance System (TEPS) from October 1, 2011 through September 30, 2012. As of October 1, 2012, MEPS will be used by managers to provide evaluative data on employees measured in quality and/or efficiency.

  3. EQSP is used by upper level management, front-line managers, and Headquarters to determine site-specific quality and potential best practices.

  4. Managers use this system to create and edit the profile information for their employees. See IRM 3.30.30.5.1.1, Creating an Employee's Profile.

    Note:

    The Measured Employee Performance System (MEPS) will run parallel with Total Evaluation Performance System (TEPS) beginning October 1, 2011. Effective July 1, 2011, managers must build individual employee profiles and all reviews must be entered using individual employee Standard Employee Identifiers (SEID). The coding of all reviews will be completed under individual employee Standard Employee Identifiers. (SEID). The use of recording reviews to team SEIDs must be discontinued.

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

    1. Captures data on reviews performed by Quality Reviewers, managers, and analysts;

    2. 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.

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

3.30.30.1.1  (05-04-2012)
Operations and Functions in the EQSP System

  1. Receipt and Control Operations:

    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. 720- Receiving, Sorting, and Miscellaneous

  2. ITIN Operations:

    1. 180 - Batching

    2. 380 - ITIN Real Time System (RTS)

    3. 790 - Tax Accounts Support Activity

  3. Document Perfection Operations:

    1. 190 - Numbering

    2. 210 - Code and Edit

    3. 390 - Entity

    4. 550 - Pre-Doc Preparation

    5. 710 - Tax Account Support Activity-1040X

    6. 770 - Correspondence (Form)

  4. Data Conversion Operations:

    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

  5. Input Correction Operations:

    1. 270 - Error Resolution System (ERS)

    2. 290 - Unpostables

    3. 310 - Research

    4. 340 - Error Resolution System (ERS)

    5. 350 - Rejects

    6. 360 - Imaging

    7. 390 - Entity Unpostables

    8. 510 - Cycle Control and Servicing

    9. 520 - Central File Control

    10. 530 - Pulling Returns and Documents

    11. 540 - Re-filing Returns and Documents

    12. 550 - AIMS

    13. 550 - Undeliverables

    14. 550 - Support Activity

    15. 590 - Special Search

    16. 710 - Notice Review

    17. 710 - Tax Account Activity

    18. 770 - Correspondence (Typing)

    19. 770 - Correspondence (Form)

  6. Accounting Control Services Operations:

    1. 420- Automated Manual Assessment

    2. 420- Manual Refunds

    3. 420- ANMF

    4. 420 - Dishonored Checks

    5. 710 - Erroneous Refunds

    6. 710 - Unidentified Remittance

    7. 710 - Excess Collections

    8. 790 - Tax Account Support Activity (RAIVS)

  7. SOI

    1. 220 - SOI Editing

3.30.30.1.2  (05-01-2009)
Objectives of Quality Review

  1. Quality Review data provides a basis for:

    1. Measuring and improving program effectiveness

    2. Identifying defects resulting from site actions or inaction

    3. Analyzing the reason(s) for defect occurrence

    4. Identifying defect trends

    5. Recommending and initiating corrective action

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

    7. Identifying training needs

    8. Planning workload distribution

3.30.30.1.3  (05-04-2012)
Quality Review Requirements

  1. The reviewer must have a good working knowledge of the work in the particular area that is being reviewed.

  2. New quality reviewers should:

    1. Attend training for individual review, per local guidelines.

    2. Sit with an experienced reviewer and observe how the reviewer does the job.

    3. Review employees’ work.

    4. Identify defects.

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

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

    7. 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. The review must be accurate, valid, and consistent.

    2. The reviewer must record all defects found.

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

3.30.30.1.4  (04-13-2010)
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. 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.

  3. Local procedures are deviations from the IRM. Only local procedures approved by Headquarters Program Management can be considered when evaluating quality. If the procedure is not in an IRM or issued as an Interim IRM Update (IPU), an error cannot be charged.

  4. 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 .

3.30.30.1.5  (05-04-2012)
Quality Review Types

  1. The EQSP Quality Review process data is captured under five Review Types:

    1. Individual Performance Review.

    2. Individual Feedback Review .

    3. Product Review.

    4. On-the-Job Training (OJT) Review.

    5. High Quality Work

  2. Individual Performance reviews are samples of an employee’s completed work.

    Note:

    The Standard Employee Identifier Number (SEID) is required.

  3. Use the Individual Feedback review type to record defective documents identified in an employee's completed work when charging defects to a team. Examples include Multiple Identical Defects (MID) found within the same sample, defects attributed to training program deficiencies, or defects incurred due to procedural changes not shared with the employee. Reviews will provide employee feedback only and will not count towards measured quality performance ratings.

    Note:

    The SEID is required.

  4. Product Feedback reviews are used when work sampled for feedback cannot be associated back 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.

  5. On-the-Job Training (OJT) reviews are samples of an employee's work to assess their 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 coaching period.

  6. High Quality Work

    Note:

    The SEID is required.

3.30.30.1.6  (05-04-2012)
Time Reporting

  1. See IRM 25.8, OFP Code List, for appropriate Work Planning & Control (WP&C) Organization, Function, and Program (OFP) time reporting codes. IRM 25.8 does not provide a breakdown of the OFP codes to the 5th digit.

  2. See the table below for a list of 5th digit 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 08032 Functional Subject Matter Experts (SME's) - For use when providing EQSP support such as developing process maps, creating data collection tools, and attending meetings
    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 and Individual Feedback Review Types-Time spent entering measured reviews in the EQSP system.
    Valid for all Organizations 880 08031 Unmeasured Review - Individual Feedback Review Types - Time spent performing the review and entering unmeasured reviews in the EQSP system.
    Valid for all Organizations 880 08032 Individual Feedback Review - This includes time spent performing the review as well as inputting the review data to the EQSP system.
    Valid for all Organizations 880 08033 Unmeasured Sampling - Time spent selecting random sample of completed work for review.

3.30.30.2  (05-04-2012)
Roles and Responsibilities

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

  2. 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. Use valid sampling techniques to pull the daily sample, if applicable.

    3. Protect the documents that are being reviewed.

      Note:

      All documents and information (including taxpayer information) seen, heard, or handled must remain secure and confidential. This prohibition is intended to protect the privacy and confidentiality of taxpayer data.

    4. Input review data using the EQSP system.

    5. Identify and code incorrect opportunities appropriate for a particular work product.

    6. Identify any needed changes to the Data Collection Instruments (DCIs).

    7. Provide recommendations for corrections/ improvements for IRM 3.30.30, Embedded Quality for Submission Processing System, and EQSP Training Material.

    8. Generate and print Single Event Individual Employee Reports for reviews performed.

    9. Identify and report all problems to the Quality Review (QR) Manager

  3. Quality Review (QR) Manager:

    1. Review of access and access permissions regularly and at least monthly 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) seen, heard, or handled must remain secure and confidential. This policy is intended 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 incorrect opportunities for a particular work product.

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

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

    12. Complete Quality MEPS IPR Adjustments.

    13. Create and maintain accurate profiles for assigned employees.

    14. Unlock reviewer accounts as necessary when account is locked due to incorrect password, (not if a 5081 is required).

    15. Reset reviewer passwords as necessary when account is locked due to incorrect password, (not if a 5081 is required).

  4. Team Manager/Team Leader:

    1. Review of access and access permissions regularly and at least monthly 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 and Cumulative Individual Performance Reports.

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

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

  5. Department Manager:

    1. Confirm completion of reviews for access and access permissions regularly and at least monthly 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.

  6. Operation Manager:

    1. Confirm completion of reviews for access and access permissions regularly and at least monthly 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.

  7. Site Director:

    1. Monitor all EQSP site activities.

    2. Provide support for national improvement strategies.

  8. Site Administrator :

    1. Approve Forms 5081 and establish or modify profiles using the EQSP System.

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

  9. Site Assistant

    1. Approve Forms 5081 and establish or modify profiles using the EQSP System.

  10. 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.

  11. Improvement Specialist (IS):

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

    2. Implement EQSP system change process.

    3. Identify and resolve calibration issues within Operations.

    4. Provide input to HQ regarding defect calibration issues.

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

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

    7. Report system issues (e.g., system outage, slow response, missing DCIs or portions thereof) to HQ as soon as feasible.

    8. Provide training assistance to Operations.

    9. Use MEPS and EQSP data to monitor accuracy.

    10. Use EQSP data to identify specific defects.

    11. Monitor EQSP sampling to ensure compliance with sampling plan.

    12. Identify the need for directed EQSP sampling.

    13. Coordinate with HQ to tailor EQSP sampling to obtain sufficient data to drill down and identify opportunities for improvements.

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

  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 system change request 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 TEPS data to monitor document accuracy by function on a weekly basis.

    8. Use EQSP data to identify specific defects.

    9. Monitor EQSP sampling to ensure compliance with sampling plan.

    10. Identify the need for directed EQSP sampling.

    11. Prepare ad hoc reports.

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

    13. Partner with stakeholders to address identified improvement opportunities.

    14. Communicate system updates, changes, and revisions to management and improvement specialists.

    15. Maintain the EQSP system.

    16. Provide program and procedural guidance.

    17. Coordinate program development.

    18. Provide support and guidance to Site Improvement Specialists.

  13. See Exhibit 3.30.30-7.

3.30.30.3  (05-04-2012)
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, Automated Information System (AIS) User Registration/Change Request, process. Visit Website https://ol5081.enterprise.irs.gov/. Follow the on-line instructions to complete the form.

