7.22.6  Inventory Control System (ICS)

7.22.6.1  (01-01-2003)
Overview

  1. EO determination applications are transcribed (entered) through Data Transcription Subsystem (DTS). If DTS finds the application data to be complete an inventory record is created in ICS and a unique case control number is generated.

  2. The Case Number is used to update the case status and generate development and closing letters in the Letter Generation System (LGS). The Case Number is located on Form 8327, EO Transmittal Sheet. The application and the transmittal sheet are assembled in a case file and as the case moves through the pipeline the status is updated in ICS to reflect where the case file is at each stage of the process.

  3. Each employee who uses ICS must have a five digit specialist number or user ID number to access the system. Each ID is given a function code. The function code describes the duties the ID will perform in EDS, such as, managerial, clerical or specialist who works cases. A specialist ID is also their specialist number.

    1. Cases can only be assigned to an ID whose function code is a specialist.

    2. Any person acting for a manager or secretary/clerk must have their ID function code updated to a manager or secretary/clerk to approve case closings. While their function code is set to a manager or secretary/clerk cases may not be assigned to that ID until their function code is set back to a specialist. The Functional Coordinator must update the function code.

  4. Cases may be assigned in the Query/Update Master Record screen or the Multiple Assignment screen. Cases updated to review can only be updated in the Query/Update Master Record screen.

  5. When a final disposition is made on a case (favorable or unfavorable determination) closing data is entered. This data is electronically transferred to the Master File Pipeline System (MPS) of EDS in the Cincinnati Submission Processing Center to update the EO/BMF and the Management Information Report System in the Detroit Computer Center.

  6. Screens are available to update the status, enter closing data, print the closing sheet and approve the closing.

  7. Acceptable entries for each screen item are provided in the exhibits to this text. See the following exhibits to use each screen in ICS.

    1. Inventory Control System Main Menu — Exhibit 7.22.6–2

    2. Case Assignment/Reassignment Screen — Exhibit 7.22.6–3

    3. EO Query/Update Master Record Screen — Exhibits 7.22.6–4 and 7.22.6–5.

    4. Case History Screen — Exhibit 7.22.6–6

    5. Approval of Case Closings — Exhibit 7.22.6–7

    6. Print Closing Screen — Exhibit 7.22.6–8

    7. Status 51 Update — Technically Screened/Waiting Assignment Update Screen — Exhibit 7.22.6–10

7.22.6.2  (01-01-2003)
Case History

  1. A case history is kept for each action taken on a case. The actions may include updating data entered in DTS, entering closing data and updating the status, etc. Each of these actions generates a record containing the type of update and which login performed the update.

  2. The case history may be viewed by entering the case number in the Query/Update Master screen. Once the record is displayed the F6 function key is used to view the case history information.

7.22.6.3  (01-01-2003)
Closing Approval

  1. Each case must have a proposed closing code and closing data entered. The proposed closing is subject to management approval and to the mandatory and sample review selection criteria.

  2. If the case is not selected or required to go to Review, the case number will be entered in the Case Approval screen by the manager or secretary/clerk. This screen may only be accessed by a login that has a function code of a manager or a secretary/clerk.

7.22.6.4  (01-01-2003)
Letter Generation System

  1. The Letter Generation System (LGS) is accessed through the ICS Main Menu. See IRM 7.22.4 for the LGS use.

7.22.6.5  (01-01-2003)
Screen Operations

  1. In a typical session, the following interaction takes place:

    1. The system displays a screen by entering the Case Number. The data entered from DTS will be displayed in each of the appropriate items. The data should be verified for accuracy and any blank fields that are required should be filled in.

    2. The arrow and other keys can be used to skip over items.

    3. The same keys should be used when an input field is not completely filled so that the cursor is positioned in the next input item.

    4. The F1 and/or F2 key is depressed when all desired items have been verified or entered.

    5. The system will display "WAIT" at the bottom right corner of the screen to indicate that it is processing the input and that no other key should be hit until the "WAIT" sign is turned off.

    6. The system performs edits and consistency checks to ensure that the data entered is correct.

    7. If an error is detected, the terminal will beep, a reverse video error message will be displayed on the last line of the screen, and the cursor is positioned at the field in error. The data should be re-entered correctly and the appropriate key depressed. This error correction procedure will be repeated until all errors have been corrected.

7.22.6.5.1  (01-01-2003)
Output of the Inventory Control System

  1. EDS Inventory Control generates Form 8670, Exempt Organizations Case Closing Sheet.

    1. The case closing sheets are printed and included in the case file, when the specialist submits the case to the manager for closing approval.

    2. The manager will verify the data on the closing sheet and initial in the space provided for their approval of the closing.

