7.15.4  Tax Exempt Determination System (TEDS) Roles and Delegation

Manual Transmittal

March 07, 2014

Purpose

(1) This transmits revised IRM 7.15.4, Employee Plans TEDS User Manual, Tax Exempt Determination System (TEDS) Roles and Delegations.

Background

Tax Exempt Determination System (TEDS) is a Web-based information system that provides an electronic case and inventory management system used across Tax Exempt and Government Entities (TE/GE) Determinations business units.

TEDS was launched as a Pilot in 2003 and from that time on, with a few exceptions, the EP Determination applications have been processed using this electronic system. EP Determination applications are uploaded to TEDS and using on-screen capabilities, specialists review and process cases from start to finish.

Material Changes

(1) This IRM is updated to reflect the chapter title change.

(2) IRM 7.15.4.2 updated to add third major category - Add-on roles.

(3) IRM 7.15.4.4.1 updated the access permissions for Researcher roles II and III.

(4) IRM 7.15.4.3 updated table with types of permissions to add the key "M" .

(5) IRM 7.15.4.4.5 corrected the information in the Note.

(6) IRM 7.15.4.4.6 updated the meaning of Case Assigner role.

(7) IRM 7.15.4.4.7 updated the Determination Specialist role.

(8) IRM 7.15.4.5.1, Function Security Manager (FSM) moved to IRM 7.15.4.5.4.

(9) IRM 7.15.4.5.2, Group Manager; IRM 7.15.4.5.3, Area Manager; and IRM 7.15.4.5.4, Executive Management renumbered.

(10) IRM 7.15.4.5.5 updated the activities of the National Unassigned Inventory Manager role.

(11) IRM 7.15.4.5.7 updated the duties of the Records Manager role.

Effect on Other Documents

IRM 7.15.4 dated June 03, 2011 is superseded.

Audience

TE/GE (Employee Plans)

Effective Date

(03-07-2014)

Robert Choi
Director, Employee Plans
Tax Exempt and Government Entities

7.15.4.1  (06-03-2011)
Overview

  1. TEDS has roles and permissions which are security features in the system. They delineate the actions a user can perform, information he/she can:

    • Access

    • View

    • Change

    Specific roles assigned to a user are based on the user's position and operational processing needs.

  2. The permissions represent the various actions the user can perform in the system. There are only two primary business units that use the system:

    • Tax Exempt and Government Entities (TE/GE)

    • Wage and Investments (W&I)

    Representatives from these two business units access the system daily.

  3. TEDS also contains a role delegation feature that allows a Group Manager (or higher) to delegate one or more of her/his user roles to members of the manager’s group or to another manager.

  4. The information in the following sections, provides guidance on how to identify TEDS user roles and permissions. It also explains how to delegate and revoke user roles.

7.15.4.2  (03-07-2014)
Roles

  1. TEDS roles are grouped into three major categories based on related tasks and responsibilities.

  2. Role categories are:

    1. General roles – users who perform work-related tasks

    2. Managerial roles – users who manage the work or manage the system

    3. Add-on roles – user's special roles and permissions

  3. The General user roles are used primarily by those who process the determination work. The following general user roles are defined in TEDS:

    • Researcher I, II, III

    • Group Secretary/Clerk

    • Processing Clerk

    • Unpostable Clerk

    • User Fee Adjuster

    • Determination Specialist

  4. Managerial user roles manage the determination process and the TEDS system. The following managerial user roles are defined in TEDS:

    • Group Manager

    • Area Manager

    • Executive Management

    • National Unassigned Inventory (NUI) Manager

    • Functional Security Manager (FSM)

    • Systems Support

    • Records Manager

  5. Add-on user roles are special roles and permissions given to a user in addition to their normal role. These roles include the following:

    • Case Assigner

    • Re-open Case Administrator

    • Correspondence Assigner

7.15.4.3  (03-07-2014)
Permissions

  1. Permissions allow a user to perform the necessary tasks for her/his role. Permissions vary based on the role of the user and the specific repository item or action (e.g., access to non-disclosable information or case assignment ability). The types of permissions available in the system are shown in the below table.

    Types of Permissions
    Key Definition Explanation
    R Read User can view data but cannot make any changes to it
    A Add/Create User can Add/Create new date in the system
    U Update User makes changes to existing system data
    P Purge User can move Items that are proposed for deletion into "Purge" folder
    D Delete User can remove data from system
    M Mark User can mark as printed (Group Print Queue)

7.15.4.4  (06-03-2011)
General User Roles and Permissions

  1. Users who process various stages of the determination work have access privileges corresponding with the work he/she performs.

7.15.4.4.1  (06-03-2011)
Researcher

  1. Researcher roles provide access to TEDS for information purposes only. Users with Researcher roles can read information but cannot make any change in the information.