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

    1. The 5 digit Organization Code.

    2. The user's telephone number.

    3. The user's job series ID.

    4. The EQSP’s Role requested for the employee. Options include: Site Director, Operations Manager, Department Manager, Quality Manager, Team Manager, Quality Reviewer, Site Administrator and Planning &Analyst Analyst.

  5. Once the manager approves the employees' 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.

  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 a message on the EQSP Login screen that says, "Your account has been locked. Please submit a request to On-line 5081 to unlock your account."

  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 online 5081 to modify profile if users roles change.

  11. When access to EQSP is no longer required, use the On-line 5081 system to submit a request for removal from the system.

3.30.30.3.1  (05-04-2012)
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 in capital letters) 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:

    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. The Username and Password will be erased, 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.) Your new password must be at least eight characters long, must contain at least one uppercase and one lowercase letter, and must not contain any form of the user's name or ID. Returning users will not be able to reuse any password used in the last 24 password resets or in the last six months. Protect your new password as you would any other official IRS password.

      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.

    1. If your role is a reviewer, you will see the Reviewer's Main Menu Screen. Refer to IRM 3.30.30.6.1, Reviewer's Main Menu Screen, for detailed instructions.

    2. If your role is not a reviewer you will see the Manager's Main Menu Screen. For more information, refer to IRM 3.30.30.5.1, Manager's Main Menu Screen.

  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: https://kisamess.web.irs.gov/webtier-7.11/ess.do .

3.30.30.4  (05-04-2012)
System Profiles (Permissions)

  1. System Profiles define the types of activities for which a user is allowed to use the system, and the level of data (from employee level up to site level) to which they are granted access.

    Example:

    Managers can create and edit Data Collection Instruments (DCI) for their employees, and view reports for their team, department and site. Quality reviewers can create/edit DCIs and view the Single Event Individual Employee Report.

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

    Role System Profile (Permissions)
    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 a DCI within assigned Site and Operation.

    2. View any DCI they created at any time.

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

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

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

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

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

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

      Note:

      Contact the EQSP Site Administrator to delete older reviews.

    9. MEPS reports and listings systemically generated and sent to Control D to be viewed.

      • Individual Performance Report (IPR) weekly, monthly annual and ad-hoc

      • Efficiency Base Point

      • Quality Base Point

      • Mid Quarter/Quarterly Performance

      • Operation Quarterly Numerical

      • Team Learning Curve

      • Release Recall

      • Quality / Quarterly Performance Report

      • Sampling Report

      • Missing Employee Report

      • Operation Rating Statistics Report

      • Service Center Rating Statistics Report

      • National Rating Statistics by SC Report

      • EMF 3 Coded Employee

      • Minimally Successful and Below Employees by Operation Report

      • Weekly No Volume OFP Report

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

    11. Create and edit the profile information of a Quality Reviewer or an employee that they manage.

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

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

    14. Unlock the account of a Quality Reviewer or an employee that he/she is managing if they fail to login after 3 attempts.

    15. Reset a password (to a default password) of a Quality Reviewer or employee that he/she is managing.

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

    2. Create High Quality and or Product Feedback reviews within their assigned Operation.

    3. View any reviews performed by an employee they manage.

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

    5. 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.

    6. Create and edit the profile information of an employee they manage, including assigning permission to that employee.

    7. Unlock an employee’s account if they fail to login after 3 attempts.

    8. Reset an employee’s password (to a default password).

    9. Add, modify, and lock profile information for an employee they manage.

    10. Create and view reports on reviews performed on employees they manage.

    11. Modify employee time / volume they manage within specified time constraints.

    12. Create and view Organizational (Department, Operations, and Director) reports.

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

    14. Search or view Learning Curve information for the Team, Department, Operation or Site in which they are assigned by program or SEID.

    Department Managers
    1. Create DCIs for OJT or Individual Feedback review on an employee they manage.

    2. Create a DCI for Product Feedback review for employees within their assigned Operation.

    3. View any DCI created for employees they manage.

    4. Edit DCIs they created or that were created for employees they manage for OJT, Individual Feedback, and Product Feedback review within 18 months of the completion of that review.

    5. Delete DCIs they created for OJT, Individual Feedback, and Product Feedback review within 5 business days of the completion of that review.

    6. Delete DCIs created for employees they manage for OJT, Individual Feedback, and Product Feedback review 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.

    7. Create and edit the profile information of an employee they manage, including assigning permission to that employee.

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

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

    10. MEPS reports and listings systemically generated and sent to Control D to be viewed. View the Single Event, Individual Employee, Cumulative Individual Performance, Team, Department, Operations, and Director’s Reports.

      • Individual Performance Report (IPR) weekly, monthly annual and ad-hoc

        • Efficiency Base Point

        • Quality Base Point

        • Mid Quarter/Quarterly Performance

        • Operation Quarterly Numerical

        • Team Learning Curve

        • Release Recall

        • Quality / Quarterly Performance Report

        • Sampling Report

        • Missing Employee Report

        • Operation Rating Statistics Report

        • Service Center Rating Statistics Report

        • National Rating Statistics by SC Report

        • EMF 3 Coded Employee

        • Minimally Successful and Below Employees by Operation Report

        • Weekly No Volume OFP Report

    11. Add, modify, and lock profile information for an employee they manage.

    12. Modify employee time or volume for employees they manage.

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

    14. Search or view Learning Curve information for the Department, Operation or Site in which they are assigned by program or SEID.

    Operation Manager and Site Director
    1. View DCIs created on employees within their operation or site.

    2. Create and edit the profile information of an employee they manage, including assigning permission to that employee.

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

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

    5. View the Single Event Individual Employee, Cumulative Individual Performance, Team, Department, Operations, Site Director, Defect Summary, and Site/Program Reports.

    6. Add, modify, and lock profile information for an employee they manage.

    7. Modify employee time or volume for employees they manage.

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

    9. Search, view Learning Curve information for the Operation or Site in which they are assigned by Program or SEID.

    10. MEPS reports and listings systemically generated and sent to Control D to be viewed.

      • Individual Performance Report (IPR) weekly, monthly annual and ad-hoc

      • Efficiency Base Point

      • Quality Base Point

      • Mid Quarter/Quarterly Performance

      • Operation Quarterly Numerical

      • Team Learning Curve

      • Release Recall

      • Quality / Quarterly Performance Report

      • Sampling Report

      • Missing Employee Report

      • Operation Rating Statistics Report

      • Service Center Rating Statistics Report

      • National Rating Statistics by SC Report

      • EMF 3 Coded Employee

      • Minimally Successful and Below Employees by Operation Report

      • Weekly No Volume OFP Report

    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 Team, Department, Operations, and Director’s reports across sites. View function defect and Site program summary reports.

    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 the Team, Department, Operations, and Director’s reports across sites. View the function defect and Site program summary reports.

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

    Site EQSP Administrators
    1. Create DCIs for Individual Performance, Product Feedback, Individual Feedback, HQW and 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 the Single Event Individual Employee, Cumulative Individual Employee, Team, Department, Operations, Director, Defect Summary, and Site/Program Summary Reports.

    8. Modify employees' time or volume for the Site in which they are assigned.

    9. Search, view, add or modify for the Site in which they are assigned the following

      • Employee Release/Recall information

      • Search Learning Curve by Program or SEID

      • Time or Volume information, (IPR Adjustment)

      • Efficiency Base point information

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

    System Administrator
    1. Unlock an employee’s account if employee fails to login after 3 attempts.

    2. Reset an employee’s password (to a default password).

    3. Create DCIs for any employee.

    4. View and edit DCIs they created or that were created by a Quality Reviewer at any time.

    5. Delete DCIs they created or that were created on an employee.

    6. Create and edit the profile information for any employee.

    7. View the Single Event Individual Employee, Cumulative Individual Employee, Team, Department, Operations, Director, Defect Summary, and Site/Program Summary Reports.

    8. Add, modify, and lock employee profile information for all sites.

    9. Have access to any system functionality at the site level.

    10. Add, modify, and approve opportunity data via Data Administration Tool (DAT).

    11. Delete incorrect SEIDs. If an employee is profiled with an incorrect SEID and no review is completed, the SEID field can only be updated by a System 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.

      Note:

      Incorrect SEIDs may be deleted only if DCIs have not been created on the SEID.

    12. Terminate profile accounts or modify the account status of an employee.

    13. Modify employees' time or volume for all Sites.

    14. The system shall allow a System Administrator to Search, View, add or modify for all Sites.

      • Employee Release / Recall information.

      • Search Learning Curve by Program or SEID.

      • Time or volume information (IPR) Adjustment.

      • Quality Base Point information.

      • Efficiency Base Point information before and after the quarter starts.

    15. Move performance and learning curve history from one OFP to another, at site level and throughout Submission Processing.

3.30.30.5  (05-04-2012)
Employee Profile Management

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

    Note:

    Note: The Measured Employee Performance System (MEPS) will run parallel with Total Evaluation Performance System (TEPS) beginning October 1, 2011. Effective July 1, 2011, managers must build individual employee profiles and all reviews must be entered using individual employee Standard Employee Identifiers (SEID). The coding of all reviews will be completed under individual employee Standard Employee Identifiers. (SEID). The use of recording reviews to team SEIDs must be discontinue.

    Note:

    Review 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:

      Once entered and saved, the Employee’s SEID can only be edited by a System Administrator.

      Note:

      If an error exists in the SEID field, System 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.

