4.19.2  IMF Automated Underreporter (AUR) Control (Cont. 1)

4.19.2.3 
Miscellaneous Notice Processing

4.19.2.3.6 
Classifying Responses

4.19.2.3.6.4  (09-01-2013)
CP 2000 Responses

  1. After the initial sort per IRM 4.19.2.3.6, Classifying Responses, is completed, all CP 2000 responses should be further screened for:

    1. Form 14039 or an indication of identity theft claim per IRM 4.19.2.3.6.2, Identity Theft Claims; set aside for identity theft batch building.

    2. Cases with an indication of a "Qualified Offer" or "IRC 7430 (g)" must be transferred to the AUR Coordinator for immediate attention.

    3. Cases with a Form 14157, Return Preparer Complaint, or Form 14157-A, Tax Return Preparer Fraud or Misconduct Affidavit, attached is not an indication of identity theft, it is RPM. Transfer to the designated UID.

    4. Form 9465 as these require special handling, see IRM 4.19.2.3.6.1, Form 9465, Installment Agreements.

  2. CP 2000 responses are then sorted for batch building by:

    • agreed

    • disagreed

4.19.2.3.6.4.1  (09-01-2013)
Agreed CP 2000 Responses

  1. An Agreed CP 2000 Response indicates agreement with the CP 2000 in its entirety and must meet at least one of the following conditions:

    Note:

    If "I don't agree with some or all of the changes" box on the Response Page has been checked, consider the response disagreed. Failure to do so could result in an incorrect assessment which can lead to increased taxpayer burden and additional cost for the IRS.

    1. Be full paid for correct tax and penalties with no taxpayer comments.

      Note:

      Receipt and Control/Deposit function may place a rocker under the CP 2000 amount due of the coding/deposit string that appears at the bottom of the CP 2000 Notice, or under the proposed amount due, which indicates full payment. If a specific dollar amount has been entered, it is an indication of partial payment. Check the dollar amount against the amount under "I agree with all changes" , if the amount matches consider as full payment. For further information, see IRM 4.19.2.2.10, CP 2000 Coding/Deposit String.

    2. Be a signed Form 9465 attached to a notice with no taxpayer comments. A jointly filed return must have both taxpayers' signatures, unless one of the spouses is deceased. See (2) below. See IRM 4.19.2.3.6.1, Form 9465, Installment Agreements.

      Note:

      If the Form 9465 is the only piece of correspondence, See IRM 4.19.2.3.6.1 (2), Form 9465, Installment Agreements, for additional information.

    3. Contain a signature (under the Consent to Tax increase statement) on an unaltered CP 2000 or Letter 2626C with no taxpayer comments/attachments. A jointly filed return must have both taxpayers' signatures, unless one of the spouses is deceased. See (2) and (3) below for additional information on a faxed consent to tax increase.

      Caution:

      Form 8822 or an attached voided personal check, are not considered comments nor attachments for purposes of determining agreement.

      Note:

      A response is also considered "agreed" if the taxpayer only signs under the third party authorization (both signatures on a jointly filed return, unless one of the spouses is deceased) AND checks the "I agree with all changes" box.

  2. A faxed consent to assess additional tax (CP 2000, Letter 2626C, or Form 9465 attached to notice with no taxpayer comments) of $250,000 or less can be accepted. Build these cases into BT 51 (BT 71 for Stat).

  3. If the tax increase is in excess of $250,000 original signatures are required. If a faxed consent to assess additional tax is received, treat this response as disagreed.

  4. Agreed responses are built into BT 51.

    Note:

    Although CP 2000 responses with an IRS received date of 20 days or older could be assigned to a BT 53, it is recommended that all agreed CP 2000 responses be built to BT 51 for automatic assessment.

4.19.2.3.6.4.2  (04-11-2013)
Disagreed CP 2000 Responses

  1. A Disagreed CP 2000 Notice Response does not meet the conditions in IRM 4.19.2.3.6.4.1, Agreed CP 2000 Responses, and is identified by:

    • Disagreement with at least some part of the notice

    • The CP 2000 is unsigned, or there are any taxpayer comments

    • The only correspondence received is a Form 9465 with or without taxpayer comments. See IRM 4.19.2.3.6.1 (2), Form 9465, Installment Agreements, for additional information.

      Caution:

      For purposes of determining agreement, Form 8822 or an attached voided personal check are not considered comments nor attachments.

  2. While sorting/building responses that meet disagree criteria, securely staple a flag indicating "9465" to the Form 9465 (and attached voided personal checks). See IRM 4.19.2.3.6.1, Form 9465, Installment Agreements, for additional information. Do not copy or send to Collections.

  3. While sorting/building responses that meet disagree criteria, any response that contains a Form 14039 or other indication of identity theft per IRM 4.19.2.3.6.2, Identity Theft Claims, requires priority handling.

  4. Disagreed responses are built into BT 52. However, if the received date is 20 DAYS OR OLDER, priority handling is needed. Build the response to BT 53.

4.19.2.3.6.5  (09-01-2013)
Statutory Notice Responses

  1. All Stat responses are considered HIGH PRIORITY work, as the taxpayer has limited time to file a petition with Tax Court.

  2. After the initial sort per IRM 4.19.2.3.6, Classifying Responses, is completed, all Statutory Notice responses should be further screened for:

    1. Form 14039 or an indication of identity theft claim per IRM 4.19.2.3.6.2, Identity Theft Claims, set aside for identity theft batch building.

    2. Cases with an indication of a "Qualified Offer" or "IRC 7430 (g)" must be transferred to the AUR Coordinator for immediate attention.

    3. Cases with a Form 14157, Return Preparer Complaint, or Form 14157-A, Tax Return Preparer Fraud or Misconduct Affidavit, attached is not an indication of identity theft, it is RPM. Transfer to the designated UID.

    4. Form 9465 as these require special handling, see IRM 4.19.2.3.6.1, Form 9465, Installment Agreements.

  3. Statutory Notice responses are then sorted for batch building by:

    • agreed

    • disagreed

4.19.2.3.6.5.1  (04-11-2013)
Agreed Statutory Notice Responses

  1. All Stat responses are considered HIGH PRIORITY work, as the taxpayer has limited time to file a petition with Tax Court.

  2. An Agreed Statutory Response indicates agreement by meeting one of the following conditions:

    Note:

    If "I don't agree with some or all of the changes" box on the Response page of the Notice has been checked, consider the response to be disagreed. Failure to do so could result in an incorrect assessment, which could cause an increase in taxpayer burden and additional cost for the IRS.

    1. An unaltered CP 2000 or Letter 2626C (attached or not attached to a Statutory Notice) that contains a signature (under the Consent to Tax Increase Statement on the Notice) with no taxpayer comments. A jointly filed return must have both taxpayers' signatures, unless one of the spouses is deceased.

      Note:

      A response is also considered "agreed" if the taxpayer only signs under the third party authorization (both signatures on a jointly filed return, unless one of the spouses is deceased) AND checks the "I agree with all changes box" .

    2. A signed Form 9465 attached to a notice with no taxpayer comments. A jointly filed return must have both taxpayers' signatures, unless one of the spouses is deceased. See IRM 4.19.2.3.6.1, Form 9465, Installment Agreements.

      Note:

      If the Form 9465 is the only piece of correspondence, See IRM 4.19.2.3.6.1 (2), Form 9465, Installment Agreements, for additional information.

    3. A signature (under the Consent to Tax Increase jurat) on an unaltered Statutory Notice of Deficiency, Form 5564, with no taxpayer comments/attachments. A jointly filed return must have both taxpayers' signatures, unless one of the spouses is deceased. See (4) and (5) below for additional information on a faxed consent to tax increase.

      Caution:

      Form 8822 or an attached voided personal check, are not considered comments nor attachments for purposes of determining agreement.

  3. Full payment received after a Notice of Deficiency was issued, without the necessary signature(s), cannot be considered an agreement with the tax increase. Build these responses to the appropriate disagreed response batch type.

  4. A faxed consent to assess additional tax (CP 2000, Letter 2626C, Form 5564 (Stat Notice) or Form 9465 attached to notice with no taxpayer comments) of $250,000 or less can be accepted. Build these cases into BT 71 (BT 51 for CP 2000 phase).

  5. If the tax increase is in excess of $250,000 original signatures are required. If a faxed consent to assess additional tax is received, treat this response as disagreed.

  6. Agreed Stat responses are assigned to BT 71.

    Note:

    Although Stat responses with an IRS received date of 10 days or older could be assigned to a BT 74, it is recommended that all agreed Stat responses be built to BT 71 for automatic assessment.

4.19.2.3.6.5.2  (09-01-2013)
Disagreed Statutory Notice Responses

  1. All Stat responses are considered HIGH PRIORITY work, as the taxpayer has limited time to file a petition with Tax Court.

  2. A disagreed Stat response does not meet the conditions in IRM 4.19.2.3.6.5.1, Agreed Statutory Notice Responses, and is identified by:

    1. Disagreement with at least some part of the notice.

    2. The waiver is unsigned.

    3. There are any taxpayer comments.

    4. The only correspondence is a Form 9465. See IRM 4.19.2.3.6.1 (2), Form 9465, Installment Agreements, for additional information. Do not copy or send to Collections.

