Part 7. Rulings and Agreements

Chapter 15. Processing TEGE Determination Applications

Section 4. Tax Exempt Determination System (TEDS) Roles and Delegation

7.15.4  Tax Exempt Determination System (TEDS) Roles and Delegation

Manual Transmittal

June 03, 2011

Purpose

(1) This transmits new IRM 7.15.4, Tax Exempt Determination System (TEDS) Roles and Delegations.

Material Changes

(1) This IRM describes the various roles and permissions within TEDS and explains how to use role delegation capabilities.

Effect on Other Documents

None

Audience

TE/GE (Employee Plans)

Effective Date

(06-03-2011)

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 users 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 (TEGE)

    • 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 his/her 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  (06-03-2011)
Roles

  1. TEDS roles are grouped into two 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. 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

    • Determinations 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 (FSU)

    • Systems Support

    • Case Assigner

7.15.4.3  (06-03-2011)
Permissions

  1. Permissions allow a user to perform the necessary tasks for his/her 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 read data but cannot make any changes to it
    A Add/Create New data is Added/Created into the system (e.g. documents)
    U Update Change data
    P Purge Move items that are proposed for deletion into "Purge" folders in the system
    D Delete Remove data from system

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 case data on all cases and documents on open or closed cases.

    3. Research Role III – Has read-only access to case data on all cases, reports, and documents on open or closed cases.

7.15.4.4.2  (06-03-2011)
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 secretary/clerk would have access to the group queue to print letters.

  2. Managers may delegate permissions assigned to them to the secretary.

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  (06-03-2011)
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 TEDS which updates EDS. The case chronology record is documented if one of these actions occurs.

7.15.4.4.6  (06-03-2011)
Case Assigner

  1. The Case Assigner role is considered an "add on" role because case assigner is granted in addition to the user’s official role. 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  (06-03-2011)
Determination Specialist

  1. The Determination Specialist role has read access to disclosible folders within cases that are not directly assigned to him/her. Employees with this role are able to read, add, update and propose purge documents in a case that has been assigned to them. A determination specialist must be in a Quality Assurance group or Area group to be able to do an update.

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

  1. Manager 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  (06-03-2011)
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 TEGE Systems Support (TOPS).

7.15.4.5.2  (06-03-2011)
Group Managers

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

7.15.4.5.3  (06-03-2011)
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 purge documents assigned to members in his/her own area.

7.15.4.5.4  (06-03-2011)
Executive Management

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

7.15.4.5.5  (06-03-2011)
NUI Manager

  1. The NUI Manager role may read, add, update, and propose purge documents and information in the NUI.

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  (06-03-2011)
Records Manager

  1. The Records Manager role may delete or purge containers created by the system (e.g., the Disclosable/Non-disclosable and Purge containers) and read, add, update, purge, and delete various types of documents and case information as well as paragraph and letter templates. The Records Manager role can 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 his/her user roles to members of his/her 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 his/her roles. These individuals may delegate roles as follows:

    1. Group Manager can delegate Group Manager & Group Secretary 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 can not delegate to other members in Group B).

    2. Area Manager can delegate Area Manager, Group Manager & Group Secretary 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 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 his/her 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 him/her 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

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Exhibit 7.15.4-2 
Role Delegation

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Exhibit 7.15.4-3 
Selecting a Role

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Exhibit 7.15.4-4 
Selecting Calendar Date Range

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Exhibit 7.15.4-5 
Role Delegation Confirmation Screen

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Exhibit 7.15.4-6 
Select the Delegate

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