    4. Contact other managers as needed to properly reassign employees to the correct OFP, Department, or Team.

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

3.30.30.5.1  (03-28-2011)
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 file for managers and/or site administrators to enter and edit employee information, e.g. job series, EQSP role, Operation, Function, and Program. This information is the Employee’s Profile. The file name is "Edit User Profile." This file is accessed by selecting the Create new Profile hyperlink or Search for Profile hyperlink.

    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.

    Manager's Main Menu Screen

  3. This screen also has a file for managers to designate an employee to assume their EQSP role for a specific time period. This file is accessed by selecting the "Manage Proxy " hyperlink. See IRM 3.30.30.5.2.3, Managing Proxy Screen.

  4. Some of the action buttons and hyperlinks are identical to the ones shown on the Reviewer's Main Menu Screen. See IRM 3.30.30.6.1, Reviewer's Main Menu Screen Information. The additional buttons and hyperlinks not shown on the Reviewer's Main Menu Screen are listed below:

    1. Profiles button: Select if you are on the Reviewer Main Menu Screen and want to return to the Manager's Main Menu Screen.

    2. Create New Profile hyperlink: Select to enter information for your employees.

    3. Search for Profile hyperlink: Select to edit your employee's information.

    4. Back to Reviews hyperlink: Select to return to the Reviewer's Main Menu Screen.

    5. Manage Proxy hyperlink: Select to either grant or terminate a proxy.

    6. Use Proxy hyperlink: Select to either return to assigned role or select proxy to use.

3.30.30.5.1.1  (05-04-2012)
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.

    Add User Profile Screen

  2. To generate the Edit User Profile Screen, select the Search for hyperlink on the Manager’s Main Menu Screen. The Edit User 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, without regard to whether upper or lower case was used when entering the characters.

      Note:

      Select role from drop down menu. Once entered and saved, the SEID cannot be edited. If an employee is profiled with an incorrect SEID and no review is completed, the SEID field can only be updated by a System 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 SEID as the employee's Username.

    3. Select the employee's Role by clicking inside the appropriate radio button.

    4. In the Function field, click the down arrow and select the appropriate function.

    5. 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.

      Note:

      For employees who will access the system (i.e.,, Quality Reviewers), this will serve as their login. To avoid confusion, use all CAPS for this field. It will then match the SEID input in (3) a above.

    6. Enter the employee’s or manager’s Phone Number. ""

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

    8. The Profile screen will display two performance plans, one for Quality and one for Efficiency for Employee roles and Reviewer roles only.

      Note:

      These plans and effective dates are shown for editing on Employee role or Quality Reviewer. If Release Recall user - These fields are disabled. The Quality performance plan will default to Measured for Employee Role and Unmeasured for Quality Reviewer role and display the date of 10/01/2011 for the Initial MEPS rollout.

      Note:

      The Efficiency performance plan will be defaulted to Measured for Employee Role and Unmeasured for the Quality Reviewer Role. The Efficiency performance plan can only be measured or unmeasured options. The Efficiency Performance Plan Date will also default for the Initial MEPS rollout to 10/01/2011. For all other roles, these dates and plans will be disabled.

    9. If user is on Measured plan for Quality and changes the Q Plan Date - the Q Day Counter will be based on the new plan date entered. The day counter is in increments of 7.

    10. If user is on Measured plan for Efficiency and changes the E Plan Date - the E Day Counter will be based on the new plan date entered. The day counter is in increments of 7.

    11. If user currently exists in TEPS for initial roll out - the plan date in TEPS will be the Q plan Date in EQSP for startup. This will also determine the Q Day Counter. Managers will be required to verify upon startup. The counter will end once it reaches 63 days.

    12. If the user currently exists in TEPS for initial roll out and is on a measured plan, then we will use the last digit of the employees' SSN to determine the rating period which calculates when the CJE counter began.

    13. For any quality plan date entered by the user, the system will determine use the next Sunday date for the plan date unless the plans was changed on a Sunday or Monday. Efficiency plan dates can be valid date.

    14. CJE counters for employees will start over at the beginning of each rating period of that user.

    15. The Performance Plan cannot be edited. The field will default to "Measured." To change/correct this information, select the "Save & Modify Plan" button.

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

    17. Enter the employee’s Grade and Step.

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

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

    20. The Site field defaults to your site.

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

    22. In the Function field, click the down arrow and select the appropriate function.

    23. The Account Locked should not be applicable when a manager is building an employee's profile.

      Note:

      If the user account has been inactive for more than 45 days, the Account Locked indicator will be set. A form 5081 requesting the system be unlocked is required to unlock the account. A form 5081 is not required when the account is locked due to an employee's unsuccessful login attempts. if an employee’s login attempt fails 3 times, a checkmark generates in the checkbox. If the employee remembers their password, the manager or Site Administrator has to remove the check mark, by clicking inside the Account Lock Checkbox to unlock the password. If the employee does not remember their password, then the manager or Site Administrator has to remove the check mark and select the "Reset Password" button.

    24. Account Inactive field is for the System Administrator’s use only.

      Note:

      If the user account has been inactive for more than 90 days, the Account Inactive indicator will be set. A form 5081 requesting system access is required to gain account access.

    25. If any information is either missing or entered incorrectly an error message will generate. To clear the error message, follow the instructions shown on the error message screen.

  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. Save & Add (Programs)

    3. Cancel

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

    1. If information is missing or entered incorrectly an error message will generate. Make the necessary corrections and continue.

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

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

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

    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.

    Edit User Profile to Edit Employee Program Status Screens

    Follow the instructions below:

    1. Select the employee's Operation. The Function information will populate based on the functions that are available for that Operation.

    2. Select the Function. The Program information will populate based on the programs available for that function.

    3. Select the Program.

    4. If the employee's work is ready to be reviewed, enter the Start Date (MM/DD/YY).

      Note:

      The check-mark will generate in the Release for Quality Review box.

    5. 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.

    6. When finished, select either the "Save" button, ("The user's program(s) were saved" confirmation screen will generate) or the "Cancel" button to return to the Edit User Profile Screen.

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

  8. If you need to change an employee's performance plan from unmeasured to measured or measured to unmeasured, select the "Save & Modify Plan" button, located at the bottom of the Edit User Profile Screen. The Employee Performance History 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.

    Edit User Profile and Employee Performance Plan History Screens

    1. Select the" Update Plan" button. The "To Date" (the current date) will generate in the first line.

    2. A second line will generate showing either "Measured" or "Unmeasured" , and the "From Date" . Leave the "To date" blank.

    3. Select the "Save History" button to save modifications to the database. "The User's Plan(s) were saved" screen will generate.

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

  9. If you returned to the Edit User's Profile Screen and you have completed creating a profile for your employee, select the "Save" button to return to the Manager's Main Menu Screen.

3.30.30.5.1.2  (05-04-2012)
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:

    Team Managers can only search and update profiles of employees assigned to their Team, Department, and Operation. Operations and Department Managers can search and update the profiles of all managers and employees in their Operation or Department.

  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 3.30.30-5.

    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.

    Search for Employee Profile Screen

  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 organizations, functions, and programs.
    Organization: Operation, Department, and Team
    • Select the Site and 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 and Organization to get a list of your employees in that function.
    Program Select the Site, Operation, Department, Team, and Function to get a list of your employees assigned to that program.

    Note:

    If any information is missing or incorrect, an error message will generate. Make the necessary corrections and continue.

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

    Manager's Main Menu Screen (Search Results)

    1. Select the red X to delete the Employee's Profile Information.

      Note:

      The employee’s profile will not actually be deleted; it will be locked by the system.

    2. Select the pen icon to generate the Edit User Profile Screen to edit the employee’s information. 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.

    Edit User Profile Screen (Edit an Employee's Information)

  5. The buttons (except Save and Cancel) at the bottom of Figure 3.30.30-7 are different than the buttons shown on Figures 3.30.30 -3 and 3.30.30-4, Edit User Profile Screen.

    1. Add Programs has the same functionality. See instructions for IRM 3.30.30.5.1.1, Creating an Employee’s Profile.

    2. View Plan also has the same functionality. See IRM 3.30.30.5.1.1, Creating an Employee’s Profile.

    3. IPR Adjustment

    4. Reset Password should be selected only if employees do not remember their password. It will reset the password to a default password. A confirmation screen will generate which states, "The password was reset." Select Continue.

    5. Change Account Status is for the System Administration only.

    6. The manager can edit all fields in the Edit User Profile screen, except password, class code (once it has been entered), and SEID. The System Administrator Roles can edit the SEID.

3.30.30.5.1.3  (05-04-2012)
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" hyper link to search for the employee's profile.

    Note:

    Team Managers can only search and update profiles of employees assigned to their Team, Department, and Operation. Operations and Department Managers can search and update the profiles of all managers and employees in their Operation or Department.

  2. Select the "Search for Profile" hyper link (located on the Manager's Main Menu Screen). The Search for Employee Profile 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.

    Search for Employee Profile Screen

  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 complete 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 organizations, functions, and programs.
    Organization: Operation, Department, and Team
    • Select the Site and 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 and Organization to get a list of your employees in that function.
    Program Select the Site, Operation, Department, Team, and Function to get a list of your employees assigned to that program.

    Note:

    If any information is missing or incorrect, an error message will generate. Make the necessary corrections and continue.

  4. After entering your search criteria, select the "Search" button. The result will display in a row or rows on the Manager's Main Menu Screen. Each row shows a "red X" (delete icon), a "fountain pen" , (edit icon), Name (employee's), Username (employee's SEID), Operation, Department, and Team. See Figure 3.30.30- 9.