  3. Build Disagreed Stat responses to BT 74.

4.19.2.3.6.5.3  (09-01-2013)
Statutory Notices Not Generated - Late Responses

  1. If a response is received but the Statutory Notice has not been mailed, and the date is earlier than the second Friday before the Notice Mailout Date, batch the case to BT 58.

  2. If the response is received later than the second Friday before the Notice Mailout Date, batch the case to a Statutory Response BT 71 or 74 after the notice date has passed.

    Note:

    When a case is assigned to Stop Notice, the AUR system automatically updates the process code to the appropriate notice-not-mailed PC 79. If the notice should be mailed - the AUR coordinator has to delete the notice-not-mailed PC.

4.19.2.3.7  (09-01-2013)
Statutory Notices (Process Code 75)

  1. The AUR system creates a statutory notice record for cases assigned a PC 75.

  2. A Statutory Notice is created for each spouse regardless of their address. Each notice is preceded by a Banner Page which splits the name line and explains the statutory requirement for mailing the spousal notice.

  3. PC 75 Statutory Notices are generated in CSN order and paper cases receive a new folder. A Statutory Notice consists of a CP 2000 reprint notice, two mail copies of the Banner Page, the Statutory Notice of Deficiency (CP 3219A), Notice of Deficiency - Waiver (Form 5564). The AUR bar code is displayed on the Form 5564.

    Note:

    File copies of the Statutory Notice of Deficiency are not printed and can be accessed and printed from Control D.

  4. The Statutory Notice is a legal document. Therefore, no marks or corrections should be made on the notice.

  5. Certified Mail Listing (CML) - CPS routes one copy of the date stamped domestic certified listing and one copy of the registered foreign listing with any domestic registered corrections to each AUR campus. Electronic copies of the STAT notices are sent to Control-D. See IRM 4.19.2.1.2, Maintaining Documents in AUR, for additional information on retaining certified listing.

  6. If it is necessary to retrieve a certified mail listing that has been shipped to the FRC, use Optional Form (OF) 11 to request the listing. The Form and instructions can be found at http://www.archives.gov/frc/reference-services.html and http://www.archives.gov/frc/forms/of-11.pdf.

4.19.2.3.8  (09-01-2009)
Statutory Notices (Process Code 77)

  1. Statutory Notices created by command code (CC) STN90 using IDRS are received separately from notices created by PC 75.

  2. Statutory Notices generated from CC STN90 are generated in SSN order. There IS NOT an AUR bar code on the Form 5564 and there IS NOT a Banner Page to split the name line.

  3. Information from the most current CP 2000 Notice or the Letter 1151C (whichever is later) is used when generating Statutory Notices using STN90. The TE prints a copy of the notice or the Letter 1151C and associates it with the case when a PC 77 is input. Print a copy of the notice or Letter 1151C if they are not in the case file.

  4. Command Code STN90 must be preceded by valid input of CC TXMOD. In order to generate a Statutory Notice, the module must contain an open control base with Category Code URPS. If it is a dummy module, an error message displays and the notice is not created.

  5. Category Code URPS should be used on initial input of STN90, STN90F, and STN90C. Use "STAT NOTICE" as the explanation.

  6. If TC 494 attempts to post to a module with a TC 420, 424, or a TC 494 with a category other than URPS, an error displays on the terminal screen. Contact the appropriate organization to determine what action must be taken to resolve the situation.

    Note:

    For contact information, see the Exam Employee Group Code (EGC) contacts, under the Who/Where Tab on SERP.

  7. The following penalty types are accepted:

    • 1 - Reserved

    • 2 - Late Filing Penalty

    • 3 - Reserved

    • 4 - Reserved

    • 5 - Estimated Tax Penalty

    • 6 - Gross Valuation Overstatement Penalty (Do Not Use)

    • 7 - Accuracy Related Penalties

    • 8 - Gross Valuation Misstatement (Do Not Use)

  8. The Paragraph option is not used for AUR processing.

  9. Machine Services imprints the Director's signature on the CP 3219A and forwards the signed CP 3219A and Form 5564 to the Automated Underreporter function.

  10. Assemble the taxpayer copies of the Statutory Notice as follows:

    1. The original and one copy of CP 3219A.

    2. The original and one copy of Form 5564.

    3. A copy of the most current CP 2000/Recomputation Notice (except page 1 and the response page).

  11. Assemble the file copy of the Statutory Notice as follows:

    1. One copy of CP 3219A.

    2. One copy of Form 5564.

    3. A complete copy of the most current CP 2000/Recomputation Notice.

  12. Check the Statutory Notice before mailing for the following:

    1. Name, address and SSN are the same on CP 3219A, Form 5564, and the most current CP 2000/Recomputation Notice.

    2. The Tax Increase on the CP 3219A, Form 5564, and page 2 of the CP 2000/ Recomputation Notice are the same amount.

    3. Foreign addresses.

  13. If a Statutory Notice is manually typed:

    1. Prepare a manual Certified Mail Listing.

    2. Use the next available Certified Mail Number, not exceeding the block of numbers allocated to the AUR Function.

  14. Envelope E-142 is used for all notices generated using PC 77.

4.19.2.3.9  (09-01-2013)
Reconsideration (Closed Correspondence)

  1. Taxpayers frequently respond to the AUR assessment after the case has been closed. The taxpayer response generally falls into one of three categories:

    1. A request for a change in the AUR assessment.

    2. General information that is NOT a request to change the AUR assessment.

    3. Misrouted correspondence that has no impact on the AUR case.

    See IRM 4.19.2.4.3.2.1, Reconsideration Response Batch Building (Batch Type (BT) 81), for additional information.

  2. After the initial sort per (1) above is completed, all Reconsideration responses should be further screened for:

    1. Form 14039 or an indication of identity theft claim per IRM 4.19.2.3.6.2, Identity Theft Claims.

    2. Cases with an indication of a "Qualified Offer" or "IRC 7430 (g)" must be transferred to the AUR Coordinator for immediate attention.

    3. Cases with a Form 14157, Return Preparer Complaint, or Form 14157-A, Tax Return Preparer Fraud or Misconduct Affidavit, attached is not an indication of identity theft, it is RPM. Transfer to the designated UID.

4.19.2.4  (09-01-2008)
General Batch Information

  1. AUR uses a series of batches to control and monitor inventory. Cases move from batch to batch as significant actions take place.

  2. Batches are built in the order the SSNs are scanned or key entered. Each SSN is assigned a CSN. Batches are built using the Batch Building menu.

    Note:

    Returns (cases) must be kept in the order in which they are scanned or key entered.

4.19.2.4.1  (09-01-2012)
Description of Batch Numbers

  1. A batch number is a five-digit number that is used to describe the physical location or the stage of processing for a case file.

  2. The first two numbers of every batch number are used to describe/define the batch type.

  3. The next three numbers are used to describe/define either the sequential number of a batch (e.g., 001, 002, 003, etc. through 999); or the Unit Location Number of Unit Suspense BT 36, 45, 65, 75 and 82.

    Note:

    Unit Location Numbers can be alpha or numeric. There are two locations assigned by the system; RLS and 000. For additional information, see IRM 4.19.2.2.18, Locations.

4.19.2.4.2  (08-05-2011)
Batch Status Codes

  1. The batch status code defines the status of a batch at any time during processing.

  2. The batch status code is updated either by the user or the AUR system in workflow order. As work is assigned to a new batch type from a suspense batch type, the batch status reverts to a blank value (batch is being assembled) to begin the cycle again, in workflow order.

  3. The batch status codes and their definitions are:

    Status Definition
    RT Return Transaction File Data (RTF) downloaded. This indicates that the RTF has been downloaded for an extract.
    Blank Indicates that a batch is being assembled and has no status.
    AG Aged Batch. The "AG" status indicates the batch has met appropriate suspense time frames.
    AB Associated Batch. The "AB" status indicates that batch association is complete.
    CB Cancel Batch. The "CB" status indicates a unit has canceled a previously selected batch.
    AU Assigned to a TE Unit. The "AU" status indicates the batch has been assigned/accepted by a TE unit for processing.
    BF Batch Finished. The "BF" status indicates an assigned batch has been completed by a TE unit.
    RB Release Batch. The "RB" status indicates the completed batch is being released by the Control Function.

    Caution:

    Ensure that once begun all actions to complete the update to "RB" are completed - through <F4> (commit). Failure to do so prevents other users from using the Update Status to "RB " .

    DC Disassembly Complete. The "DC" status indicates the AUR system disassembly of the batch has been completed.
    SB Suspense Batch. The "SB" status indicates that the batch is suspended.
    XX Batch is on hold. Contact your manager or lead.

  4. To update the batch status code:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Status/location from the drop down menu.

    5. Select Status/location from the pull-right menu.

    6. Enter the five-digit batch number.

    7. Enter the two-digit status code in the NEW STATUS field and press <Enter>.

    8. Press <F4> to commit.

    9. Press <F8> to exit.

4.19.2.4.3  (08-05-2011)
Batch Building - General

  1. When cases are being assigned to a batch, there are specific stated requirements that must be met. System constraints require that a case must meet specific process code and current batch type criteria to be assigned to a batch. Batches are built manually or automatically by the system, depending on the current batch that is being built.

  2. The AUR Coordinator sets parameters for the maximum volume for each work unit and batch.

  3. When the maximum volume for each work unit is reached, the AUR System assigns these cases to the work unit and notifies the user that the work unit in the batch is completed.