7.22.6.5.2  (01-01-2003)
Case Closing

  1. The Case Closing Sheet, Form 8670, should be printed immediately after entering the closing data. The purpose of the case control sheets is to display the information sent to the MPS and provide a document where the manager can initial off on the approved closing.

  2. The EO Case Closing Sheet is found in Exhibits 7.22.6–12.

7.22.6.5.2.1  (01-01-2003)
Case Closed In Error

  1. Cases closed in error may be re-opened through the Inventory Control Subsystem Menu. This update to a closed record can only work, if the error is caught before the EDS daily batch run. The cases is open to status code 31 (Review). See Re-open Case Screen and information in Exhibit 7.22.6–11 on the record update.

Exhibit 7.22.6-1  (01-01-2003)
EDS Main Menu

The following main menu is displayed once the users logs on EDS.

EDS-CES-30 EO DETERMINATION SYSTEM (EDS)
     
  (1) Reserved
  (2) Data Transcription System Menu (DTS)
  (3) Inventory Control System Menu (ICS)
  (4) Management Information System Menu (MIS)
  (5) File Maintenance System Menu (FMS)
     
  (0) Exit
     
  ***Select one of the above:__
     
     
Hit F1: Execute  F10: Exit


(1). Select option three on the EDS Main Menu and F1 to activate the Inventory Control System Menu.

Exhibit 7.22.6-2  (01-01-2003)
EDS Main Menu — Inventory Control System

Enter the selection for the EDS ICS Menu from the EDS Main Menu. The following screen will be displayed.

EDS-ICS-40 EO DETERMINATION SYSTEM (EDS)
  INVENTORY CONTROL SYSTEM MENU (ICS)
(01) Query/Update Master Record and Status
(02) Query Incomplete Applications
(03) Multiple Case Assignment
(04) Letter Generation System
(05) Reprint Transmittal Sheets
(06) Print Labels
(07) Print Closing Forms
(08) Approval of Closed Cases
(09) Query/Generate File Folder Numbers
(10) Multiple Status 51/58/60/75 Updates
(11) Re-Open To Review
(12) Multiple Merit Closure Assignment
   
(00) EXIT
   
  ***Select one of the above:__
   
Hit F1:Execute  F10:Exit
   

Depress the F1 key.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Select one of the above Must be one of the valid option numbers (00, 01 – 12).

Exhibit 7.22.6-3  (01-01-2003)
Multiple Case Assignment/Reassignment Screen

The screen below is displayed when option 3 is selected from the Inventory Control System (ICS) Main Menu. This option allows any EDS user to assign or reassign a case (status 58, 52 or 75) to specialist or Area Office. The Action History of the case will display the login of who updated the cases.

EDS-ICS-663a  Case Assignment/Reassignment
 Group Number:___ Employee Number:__ Case Grade:_
       
Case Number Plan Sponsor/Organization Name Status Message
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
_____ ___________________ _ _______
       
Hit F1:Execute  F10:Exit    

The screen requires case number(s) and an employee number. A group number and/or case grade may be entered. All cases entered on one screen must have the same case grade. If the group number does not match the group number assigned to the employee in the employee master file, a message will be displayed on the screen. If this message appears see your Functional Coordinator.

Enter these fields according to the validity checks below.

Depress the F1 key.

If there are no input errors, the screen will display the employee’s current group (if the group number was left blank), the Plan Sponsor Name or Organization Name, the current status if it is any status, and any error messages, if appropriate.

If an input error occurs, the message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (4), above.

Verify that the case(s) displayed are the correct cases to assign. An incorrect case number can be corrected. Re-enter the case number that is incorrect. Depress the F1 key to process the corrected case number with the others. Once the case(s) are verified depress the F5 key.

The screen will re-display again with the message(s) "ASSIGNED" or "UPD FAILED" . The case(s) with the message "ASSIGNED" will be updated with status 52, 58 or 75 to the specialist number entered on the screen. For the list of other messages see Item 7, Message under the validity checks.

If there are more cases to assign, depress the F1 key to display a blank screen and continue.

If there are no more cases to assign, depress the F10 to exit.

If the error message "Cannot Assign Case to This Employee" is displayed, have your Functional Coordinator verify the "Function Code" in the File Maintenance System. The employee’s function code cannot be 61, 62, 77, 79, 98 or 99.