    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.

    Manager's Main Menu Screen (Search Results)

    1. Select the red X to delete the Employee's Profile Information.

      Note:

      The employee’s profile will not actually be deleted; it will be locked by the system.

    2. Select the pen icon to generate the Edit User Profile Screen to edit the employee’s information. 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.

    Edit User Profile Screen (Edit an Employee's Information)

  5. The buttons (except Save and Cancel) at the bottom of Figure 3.30.30-7 are different than the buttons shown on Figures 3.30.30- 3 and 3.30.30-4, Edit User Profile Screen.

    1. Add Programs and Save & Add Programs has the same functionality. See instructions for IRM 3.30.30.5.1.1, Creating an Employee’s Profile.

    2. Modify/View Plan and Save & Modify Plan also has the same functionality. See IRM 3.30.30.5.1.1, Creating an Employee’s Profile.

    3. IPR Adjustment

    4. Reset Password should be selected only if employees do not remember their password. It will reset the password to a default password. A confirmation screen will generate which states, "The password was reset." Select Continue.

    5. Change Account Status is for the System Administration only.

3.30.30.5.1.4  (03-28-2011)
Generating and Reviewing User Access Listing

  1. Managers must regularly review security controls for information systems. Managers must review access and access permissions for EQSP regularly and at least monthly. User Access List provides an automated mechanism to facilitate the review of user access and access 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 and 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  (05-04-2012)
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.

3.30.30.5.2.1  (04-13-2010)
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  (05-04-2012)
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 will be automatically terminated at the end of 90 calendar days. Proxy dates will be in MM/DD/YYYY format.

3.30.30.5.2.3  (04-13-2010)
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 3.30.30-11.

    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.

    Manage Proxy Screen

  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: Shows the list of previously granted active proxy roles; Operation, Department, Team and Beginning and Ending dates. The list will display alphabetically by the grantee’s last name. 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 delete your selections and return to the Manage Proxy screen.

3.30.30.5.2.3.1  (04-13-2010)
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  (04-13-2010)
Terminating a Proxy

  1. Only the grantor of a proxy may manually terminate the proxy. To terminate a proxy role, from the Manage Proxy Screen:

    1. Select the red X, which is located to the left of the grantee’s name. A Confirm Termination Screen will generate stating, "Are you sure you want to terminate the following proxy?" The grantee’s name and proxy information will also be 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  (04-13-2010)
Using a Proxy Role Overview

  1. A grantee may have more than one proxy granted to them at any one time.

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

  3. The grantee has to select the proxy role through the use of the "Use Proxy" hyperlink.

  4. This grantee can also return to their assigned role using the "Use Proxy" hyperlink.

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

    1. A "Warning Message" will generate 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  (04-13-2010)
Use Proxy Screen

  1. Accessing the Use Proxy Screen:

    1. From the Reviewer’s Main Menu Screen select the "Profile" button, then select the "Use Proxy" hyperlink.

    2. The Use Proxy Screen will generate. 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.

    Use Proxy Screen

  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  (04-13-2010)
Selecting a Proxy Role

  1. 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" will generate stating, "Are you sure you want to change to the following proxy?" The proxy information will also be listed.

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

    3. If you select "Yes," a Proxy Change acknowledgment screen will generate stating, "Proxy has been changed." Select the "OK" button. The Reviewer’s Main Menu Screen will generate.

    4. The Reviewer’s Main Menu Screen will display the grantee’s assigned proxy role. See Figure 3.30.30-13. 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 3.30.30-13
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Reviewer's Main Menu Screen Displaying the Assigned Proxy

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

  1. To return to the assigned role, from the Use Proxy Screen:

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

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

    3. If you select "Yes," a Proxy Change acknowledgment screen will generate stating, "Proxy has been changed." Select the "OK" button. The Reviewer’s Main Menu Screen will generate.

3.30.30.5.2.5  (04-13-2010)
Proxy Role Audit Trail

  1. The EQSP system will create an audit trail for the following situations:

    1. The person granting the proxy, who was granted the proxy, and the date that proxy was granted.

    2. The date a proxy was manually terminated, who terminated it, and who was granted the proxy role.

    3. The date a proxy was systemically expired and who was granted the proxy role.

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. The user will either enter or select data from the screens listed below:

    1. Reviewer’s Main Menu

    2. Review Header

    3. Schedule Selection

    4. Review Detail

    5. Provide Search Criteria

    6. Manager’s Main Menu (Managers or Management Officials only)

    7. Create new Profile (Managers or Management Officials only)

    8. Search for Profile (Managers or Management Officials only)

    9. Manage/Use Proxy Screen

  4. 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: further clarifies where this opportunity might be found.

    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 primary defect types are "Incorrect" and "Omitted."

    5. The 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  (05-04-2012)
Reviewer's Main Menu Screen

  1. There are several menu options shown on the Reviewer's Main Menu Screen. 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.

    Reviewer's Main Menu Screen

  2. The menu options are listed below.

    1. Review Type: Select Individual Performance Review, Product Feedback Review, High Quality Review, Individual Feedback Review, or OJT review. See IRM 3.30.30.1.5, Quality Review Types.

    2. SEID: Enter the SEID (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. The options you will use to start your review are "Review Type," "SEID," and "Create Review. "

  4. The bottom of this screen may display a list of your inventory. This list will show the DCI number, Review Type, Input Date, SEID, Sample Pull, Review Date, and Status. The Status of each review will be "In-Progress," see (5) below.

  5. The "In-Progress" status feature exists to allow you to begin a review, save it, and finish it later. You should always delete unnecessary In-Progress reviews or complete legitimate In-Progress reviews. These reviews should be kept to a minimum and never be over 2 days old. In-Progress reviews are created when you either:

    1. Select Return to List from the Review Summary Screen, or

    2. Fail to select Finish a second time on the Review Summary Screen, or

    3. Cancel the review after the header information was saved.

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

3.30.30.6.1.1  (05-04-2012)
Review Header Screen

  1. The Review Header Screen will show only fields applicable to the Operation, Function, and Program of the employee being reviewed. 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.

    Review Header Screen

  2. There are hyperlinks in the upper right corner of this screen for Change Password and Logout and buttons for Cancel (to cancel your selections and return to the Reviewer's Main Menu Screen) and Next (to go to the next page of the DCI).

  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.

  8. The Function field contains associated 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:

    If the function is incorrect, contact the employee’s manager.

  9. The IRS 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 site. This is an optional field.

  10. The Program field contains associated 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:

    If the program is incorrect, contact the employee’s manager.

  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, within a Program, to be captured. Only one Category will be maintained with the review.

  13. The Sample Pull ID field is identification number assigned to all documents within a single sample pull. Each document will have a unique DCI number but 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 Schedule checkbox should only be selected when schedules or forms are included in the sample for review. Click inside the box to generate a check mark.

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

    1. If the Schedule Checkbox was selected and schedules and/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 Check box field was selected, the Schedule Selection Screen will generate displaying the schedules/forms that are associated with the OFP of the document being reviewed.

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

3.30.30.6.1.2  (04-13-2010)
Schedule Selection Screen

  1. Figure 3.30.30 - 16 shows a list of schedules/forms for 230 ISRP. The contents of this list will be different depending on the OFP being reviewed.

    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.

    Select the Schedule(s) to Review Screen

  2. Review the document and select the first checkbox for schedules/forms that are included in the sample.

  3. The second field defaults to one. This number can be changed to accommodate multiple schedules/forms.

    Example:

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

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

    Note:

    If a schedule or form is not applicable for the OFP selected, you will be alerted with an "Unavailable Schedule for the OFP Combination" warning message.

  5. 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" to generate the Review Detail Screen or

    3. Select "Cancel" if you want to return to the Review Header Screen to select the Schedule Checkbox field.

  6. There are hyperlinks in the upper right corner of this screen for Change Password and Logout.

3.30.30.6.1.3  (05-04-2012)
Review Details Screen

  1. You will use the Review Details Screen to review and code the DCI for the document you are reviewing. 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.

    Review Details Screen

  2. The Review Header portion of this screen contains the following:

    1. Change Password hyperlink

    2. Logout hyperlink

    3. DCI Number

    4. SEID of the employee being reviewed

    5. Reviewer SEID

    6. Sample Pull ID

    7. Review Date

    8. Input Date

    9. Operation, Department, Team, Function, Program

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

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

    12. 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 or forms.

    2. Hyperlinks: select to go to the Next page and return to the previous page by selecting either a Number or Next page hyperlink.

    3. Section: identifies opportunities that are grouped together .

    4. Location: further clarifies where this opportunity might be found.

      Example:

      On a tax form (Line 7) the Location text matches the opportunity text.

    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 asks the question, "Is this opportunity correct?" There are three radio buttons, Y (Yes); N (No); and NA (Not applicable). ""
      The radio button defaults to NA value for all opportunities. Change the default value to define opportunities as correct or defective. .
      Y value: You should select the Y value for the first opportunity on the main DCI when a review is defect-free. The opportunity may or may not be applicable to the document or case file reviewed. It is not necessary to code all applicable opportunities as Y for defect free reviews. indicates this opportunity was applicable to the sample being reviewed.

      Note:

      This option is currently used only in specific, limited situations. Documents Correct Count: You may generate multiple defect free DCI's within a sample pull by entering the number of defect free reviews in the "Document Correct Count " located on the header screen. When using this feature, the system will automatically change the first opportunity to the Y value for all defect free reviews generated.