  4. When the maximum volume for the batch is reached, the system alerts the user that no more cases can be added.

  5. The batch building screen can be accessed by taking the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu. The batch building menu appears.

  6. There are eleven (11) menu options listed on the batch building menu. Some menu options are only available when certain actions are being taken. The eleven menu options are as follows:

    1. Create - used to create a batch.

    2. Add - used to add cases to an existing batch.

      Note:

      Using the Add option reverts the batch status to a blank value.

    3. Undeliver - used to pull the Undelivered new action listing.

    4. Close - used to close a batch once batch is completed, places batch in "AB" status.

    5. Pull list - used to print a pull list for a batch.

    6. Reseq - used to resequence a batch.

      Note:

      The Resequence option is not valid for certain batch types, see the IRM for the batch type to determine whether or not to Resequence the batch.

    7. check Dt - used to get a listing of cases the system has identified as missing after no response cases have been batched into CP 2501 No Response BT 49, Aged CP 2000 Statutory Preparation BT 59, or Statutory Default BT 79.

    8. print case History - used to print case history.

    9. chrgOut - used to print a chargeout.

    10. Window - used to display which window the user is currently accessing.

    11. Exit - used to exit batch building screen.

  7. When creating a batch, at least one SSN (case) must be entered before exiting the system.

  8. To exit the system before completing the work unit/batch, the work unit currently being input must be committed. Indicate the batch and work unit number on the folder and insert the cases assigned to the work unit.

  9. When using the Add option, the system indicates when the batch is full and cases cannot be added. When adding to a batch that is not full, the system either:

    • Alerts if the previous work unit has reached maximum size, or

    • Displays a message indicating the SSNs are being added to a previous work unit

  10. Closing a batch (using the Close option) automatically updates the batch status to "AB" . Once a batch has been closed, if the maximum volume for the work unit or batch has not been reached, cases can be added. The batch status reverts to a blank value.

    Exception:

    BT 58, 67, and 87 cannot be added to after the batch has been closed.

  11. When the batch has been assembled, print the appropriate Batch Listing and/or Work Unit listing by batch number. The listing is used as a transmittal document and can also be used to verify batch contents. The verification of batch contents is a local management decision. For additional information, see IRM 4.19.2.9.8, Batch Listings.

  12. Batch reports should be monitored to ensure all batches contain a volume.

    1. To resolve zero volume batches in "AB" status, use the Add option, enter the batch number and Press <F8> to exit. The system displays a SAVE message, click NO. The batch number becomes invalid and drops from the report.

    2. To resolve zero volume batches in "BF" status, go to Status/location and update the batch status to "RB" . The batch number becomes invalid and drops from the report.

4.19.2.4.3.1  (09-01-2013)
Screening Batch Building (Batch Type (BT) 01-19, 29, 31 and 33)

  1. Initial batch building is also referred to as Pre, Extract and Screening.

  2. The AUR inventory is ordered in groups referred to as extracts numbered 01-19. When the returns are received they are built, either manually or systemically, into batch types that match the extract number (01-19).

  3. Returns (paper filed) are received from Campus Files and Federal Records Centers, stapled behind Form 4251, Charge-outs, and are manually built by clerks.

    Note:

    Do not build single Form 4251, treat as Classified Waste.

  4. Electronically filed returns (ELF) and Form 1040 EZ (EZ) cases do not receive a Form 4251, Return Charge-out, and each case is identified as a "VIRTUAL" (V) case. The system auto-batches these cases into extract batches 01000 - 19000. The batches are identified as "virtual batches" on the Batch Inventory Report. The batches are systemically closed and updated to "AB" status. For specifics on identifying these cases, see IRM 4.19.2.2.14, Electronic Filing System.

  5. The AUR system has built-in checks to ensure cases are built to the screening batch type that corresponds to the extract and/or current location.

  6. To build a screening batch:

    1. Get the assigned work and prepare the work unit and batch sheets.

    2. Select the tax year from the AUR Year menu.

    3. Select Control from the AUR Main menu.

    4. Select Batch from the Control menu.

    5. Select Batch building from the drop down menu.

      Note:

      When creating a batch enter at least one case before exiting the system.

    6. Select Create, the batch building screen appears.

    7. Enter the appropriate two-digit batch type and press <Enter>.

    8. Scan the AUR bar code or enter the SSN of each case. Be sure two cases are not stuck together. Place entered returns face down to keep in strict order.

      Note:

      If you receive the message CASE IS CLOSED ON AUR - BUILD TO BT 81 RECONSIDERATION BATCH, do not build to Reconsideration Batch Type 81. If a paper return is present, send the return to the appropriate FRC by routing to the Files Operation.

    9. The system alerts when a work unit is complete, label the work units. Keep work units separate and in strict order.

  7. When the maximum volume for the batch has been reached or there are no more cases to be built to the batch, close the batch by taking the following action:

    Note:

    When building BT 33, print a pull listing and pull the cases, prior to closing the batch.

    1. Select Close, the batch status updates to "AB" . DO NOT RESEQUENCE SCREENING BATCHES.

    2. <F4> and Press <F8> to exit.

  8. Print the batch listing. See IRM 4.19.2.9.8(4) and (5), Batch Listings, for information on how to access and print batch listings.

  9. Label and house completed screening batches.

  10. If cases do not build to the batch take the following actions:

    1. Error Message "Incomplete and Missing Data" - notate and place in the designated area for assignment to BT 32.

    2. Error Message "Invalid SSN" - verify the Form 4251 belongs to your campus. If the case does not belong to your campus, place in the designated area for routing to the appropriate campus. If the Form 4251 does belong to your campus, notate and place in the designated area.

    3. Form 4251 with no return, treat as Classified Waste.

    4. Return with no Form 4251 - if it builds to the batch, attach a substitute Form 4251. If it does not build, research case history to determine handling.

    5. Error Message "Build to Batch Type 29" - notate and place in the designated area.

    6. Error Message "No Access" or "Batch Type 90000" - notate and deliver to the designated Employee caseworkers.

    7. BT 30000 - notate and place in the designated area.

    8. BT 9600X - verify that the case file was not ordered for Reconsideration. If not, remove and treat the Form 4251 as Classified Waste and place the return in the designated area to be returned to the Campus Files Operation.

  11. Loose documents (W-2s, schedules, etc.):

    1. Research AUR and take appropriate steps to associate with the case.

    2. If not in AUR, check Mail Routing Guide to determine handling.

4.19.2.4.3.2  (09-01-2013)
Response Batch Building (Batch Types (BT) 41, 44, 51, 52, 53, 58, 71, 72, and 74)

  1. Responses should have undergone several sorts for tax year, type of response, received date, and indication of identity theft before response batch building begins.

  2. An option for "Virtual" or "Paper" appears when a response batch is being built. Initially target responses to a Virtual batch. If the case is a paper case, a message stating "Case is not virtual" is received, these cases can then be built into a paper batch.

  3. When building Response Batches, the system prompts for an IRS received date. Prior to entering the SSN into a response batch, verify the IRS received date. The IRS received date is determined by following the priority criteria listed below:

    1. Oldest IRS received date stamped on correspondence.

      Note:

      If the stamped received date does not clearly indicate that it is from a function within the IRS, do not consider as an IRS received date.

    2. Envelope postmark date.

    3. Signature date.

    4. Current date.

  4. When a faxed response is received, the IRS received date is determined by the following priority criteria listed below:

    1. Fax date (printed on fax).

      Caution:

      The fax date is sometimes incorrect, use caution when determining whether to use this date.

    2. AUR received date stamped on correspondence.

    3. Signature date.

    4. Current date.

  5. To build a response batch:

    1. Get the assigned work.

    2. Select the tax year from the AUR Year menu.

    3. Select Control from the AUR Main menu.

    4. Select Batch from the Control menu.

    5. Select Batch building from the drop down menu.

    6. Select Create, the batch building screen appears.

    7. Enter the appropriate two digit batch type.

      Note:

      The system assigns the specific batch number - record it for later use.

    8. Enter a "Y" (Virtual) or "N" (Paper) in the VIRTUAL box and press <Enter>.

    9. A "Build Response By" box appears. If all responses have the same received date, type "Y" in the Receive Date box and enter the received date that applies to all the responses.

      Caution:

      Do not build multiple received dates into BT 41, 52 and 72. These batches must contain responses with the same received date.

      If the responses have more than one received date, type "Y" in the SSN box. The SSN and the received date for each response needs to be entered.

    10. Scan the AUR bar code or enter the SSN of each response. Be sure two responses are not stuck together. Place entered responses face down.

      Note:

      If the response does not build to the batch, see (10) below.

    11. The system alerts when a work unit is complete. Acknowledge the message.

    12. Prepare the work unit and batch sheets.

    13. Press <F4> to commit.

  6. When the maximum volume for the batch has been reached or there are no more cases to be built to the batch, print the Pull Listing. The Pull Listing provides a column after the CSN to display the "V" indicator for Virtual Case (no physical case) to pull. For additional information, see IRM 4.19.2.4.4, Pull Listings.

    Note:

    DO NOT CLOSE or RESEQUENCE the batch.

  7. To access and print the pull listing see IRM 4.19.2.9.24 (2) and (3), Sequence Number/Notice Date Pull Listing.

  8. Pull the paper cases and associate the appropriate response with the case file.

    Note:

    AGN and Virtual cases may or may not have a folder.