    1. Researcher Role I – Has read-only access to case data on all cases, disclosable and non-disclosable documents on closed cases, and POA Forms 2848, Power of Attorney and Declaration of Representative and 8821, Tax Information Authorization documents on open cases.

    2. Researcher Role II – Has read−only access to non-disclosible/disclosible folders on open cases.

    3. Research Role III – Has read only access to Repository Reports access to some reports (does not have case level access to any reports other than the CCR report) and the disclosable, non-disclosable and New Documents folders on open cases.

7.15.4.4.2  (06-03-2011)
Group Secretary/Clerk

  1. Clerical employees have read access to case data. One of the future system enhancements will be the installation of a print option. The Group Secretary/Clerk will have access to the group queue to print letters.

  2. Managers may delegate permissions assigned to them to the Group Secretary/Clerk.

7.15.4.4.3  (06-03-2011)
Processing Clerk

  1. The Processing Clerk role has read access permission and may also update incorrect document types, establish and re-establish a case. The Processing Clerk is able to put a case in closing sub-status of administrative re-open and update the case.

7.15.4.4.4  (06-03-2011)
Unpostable Clerk

  1. The Unpostable Clerk role has permissions to update the following data information:

    • Employee Identification Number (EIN)

    • Name

    • Address and Zip Code

    • Plan Name

    • Plan Number

    • Name Control

    Read access is limited to documents for open cases and closed cases that have been assigned an unpostable status.

7.15.4.4.5  (03-07-2014)
User Fee Adjuster

  1. The User Fee Adjuster role has permissions to update the following data information:

    • Payment status.

    • Dishonored checks.

    • User fee indicators.

  2. The User Fee Adjuster role may read and add documents to the disclosable folder, add case chronology entries, and has read access to non disclosable documents for open and closed cases.

    Note:

    Dishonored checks and refunds are processed through LINUS which updates TEDS and TEDS then updates EDS. The case chronology record is documented if one of these actions occurs.

7.15.4.4.6  (03-07-2014)
Case Assigner

  1. The Case Assigner role is considered an "add on" role because Case Assigner is a role on its own and is specifically requested. A Case Assigner may assign cases and has read access to case inventory. This role must be added to be able to assign to specialists not in the assigner’s group.

7.15.4.4.7  (03-07-2014)
Determination Specialist

  1. The Determination Specialist role has read only access in the NUI to disclosable open and closed case data.

  2. The Determination Specialist who is the owner of the case can read, update and purge in the National Assigned Inventory.

  3. The Determination Specialist is able to annotate on documents using Microsoft product functionality and is also able to use the Routing Slip Functionality.

  4. The case chronology record owner (Determination Specialist) can read, add/create and update her/his own case chronology. The specialist can add another case chronology record to an administratively re-opened closed/archived case.

7.15.4.5  (06-03-2011)
Managerial Roles and Permissions

  1. Managerial roles and permissions manage the determination process and the TEDS system. Managerial roles except FSM and Records Manager may be delegated.

7.15.4.5.1  (03-07-2014)
Group Managers

  1. The Group Manager role assigns or unassigns cases within her/his own group. Also, the Group Manager role may transfer cases, return cases, read, add, update, and propose to purge documents in case files assigned to her/his group or to members of her/his group.

7.15.4.5.2  (03-07-2014)
Area Manager

  1. The Area Manager role permits a user to oversee the determination process for cases assigned within the area. The user may read, add, update and propose to purge documents in cases assigned to members in her/his own area. An Area Manager (Area 1) can delegate to members of her/his own area (Area 1) or to another Area Manager (Area 2); Area Manager 1 cannot delegate to other members in Area 2.

7.15.4.5.3  (03-07-2014)
Executive Management

  1. The Executive Management role permits a user to read documents and add comments to a case chronology.

7.15.4.5.4  (03-07-2014)
Function Security Manager (FSM)

  1. The FSM role may add user accounts to TEDS, run security reports and audit trails, and invalidate user accounts. This role has been assigned to TE/GE Systems Support (TOPS).

7.15.4.5.5  (03-07-2014)
National Unassigned (NUI) Manager

  1. The NUI Manager role may read, add, update, and propose to purge documents and information in the NUI. The NUI Manager can delegate to a user in the same Business Segment.

7.15.4.5.6  (06-03-2011)
System Support

  1. The System Support role has read−only access. This role does not allow a user access to the case chronology record, open or closed case containers, purged documents, or view any payment information.

7.15.4.5.7  (03-07-2014)
Records Manager

  1. The Records Manager role has the capability to:

    1. Read, add, delete and purge applications and folders created by the system (e.g., disclosable/non-disclosable and purge folders).

    2. Read all user and group profiles.

    3. Update a case chronology record entry, override all delegations and make new delegation of roles across all levels.

    4. Delegate any role except the FSM and Records Manager roles.

7.15.4.6  (06-03-2011)
Role Relegation

  1. Role Delegation allows managers to delegate one or more of her/his user roles to members of her/his own group or to another manager.