If the error message "UPD FAILED" was displayed see your Functional Coordinator. There is a file mismatch.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Group Number Enter Group number of the Employee. If entered, must be numeric.
2 Employee Number Specialist number. The five digit number assigned to each specialist. Must be entered and must be numeric.
3 Case Grade If entered, must be numeric. Must be one of the following valid case grades:
    EO – 09, 11, 12, or 13
4 Case Number Must be numeric. Enter the nine digit number assigned by DTS.
5 Plan Sponsor/Organization Name Display only. The first name line of the Plan Sponsor or Organization.
6 Status Display only. The current status of the case if it is not 50 or 51.
7 Message Display only. The following messages will or could be displayed when appropriate:
    ASSIGNED
CASE CLOSED
CASE NOT FOUND — Case number may have been entered incorrectly.
CLOSE PENDING — Case is currently in 55 status.
DUPLICATE — Case number was duplicated on the screen.
INCON UPDATE — Inconsistent update. Case is currently in a Review status.
UPD FAILED

Exhibit 7.22.6-4  (01-01-2003)
Query/Update Master Record

The screen below is displayed when option 01 is selected from the Inventory Control System Menu (Exhibit 7.22.6–2). The screen may be used by a login added to the Employee Master file of EDS. See your Functional Coordinator to add employees to the Employee Master file (EM Table).

EDS-ICS-645a  UPDATE MASTER RECORD — EO MENU
  ***Select one of the following:_
   
(1) Research Only
(2) Update Status (Open Codes Only)
(3) Update Master Record Only
(4) Update Status, Master Record or Closing Data
(5) Update MIR Data After Closing
(6) Print Case History
(7) Print Closing Forms
   
  Enter Case No:_____
   or EIN:__–____ Form No:__
   or FFN:_____
   or Name Cntl:___ Zip:___
Hit F1: Enter — F10: Exit

The initial query screen is used to select one of the menu options shown above and display the Master Record Screen or the Print Format/Selection Screen. The same Master File Screen is displayed for each menu option, although each field may have limited access depending on the menu option. The field access will be further explained in item (13) below.

This screen requires an entry in one of the five fields to retrieve the application data. The application can always be uniquely identified by the Document Locator Number or Case Number. Query by the document locator number or case number is the quickest search and should be used when it is readily available. Alternately, you can query by other items but these are not always unique and therefore may require you to further identify the application.
The alternate search methods may be by:

  — EIN
  — EIN and Form Number
  — File Folder Number
  — Name Control
  — Name Control and Zip Code

Enter the item(s) according to the validity checks below.

Depress the F1 key.

When there are no input errors, the screen is displayed with the Master Record(s) found.

  1. If one record is found the Update Master — Case Control Screen is displayed.

  2. If more than one record is found continue at (9), below.

If an input error occurs, the error message is displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (5), above.

If the first record displayed is not the correct one, depress the F2 key to display the NEXT record. Continue pressing the F2 key until the correct record is found or the message "There are no more records in this direction" is displayed. The F3 key may be used to go back to previously displayed records.

When the correct record is found, press the F1 key and the Master Record is displayed.

If you wish to search on a different item(s) for another Master Record, press the F5 key. Enter the new search item(s) and continue at (5), above.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Select one of the following Must be 1 – 7. Option 5 may only be accessed by Adjustments Unit.
2 Case No Case Number. Must be numeric.
3 EIN Employer Identification Number. Must be numeric.
4 Form No Four digit form number. Must be numeric.
5 FFN File Folder Number. Must be numeric.
6 Name Cntl Name Control. See below to determine the Name Control of the Organization.
7 Zip Five digit Zip Code. Must be numeric.

The Query/Update Master File screen is displayed when Options 1 – 5 are selected and F1 is depressed from the initial query screen. Fields in these screens may be updated as described in the validity checks below. All fields will be evaluated for validity and consistency depending on the menu option selected. Option 6 or 7 displays the Print Format/Selection Screen (see Exhibit 7.22.6–11 for the use of the Print Format/Selection screen).

Each menu option (1 – 5) determines which fields on the screen below may be updated.

  1. Option 1 — This screen is used for research. It does not allow update of any field.

  2. Option 2 — This screen is used to change only open inventory status type fields. It allows Status Date, Status (Open Codes only), Specialist No, Case Grade, Reviewer No and Reviewer Hours to be entered. Closing codes may not be entered or updated in this option (See Option 4 below). Hours may only be updated. This option will not require ALL fields to be validated while trying to update the status.

  3. Option 3 — This screen is used to update master file type fields. It allows all fields to be updated except the Status Date, Status, Specialist No, Hours, Case Grade, Reviewer No, Reviewer Hours and MF Indicator. This option will not require inventory status fields to be validated while trying to update the master file type fields.

  4. Option 4 — This screen is used to enter or update the inventory status type fields, master file type fields, MF Indicator and proposed closing data. All validity and consistency checks apply to all fields. When closing a case, specialists will use this option.

  5. Option 5 — This screen is used to update management information report (MIR) fields after closing (after the Case Approval Screen). It allows update of Status (Closing Codes only except 30), Specialist No, Hours, Case Grade, Reviewer No and Reviewer Hours. This option may only be selected by TE/GE Adjustments Unit and the MF Status is 3.