  9. Label and house built response batches. See the Batch Type for instructions to complete clerical processing of these batches.

  10. The AUR system has built-in checks to ensure cases are built to the response batch type that corresponds to the current status and location. Responses that do not build to the batch should be noted with the AUR message/information.

    1. If the case file is assigned to an existing batch, the system does not allow the SSN to be assigned to the batch being built. The system indicates the batch assignment of the SSN. The Case History Screen displays the current batch assignment information. This information is used to associate the response to the appropriate batch.

    2. If the response has been sorted to the wrong batch type, deliver to the appropriate batch building sort.

    3. Follow the instructions in IRM 4.19.2.5.25 (9) - (12), Batch Type (BT) 51 (CP 2000/Recomp Agreed Response), for systemic messages for BT 51 and IRM 4.19.2.5.40 (9) - (13), Batch Type (BT) 71 (Statutory Notice Agreed Responses), for systemic messages for BT 71.

    4. For all other responses that do not build, follow Campus direction.

  11. If the system displays CASE IS CLOSED ON AUR - BUILD TO BT 81 RECONSIDERATION BATCH, case has been closed with an AUR Process Code. Place the response in the designated area for closed cases.

    1. Correspondence for closed cases for tax years 2005 and subsequent can be built into BT 81. For additional information on BT 81, see IRM 4.19.2.4.3.2.1, Reconsideration Response Batch Building (Batch Type (BT) 81), and IRM 4.19.2.5.47, Batch Type (BT) 81 (Reconsiderations).

    2. Follow Campus directions to process closed responses that do not build to BT 81. For additional information, see IRM 4.19.2.5.64, Batch Type (BT) 96 (Closure).

4.19.2.4.3.2.1  (09-01-2013)
Reconsideration Response Batch Building (Batch Type (BT) 81) - TY 2011 and Prior

  1. When building Reconsideration Batches, the system prompts for an IRS received date. Prior to entering responses into a reconsideration batch, verify the received date of the responses. The IRS received date is determined by following the priority criteria listed below:

    Caution:

    Never build an undeliverable CP, notice or letter to BT 81.

    1. Oldest IRS received date stamped on correspondence.

      Note:

      If the stamped received date does not clearly indicate that it is from a function within the IRS, do not consider as an IRS received date.

    2. Envelope postmark date.

    3. Signature date.

    4. Current date.

  2. When a faxed response is received, the IRS received date is determined by the following priority criteria listed below:

    1. Fax date (printed on fax).

      Caution:

      The fax date is sometimes incorrect, use caution when determining whether to use this date.

    2. AUR received date stamped on correspondence.

    3. Signature date.

    4. Current date.

  3. Reconsideration requests with an indication of identity theft require daily priority handling. Build these to a separate BT 81 and hand walk to the designated identity theft unit.

  4. To build a Reconsideration batch:

    1. Get the assigned work.

    2. Select the tax year from the AUR Year menu.

    3. Select Control from the AUR Main menu.

    4. Select Batch from the Control menu.

    5. Select Batch building from the drop down menu.

    6. Select Create, the batch building screen appears.

    7. Type "81" and press <Enter>.

    8. A Build Response By box appears. If all responses have the same received date, type "Y" in the Receive Date box and enter the received date that applies to all the responses. If the responses have more than one received date, type "Y" in the SSN box. The SSN and the received date for each response needs to be entered.

    9. Scan the AUR bar code or enter the SSN of each response. Be sure two responses are not stuck together. Place entered responses face down and in strict order.

      Note:

      If the response does not build to the batch, see (5) below.

    10. The system alerts when a work unit is complete. Acknowledge the message.

    11. When the maximum volume for the batch has been reached or there are no more cases to be built to the batch. Press <F4> to commit and press <F8> to exit.

      Note:

      DO NOT RESEQUENCE the batch.

  5. Label and house built reconsideration response batches. See the Batch Type for instructions to complete clerical processing of these batches.

  6. The AUR system has built-in checks to ensure cases are built to the response batch type that corresponds to the current status and location. Responses that do not build to the batch should be noted with the AUR message/information.

    1. If the case file is assigned to an existing batch, the system does not allow the SSN to be assigned to the batch being built. The system indicates the batch assignment of the SSN. The Case History Screen displays the current batch assignment information. Use this information to associate the response to the appropriate batch.

    2. If the response has been sorted to the wrong batch type, deliver to the appropriate batch building sort.

    3. For all other responses that do not build, follow Campus directions.

4.19.2.4.3.2.2  (09-01-2013)
Reconsideration Response Batch Building (Batch Type (BT) 81) - TY 2012 and Subsequent

  1. When building Reconsideration Batches, the system prompts for an IRS received date. Prior to entering responses into a reconsideration batch, verify the received date of the responses. The IRS received date is determined by following the priority criteria listed below:

    Caution:

    Never build an undeliverable CP, notice or letter to BT 81.

    1. Oldest IRS received date stamped on correspondence.

      Note:

      If the stamped received date does not clearly indicate that it is from a function within the IRS, do not consider as an IRS received date.

    2. Envelope postmark date.

    3. Signature date.

    4. Current date.

  2. When a faxed response is received, the IRS received date is determined by the following priority criteria listed below:

    1. Fax date (printed on fax).

      Caution:

      The fax date is sometimes incorrect, use caution when determining whether to use this date.

    2. AUR received date stamped on correspondence.

    3. Signature date.

    4. Current date.

  3. Reconsideration requests with an indication of identity theft require daily priority handling. Build these to a separate BT 81 and hand walk to the designated identity theft unit.

  4. To build a Reconsideration batch:

    1. Get the assigned work.

    2. Select the tax year from the AUR Year menu.

    3. Select Control from the AUR Main menu.

    4. Select Batch from the Control menu.

    5. Select Batch building from the drop down menu.

    6. Select Create, the batch building screen appears.

    7. Type "81" and press <Enter>.

    8. A Build Response By box appears. If all responses have the same received date, type "Y" in the Receive Date box and enter the received date that applies to all the responses. If the responses have more than one received date, type "Y" in the SSN box. The SSN and the received date for each response needs to be entered.

    9. A Reconsideration Type box appears. Type "Y" in the Reconsideration box for normal Reconsiderations, the SSNs are assigned to BT 81001 - 81499. Type "Y" in the identity theft box for identity theft cases, the SSNs are assigned to BT 81500- 81949. The SSN and the received date for each response needs to be entered.

    10. Scan the AUR bar code or enter the SSN of each response. Be sure two responses are not stuck together. Place entered responses face down and in strict order.

      Note:

      If the response does not build to the batch, see (5) below.

    11. The system alerts when a work unit is complete. Acknowledge the message.

    12. When the maximum volume for the batch has been reached or there are no more cases to be built to the batch. Press <F4> to commit and press <F8> to exit.

      Note:

      DO NOT RESEQUENCE the batch.

  5. Label and house built reconsideration response batches. See the Batch Type for instructions to complete clerical processing of these batches.

  6. The AUR system has built-in checks to ensure cases are built to the response batch type that corresponds to the current status and location. Responses that do not build to the batch should be noted with the AUR message/information.

    1. If the case file is assigned to an existing batch, the system does not allow the SSN to be assigned to the batch being built. The system indicates the batch assignment of the SSN. The Case History Screen displays the current batch assignment information. Use this information to associate the response to the appropriate batch.

    2. If the response has been sorted to the wrong batch type, deliver to the appropriate batch building sort.

    3. For all other responses that do not build, follow Campus directions.

4.19.2.4.3.3  (09-01-2013)
Unit Release Batch Building (Batch Types (BT) 37, 46, 66 and 86)

  1. Cases suspensed in technical units are released after being worked. These completed cases are placed in a designated area.

  2. As directed, get the cases from each technical unit and print the rls batch report, see IRM 4.19.2.9.21 , RLS Batch Status Report.

  3. Sort all the gathered cases for building to BT 37, 46, 66 or 86 based on the PC or IPC assigned to the case.

    Note:

    Rather than sorting the cases by IPC/PC attempt to build all the cases to BT 66. The system only accepts the appropriate cases and displays a message indicating the correct target batch type. Make a note and set these aside.

    Target Batch Process/Internal Process Codes
    37 - Screening Release 0A, 0D, 10-18, 20-29, 30, 39, 55, MC, WP
    46 - CP 2501 Release 3D, 3F, 3L, 3S, 10, 15, 18, 30, 35, 36, 38, 39, 44, 46, 47, 48, 51-53, 57, 98, 99, MC, RF, S3
    66 - CP 2000 Release 6D, 6F, 6L, 6S, 6X, 10, 15, 18, 55, 57, 59, 62-69, 70-75, 77, 98, 99, RF, RN, MC, S6
    86 - Stat Release 8D, 8F, 8L, 8M, 8S, 10, 15, 18, 75, 77, 80-84, 85-96, 98, 99, MC, RF, SR, S8

    Note:

    Due to the time sensitive nature of the cases, PC 80 cases should be built into a separate BT 86.

    • PC 10 is applicable for all targeted batches - check the batch number on the folder (or case history) to sort to the correct target batch

    • PC 15 is applicable for all targeted batches - check the batch number on the folder (or case history) to sort to the correct target batch

    • PC 18 is applicable for all targeted batches - review the process code history to target the correct batch

  4. Use the case files (gathered from all technical units) and/or the RLS Batch Status Report to build the appropriate Unit Release batches:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create, the batch building screen appears.