  2. Role Delegation characteristics include:

    1. Delegating a role to multiple users.

    2. Delegating roles with differing date ranges.

    3. Limiting the role delegation to no more than a 30-day period.

    4. Revoking or cancelling a delegation. Only the delegator, Records Manager role or Functional Security Manager role can perform these actions.

    5. Not allowing the delegate to re-delegate a role to another user.

  3. Group Mangers, Area Managers, Executive Management, NUI Manager and Records Manager are the only users who may delegate her/his roles. These individuals may delegate roles as follows:

    1. Group Manager can delegate Group Manager & Group Secretary/Clerk roles. These roles may only be delegated to members of the delegator’s own group (Group A) or to another manager (Group B) (i.e., Manager A cannot delegate to other members in Group B).

    2. Area Manager can delegate Area Manager, Group Manager & Group Secretary/Clerk roles. Similar to Group Manager limitations, an Area Manager can delegate to members of the delegator’s own area (Area A) or to another Area Manager (Area B); Area Manager A cannot delegate to other members in Area B.

    3. Executive Management can delegate Group Manager, Executive Management and Area Manager roles. These roles can be delegated to any user under the Executive Management user.

    4. NUI Manager can delegate the NUI Manager role to a user in the same Business Segment.

    5. Records Manager can delegate any role (including NUI Manager, Executive Manager, Area Manager, Group Manager & Group Secretary/Clerk roles) except the Functional Security Manager and Records Manager roles. A Records Manager can also override all delegations and can delegate roles across all levels.

7.15.4.6.1  (06-03-2011)
Delegating a Role

  1. For a managerial user to delegate a role, he/she must first identify her/his target user using a TEDS user search.

  2. To search for the target user:

    • Click Advanced Search.

    • Select Object Type: TEDS User (teds_user).

    • From the Properties drop down menu, select Employee Group Number, Standard Employee Identifier, or other known criteria.

    • Enter group number, Standard Employee Identifier (SEID), or known criteria of target user.

    • Click Search.

    Exhibit 7.15.4-1, Advanced Search - TEDS User

  3. To initiate the role delegation:

    • Highlight the line of the target user.

    • Click menu selection Role Delegation.

    • Click Delegate Role(s) on the drop down menu.

    Exhibit 7.15.4-2, Role Delegation

  4. To select role:

    • Click drop down box.

    • Select the desired role.

    Exhibit 7.15.4-3, Selecting a Role

  5. To select delegation date range:

    • Enter a Start Date and End Date using the calendar option accessed by clicking the calendar.

    • Click Add to complete selection of the role.

    • Repeat steps to add additional roles.

    Exhibit 7.15.4-4, Selecting Calendar Date Range

    Note:

    When delegating more than one role to a target user, all roles do not need to have the same starting and ending dates.

  6. To confirm role delegation:

    • Verify role selections and start and end dates.

    • Click Remove to remove an individual role prior to completing the delegation process.

    • Click OK to complete delegation or Cancel to abort.

    Exhibit 7.15.4-5, Role Delegation Confirmation Screen

7.15.4.6.2  (06-03-2011)
Delegate Notification

  1. Notifications are sent to the delegate’s Inbox to alert her/him of:

    • Delegated roles

    • Expiring delegated roles

    • Revocation of delegated roles

    Expiration notices are sent 24 hours prior to expiration. Delegators also receive Inbox notifications of delegations.

  2. Active and pending delegated roles are listed at the bottom of the delegate’s user profile.

    Note:

    Although a "Remove" option is shown in the delegate’s profile, the delegate cannot remove a delegated role.

7.15.4.6.3  (06-03-2011)
Revoking a Role Delegation

  1. A role delegation may only be revoked or cancelled by the delegator, a Records Manager or a FSM.

  2. To revoke a delegation:

    • Click Advanced Search.

    • Select Object Type: TEDS User (teds_user).

    • From the Properties drop down menu, select Employee Group Number, Standard Employee Identifier, or other known criteria.

    • Enter group number, Standard Employee Identifier (SEID), or known criteria of target delegate.

    • Click Search.

    • Click on the SEID of the target delegate. Exhibit 7.15.4-6, Select the Delegate

    • Click Remove in the acting and pending delegations section of the delegate’s user profile.

    Note:

    Notification of the cancelled delegated role is sent to the delegate’s Inbox.

Exhibit 7.15.4-1 
Advanced Search - TEDS User

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

Exhibit 7.15.4-2 
Role Delegation

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

Exhibit 7.15.4-3 
Selecting a Role

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

Exhibit 7.15.4-4 
Selecting Calendar Date Range

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

Exhibit 7.15.4-5 
Role Delegation Confirmation Screen

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

Exhibit 7.15.4-6 
Select the Delegate

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

More Internal Revenue Manual