4.17.2  Responsibilities

4.17.2.1  (02-25-2010)
Overview

  1. This section describes the responsibilities of individuals who administer, oversee, review, and approve Compliance Initiative Projects (CIP).

4.17.2.2  (02-25-2010)
CIP Coordinator

  1. The SB/SE CIP Coordinator will be located in the office of the PSP Territory Manager. The Field Compliance Services (Campus) CIP Coordinator will be located within the Examination function. The LMSB CIP Coordinators are located in the Industry or Headquarter Offices. The CIP Coordinator’s duties include:

    • Reviewing CIPs for content and ensuring all appropriate individuals have approved or concurred with the CIP;

    • Assigning project and ERCS tracking codes for monitoring purposes when applicable;

    • Preparing CIP authorization requests, status reports, and termination reports to ensure requirements are met;

    • Providing guidance, assistance, oversight, and monitoring for all CIP activity within the area/field compliance services to ensure actions are completed timely, procedures are followed, and objectives are met;

    • Ensuring data used to develop the project is clearly identified, available, and evaluated for accuracy;

    • Ensuring data is timely returned or disposed of properly when the project is terminated;

      Note:

      This is related to data in PSP. This does not relate to cases built and placed in the audit pipeline. Cases built and placed in the audit pipeline in status 10, do not need to be returned to PSP. See IRM 4.17.4.6 and IRM 4.17.4.7 regarding workload after project expiration and/or termination. These types of cases should be coded to Tracking Code 9518.

    • Preparing special reports when necessary;

    • Maintaining ROTERS for each project and making them available for status reports, termination reports, and special reports when necessary;

    • Monitoring progress on projects and reporting issues or concerns to the PSP Territory Manager or delegate;

    • Ensuring technical issues have been coordinated with Appeals and Counsel, if appropriate, and results are documented in the authorization request;

    • When required or appropriate, coordinating workload identification and delivery with the other divisional analysts;

    • Preparing and analyzing CIP inventory using the CIP DATA Overview Report (DOR);

      Note:

      This report is for the Area use in monitoring CIPs. It is recommended that this report be reviewed monthly as part of the Area monitoring process. There is no needs to submit a copy of the report to headquarters.

    • Coordinating with the LMSB CIP Oversight Committee planner to ensure the Committee considers the CIP when applicable;

    • Ensuring the LMSB Operations Planning & Support, CIP Analyst reviews the CIP prior to presenting the CIP to the LMSB CIP Oversight Committee when applicable, and

    • Forwarding a signed copy of the CIP to all parties once the CIP is final/approved.

4.17.2.3  (02-25-2010)
CIP Headquarters Analyst Position

  1. The CIP Headquarter Analyst duties will include:

    • Reviewing CIPs for content and ensuring all appropriate individuals have approved or concurred with the CIP;

    • Providing guidance, assistance, oversight, and monitoring for all SB/SE CIP activity to ensure actions are completed timely, procedures are followed, and objectives are met;

    • Maintaining ROTERS for each project and making them available for status reports, termination reports, and special reports when necessary;

    • Conducting periodic teleconferences with CIP coordinators, and following up with questions on outstanding CIP issues;

      Note:

      Generally, conference calls will be held at least quarterly.

    • Reviewing monthly CIP DOR Report;

    • Updating, reviewing, and maintaining an accurate National CIP Database;

      Note:

      The National CIP Database should be reviewed periodically (with a minimum of one review per year).

    • Maintaining the CIP web page;

    • Helping with research and coordinating with other divisions and their CIP representatives when a CIP crosses divisions; and

    • Conducting CIP Assistance and Operational reviews on an as needed basis.

4.17.2.4  (02-25-2010)
PSP Territory Manager/ Exam Return Selection Program Manager/LMSB Operations Planning & Support

  1. The duties of the PSP Territory Manager/Exam Planning & Delivery Program Manager/LMSB Operations, Planning & Support Manager include:

    • Designating an Area CIP Coordinator who will report to the PSP Territory Manager/Exam Planning & Delivery Program Manager/LMSB Operations Planning & Support Manager,

    • Reviewing CIP authorization requests, status reports, and termination reports to ensure:

      1. CIPs are consistent with procedures and Service policies, and

      2. Proper coordination has occurred and agreement has been reached with all significantly impacted functions or units, and their activities can be accomplished within the necessary time frames;

    • Ensuring proper alternative treatments are included in the authorization request; and

    • Conducting annual reviews of the CIP process.

4.17.2.5  (02-25-2010)
Other Managers, Directors Significantly Impacted by the CIP

  1. The duties of managers and/or directors of functions or units significantly impacted by the CIP include:

    • Providing information for the preparation of the project authorization, if requested; and

    • Timely reviewing project authorizations to ensure time frames are reasonable, resources are available when needed, and actions are completed according to schedule.

4.17.2.6  (02-25-2010)
Communications Liaison & Disclosure Managers/Directors

  1. The duties of managers and/or directors from the Communications Liaison & Disclosure (CLD) function include:

    • Coordinating with the function/unit that originates the project to determine what involvement by CLD is appropriate;

    • Providing information for the preparation of project authorization, if requested;

    • Timely reviewing authorization requests to ensure CLD time frames are reasonable and resources can be available when needed; and

    • Providing guidance and suggestions on alternative treatments.

4.17.2.7  (02-25-2010)
CIP Oversight Committee

  1. The CIP Oversight Committee consists of LMSB Executive/Directors. The Committee meets monthly and is responsible for providing guidance and making decisions with regards to LMSB operations. The LMSB CIP Oversight Committee will be responsible for:

    • Reviewing and recommending for approval all CIPs;

    • Determining when a CIP requires the LMSB Commissioner’s approval;

    • Determining if a CIP affects another division and will require concurrence/approval; and

    • Documenting decisions and sharing information with affected parties via appropriate channels.

4.17.2.8  (02-25-2010)
Disclosure Officer

  1. The duties of the disclosure officer include reviewing CIP authorization requests to ensure they comply with privacy, security, and disclosure requirements.

4.17.2.9  (02-25-2010)
Research Function

  1. The duties of the research function include providing data and special assistance (for example, developing measures, developing methodology, providing statistical or other analysis, etc.) if requested by the originating function.

4.17.2.10  (02-25-2010)
Area Director/Field Director, Compliance Services

  1. The duties of the Area Director/Field Director, Compliance Services include:

    • Ensuring security, privacy, and disclosure guidelines are followed, including the acquisition, use, and safeguarding of taxpayer data and the protection of taxpayer privacy; and

    • Ensuring proper oversight, adherence to procedures, and timely completion of projects.

4.17.2.11  (02-25-2010)
Director, Examination Planning & Delivery

  1. The duties of the Director, Examination Planning and Delivery include:

    • Approving all SB/SE and Cross Divisional CIPs;

    • Setting divisional standards and policies for the authorization and implementation of CIPs;

    • Providing oversight direction and review to ensure guidelines and procedures are followed;

    • Providing assistance to the field offices if needed; and

    • Keeping field functions informed about new issues, current projects, etc.

Exhibit 4.17.2-1  (02-25-2010)
Data Overview Report

CIP Spreadsheet - Area - A-CIS Data
Month ending: December 2009
Project Code CIP Name Part 1 or 2 Project Coordinator Status 06 Status 08 Status 10 Status 12/13 Status 17/18 Status 19 & Above
0234 Test 1 Joe Smith 10 3 8 1 0 2
Total Open Total Closed $ per Return $ per hour % No change Terminated Complete Approval Extended To Terminated Completion Date
3 10 10,253 676 3% Yes 5/4/2008 9/30/2009   9/30/2010

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