EDS-ICS-645b UPDATE MASTER RECORD — EO CASE CONTROL
Document Locator No:_________   Case No:_______
User Fee:__ EIN:_–_____ Form:___ Rev:___ FFN:_____
Subsection:_ AOL: _ Type Request:_  Control Date:_/_/__
Accounting Period Ends:_  NAICS Codes:  Taxonomy Cd:
   
Organization: ___________________ Name Control: __
  ___________________ 1st Submit Dt:_/_/_
  ___________________
  ___________________
DBA: ___________________
Address: ___________________
City: ___________________ State:_ Zip:____–___
  MF: ___ Dt:_/_/_
Date:_/_/_ Status:_ Specialist No:___ Hours:___._ Case Grade:__
    Reviewer No:___ Hours:__._
  Last Letter & Dt:___/_/__  TC013: N
   
Hit F1: Execute Changes — F5: New Selection (Bypass Edit) — F10: Exit
 F2: Next Screen (Execute Changes) — F4: Next Screen (Bypass Edit)

To update a record, overlay the data in the field(s) according to the validity checks below. (If you are not updating, depress the F5 key to bypass the validity and consistency checks. No changes will be made to the data.)

Depress one of the function keys described at the bottom of the screen (F1, F2, F4, F5, F6 or F10).

If there are no input errors the function keys listed below will perform the following tasks:

  1. The F1 key, updates the records and the initial query screen is displayed for the next query. If the Request Type is I, S, A, or F and the proposed closing code is 01, 02, 06, 08 or 11, the screen will display a message to use the F2 key. The Master File Data screen does not have to be updated for Closing Codes 03, 04, 09,10 or 12 and Type Requests P, R or T.

  2. The F2 key displays the Master File Data screen (Exhibit 7.22.6–5) to enter closing data.

  3. The F4 key displays the Update Master File second screen if closing items have been entered previously.

  4. The F5 key, no changes will be made to the record and the initial query screen will be displayed for the next query performed.

  5. The F6 key, the Case History screen (Exhibit 7.22.6–8) is displayed.

  6. The F10 key, no changes will be made to the record and the Inventory Control System Menu will be displayed.

If there is an input error, the error message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (13), above.

When Option 3 or 4 is selected to enter the Query/Update Master Record, use the F4 or F5 keys to bypass updating the record. The initial query screen is displayed for the next query.

When a proposed closing code is entered, the system will display a current status of 55, Waiting for Case Approval. All cases will be entered on the Case Approval Screen. Cases will be considered for TEQMS Sample and/or Mandatory review and updated to status 31 if selected. See Exhibit 7.22.6–9. All cases must be updated to status 31 in the Approval Screen. Cases being returned to review from status 32 must be entered in the Case Approval Screen. If a case is not selected for review, the current status displayed is the proposed closing code entered. The proposed closing code represents the final closing code status upon approval.

To assign multiple cases to one specialist, see Exhibit 7.22.6–3, Multiple Assignment Screen.

The system will display a message to verify any hours entered if the hours are greater than ten (010.0) hours for all proposed closing codes except 06. If the proposed closing code is 06, the system will display a message to verify any hours entered greater than one (001.0) hour.

Reviewer No and Hours must be entered when updating the status to 32, 54 or 56 or prior to entering the case number on the Case Approval Screen (Exhibit 7.22.6–9). When entering these hours, the system will display a message to verify any hours entered greater than one (001.0) hour.