    6. Enter the appropriate 2 digit batch type.

      Note:

      The system assigns the specific batch number - record it for later use.

    7. Scan the AUR bar code or enter each SSN.

    8. When all cases are entered, press <F4> to commit.

  5. Close the batch by taking the following action:

    1. Select the Close option, the batch status updates to "AB" .

    2. Press <F8> to exit.

  6. To update the batch status to BF see IRM 4.19.2.4.2 (4), Batch Status Codes.

  7. To verify the process codes see IRM 4.19.2.6.1 (5), Verification of Process Codes.

  8. After process code verification, update the batch status to "RB" . See IRM 4.19.2.6.3 (2), Release Batch, for information on how to update the batch status to "RB" :

  9. If there are error conditions present, the Cases in Error Screen displays.

    1. Notate the error message.

    2. Transfer the case to the TE who worked the case. For instructions on transferring cases, see IRM 4.19.2.2.27, Transfers.

  10. Disassemble the batch by releasing the cases to the appropriate area based on the PC/IPC. For additional information see the specific process code/IPC section in IRM 4.19.2.7, Process Code Definitions and IRM 4.19.2.8, Internal Process Code Definitions.

    Note:

    IPC RF is returned to the CSN located on the case folder.

  11. Cases with IPC MI (Manual Interest) are directly batched into Manual Interest BT 61. For additional instructions, see IRM 4.19.2.5.32, Batch Type (BT) 61 (Manual/Interest/Rejects).

4.19.2.4.3.4  (09-01-2013)
Miscellaneous Referral Batch Building (Batch Types (BT) 35, 43, 63, and 73)

  1. Cases with IPC 0D are built to BT 35, IPC 3D to BT 43, IPC 6D to BT 63 and IPC 8D to BT 73.

  2. Build the cases into the appropriate BT by taking the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create, the batch building screen appears.

    6. Enter the appropriate two digit batch type.

    7. Prepare all work unit and batch sheets and/or make log entries.

    8. Scan the AUR bar code or enter the SSN of each case. Place entered cases face down to keep in strict order.

    9. The system alerts when a work unit is complete. Keep work units separate and in strict order.

    10. Acknowledge the message by pressing <Enter>.

  3. Close the batch by taking the following action:

    1. Select Close, the system updates the batch status to "AB" and creates the Notices/Letters. DO NOT RESEQUENCE the batch.

    2. Press <F8> to exit.

  4. Print the batch listing. See IRM 4.19.2.9.8 (4) and (5), Batch Listings, for information on how to access and print batch listings.

  5. Complete all batch labeling and take the completed batch to the designated area.

4.19.2.4.3.5  (09-01-2013)
Batch Building (Batch Types (BT) 67 and 87)

  1. Cases with IPC RN are built to BT 67 and IPC SR are built to BT 87.

  2. To build BT 67 or 87:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create, the batch building screen appears.

    6. Enter the appropriate 2 digit batch type.

      Note:

      The system assigns the specific batch number - record it for later use.

    7. Scan the AUR bar code or enter each SSN. Place entered cases face down to keep in strict order.

    8. The system alerts when a work unit is complete. Keep work units separate and in strict order. When all cases are entered, press <F4> to commit.

  3. Close the batch by taking the following action:

    1. Select Close, the system updates the batch status to "AB" and creates the Notices/Letters.

    2. Press <F8> to exit.

  4. To ensure the notice information and process codes post before the automatic assessment is made, BT 67 and 87 are held a minimum of 7 calendar days after the batch was updated to "AB" . After 7 days update the batch to "RB" . See IRM 4.19.2.6.3 (2), Release Batch, for information on how to update the batch status to "RB" .

    Note:

    The auto assessment listing does not generate for BT 67 or 87

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Status/location from the drop down menu.

    5. Select Status/location from the pull-right menu.

    6. Enter the five-digit batch number.

    7. Enter "RB" in the NEW STATUS field and press <Enter>.

    8. Press <F4> to commit.

    9. Press <F8> to exit.

  5. When the batch status is being updated to "RB" , the system checks for cases with more than eight credit reference codes associated with the case assessment. The batch status cannot be updated until the cases with more than eight credit reference codes have been removed from the batch.

  6. Print the Over Eight Credit Reference Code Report to identify the cases by taking the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Status/location from the drop down menu.

    5. Select Status/location from the pull-right menu.

    6. Select Reports.

    7. Select Over eight ref from the drop down menu.

    8. Enter five digit batch number. A file download window appears.

    9. See IRM 4.19.2.9.1 (5), General Report/Listing Information, for information on printing report.

    10. Pull the cases.

    11. Build or transfer the cases.

    For additional information, see IRM 4.19.2.9.18, Over Eight Reference Codes Report.

  7. To print the batch listing, see IRM 4.19.2.9.8 (4) and (5), Batch Listings.

  8. Complete all batch labeling and take the completed batch to the designated area.

  9. As BT 67 and 87 are being built, the system identifies "Disaster Zip and Manual Interest" . Build the case(s) into Manual Interest BT 61. For additional information, see IRM 4.19.2.5.32, Batch Type (BT) 61 (Manual Interest/Rejects).

  10. When the system accepts BT 67 and 87 update to batch status "RB" , the systems posts a PC 67 or PC 87 and creates automatic assessment records.

    Note:

    If a response is received for cases in BT 67 or BT 87, pull the case, associate the response and transfer the case to the TE who assigned IPC RN/SR.

  11. If a batch has not been updated to "RB" after two cycles have passed, the system generates a Partially Agreed Aging Report indicating which batch(es) have not been updated to "RB" status. For additional information, see IRM 4.19.2.9.19, Partially Agreed Aging Report.

  12. Once the batch has been updated to "RB" status, label the batch and place in the designated area for PAS sampling. After PAS has completed their review, send batch to the Files Operation.

4.19.2.4.4  (09-01-2013)
Pull Listings

  1. There are two options for pull listings that can be used to pull cases from suspense batches (see IRM 4.19.2.9.24, Sequence Number/Notice Date Pull Listing):

    • D - Displays the list in Notice Date order

    • S - Displays the list in the order the batch was built (Response CSN order)

      Reminder:

      All Pull Listings display a "V" to identify the Virtual cases in the batch and there is no physical case file to pull. It is not necessary to print a pull listing for Virtual batches.

  2. To access and print the pull listing, see IRM 4.19.2.9.24 (2) and (2), Sequence Number/Notice Date Pull Listing.

4.19.2.4.5  (09-01-2013)
Resequencing Response/Undeliverable Batches

  1. Batches are built in the order the SSN is entered. As each SSN is entered, a CSN is assigned based on the batch being built.

  2. Once cases are pulled and before the batch is closed, the Reseq menu option can be selected. When selected, the system sequences the batch in CSN order. These sequence numbers do not match the physical order of the batch.

    Note:

    The resequence option is not available for virtual response batches.

  3. To resequence a batch:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Add, the batch building screen appears.

    6. Enter the five-digit batch number.

    7. Select Reseq.

      Note:

      If also closing the batch, select the Close option, the batch status updates to "AB" .

      Note:

      To access and print the batch listing, see IRM 4.19.2.9.8, Batch Listings.

4.19.2.5  (09-01-2003)
Specific Batch Type (BT) Definition

  1. The following information provides a definition of batch types and outlines the characteristics and functionality of batch types in the AUR system.

4.19.2.5.1  (09-01-2010)
Batch Types (BT) 01-19 (Screening Association)

  1. Cases are ordered into inventory in groups referred to as extracts. As case information for these extracts is downloaded into AUR, it is assigned a batch type number that ranges sequentially from 01 through 19. These digits represent the extract number. The clerical group builds paper cases using the Form 4251 attached to the tax return into the initial screening batches. The batches are held in "AB" status until requested by a technical unit. Cases downloaded but not built to a Screening BT 01-19 within a designated time frame are automatically moved by the system to BT 30.

  2. ELF and Form 1040EZ Virtual cases do not receive a Form 4251 and are auto batched by the system. See IRM 4.19.2.2.7, Charge-outs (Form 4251), and IRM 4.19.2.2.14, Electronic Filing System, for additional information.

  3. Form 4251 with no tax return should not be built into Screening BT 01-19 or 29 and should be treated as classified waste. If the return is not received and built into a BT 01-19 or 29, the system automatically moves the case to BT 30, assigns IPC 0A and reorders the return on the date designated by the AUR Coordinator. If the case is not built within 60 days of the designated reorder date, the system closes the case(s) using PC 29.

  4. Cases with missing/incomplete data are identified by the system during batch building, and are built into BT 32. (In addition to the tax return or tax return data, a complete case also needs the information return data and the tax account information.) If the missing data is not received within 45 days from the extract download date, the system closes the case(s) using PC 28.

  5. For instructions on building BT 01-19, see IRM 4.19.2.4.3.1, Screening Batch Building (Batch Type (BT) 01-19, 29, 31, and 33).

4.19.2.5.2  (09-01-2005)
Batch Types (BT) 20-27 (Auto-Generated Notice - AGN)

  1. Certain AUR inventories bypass the physical analysis/screening phase of the program and have CP 2000s systemically generated. This process is referred to as Auto-Generated Notice (AGN). These cases are systemically moved from extracts 20-27 and assigned to BT 20-27. No clerical action is required for these cases during analysis batch building.