      N value: You should select the N value, for all defective opportunities identified for a review. Do not limit coding to the first defective opportunity. Once you select the N value, a selection box will appear in the Defect Type column.
      The N/A value indicates the opportunity was not applicable to the sample being reviewed.

    7. Defect Type is only selectable when "Correct?" was coded with an N value. There are two Defect Types, "Incorrect" and "Omitted." Once a Defect Type is selected, a corresponding Defect Description field will appear in the next column.
      Incorrect: defines that the action was taken, but was incorrect.
      Omitted: defines that the action was not taken and should have been taken.

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

      Example:

      Entry, Keying, or Edit.

  4. When all incorrect 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.

3.30.30.6.1.4  (05-04-2012)
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.

    Note:

    Whenever possible, reviewers should 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 employee first erred, i.e.,, "point of error."

  3. Select the "N" radio button. The drop down menu for "Defect Type" will generate.

  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 incorrect opportunity.

    Note:

    Functions requiring transcription will use both 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.

    Note:

    Please select a Defect or if a Defect Type or Defect Description was not selected, an error message will generate which states, "Please select a Description." To clear the error message, select OK and select a Defect Type and/or Defect Description.

  6. Sites may complete the processing of work using employees in different teams or different functions. The reviewer should only code the defects created by the employee being reviewed

  7. A "Location" with Repeated Opportunities is identified in blue with an underlined hyperlink. See Figure 3.30.30-18. This functionality allows you to code opportunities that occur multiples times.

    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.

    Review Detail - Repeated Opportunity Selection

    1. Enter the number of repeated opportunities in the "# of Repeated lines box."

    2. Select the blue colored hyperlink location. A screen will generate 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

    5. Select the "Save " hyperlink to save your selections. "The Repeated lines have been saved" confirmation screen will generate. Select "Close" to return to the Review Detail Screen.

  8. Complete the coding of defective opportunities. 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.

  9. If schedules or forms were identified for review, select the "Schedules" tab at the top to the right of the Review Details tab and code the appropriate defects. See Figure 3.30.30-19.

    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.

    Review Details Screen - Schedule Tab

    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 coding through all requested schedules or forms.

  10. Select the "Finish" hyperlink, located below the "Edit Header" hyperlink.

    Note:

    Please select a Defect or if a Defect Type or Defect Description was not selected, an error message will generate which states," Please select a Description." To clear the error message, select the OK option and select a Defect Type and/or Defect Description.

  11. If the sample was from the Input Correction Operation (ICO) and defect(s) were identified, the Error Codes Screen will generate. 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.

    Error Codes Screen

    The Error Code Screen will list:

    1. The Review Header portion of this screen contains the DCI Number, SEID of the employer being reviewed, Reviewer SEID, Sample Pull ID, Review Date, Input Date, Operation, Department, Team, Function, and Program.

    2. The Error Codes Listing contains Error Codes for ERS and CARE, Taxpayer Notice Codes (TPNC) for Notice Review, and Unpostable Codes (UPC) for Unpostables.

    3. Select the appropriate codes that apply to the incorrect opportunity. You can select up to seven codes.

    4. Select the "Save" hyperlink. The Review Summary Screen will generate

  12. For all other operations (and ICO with no defects) the Review Summary Screen will generate. See IRM 3.30.30.6.1.5, Review Summary Screen.

3.30.30.6.1.5  (05-04-2012)
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- 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.

    Review Summary Screen

  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)

    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.

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

    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.

  3. The Review Summary portion of this screen displays the details of the review:

    1. "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, Impact, and Error Codes Summary.

    2. "Create New Review Just Like This" hyperlink: If the next sample belongs to the same employee and the OFP combination is the same; the reviewer can select the "Create New Review Just Like This" hyperlink. The system will generate a new DCI, identical to the one just reviewed. Using this hyperlink will group together like review samples into a single group, under the same Sample Pull ID number.
      This functionality will bypass the Review Header Screen. The Review Detail Screen will automatically generate. 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 will generate. Select the Schedules checkbox; select the Next button and then select the appropriate scheduled/forms. Continue reviewing the document.

  4. If defects were found, associate the document with the "Single Event Individual Employee Report" and share this information with the employee’s manager, in accordance with local procedures. Ensure the IRM reference is identified to support the defect. For more information see IRM 3.30.30.8.1, Individual Employee Report.

3.30.30.6.1.6  (05-04-2012)
Searching for a Review

  1. To generate the Provide Search Criteria Screen (see Figure 3.30.30-22), go to the Reviewer's Main Menu Screen (see Figure 3.30.30-14) or the Manager Main Menu Screen (see Figure 3.30.30-6) and select the "Search" button.

    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.

    Provide Search Criteria Screen

  2. This screen also has hyperlinks, in the upper right corner, for Change Password and Logout and a "Cancel " button to cancel your selections and return to the Main Menu Screen.

  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 Dates

    2. DCI number

    3. SEID (of the employee)

    4. Site (computer generated)

    5. Organization (Operation, Department, and Team)

    6. Function

    7. Review Type (all, Individual Performance, Individual Feedback, Product Feedback, OJT, or High Quality Review)

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

      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."

  4. Select the Search Button. The result will display 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, and Status.

    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.

3.30.30.6.2  (05-04-2012)
EQSP Sampling Plans

  1. . Measured functions perform Individual Performance Review (IQR) or High Quality Work (HQW) sampling. Follow sampling and review guidelines in IRM 3.30.28, Individual Review.

  2. Enter all IQR and HQW reviews in the EQSP system using the Individual Performance Review type. Input should include both defect-free and defective reviews.

  3. TEPS defects charged to the team should be recorded in EQSP as Individual Feedback Review type.

  4. Reviews must be input within the same week as the sample pull. If the review input date is different from the sample pull date, you must edit the review date to reflect the proper sample date.

    Note:

    Reviewers must start and finish review entry within the same week. When you identify a review left" in progress" , check the input date. If the date falls outside the current week, delete and re-enter the review. If the review is not valid, delete and do not re-enter.

3.30.30.6.3  (05-04-2012)
EQSP (Unmeasured) Sampling Procedures for High Quality Function and non-High Quality Function

  1. Unmeasured sampling includes completed work of teams by function or work processes within a function. HQ Quality section will assign sample plans for unmeasured functions or work processes. Sample plan options include an Embedded Quality (EQ) or High Quality Function (HQF). The sample size per day for the EQ sample plan will depend on the number of work processes within the function. Sample sizes range from maximum 24 per day to a minimum of 8 per day. HQF sample plan is a reduced sample plan requiring a sample size of 5 per day. IRM 3.30.30.7.4 explains the requirements of HQF sample plans.

    1. Enter all EQ and HQW reviews in the EQSP system using the Individual Performance Review type: Input should include both defect-free and defective reviews.

    2. Reviews must be input within the same week as the sample pull. If the review input date is different from the sample pull date, you must edit the review date to reflect the proper sample date.

      Note:

      Reviewers must start and finish review entry within the same week. When you identify a review left "in progress" , check the input date. If the date falls outside the current week, delete and re-enter the review. If the review is not valid, delete and do not re-enter.

  2. When pulling samples for unmeasured functions, Sites may use the EQSP Sample Calendar Tool, SCRIPS Sampling Tool, EQSP Weekly Pull Sheet, or other methods to secure a random sample pull from all completed work. Use the procedures below when using the EQSP Sample Calendar Tool.

    1. Visit the EQSP Website at: http://win.web.irs.gov/EQSP/Main.htm.

    2. Select the "Training and Sampling" button on the left side of the screen.

    3. Under the Sampling Tools, select the "EQSP Sample Calendar" link. Select "Enable Macros." An Excel spreadsheet with three tabs will generate. The tabs are labeled "Calendar Input" ," Calendar" , and "Daily-Weekly Randomizer."

    4. Select the "Daily-Weekly Randomizer" tab to generate a document start number and skip interval based on the completed work available for review. "" .

    5. Select the "Calendar Input tab to enter parameters for a monthly sample calendar EQSP Sample Calendar" will display. See Figure 3.30.30-24.

    6. Under "Calendar Settings" , use the drop down arrows to select the current month, first day of the month, and number of days in current month.

    7. Under "Sample Size Settings" , use the drop down arrows to select the appropriate Operation and Function.

    8. Tool will display the daily sample size for the function in the "Weekly Sample Size for Function" box. When generating a calendar for a function on an HQF sample plan, click on the box labeled "Check for HQF Sample Plan" to adjust the daily sample size to 5.

    9. Select the "Calendar" tab to display the EQSP Sample Calendar. See Figure 3.30.30-24.

    10. Calendar header identifies the current Month, Daily Sample Size, Operation, and Function.

    11. Use the start number and skip interval displayed based on an estimate of the completed volume of completed work available for sample pull on each date.

    12. Click the "Click to Generate New Random Numbers" button to generate new start and skip intervals for the same Month, Operation and Function. Calendar tool will automatically generate new random numbers each time you open the application or when you make changes to selections on the "Calendar Input" tab.

    13. Click the "Print Calendar" button to print the calendar.

      Note:

      You must activate your Excel Analysis Tool Pak add-ins for the Calendar Tool to generate random numbers. If "#Name?" errors appear in the calendar, select Tools/Add-ins from the Excel tool bar and click the boxes to activate Analysis Tool Packs. Request assistance or report problems with the Calendar Tool by contacting your local Site Improvement Specialist.

      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.

      Input Worksheet for Embedded Quality Block Skip Number and Document Pull Number Calendar

    14. Under "Calendar Settings" , use the drop down arrows to select the current month, first day of the month, and # of days in current month.