The system will display a message to verify the name control when a proposed closing code is entered and the Cincinnati Submission Processing Center reported a mismatch when the opening record was established on EACS. Adjustments Unit must either place the brack (]) in the correct position of the name or enter a Y to signal the batch program to send a name update to master file. THIS MESSAGE IS DISPLAYED WHEN THE CINCINNATI SUBMISSION PROCESSING CENTER REPORTS A DIFFERENT NAME CONTROL ON MASTER FILE FROM THE NAME CONTROL ON THE EDS CASE BEING ESTABLISHED.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Case No Case Number. Display only field.
2 EIN Employer Identification Number. Must be numeric. The first two digits must be in the valid range as follows:
    01–06, 11, 13–16, 21–25, 31, 34–39, 41–48, 51–59, 61–67, 71–76, 81–88, 91–99.
3 Form Display only. Form number of Application. Should be one of the following: 1023, 1024, 1025, 1026, or 1028.
4 Rev Display only. Revision Date of the Application form.
5 FFN File folder number. Must be numeric. If updating, overlay the FFN displayed. The first two digits must be the valid Area Office code.
6 Subsection Subsection Code. Must be one of the following numeric codes for the specific form number:
    Form No Subsection Code
    1023 03, 50, 60, 70, 71
    1024 02, 04–10, 12, 13, 15, 17, 19, 20, 25, 26, 27
    1025 01, 11, 14, 16, 18, 21,22, 24, 40, 90, 91, 92
    1026 01–27
    1028 80
    Subsection 93 is not entered on EDS. This is a taxable farmer’s coop that files Form 990–C.
7 AOL Area Office Location. The two digit Area Office Code identifies the area office in which the organization’s place of business is located. Must be a valid office code within the Area Office. If State is "." , the Area Office Location must be 98.
    Area Office Location Code
    11 01–06, 11, 13, 14, 16
    31 31, 34–35, 38, 55, 61
    36 36–37, 39, 41–43, 45–47, 81
    52 22–23, 51–52, 54, 98
    58 56–60, 62–65, 71, 72
    75 48, 73–76, 83–87
    95 33, 68, 77, 82, 88, 91–95, 99
8 Type Request Display only. Must be one of the following:
    I — Initial Qualification
    S — Re-opening of FTE
    A — Amendment (other than modifications that do not affect exempt status)
    T — Termination of Exempt Status
    F — Private Foundation Follow-up
    P — Termination of Private Foundation Status
    R — Returned by Technical Post Review in National Office
    Type Requests of P and F are valid for Forms 1023 and 1025 only. Type Request S should be used when re-opening a case that was closed previously as Failurel to Establish (closing code 11 or 12).
9 Control Date Control Date entered during Clerical Screening. May be updated if MF Status is "0" , otherwise it is a display only field. See MF item below for the description of the status.
10 Accounting Period End Must be blank (00) or 1 – 12.
11 NAICS North American Industry Classification System Codes. Six digit number.
12 Taxonomy Code National Taxonomy of Exempt Entities code. The first three digits are the purpose code. The first position of the purpose code is the "Major Area" the organization falls under. The second position is the Decile Level and the third position is the Centile Level. The fourth digit is the Common Code.
    This code must be entered when proposed closing code 01 or 06 is entered, the type request is I, A, S or F and the subsection is 03. This code may be entered for closing code 12, the type request is I, S, A or F and the subsection is 03.
13 Organization Name (Line 1) Must be entered. If the Organization Name is more than 35 characters long, continue on line 2. Do not break a word after exactly 35 characters, carry the full word or grouping to line 2. All 35 positions of line 1 do not have to be filled to continue on line 2. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks. All characters on the keyboard may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, ampersand, right bracket and blank (A–Z, 0–9, –, &, ], b). All other characters entered will be stripped before sending to master file.
    NAME CONTROL —
The name control must be designated by a right-hand bracket(s) (]) if other than the first four characters of the name are used to generate the name control. To prevent an unpostable when the case is sent to the EO/BMF. The word "THE" should not be used as a name control unless only one word follows "THE" .
    Note: Do not place blanks on either side of side of the right-hand bracket(s). You may have no more than 2 right-hand brackets. Before entering, verify the name on the application matches the legal name as shown on the organizational documents.
    Examples:
    1. PERRY CONSTRUCTION CO
No brackets necessary because the first four positions are the name control.
    2. THE]CHARITABLE ORGANIZATION
Right-hand bracket precedes the four characters that are the correct name control.
    3. SAM L]PERRY]NANCY REED & JIM FERIS
If a name follows the name containing the name control, the name containing the name control should be encased in two right-hand brackets.
14 Name Control Display only. To correct the name control, see item 12 above, Organization Name (Line 1).
15 Organization Name (Line 2) If any data is entered, the first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand, percent and blank (A–Z, 0–9, –, /, &). All other characters will be stripped before sending to master file.
16 1st Submit Date Display Only. Date of a previous Incomplete Letter record, if any. First submission date (508(a) date).
17 Organization Name (Line 3) If entered, Organization Name (Line 2) must be entered. See Organization Name(Line 2) description. This line is not sent to master file.
18 Organization Name (Line 4) If entered, Organization Name (Line 2 & 3) must be entered. See Organization Name (Line 2) description.
    Note: If State is "." , this line should contain the foreign street address. Lines 2 & 3 may then be left blank. This line is sent to master file if it is a foreign address line.
19 DBA Doing Business As, Also Known As, or any other name the organization is known as. If entered, the first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand and blank (A–Z, 0–9, –, /, &, "" ).
20 Address If entered, the first position must be alphabetic or numeric. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand, percent, and blank (A–Z, 0–9, –, /, &, %, "" ). All other characters will be stripped before sending to master file.
    Note: If this is a foreign address, enter the street address on the Organization Name (Line 4). Enter the foreign City on this line.
21 City Must be entered. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters on the keyboard may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen and blank (A–Z, 0–9, –, "" ). All other characters will be stripped before sending to master file. Note: If this is a FOREIGN address, enter the city on the Address line. Enter the foreign Country on this line. If this is a MILITARY address, FPO or APO must be entered on this line if State is "AA" , "AE" or "AP" .
22 State Must be entered. Must be a valid state abbreviation or, for foreign addresses, a period followed by a blank (.). If this is a MILITARY address, enter the following:
    State Code Geographic Region
    AA No & So America
    AE Europe
    AP Pacific
23 Zip Must be entered and all numeric. The number making up the first 5 positions must be greater than 600.
    If this is a MILITARY address, the zip code must be in the following ranges:
    State Code Zip Code Range
    AA 34001–34099
    AE 09001–09899
    AP 96201–96699
    A validity check is executed on EDS to verify the state and zip code. If an invalid zip code is entered, the system message will ask you to verify the current zip code or correct.
24 MF Must be B, D, or Y. May only be entered by Adjustments Unit.
    B — Will send BOTH the application and closing record to master file.
    D — Will resend the closing record to master file and bypass the EIN validity check.
    Y — Will send the application or closing record to master file if the record was unpostable.
    A "Y" may be entered if the status is 2000–2999, 3000–3999, 4000–4999, 5000–5999, 6000–6999, 7000–7999, 8000–8999 or 9000–9999. A "Y" may also be entered if the status is 1, 3 or 13. The system will display a message for the Adjustments Unit to verify the entry is correct. A "B" or "D" may only be entered if the status is 3.
  MF (Status) Display only. The code in MF describes the status of the EDS record and whether the application and/or closing data is waiting or has been sent to master file (EO/BMF).
    0 — Application record is waiting to be sent to MF.
    1 — Application record was sent to MF.
    2 — Closing record is waiting to be sent to MF.
    3 — Closing record was sent to MF.
    4 — Both application and closing records are waiting to be sent MF.
    10 — Not sent to MF.
    11 — Not sent to MF, entity entered from LGS.
    12 — Update MIR data, waiting to be sent to Detroit.
    13 — Update MIR data, sent to Detroit.
    14 — Closing record was resent to MF to bypass EIN validity check.
    30 — Closing record posted to MF.
    2000–2999— Both application and closing record unposted while attempting to post to MF. Waiting for correction.
    3000–3999— Updated MIR data unposted while attempting to post to Detroit. Waiting for correction.
    4000–4999— Closing record unposted while attempting to post to MF. Waiting for correction.
    5000–5999— Application record unposted while attempting to post to MF. Waiting for correction.
    6000–6999— Unable to send updated MIR data to Detroit. Waiting for correction.
    7000–7999— Unable to send both application and closing record to MF. Waiting for correction.
    8000–8999— Unable to send closing record was to MF. Waiting for correction.
    9000–9999— Application record was unable to be sent to MF. Waiting for correction.
    See IRM 7.21.6 for instructions.
  MF (Dt) Display only. The date each MF status, above, occurred.
25 Date Date of current case status described below. If updating, overlay the date displayed. Must be a valid date format (MMDDYYYY), no later than the current date and no earlier than the case control date.
26 Status Case status. If updating, overlay the status displayed. Must be one of the following codes and consistent with other fields:
    Open
    31 — In Review
    32 — Returned on Review Memo
    33 — Returned from Review
    34 — Area Council Approval
    35 — 30 Day Letter Sent
    37 — Group Suspense
    38 — Review Suspense
    39 — Tech Screening Suspense
    40 — Proposed Adverse Determination
    41 — Proposed Technical Advice
    50 — Area Office Receipt
    51 — Waiting Assignment — Technically Screened
    52 — Case Assignment
    53 — Manager Returned to Specialist
    54 — Transferred to Appeals
    55 — Waiting for Closing Approval
    56 — Technical Advice Transfer (Suspense)
    58 — Workload Transfer
    60 — Open in Technical Screening
    62 — Assigned in Technical Screening
    75 — Unassigned Inventory
       