4.19.2.5.3  (09-01-2008)
Batch Type (BT) 28 (Auto-Generated Notice Fallout Screening Batches)

  1. Cases systemically identified as auto-generated notice must pass all the AUR checks for new transactions and certain other conditions prior to the update to PC 55 to generate the CP 2000. Virtual cases that fail these checks are systemically moved into BT 28 for normal case analysis/screening.

    Note:

    Paper cases that fall out are systemically built to BT 30.

4.19.2.5.4  (09-01-2003)
Batch Type (BT) 29 (Priority Screening Batches)

  1. These are batches of screening cases which require expedited processing as determined by local management.

  2. The cases may be removed from the original extract batches or batched initially to a BT 29.

  3. For instructions on building BT 29, see IRM 4.19.2.4.3.1, Screening Batch Building (Batch Type (BT) 01-19, 29, 31, and 33).

4.19.2.5.5  (09-01-2009)
Batch Type (BT) 30 (Missing Return Suspense)

  1. The system assigns two types of cases to BT 30:

    • Cases assigned IPC WP (Wrong Pull) by the TE because the Federal Records Center pulled the wrong DLN

    • Cases from a Download BT 01-19 and AGN Fallout Screening BT 28 that have not been batched into a Screening Association BT 01-19, AGN Fallout Screening BT 28 or Priority Screening BT 29 by the date set by the AUR Coordinator

  2. The system generates an IPC 0A and reorders the controlling DLN based on a reorder date set by the AUR Coordinator for both types of cases in Missing Return BT 30.

  3. If the system has no indication the return was received (built into Complete Case BT 31) within 60 days, the system closes the case with a PC 29 and generates an Unavailable Return Report. For additional information, see IRM 4.19.2.9.30, Unavailable Return Report.

4.19.2.5.6  (09-01-2013)
Batch Type (BT) 31 (Complete Cases)

  1. SSNs previously assigned to Missing Return BT 30 and Missing Data Suspense BT 32 are built into Complete Case BT 31 when the return or data is received.

  2. Before the system allows this action to take place, the current PC/ IPC must be one of the following:

    • PC 03

    • IPC 0A

    • IPC WP

  3. For instructions on building BT 31, see IRM 4.19.2.4.3.1, Screening Batch Building (Batch Type (BT) 01-19, 29, 31, and 33).

4.19.2.5.7  (09-01-2009)
Batch Type (BT) 32 (Missing Data Suspense)

  1. When building Screening BT 01-29, the system indicates if there is missing tax account or information return data. If this indication is received, the cases are built into Missing Data Suspense BT 32 and are maintained in SSN order.

  2. To build BT 32:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create , the batch building screen appears.

    6. Enter 32 in the Batch Type and press <Enter>.

    7. Scan the AUR bar code or enter the SSN of each case. Be sure two cases are not stuck together.

    8. If cases do not build to BT 32, notate the AUR message on the case and follow Campus direction for handling.

  3. The system generates a Completed Case Report when the missing data is received. To print the report, see IRM 4.19.2.9.12, Completed Case Report. Use the report to:

    1. Pull the case(s) from the suspense file.

      Note:

      Virtual cases do not have case folders.

    2. Build the case(s) to Complete Case BT 31.

  4. If the missing data is not received within 45 days, the system assigns PC 28 to the case and generates a Closed Missing Data Case Report. To print the report, see IRM 4.19.2.9.11, Closed Missing Data Case Report. Use the report to:

    1. Pull the case(s) from the suspense file.

    2. Send the return(s) to the Files Operation.

4.19.2.5.8  (09-01-2009)
Batch Type (BT) 33 (Research Complete)

  1. Cases that have received the requested research are built to Research Complete BT 33 from the previously assigned Research Suspense BT 34 or Miscellaneous Referral BT 35. Before the research cases can be built to Research Complete BT 33, the current process code must be IPC 0A (Research-Additional Return Requested) or IPC 0D (Miscellaneous Referral).

  2. For instructions to build BT 33, see IRM 4.19.2.4.3.1, Screening Batch Building (Batch Type (BT) 01-19, 29, 31, and 33).

  3. Once the maximum volume has been reached, or the volume of the batch is at the point where the user does not want to add additional SSNs, print a Pull Listing in Notice Date Order.

  4. Pull the cases, associate the research and update the batch to status "AB" for the technical units to order and process.

4.19.2.5.9  (09-01-2012)
Batch Type (BT) 34 (Research Suspense)

  1. Cases are automatically assigned to Research Suspense BT 34 by the system based on the assignment of IPC 0A. The system moves the SSNs when the status of the current screening batch is updated to "RB" . When cases are assigned to this batch type, cases are maintained in CSN order for association with the generated folder.

  2. These cases are stored in the AUR Control Function while the requested research is being completed.

  3. The Aged Screening Research Pull List is generated weekly for cases that are not completed within 60 days from the request date. The system closes these cases with PC 29. To print the report, see IRM 4.19.2.9.4, Aged Screening Research Pull Listing. Each week, print the list and take the following actions:

    1. Pull the case(s) from the suspense file using the listing.

    2. Remove and destroy the Form 4251 as classified waste.

    3. Send the return(s) back to the Campus Files Operation.

  4. Filing Status Code 3, Married Filing Separate, cases are not automatically closed if the research is not received within 60 days. When this time frame is met:

    1. Pull the case(s) from the suspense file using the listing.

    2. Build the case(s) into Research Complete BT 33 for a TE determination.

4.19.2.5.10  (09-01-2013)
Batch Type (BT) 35 (Miscellaneous Referrals)

  1. Cases which require additional technical assistance are built into Miscellaneous Referral BT 35.

  2. Cases must have a current IPC of 0D. These batches are available for request and processing by the technical units.

  3. To build IPC 0D cases into BT 35 see IRM 4.19.2.4.3.4, Miscellaneous Referral Batch Building (Batch Types (BT) 35, 43, 63, and 73).

4.19.2.5.11  (09-01-2003)
Batch Type (BT) 36 (Screening Unit Suspense)

  1. Screening cases which require a technical determination from the manager or lead TE are transferred by the TE to their Screening Unit Suspense Batch.

  2. When a TE transfers a case to Unit Suspense, the system automatically generates IPC 0E and moves the case to Screening Unit Suspense BT 36.

  3. These cases are kept in suspense files in the technical units until the issue is resolved and the case is released in the unit's designated area for clerical retrieval.

    Reminder:

    The last three digits of Unit Suspense Batch numbers are the Unit Location Number.

4.19.2.5.12  (09-01-2013)
Batch Type (BT) 37 (Screening Unit Release)

  1. Cases in Screening Unit Suspense BT 36 are worked by TEs and released in a designated area. As directed, get the cases and sort to build into various Unit Release batches.

  2. To build these cases to BT 37, see IRM 4.19.2.4.3.3, Unit Release Batch Building (Batch Types (BT) 37, 46, 66 and 86).

4.19.2.5.13  (09-01-2003)
Batch Type (BT) 38 (Remail CP 2000/Recomp) - General

  1. While building no response CP 2000 cases and undeliverable CP 2000/Recomps to Aged CP 2000 Stat Prep BT 59, the system identifies and rejects cases with a new address. These rejected cases with updated addresses are built into Remail CP 2000/Recomp BT 38.

    Note:

    Cases with a new address and a manual interest condition are built into Manual Interest BT 61.

  2. When creating or adding to Remail CP 2000/Recomp BT 38, the system prompts for "No Response" or "Undeliverable" .

  3. When the status for BT 38 is updated to "RB" , the system:

    1. Assigns a new notice date to the batch.

    2. Updates cases that are assigned PCs 55, 57, or 59 with an Amended indicator.

    3. Moves the cases to the Recomp/Amended/PC 57 Suspense BT 55.

    4. Generates an amended notice.

  4. Cases receive new CSNs and folders.

    Note:

    Virtual cases do not receive a new folder.

4.19.2.5.13.1  (09-01-2013)
Batch Type (BT) 38 - Undeliverable CP 2000/Recomps

  1. Cases are built to BT 38 when the Post Office returns the CP 2000/Recomp notice as undeliverable and the system identified a new address when the cases were being batched into Aged CP 2000 Stat Prep BT 59.

  2. The undeliverable CP notice is used as the input document to build Remail CP 2000/Recomp BT 38. The Notice Indicator 1, 2, 3, or 4, which identifies which copy of the notice sent to the taxpayer, MUST be entered.

    Note:

    Undeliverable Spousal and/or POA notices cannot be batched into Remail CP 2000/Recomp BT 38. Discard the undeliverable notice/letters in accordance with local classified waste procedures. For additional information, see IRM 4.19.2.3.3, Spousal Notices.

  3. To build an undeliverable BT 38:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create, the batch building screen appears.

    6. Enter BT 38 and press <Enter>.

    7. Enter "Y" in the box for "Undeliverable" .

    8. Scan the AUR bar code or enter the SSN of each undeliverable CP notice identified with a better address.

      Note:

      If a new transaction is present the system displays a message, set cases aside to build to BT 84.

    9. Discard the Undeliverable CP Notice in accordance with classified waste procedures.

    10. When the batch is full or there are no more undeliverable CP notices with a better address to build, press <F4> to commit.

    Note:

    The system marks the corresponding CP 2000/Recomp Notice with an Undeliverable Indicator "M" (Remail) in the Action Code field on the Case History Screen.