    15. Under "Sample Size Settings," use the drop down arrows to select the appropriate Operation, and Function.

      Note:

      If you select a combination that is not valid, an error message will generate in the "Weekly Sample Size for Function" box, stating Choose Valid Combination.

    16. The Weekly Sample Size for Function will generate in the box.

    17. Select the Calendar tab. The "EQSP Sampling Random Number Calendar" will display. 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.

      EQSP Sampling Random Number Calendar

    18. The current Month, Weekly Sample Size per Function, and the Sample Size Based on the selected Master File, Operation, and Function will display in the header of the Calendar.

    19. In addition to providing random numbers, the calendar is also customized to show the required weekly sample size for each function and the random numbers for each day of the month.

    20. Each date and day has five rows of numbers. The first row (Block Start #) provides the Block Start Number for the date and day, as well as the Block Skip interval to use if more than one document at a time is being pulled. The next three rows of numbers are used to select a particular document from within a block and should be chosen based on the size of the block (less than or equal to 25, 26 to 50, or greater than 50). The last row "Numbering and Batching" is the Block Start Number and Block Skip interval for the Batching and Numbering functions. (This is the only number used by Batching and Numbering because those functions always review the entire block.)

    21. If necessary, you can select the option "Click to Generate New Random Numbers." This button is located in the upper left corner of the calendar.

    22. Print the calendar and use it to determine the random start number and document skip number for each day.

      Note:

      This Excel spreadsheet will generate new random numbers each time the application is opened as well as each time a change is made to an entry in a dropdown box.

    23. If you need assistance in using the calendar, contact the QR manager or the Site Improvement Specialist.

  3. EQSP Sampling must include all completed work by a team, whether it is in carts / trucks, tubs, clips, baskets, or other containers.

  4. All work completed by a team, whether it is in carts/trucks, tubs, clips, baskets, or other containers, must be included in the EQSP sampling. Samples of work must be drawn from all work a team completes within a given period of time

3.30.30.6.3.1  (05-04-2012)
EQSP (Unmeasured) Sampling Steps

  1. EQSP Sample Steps describe the actions required to pull the sample. These steps are generally applicable to all unmeasured functions. There may be more or fewer steps depending on the particular function. The table below shows the general sampling process steps.

    Step Action
    1
    • Identify all work available for each function and type of work.

    • Depending on how work is collected in a particular function, there may be completed work in carts or trucks, tubs, baskets, bins, clips, gurneys, or on stationary shelves.

    2
    • Use the EQSP Random Number Calendar to obtain the Block Start number. This will be the number in the top row for the current day.

    3
    • Beginning with the first block of work in the collected work for the function sampled, count blocks until arriving at the Block Start number.

    • If the Block Start number is greater than the number of blocks collected, start back at the beginning and continue counting.

    • After arriving at the Start number, pull that block for the sample pull.

    • Skip any empty spaces when counting blocks.

    4
    • Having identified the block, refer again to the EQSP Random Number Calendar to obtain the appropriate random Document Pull #.

    • If the block is 25 documents or less, use the second row of numbers.

    • If it is a mid-sized block, use the third row.

    • If it is a large block of 50 or more documents, use the fourth row.

    5
    • Count documents until arriving at the Document Pull #. That is the document to be reviewed.

    • If the Document Pull # is greater than the number of documents in the block, return to the beginning of the block and continue counting.

    • Sampling calendars may not provide necessary sampling intervals. Adjust as needed to maintain random sample. For example, higher counts can be divided by 3 where lower numbers may not require any adjustments.

    6
    • Try to pull one document at a time.

    • If necessary, pull another sample at a different time of day. (Refer to Figure 3 for examples of correct spread times and days of sample pulls.)

    • If more than one document is pulled at the same time, treat it as a separate sample pull. To do this, start the count over using the same Block Start/Skip # in the EQSP calendar. However, rather than starting at the beginning of the block of all work, begin counting "1" on the next block after the block just selected.

    • Don't forget to skip over (i.e.,, do not count) empty slots when counting blocks.

    7
    • When finished pulling, you have completed the sample pull.

    8
    • Perform the EQSP review

  2. Sample pulls must be spread evenly across all days of the work week and all times of day for all work in the function(s) being sampled. If there are swing or night shift teams, their work must also be sampled. The objective is to obtain samples all days of the week if work is accomplished and all times of day during the week for each function.

  3. When referring to the time of day of the sample pull, the reference time is to the time of day the sample was pulled, not the time of day the work was completed by an employee.

  4. It is not necessary to wait for an entire cart to be completed before pulling a sample. In fact, this should be avoided. The point is to be able to pull a sample of completed work at any given time in order to measure the quality of actual work being performed throughout the work day.

  5. See the Sampling Terminology and Definitions in the table below.

    Term Definition
    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 the folder.

    • Blocks are typically broken into 3 approximate sizes: <25 documents, 50 documents, or 100 documents. The block size is determined by the number of documents a folder can hold.

    • Blocks may be in carts/trucks, bins, clips, baskets, etc.

    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).

    Sample Pull
    • In EQSP sampling, a sample pull typically consists of one document.

    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 the tub/basket like a cart/truck. If there are multiple documents in the tub/basket which make up one block, then treat it like a block for counting purposes.

  6. Each site has different functions that are measured and unmeasured and the following Operation-specific instructions are only for unmeasured functions at a particular site.

    Note:

    Some sites may have slightly different processes for implementing IRM directives on moving the work through the pipeline. As a result, some of the instructions contained in the following operation-specific sections may need to be amended to obtain the appropriate random sample of all completed work.

3.30.30.6.4  (05-04-2012)
EQSP Unmeasured Sampling Procedures for High Quality Function (HQF) Sample Plan Requirements

  1. Unmeasured functions attaining 85% or more of the required EQ sample size with 97.0% or higher accuracy in the first 11 weeks of the quarter will be eligible for a reduced HQF sample plan for the subsequent quarter.

  2. Once assigned to an HQF sample plan, functions review a minimum of 5 documents/cases per day for the first 11 weeks of each quarter. If a day is missed (due to a holiday, for example), the sample is not made up on the following day.

  3. The purpose of reviewing a small random sample in functions/work processes with an accuracy rate of 97% or better is to determine whether the accuracy has fallen below the High Quality Standard (HQS) of 97%.

  4. At the end of the eleventh week of each quarter, the following chart will be used to determine if the function/work process will remain HQF for the following quarter.

    If review for the first 11 weeks of the quarter shows: Then take the following action for the next quarter:
    Accuracy at 97% or higher and completed sample of 230 - 340 reviews continue on HQF reduced sample plan of 5 reviews per day
    Accuracy is below 97% Remove from HQF sample plan and increase to EQ sample size
    Review counts are less than 230 or greater than 340 Remove from HQF sample plan and increase to EQ sample size

    Note:

    If the first working day of the quarter is a Monday, Tuesday, or Wednesday, that week will count as the first week of the quarter. If the first working day of the quarter is a Thursday or Friday, the following week will be counted as the first week of the quarter. Additional guidance may be provided when a holiday falls within the first week of the quarter.

3.30.30.6.5  (05-04-2012)
Discretionary EQSP Sampling

  1. An additional EQSP sampling and review for more in depth analyses of issues and weaknesses may be performed.

  2. Issue and site-specific sampling methodology will be employed.

  3. Per IRM 3.30.28.1.1 - The Individual Review manual provides general instructions for maintaining the Quality Assurance Program (QAP) on campuses and specific instructions for doing Quality Review.

    Note:

    Time spent performing 100 percent review must not be changed to function 880 and program 00XXX.

  4. The reviews may be entered into EQSP as Product Feedback or OJT review type.

  5. Each site may be allocated additional resources to conduct the Discretionary EQSP Sampling.

3.30.30.7  (05-04-2012)
EQSP Reports

  1. The EQSP Reports:

    1. Capture specific defect information.

    2. Provide employees and managers the data they need to work together to improve SP processes.

    3. Provide a data to contribute to SP work process improvement efforts.

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

    • Individual Employee Report (Single Event/Sample Pull)

    • Individual Performance Report (Cumulative)

    • Team Report

    • Department Report

    • Operation Report

    • Site Director Report

    • Defect Summary Report

    • Site/Program Summary 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 – 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.

    Report Selection Screen

    1. A report can be generated by selecting the Radio Button to the immediate left of the report title

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

3.30.30.7.1  (05-04-2012)
Individual Employee Report

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

    Individual Employee Report

    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 with a "Completed" status.

  2. Managers and/or Leads should share this report with the employees:

    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.

    Number Item Explanation
    1 Sample Pull System generated number used as sample identifier.
    2 Employee SEID of employee reviewed.
    3 Total in Sample Number of DCIs within the Sample Pull.
    4 Team Employee’s team.
    5 Review date The calendar date the review was performed.
    6 Review Type The type of review (Performance, Feedback, OJT, or Product).
    7 Report Run Date The calendar date the report was generated.
    8 Employee Initials Placeholder for employee’s initials (proof of receipt).
    9 Date Placeholder for the date the employee received feedback.
    10 OFP Operation, Function, and Program details of the DCI.
    11 Total defects Total number of defective opportunities from all DCIs in the Sample.
    12 Sample Score A clause will generate when the employee receives their last Individual Single Event report while on learning curve. The clause will be: IMPORTANT NOTICE: This is your last review while under Learning Curve. All future individual reviews may be used in evaluative data.
    13 DCI (Data Collection Instrument) number System-generated number for the individual review within the Sample.
    14 Opportunities A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    15 Defects Total number of defects from an individual DCI.
    16 Form The name of the form/type where a defect occurred.
    17 Section The name of the section where a defect occurred.
    18 Location The name of the location where a defect occurred.
    19 Opportunity The name of the opportunity where the defect occurred.
    20 Defect Type A description of how the opportunity was defective.
    21 Defect Description A description of why the opportunity was defective.
    22 Potential Business Measure This field may or may not contain information, but the systemic links to business measures are not currently validated.
    23 Element The specific Critical Element the defect may impact.
    24 Aspect The specific Aspect of the Critical Element the defect may impact.
    25 Defect count Total number of occurrences of the defect from an individual DCI.