    Closing Codes
    01 — Favorable Determination
    02 — Final Adverse Determination
    03 — Returned Incomplete
    04 — Withdrawn by Taxpayer
    06 — Favorable Determination—Closed on Merit
    08 — Refusal to Rule
    11 — Failure to Establish
    12 — Other Closing
    30 — Correction Disposal
    If the Closing Code needs to be updated after case has been approved, see the Adjustments Unit.
    — Must enter a proposed closing code before updating the status to 31.
    — Must enter status 31 before entering status 32, 33, 35, 38, 54 or 56.
    — May not enter status 37 unless the current status is 32, 33, 52, 53, 55 or 50.
    — May not enter status 39 unless the current status is 50 or 51.
    — May not enter status 52 if current status is 31 or 38. Must enter status 32 or 33 to update to 52.
    — May enter only status 31, 39 or 50 if current status is 55 and the closing code entered previously was 06.
    — May enter only status 31, 37, 50, 52, or 53 if current status is 55 and the closing code entered previously was any closing code except 06.
    — Closing code 06 may only be entered if the current status is 39 or 50.
    — Closing code 06 may not be entered if the current status is 52.
    — May not enter proposed closing code 06 if the Request Type is "P" or "R" .
    — May not enter proposed closing 02 unless status 40 has been entered previously and the case has been to review.
27 Specialist No Five digit EDS specialist number. First two digits are valid Area Office Code (See 9, above). Must be numeric. Must be present if the status entered is 52 or a proposed closing code. If updating, overlay the specialist number displayed. If the Specialist No needs to be corrected after the case has been approved, see the Adjustments Unit.
28 Hours Number of hours spent on the case. Must be numeric. Fractions can only have one decimal position. Must be present if a proposed closing code (01, 02, 06, 08, 11 or 12) or status 40 is entered. Must be present for proposed closing codes 03, 04, 09 or 10 if the previous status was 52. If updating, overlay the hours displayed. To correct hours after the case has been approved, see the Adjustments Unit.
29 Case Grade First two digits must be 09, 11, 12, or 13
Must be present if a proposed closing code 01, 02, 06, 08 or 11 or status 40 is entered. If updating, type over the case grade displayed. To correct the Case Grade after the case been approved, see the Adjustments Unit.
30 Reviewer No Five digit EDS reviewer number. Must be numeric. Must be present if status entered is 32, 54 or 56 or prior to entering the case number on the Case Approval Screen. If the Reviewer No needs to be corrected after the case has been approved, see the Adjustments Unit.
31 Hours Number of review hours spent on the case. Fractions can only have one decimal position. Must be present if status entered is 32, 54 or 56 or prior to entering the case number on the Case Approval Screen. If the Reviewer Hours need to be corrected after the case has been approved, see the Adjustments Unit.
32 Last Letter Created Display only. The letter number of the last letter created in the Letter Generation System.
33 TC013 When a case is established on EDS if the name control differs from the name control on Master File an indicator will be set to identify the mismatch. When closing a case, you may enter Y or N. If "Y" is entered a transaction code 013 will be generated to update the name on master file. If "N" is entered the name on EDS must be updated to match the name on master file.