  4. To access and print the pull listing see IRM 4.19.2.9.24 (2) and (3), Sequence Number/Notice Date Pull Listing

  5. Use the listing to pull the cases.

    Reminder:

    Virtual cases do not have a physical case file to pull.

  6. To finish BT 38 for Undeliverables:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Add, the batch building screen appears.

    6. Enter the five digit batch number.

    7. Select Reseq.

    8. Select Close, the batch status updates to "AB" .

    9. Press <F8> to exit.

  7. See IRM 4.19.2.6.3 (2), Release Batch, for information on how to update the batch status to "RB" :

  8. Print the Suspense Summary report. See IRM 4.19.2.9.29(2), Suspense Summary Report, for additional information.

  9. Label and place in the appropriate suspense area based on the CSNs assigned to the cases.

4.19.2.5.13.2  (09-01-2013)
Batch Type (BT) 38 - No Response CP 2000/Recomps with a Better Address

  1. When No Response cases are being systemically batched to BT 59, the system checks for Fallout conditions, see IRM 4.19.2.5.30, Batch Type (BT) 59 (Aged CP 2000/Recomp Stat Preparation) - General.

  2. The system auto batches cases identified with new addresses to BT 38 and updates to AB status.

  3. To identify the cases that were systemically built to BT 38 during the weekend processing, each week access the "RB" report by taking the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Reports from the Control menu.

    4. Select Aging from the drop down menu.

    5. Select Auto purge from the pull-right menu.

    6. Select Rb batches from the pull-right menu. A file download window appears.

    7. See IRM 4.19.2.9.1 (5), General Report/Listing Information, for information on printing report.

    Note:

    Cases pulled from BT 59 (listed on the update address report) can be added to existing BT 38 or can be built into a separate BT 38.

  4. To access and print a pull listing for BT 38, see IRM 4.19.2.5.13.1 (4) and (5), Batch Type (BT) 38 - Undeliverable CP 2000/Recomps.

  5. Pull paper (non-virtual) cases in the order they are on the pull list.

  6. See IRM 4.19.2.6.3 (2), Release Batch, for information on how to update the batch status to "RB"

  7. Print the Suspense Summary report. See IRM 4.19.2.9.29 (2), Suspense Summary Report, for additional information.

  8. Label and place in the appropriate suspense area based on the CSNs assigned to the cases.

4.19.2.5.14  (09-01-2013)
Batch Type (BT) 39 (Rejects)

  1. The AUR system generates a weekly Reject Listing identifying rejected cases (the notice was not generated and the notice information is no longer available). Each week the manager or lead prints the listing for each open tax year in AUR.

  2. Obtain the Reject Listing (from lead or manager).

    1. Pull the cases on the listing.

    2. Notate the reject code (located to the right of each case) on each case.

  3. Build Reject Code 2 (Military Action) and Reject Code 8 (Declared Disaster Area) cases to BT 39:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create , the batch building screen appears.

    6. Enter 39 in the Batch Type.

    7. Scan the AUR bar code or enter each SSN.

    8. The system displays a message at the end of each work unit, set the work unit aside and acknowledge the message.

    9. When the batch is full or there are no more rejects to build, press <F4> to commit.

    Note:

    For additional information, see IRM 4.19.2.9.22, Reject Listing. For additional information on notice rejects, see IRM 4.19.2.3.4, CP 2000/CP 2000 Recomputation Notice Rejects.

  4. Close the batch by taking the following action:

    1. Select Close - do not resequence.

    2. Press <F8> to exit.

  5. Print the batch listing. See IRM 4.19.2.9.8 (4) and (5), Batch Listings, for information on how to access and print batch listings.

  6. Complete all batch labeling and take the completed batch to the designated area.

  7. These batches are made available for request and processing by the technical units.

4.19.2.5.15  (09-01-2003)
Batch Type (BT) 40 (CP 2501 Suspense Batch)

  1. The system automatically moves cases requiring a CP 2501 Notice to CP 2501 Suspense BT 40 based on PC 30 identified during the systemic disassembly process.

  2. The cases are filed in CSN order and remain in suspense in CP 2501 Suspense BT 40 until a response is received, the notice is returned as undeliverable, or the suspense time frame expires.

4.19.2.5.16  (09-01-2013)
Batch Type (BT) 41 (CP 2501 Identity Theft Response)

  1. When a response to a CP 2501 with an indication of identity theft present is received, the SSN is assigned to CP 2501 Identity Theft Response BT 41. The batch is built by scanning or key entering the SSN. The correspondence is used as the input document.

    Note:

    If a response with an IRS received date that is 20 days or older is entered, the system alerts that the response must be assigned to BT 44, CP 2501 Response.

  2. Only one IRS received date can be assigned to CP 2501 Identity Theft Response BT 41. The system allows more than one BT 41 with the same received date to be built at the same time.

  3. For instructions to build BT 41, see IRM 4.19.2.4.3.2, Response Batch Building (Batch Types (BT) 41, 44, 51, 52, 53, 58, 71, 72, and 74.

  4. Use the Pull Listing to pull the cases, keeping the cases in the order pulled.

    Note:

    If batch is virtual, there are no physical cases in the AUR suspense file, (5) - (8) below do not apply, go to (9).

    Note:

    Recommendation - after a thorough search fails to locate the case, notate on the response "LC" and leave in the response batch for the TE to determine whether or not processing can continue.

  5. To access and print a pull listing see IRM 4.19.2.9.24(2) and (3). Sequence Number/Notice Date Pull Listing.

    Note:

    Pull paper (non-virtual) cases in the order they are on the pull list.

  6. Associate the responses, verifying that the response is associated with the correct case file. For lost responses, see IRM 4.19.2.8.41, Internal Process Code LR (Lost Response) and IRM 4.19.2.5.65, Batch Type (BT) 97 (Lost Response Suspense).

    Note:

    As the cases are pulled in CSN order, the responses should also be sequenced in CSN order to make association easier.

  7. To resequence the batch see IRM 4.19.2.4.5 (3), Resequencing Response/Undeliverable Batches.

  8. Close the batch by taking the following action:

    1. Select Close, the batch status updates to "AB" .

    2. Press <F8> to exit.

  9. Print the batch listing. See IRM 4.19.2.9.8 (4) and (5), Batch Listings, for information on how to access and print batch listings.

  10. Complete all work unit and batch labeling. Hand walk the batch to the IDTSpT.

4.19.2.5.17  (09-01-2003)
Batch Type (BT) 42 (CP 2501 Unit Research Suspense)

  1. CP 2501 cases requiring a return request or transcript (additional research) are updated by the TE with IPC 3A. The system automatically builds the case to the appropriate unit suspense batch based on IPC 3A and the UID of the TE. These cases are generally suspended in the technical unit and should be monitored by the TE to ensure the requested research is received.

  2. The research the TE requested is ordered daily by the system.

  3. When the research is received, send the information to the appropriate unit (shown in the "Remarks" field on the research document). The TE works and releases the cases.

    Note:

    Local management determines where to suspend these cases, in the individual tax examining units or in the clerical area.

4.19.2.5.18  (09-01-2013)
Batch Type (BT) 43 (CP 2501 Miscellaneous Referral)

  1. Cases built into CP 2501 Miscellaneous Referral BT 43 must have an IPC 3D assigned. Tax examiners assign this IPC when technical assistance is required to continue processing the case.

  2. To build IPC 3D cases into BT 43 see IRM 4.19.2.4.3.4, Miscellaneous Referral Batch Building (Batch Types (BT) 35, 43, 63, and 73).

  3. These batches are available for request and processing by the designated technical unit(s).

4.19.2.5.19  (09-01-2013)
Batch Type (BT) 44 (CP 2501 Response)

  1. CP 2501 responses are built to CP 2501 Response BT 44.

  2. CP 2501 identity theft responses with an IRS received date of 20 days or older MUST be built into CP 2501 Response BT 44. Hand walk the batch to the IDTSpT.

    Caution:

    Do not build any other responses to these batches.

  3. CP 2501 Response BT 44 can have different IRS received dates assigned to the batch. BT 44 may be built by SSN (a received date entered for each case), or by the RECD DATE option (all cases have the same received date). The batch ages on the system based on the oldest received date assigned to the batch.

  4. For instructions on building BT 44, see IRM 4.19.2.4.3.2, Response Batch Building (Batch Types (BT) 41, 44, 51, 52, 53, 58, 71, 72, and 74).

    Note:

    If virtual batch, (5)-(9) below do not apply, go to (10).

  5. Use the Pull Listing to pull the cases.

    Reminder:

    Virtual cases do not have case folders to pull.

    Note:

    Recommendation - after a thorough search fails to locate the case folder, notate the response with "LC" and leave in the response batch for the TE to determine whether or not processing can continue.

  6. To access and print the pull listing see IRM 4.19.2.9.24, Sequence Number/Notice Date Pull Listing (2) and (3),

  7. Associate the responses, verifying that the response is associated with the correct case file. For lost responses, see IRM 4.19.2.8.41, Internal Process Code LR (Lost Response) and IRM 4.19.2.5.65, Batch Type (BT) 97 (Lost Response Suspense).

    Note:

    As the cases are pulled in CSN order, the responses should also be sequenced in CSN order to make association easier.