3.30.30.7.2  (05-04-2012)
Cumulative Individual Performance Report

  1. The Cumulative Individual Performance Report provides individual employee quality data for a specific time period, defined by the date parameters on the Reports Selection Screen. It displays quality performance and feedback by all review types and OFP combinations. See Figure 3.30.30-27.

    Figure 3.30.30-27

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

    Cumulative Individual Performance Report

    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 with a "Completed" status.

  2. Managers and/or Leads should 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 Cumulative Individual Performance Report.

    Number Item Explanation (if needed)
    1 Name Name of employee reviewed
    2 Employee SEID SEID of employee reviewed
    3 Team Employee's team
    4 Total Opportunities Total number of defective opportunities from all DCIs in the Sample
    5 Total Defects Total number of defective opportunities from all Review Types
    6 Series/Grade The employee's job series and grade
    7 Report Run Date The calendar date the report was generated
    8 Period covered from date The start date of the period
    9 Period covered to date The end start date of the period
    10 Overall percentage A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    11 OFP Operation, Function, and Program Details
    12 Total DCI Total number of DCIs for a given Review Type within the date parameters
    13 Review Type The type of review (Performance, Feedback, OJT, and Product)
    14 Total Opportunities Total number of opportunities for the Review Type/OFP combination
    15 Total Defects Total number of defects for the Review Type/OFP combination
    16 Overall Score Accuracy percentage ((total opportunities - total defects) / total opportunities)
    17 Form The name of the form/type where a defect occurred.
    18 Section The name of the section where a defect occurred
    19 Location The name of the location where a defect occurred
    20 Opportunity The name of the opportunity where the defect occurred
    21 Defect Type A description of how the opportunity was defective
    22 Defect Description A description of why the opportunity was defective
    23 Potential Business Measure The potential impact of the defect on the Business Results Measures
    24 Element The specific Critical Element the defect may affect
    25 Aspect The specific Aspect of the Critical Element the defect may affect
    26 Defect count Total number of occurrences of the defect from an individual DCI

3.30.30.7.3  (05-04-2012)
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- 28.

    Figure 3.30.30-28

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

    Team Report

    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 with 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 (if needed)
    1 Period Covered, From and To Date The start and end dates from the end-user selection.
    2 Team  
    3 Department  
    4 Operation  
    5 Sample Size by Review Type  
    6 Accuracy Rate by Review Type A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    7 Form The name of the form/type where a defect occurred.
    8 Section The name of the section where a defect occurred.
    9 Location The name of the location where a defect occurred.
    10 Opportunity The name of the opportunity where the defect occurred.
    11 Defect Type A description of how the opportunity was defective.
    12 Defect Description A description of why the opportunity was defective.
    13 Defect Count Total number of occurrences of the defect from an individual DCI.
    14 Employee Name  
    15 Total Defective DCI's Total number of defects from all Review Types.
    16 Total Defects A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    17 Total DCI's  

3.30.30.7.4  (05-04-2012)
Department Report

  1. The Department Report provides departmental quality data for a specific time period which were 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 3.30.30-29.

    Figure 3.30.30-29

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

    Department Report

    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 Review Types only. All quality data is stratified by the teams in the department.

    3. This report will ONLY generate details for Individual Performance Reviews with 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 (if needed)
    1 Site  
    2 Operation  
    3 Department  
    4 Period covered From The start date from the end-user selection.
    5 Period Covered To The start date to the end-user selection.
    6 Sample Size by review type
    • Individual Performance

    • Product Review

    • High Quality Review for entire OF

    • OJT

    • Individual Feedback

    • Overall

    7 Accuracy by review type
    • Individual Performance

    • High Quality Review for entire OF

    • OJT

    • Individual Feedback

    • Overall

    8 Department's Top 5 Defects, Form The name of the form/type where a defect occurred.
    9 Department's Top 5 Defects, Section The name of the section where a defect occurred.
    10 Department's Top 5 Defects, Location The name of the location where a defect occurred.
    11 Department's Top 5 Defects, The name of the opportunity where a defect occurred.
    12 Department's Top 5 Defects, Defect Type A description of how the opportunity was defective.
    13 Department's Top 5 Defects, Defect Description A description of why the opportunity was defective.
    14 Department's Top 5 Defects, Impact  
    15 Department's Top 5 Defects, Potential Business Measure This field may or may not contain information, but the systemic links to business measures are not currently validated.
    16 Department's Top 5 Defects Count Total number of occurrences of the opportunity/defect type/defect description combination from an individual DCI.
    17 Team Name  
    18 Total Defects Total number of defects, by department and OFP, from Individual Performance Reviews.
    19 Form The name of the form/type where a defect occurred.
    20 Section The name of the section where a defect occurred.
    21 Location The name of the location where a defect occurred.
    22 Line The name of the opportunity where a defect occurred.
    23 Defect Type A description of how the opportunity was defective.
    24 Defect Description A description of why the opportunity was defective.
    25 Impact The potential impact of the defect on the internal and external customers.
    26 Potential Business Measure This field may or may not contain information, but the systemic links to business measures are not currently validated.
    27 Defect Count Total number of occurrences of the defect from an individual DCI.

3.30.30.7.5  (05-04-2012)
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 3.30.30-30.

    Figure 3.30.30-30

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

    Operation Report

    1. The Report Header contains details from a single operation for a specific time period (as defined in the date parameters 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 Types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance Reviews with 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 Department Report.

    Number Item Explanation (if needed)
    1 Site  
    2 Operation  
    3 Period covered From The start date from the end-user selection.
    4 Period Covered To The start date to the end-user selection.
    5 Sample Size  
    6 Operation's Top 5 Defects, Section The name of the section where a defect occurred.
    7 Operation's Top 5 Defects, Location The name of the location where a defect occurred.
    8 Operation's Top 5 Defects, Opportunity The name of the opportunity where a defect occurred.
    9 Operation's Top 5 Defects, Defect Type A description of how the opportunity was defective.
    10 Operation's Top 5 Defects, Defect Description A description of why the opportunity was defective.
    11 Operation's Top 5 Defects, Impact The potential impact of the defect on the internal and external customers.
    12 Operation's Top 5 Defects, Defect Count Total number of occurrences of the opportunity/defect type/defect description combination from an individual DCI.
    13 Department  
    14 Total Defects Total number of defects by Department, from Individual Performance Reviews.
    15 OFP Operation, Function and Program details of the DCI.
    16 Total Defects Total number of defects, by department and OFP, from Individual Performance Reviews.
    17 Form The name of the form/type where a defect occurred.
    18 Section The name of the section where a defect occurred.
    19 Location The name of the location where a defect occurred.
    20 Opportunity The name of the opportunity where a defect occurred.
    21 Defect Type A description of how the opportunity was defective.
    22 Defect Description A description of why the opportunity was defective.
    23 Impact The potential impact of the defect on the internal and external customers.
    24 Defect Count Total number of occurrences of the defect from an individual DCI.

3.30.30.7.6  (05-04-2012)
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- 31.

    Figure 3.30.30-31

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

    Site Director Report

    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 Review types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance Reviews with 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 (if needed)
    1 Site  
    2 Period covered: From Date Period covered: To Date The start date and end date from the end-user selection.
    3 Sample Size by review type
    • Individual Performance

    • High Quality Reviews for each OF

    • OJT

    • Individual Feedback

    • Product Feedback

    • Overall

    4 Accuracy A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    5 Individual Performance Period, Defects  
    6 Operation  
    7 Total Defects Total number of defects by team, from Individual Performance Reviews.
    8 Overall Percentage A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    9 Operation's Top 3 Defects, Function The name of the function where a defect occurred.
    10 Operation's Top 3 Defects, Form The name of the form/type where a defect occurred.
    11 Operation's Top 3 Defects, Section The name of the section where a defect occurred.
    12 Operation's Top 3 Defects, Location The name of the location where a defect occurred.
    13 Operation's Top 3 Defects, Opportunity The name of the opportunity where a defect occurred.
    14 Operation's Top 3 Defects, Defect Count Total number of occurrences of the opportunity/defect type/defect description combination from an individual DCI.

3.30.30.7.7  (05-04-2012)
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 3.30.30-32.

    Figure 3.30.30-32

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

    EQSP Defect Summary Report

    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 Review types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance Reviews with 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 Defect Summary Report.