Exhibit 7.22.6-5  (01-01-2003)
Update Master Record — EO Master File Data Screen

The screen below is displayed when the F1, F2 or F4 key is depress from the first Update Master Record screen and a proposed closing code of 01, 02, 06, 08 or 11 or status 40 was entered and the Type Request is I, S, A or F. All fields below must be entered and meet the validity and consistency checks described below. If a proposed closing code was not entered, the Type Request is T, P or R or the proposed closing code is 03, 04, 09, 10, 11 or 30 the items below are not required and may not be entered.

EDS-ICS-645c3-4 UPDATE MASTER RECORD — EO MASTER FILE DATA
 
Document Locator No:_______    Case No:_____
Form:___ Rev:___   Subsection:__  Status:__
NAICS: __     Type Request:_
Organization Name:____________________
 
FilingReq– 941:WW __ 1120:CC __ 1041:T _ 1065: P _ 940:F_
990C: C _ 990T: T _5227: N _ 990PF: P _ 990: OO
Employment Cd: _ Class Cd: ___
Determination Cd: __ Effective Dt: ____(YYYYMM)
Affiliation Cd:_ Ruling Dt: ____(YYYYMM)
Foundation Cd: __ Adv Ruling Ends: ____(YYYYMM)
Deductibility Cd: _ Deductibility Yr: ___(YYYY)
Entity Type: _ Pension Plan: _
  Group Exempt No: ___
     
Hit F1 to Execute Changes – F5 to Bypass Edit (new search) – F10 to Exit
F4 to Bypass Edit (previous screen)

Enter the item(s) according to the validity checks below.

To update a record, overlay the data in the field(s) according to the validity checks below. (If you are not updating, depress the F5 key to bypass the validity and consistency checks. No changes will be made to the data.)

Depress one of the function keys described at the bottom of the screen (F1, F2, F4, F5, F6 or F10).

When there are no input errors and;