  8. To resequence the batch see IRM 4.19.2.4.5 (3), Resequencing Response/Undeliverable Batches.

  9. Close the batch by taking the following action:

    1. Select Close, the batch status updates to "AB" .

    2. Press <F8> to exit.

  10. Print the batch listing. See IRM 4.19.2.9.8 (4) and (5), Batch Listings, for information on how to access and print batch listings.

  11. Complete all work unit and batch labeling. Deliver the batch to the designated area.

  12. These batches are available for request and processing by the technical unit(s).

4.19.2.5.20  (09-01-2010)
Batch Type (BT) 45 (CP 2501 Unit Suspense)

  1. Cases are moved to CP 2501 Unit Suspense BT 45 when:

    1. A TE requires a technical determination from a manager or lead TE on a CP 2501 case. The TE transfers the case. The system updates the IPC to 3E and moves the case to Unit Suspense.

    2. A case requires a change due to a Taxpayer Advocate or Telephone Inquiry and is requested by a TE.

  2. The system creates a request charge out document which is used to pull the case.

  3. To transfer the case(s) back to the TE, see IRM 4.19.2.2.27, Transfers.

  4. The system moves the case to Unit Suspense.

  5. Send the case to the requesting TE.

    Reminder:

    The last three digits of Unit Suspense Batch numbers are the Unit Location Number. Location 950 indicates Universal Case action.

4.19.2.5.21  (09-01-2013)
Batch Type (BT) 46 (CP 2501 Response Release)

  1. Cases in CP 2501 Unit Suspense BT 42 or 45, are worked by the TEs and released in a designated area. As directed, get the cases from each unit and sort to process the Unit Release BT 46.

  2. For instructions to build and process BT 46, see IRM 4.19.2.4.3.3, Unit Release Batch Building (Batch Types (BT) 37, 46, 66 and 86).

4.19.2.5.22  (09-01-2003)
Batch Type (BT) 47 (CP 2501 Letter Suspense)

  1. Cases requiring a letter after the CP 2501 are assigned IPC 3L or 3S. During the systemic disassembly process, the system moves these cases to CP 2501 Letter Suspense BT 47.

  2. The cases assigned an IPC 3L or 3S are filed in CSN order and remain in the batch until a response is received, the letter is returned undeliverable or the suspense time frame expires.

4.19.2.5.23  (09-01-2013)
Batch Type (BT) 49 (Aged CP 2501 CP 2000 Preparation) - General

  1. There are two types of cases built to Aged CP 2501 CP 2000 Preparation BT 49.

    1. No Responses: These cases are systemically batched during WEEK END processing. These are cases that have met the allotted suspense time frame from CP 2501 Suspense BT 40 and 47.

      Note:

      Once the system has built the Batch Type 49, they appear on the Batch Inventory Report in "AB" status. "RB" these batches.

    2. Undeliverables: These cases are manually built, the AUR System marks the Case History with the appropriate Undeliverable Action Code.

  2. When the Batch status is updated to "RB" the system:

    • Automatically updates the cases to PC 57, to generate and issue a CP 2000

    • Automatically assigns a CSN for Recomputed CP 2000 Suspense BT 55

  3. As BT 49 is being manually built, the system identifies case conditions requiring TE review. Build cases with the following conditions to BT 84300-499:

    Note:

    Virtual cases do not have a case folder.

    1. New Transactions

    2. Net tax increase of zero or less

    3. Below tolerance for issuing a notice

    4. TC 520

    5. TC 540

    6. TC 780

    7. TC 971 with any of the following AC 501, 504, 505, 506, 522, or 525

    8. Letter 2626C associated with the case

    9. New Payer/Agent information

    10. $1 M or over tax increase

    11. Universal Case Action Needed

  4. Systemically built BT 49 require that the auto purge pull list (suspense batch 40 and 47) be printed and worked each week. For additional information, see IRM 4.19.2.9.6, Auto Purge Pull List.

    Note:

    The fallout conditions listed in (3) above do not appear on the auto purge pull listing and are systemically built to BT 84300-499. For more information see IRM 4.19.2.5.49, Batch Type (BT) 84 (Cases With New Action).

  5. Cases identified as Manual interest, are built to BT 61.

  6. During the auto purge process cases identified with Disaster Zip codes are not aged (remain in suspense) until after the disaster end date.

  7. If a response is received after the SSN has been assigned to BT 49 and the batch status has not been updated to "RB" , the system allows the case to be batched into BT 41 and 44.

4.19.2.5.23.1  (09-01-2013)
Batch Type (BT) 49 (Aged CP 2501 CP 2000 Preparation) - Undeliverables

  1. Undeliverable CP 2501s that could not be delivered to the taxpayer are returned to IRS by the Post Office. These undeliverable notices are used as the input document to build BT 49.

  2. When Undeliverables are being built, the system prompts for the Notice Indicators 1 (Primary), 2 (Secondary) and 3 or 4 (POA) which must be entered after the SSN. See IRM 4.19.2.3.3, Spousal Notices, for additional information. Undeliverables for Spousal and/or POA CP notices should not be assigned to a batch. If batch building by scanning the AUR bar code, the system identifies the Spousal and/or POA notice (indicator) and displays a message. If key entering the SSN, verify the Notice Indicator before entering the SSN - only Notice Indicator 1 should be entered. If the Notice Indicator is 2, 3 or 4, discard the undeliverable notice in accordance with local classified waste procedures.

  3. To build an Undeliverable BT 49, locate the undeliverable CP 2501s:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Batch from the Control menu.

    4. Select Batch building from the drop down menu.

    5. Select Create, the batch building screen appears.

    6. Enter 49 in the Batch Type.

      Note:

      The system assigns the specific batch number - record it for later use.

    7. Enter a "Y" in the screen when prompted for Undeliverables.

    8. Scan the AUR bar code or enter each SSN.

      Caution:

      Any system prompts -ignore the message, treat as classified waste.

  4. To access and print the pull listing see IRM 4.19.2.9.24 (2) and (3), Sequence Number/Notice Date Pull Listing:

  5. Cases in BT 49 are pulled using the Pull Listing, keep cases in strict pulled order.

    Note:

    If the case (other than a virtual case) cannot be located, leave in the batch in order to continue AUR processing.

    Reminder:

    Virtual cases do not have a folder.

  6. To resequence the batch see IRM 4.19.2.4.5 (3), Resequencing Response/Undeliverable Batches.

  7. Print the Undeliverable New Action Listing. To access this listing:

    1. Select Undeliver from the menu. A file download window appears.

    2. See IRM 4.19.2.9.1 (5), General Report/Listing Information, for information on printing report.

    3. Set the cases on the report aside with the report to be built to BT 84300-499.

  8. This listing can also be accessed by taking the following actions:

    1. Select the tax year from the AUR Year menu.

    2. Select Control from the AUR Main menu.

    3. Select Reports from the Control menu.

    4. Select undeliver from the drop down menu.

    5. Enter the five-digit batch number. A file download window appears

    6. See IRM 4.19.2.9.1 (5), General Report/Listing Information, for information on printing report.

    7. Set the cases on the report aside with the report to be built to BT 84300-499.

  9. Close the batch by taking the following action:

    1. Select Close, the batch status updates to "AB" .

    2. Press <F8> to exit.

  10. Print the batch listing. See IRM 4.19.2.9.8 (4) and (5), Batch Listings, for information on how to access and print batch listings.

  11. Update the BT 49 status to "RB" , and immediately print the Suspense Summary Report and the Batch Listing. At update to "RB" , AUR updates the cases to PC 57, moves the cases to Recomputed CP 2000 Suspense BT 55 and assigns a CSN.

  12. Complete batch labeling and log entries. Deliver the batch to the designated area.

4.19.2.5.23.2  (09-01-2013)
Batch Type (BT) 49 (Aged CP 2501 CP 2000 Preparation) - No Responses

  1. Cases in BT 40 and 47 have a designated suspense time frame. The cases remaining in these major suspense batches when that suspense time frame has expired are "SYSTEMICALLY" built to BT 49 to generate a CP 2000.

  2. When No Response cases are being systemically batched the system checks for Fallout conditions. See IRM 4.19.2.5.23, Batch Type (BT) 49 (Aged CP 2501 CP 2000 Preparation) - General. After WEEK END processing the manager or lead prints the " Auto-Purge Pull Listing." The listing displays the following:

    1. Notice Date

    2. Suspense Sequence Number

    3. Virtual Indicator

    4. SSN

    5. Target Batch

    6. Fallout Condition

  3. Use the Auto-Purge Pull Listing to pull the cases. Build into the designated target batch.

    Exception:

    The fallout conditions listed in IRM 4.19.2.5.23 (3), Batch Type (BT) 49 (Aged CP 2501 CP 2000 Preparation) - General, are systemically built to BT 84300-84499. See IRM 4.19.2.5.49, Batch Type (BT) 84 (Cases With New Actions), for additional information.

    Note:

    Virtual cases do not have a physical folder.

  4. See IRM 4.19.2.6.3 (2), Release Batch, for information on how to update the batch status to "RB"

  5. Print the Suspense Summary report. See IRM 4.19.2.9.29 (2), Suspense Summary Report, for additional information.

  6. The AUR System updates the cases with PC 57, moves the cases to Recomputed CP 2000 Suspense BT 55, assigns a CSN and folders are printed.

    Note:

    Virtual Cases do not receive a folder. Do not input "LC" on these cases.


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