    Number Item Explanation (if needed)
    1 Report Date  
    2 Period Covered (From Date) The beginning date selected by the end-user..
    3 Period Covered (To Date) The end date selected by the end-user.
    4 Submission Processing's Top 5 Defects, Function The name of the function where a defect occurred.
    5 Submission Processing's Top 5 Defects, Form The name of the form/type where a defect occurred.
    6 Submission Processing's Top 5 Defects, Section The name of the section where a defect occurred.
    7 Submission Processing's Top 5 Defects, Location The name of the location where a defect occurred.
    8 Submission Processing's Top 5 Defects, Opportunity The name of the opportunity where a defect occurred.
    9 Submission Processing's Top 5 Defects, Defect Count Total number of occurrences of the opportunity/defect type/defect description combination from an individual DCI.
    10 Top 3 Defects by Site, Function The name of the function where a defect occurred.
    11 Top 3 Defects by Site, Form The name of the form/type where a defect occurred.
    12 Top 3 Defects by Site, Section The name of the section where a defect occurred.
    13 Top 3 Defects by Site, Location The name of the location where a defect occurred.
    14 Top 3 Defects by Site, Opportunity The name of the opportunity where a defect occurred.
    15 Top 3 Defects by Site, Defect Count Total number of occurrences of the defect.
    16 Top 3 Defects by Site, Correct Count A number will appear in this field, but system calculations have not been updated to reflect current review policy.

3.30.30.7.8  (05-04-2012)
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 3.30.30-33.

    Figure 3.30.30-33

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

    EQSP Site Program Summary Report

    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 Review types are included in the defect details.

    3. This report will ONLY generate details for Individual Performance Reviews with 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 Summary Report.

    Number Item Explanation (if needed)
    1 Report Date  
    2 Period Covered (From Date) The beginning date selected by the end-user.
    3 Period Covered (To Date) The end date selected by the end-user.
    4 Site Summary, Site  
    5 Site Summary Average Sample Size The average number of DCIs per Sample Pull.
    6 Site Summary, Total DCI Count  
    7 Site Summary, Total Defects  
    8 Site Summary, Average Number of Opportunities A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    9 Program Summary, Program  
    10 Program Summary, Average Sample Size The average number of DCIs per Sample Pull.
    11 Program Summary, Total DCI Count  
    12 Program Summary, Total Defects  
    13 Program Summary, Average Number of Opportunities A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    14 Program Defects, Program The name of the program where a defect occurred.
    15 Program Defects, Function The name of the function where a defect occurred.
    16 Program Defects, Form The name of the form/type where a defect occurred.
    17 Program Defects, Section The name of the section where a defect occurred.
    18 Program Defects, Location The name of the location where a defect occurred.
    19 Program Defects, Total Opportunities A number will appear in this field, but system calculations have not been updated to reflect current review policy.
    20 Program Defects, Total Defects  

3.30.30.8  (04-13-2010)
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 web master.

3.30.30.9  (05-04-2012)
Issue Resolution Process (IRP)

  1. The Issue Resolution Process (IRP) provides a structured way for users to identify and resolve problems/concerns with the EQSP System and an efficient way to communicate their concerns and suggestions.

  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 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. 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 for the various Operations is located on the EQSP Web home page.

3.30.30.9.1  (05-04-2012)
EQSP Opportunity Change Request Template (Excel spreadsheet)

  1. The Site Improvement Specialist should complete the Opportunity Change Request Template to submit a request to add, delete, change, or move a location/opportunity. 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 (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, Open/Closed, and Status in columns A – D and T.

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

    1. In Columns E – H enter the Operation Area (RCO, ITIN, DCO, DPO, ICO, or ACO) Function, Program, Form and/or Schedule.

      Note:

      Enter the schedule in the Form column.

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

    3. Follow the instructions in the table below:

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

      2. Enter the Current Section in Column J.

      3. Enter the New Location in Column N.

      4. Enter the New Opportunity in Column O.

      5. Enter the Defect Type (Omitted and Incorrect) in Column P.

        Note:

        ALT ENTER will take you to a new line within the same column for listing the Defect Type if both are applicable.

      6. Enter the Defect Description in Column Q.

        Example:

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

        Note:

        The ALT ENTER new line procedure above will work here, too. Add the Defect Description(s) for Omitted, ALT ENTER, and add the Defect Descriptions for Incorrect.

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

        Example:

        Add after Section X and Line X (name of number of the opportunity).

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

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

      Adding an opportunity.
      1. Enter add in Column I.

      2. Enter the Current Section in Column J.

      3. Enter the Current Location in Column K.

      4. Enter the New Opportunity in Column O.

      5. Enter the Defect Type (Omitted and Incorrect) in Column P.

        Note:

        ALT ENTER will take you to a new line within the same column for listing the Defect Type if both are applicable.

      6. Enter the Defect Description in Column Q.

        Example:

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

        Note:

        The ALT ENTER new line procedure above will work here, too. Add the Defect Description(s) for Omitted, ALT ENTER, and add the Defect Descriptions for Incorrect.

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

        Example:

        Add after Line X (name or number of the opportunity).

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

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

      Deleting an opportunity.
      1. Enter delete in Column I.

      2. Enter the Current Section in Column J.

      3. Enter the Current Location in Column K.

      4. Enter the Current Opportunity in Column L.

      5. Enter the IRM reference, required, in Column U.

      Changing an opportunity.
      1. Enter change in Column I.

      2. Enter the Current Section in Column J.

      3. Enter the Current Location in Column K.

      4. Enter the Current Opportunity in Column L.

      5. Enter the New Opportunity in Column O.

      6. Enter Coding Guidance, if any, in Column S.

      7. Enter the IRM reference, required, in Column U.

      Moving an opportunity.
      1. Enter move in Column I.

      2. Enter the Current Section in Column J.

      3. Enter the Current Location in Column K.

      4. Enter the Current Opportunity in Column L.

      5. Enter the Comments (indicate placement of new opportunity, etc.) in Column R.

        Example:

        Move after Line X (name or number of the opportunity).

      6. Enter Coding Guidance, if any, in Column S.

      7. Enter the IRM reference, required, in Column U.

  5. The Site Improvement Specialist should E-mail the template to the HQ Quality Section analyst with responsibility for the impacted function or to the HQ Quality Section System Administrator for systemic issues.

3.30.30.9.1.1  (05-04-2012)
Reviewing and Resolving the Opportunity Issue

  1. 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.

  2. 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.

3.30.30.9.2  (04-13-2010)
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 the applicable operation symbol (RCO, DPO, DCO, ITIN, ICO, ACO), program, function, and current date.

    Example:

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

    Note:

    The HQ Analyst (System Administrator or Issue Coordinator) will enter the information in the "Assigned to" and "Issue Number" fields.

  3. The Site Improvement Specialist should:

    1. Complete the applicable fields on the form.

    2. Send the form to the System Administrator (cc Administrator backup).

3.30.30.9.2.1  (04-13-2010)
Reviewing and Resolving the Non-Opportunity Issue

  1. The HQ Analyst Issue Coordinator should complete the "Issue Number" fields if system issue is received from the System Administrator and requested to be added to the EQSP Issue log.

  2. The HQ System Administrator will review and research the issue(s) and complete 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.

3.30.30.10  (04-13-2010)
Exhibits

  1. The following exhibits contain specific coding guidance for each Operation.

Exhibit 3.30.30-1 
Receipt & Control Operation - 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
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.

Exhibit 3.30.30-2 
Document Perfection Operation - 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
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
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 3.30.30-3 
Data Conversion Operation - 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.

480/470
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

Exhibit 3.30.30-4 
Input Correction Operation - Guidelines for Coding Opportunities

Function Specific Guidance
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.
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
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 3.30.30-5 
Accounting Control Services Operation - Guidelines for Coding Opportunities

Function Specific Guidance
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
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
420
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
 
 
790
RAIVS
Opportunities generally revolve around:
•Requests received from taxpayer or their representatives on Form 4506, Request for Copy of Tax Return or Form 4506T, Request for Transcript of Tax Return
•Actions an employee took to complete their duties, e.g., validating requests 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 Code for accuracy of data input to TDS, Auto-Transcript system, and the entity portion for the nationally approved letters Optional DCIs are listed as "Schedules" and should be selected only when defective opportunities are identified as applicable to the case being reviewed.
•Form 13873-I
•Form 13873-B
• Notice 1354/1354-A
•TDS Letter
 
 
 
 
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
 
 
 
 
630
Federal Tax Deposit (FTD)
The FTD system is designed to facilitate and expedite the collection, deposit, and classification of various types of tax payments into the United States Treasury which allows the Government to have quicker use of the funds. The FTD system involves three separate organizations: Depositary Banks, Federal Reserve Bank, and the Internal Revenue Service. There are several functional areas within the IRS engaged in processing FTD coupons where they are received, processed, and classified from the taxpayer. Employees are required to review and validate the FTD coupons and blocks of work for correction if specific criteria's are not met during the validity check. These opportunities for FTD cases revolve around the following activities:
• Accessing IDRS on-line FTD Error Correction
• Field(s) on the block transmittal failed a validity check
• Tax class/amount field on FTD coupon failed a validity check
• Amount on Advice of Credit does not equal amount of FTD
• More than 499 coupons in a block
• Missing and un-confirmed FTD coupons/deposits EQSP provides 4 main DCIs and several optional DCIs to record quality review results for Federal Tax Deposit.
• 15800 FTD BOB Register
• 5800 FTD Error Register
• 15800 FTD Missing Depository Transmittal
• 15800 FTD Daily Variance Optional DCIs are listed as "Schedules" and should be selected only when applicable to the case being reviewed.
• 0139C (IDRS Letter)
• 0147C (IDRS Letter)
• Form 2284
• Form 5517
• Form 5526
• Form 5891
• Form 6143
• Form 8109
• Form 8109-B
• Form 8163
• Form 8164
• Form 8712
• Form 9160
 
 
 
 

Exhibit 3.30.30-6 
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 3.30.30-7 
Roles and Responsibilities

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