  1. The F1 key updates the record and the initial query screen will be displayed for the next query to be performed.

  2. The F4 key displays the Update Master File Case Control screen, no changes will be made to the record.

  3. The F5 key displays the record and the initial query screen, no changes will be made to the record.

  4. The F6 key displays the Case History screen.

  5. The F10 key display the ICS Main Menu, no changes will be made to the record.

When there is an input error, the error message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (4), above.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Case No Display only. Case Number.
2 Form Display Only. Application form number.
3 Rev Display only. Revision Date of the
Application form.
4 Subsection Display Only. IRC section entered by
Data Transcription.
5 Status Display only. Case status entered in the
previous screen.
6 NAICS Code Display only. NAICS entered on first screen.
7 Type Request Display only. Type of request displayed
in the previous screen.
8 Organization Name Display only. Name of the Organization entered
by Data Transcription.
9 Filing Req
941WW
941 filing requirement code. Must be 00, 01, 06,
07 or blank. Must be consistent with other fields:
  941 FR Other Checks
  00 None.
01 May enter if Subsection is
02, 03 (Foundation Cd 09–18),
04–22, 24, 25, 40, 50, 60,
80, 90–92. The 940 filing
requirement must be 1.
  If the Subsection is 03, 50 or 60, and
Determination Cd is 01, the 940 FR must be
blank.
  Employment Cd must have an entry of W.
  If the Subsection is 03, 50 or 60,
and Determination Cd is 70, 71 or
72, the 940 FR must be 1.
  06 State must be "CA" , "GU" , "NY" ,
   "PR" , "VI" , "WA" , or "." .
  07 State must be "PR" or "VI" ,
  and 940 FR must be 7.
  If the Subsection is 03, 50 or 60, and
Determination Cd is 01, the 940 FR must be
blank. Employment Cd must have an entry
of W.
  If the Subsection is 03, 50, or 60, and
Determination Cd is 70, 71, or 72, the 940 FR
must be 7.
10 1120 CC 1120 filing requirement code. Must be
00, 01, 09,10 or blank. Must be blank
if entry is made in FR1041 or FR1065
field. IF SUBSECTION IS 03 (FDN CODE 02, 03
or 04, MUST ENTER "00" . IF SUBSECTION IS
03 (FDN CD 09,11–18), MUST ENTER "00" or
"09" . Must be consistent with other fields:
  1120 FR Other Checks
  00 Determination Cd must be 01.
01 Determination Cd must be
  70, 71, or 72; or
  Subsection must be 25
  and Determination Cd must be 01.
09 Subsection must be 04–20, 50, 60,
  91, or 03(FDN CD 09, 11–18)
10 Determination Cd must be
  70, 71, or 72.
11 1041T
1041 filing requirement code. Must be 0,
1 or blank. Must be blank if entry is
made in 1120 or 1065 FR field.
Must be consistent with other fields:
  1041 FR Other Checks
  0 Determination Cd must be 01.
  1 If Subsection is 90 then
  5227 FR must be 2 and
  Determination Cd must be 01; or
  If Subsection is 91 then
  990 FR must be 1 or 2 and
  Determination Cd must be 01; or
  If Subsection is 92 then 990PF FR must
  be 1 and Determination Cd must be 01.
  Subsection may be 24 or 25 and Determination
Cd must be 01.
12 1065P 1065 filing requirement code. Must be
1 or blank. Must be blank if entry is made in
1120 or 1041 FR field. Must be consistent with
other fields:
  1065 FR Other Checks
  1 Must enter if Subsection is 40, and
  Determination Cd must be 01; or
   Determination Cd must be 70,
  71 or 72.
13 940 F 940 filing requirement code. Must be 0,
1, 7 or blank. Must be consistent
with other fields:
  940 FR Other Checks
  0 None.
1 941 FR must be 1.
7 941 FR must be 7.
14 990C C 990C filing requirement code. Must be 1
or blank. Must be consistent with other
fields:
  990C FR Other Checks
  1 Determination Cd must be 01 and Subsection must be 80; or
  Determination Cd must be 70, 71, or 72.
15 990T T 990T filing requirement code. Must be 1 or blank. May be 1 if Subsection is 03 (FDN Cd 09–18), 04–20, 22, 24, 25, 50 or 60. Must be consistent with other fields:
  990T FR Other Checks
  1 Determination Cd must be other than 70,
  71, or 72; and 990 FR must be 01, 02, 04, 06
  or 13 or 990PF FR must be 1.
16 5227 N 5227 filing requirement code. Must be 1, 2 or blank. Must be consistent with other fields:
  5227 FR Other Checks
  1 or 2 Must be entered if Subsection is 90 and Determination Cd must be 01.
  Determination Cd must be 70, 71 or 72.
17 990PF P 990PF filing requirement code. Must be 0, 1 or blank. Must be consistent with other fields:
  990PF FR Other Checks
  0 None.
1 Determination Cd must be 01
  and Subsection must be 03
  or 92. If Subsection is 03 then
  Foundation Cd must be 02, 03 or 04.
18 990 OO 990 filing requirement code. Must be 00, 01, 02, 04, 06, 07, 09, 13, 14 or blank. Must be consistent with other fields:
  990 FR Other Checks
  00 None
01 or 02 Subsection must be other than 01, 21, 40, 80, 90, or 92 and Determination Cd must be 01. If Subsection is 03 then Foundation Cd must be other than 2, 3, 4 or 10.
04 Subsection must be 21 and
  Determination Cd must be 01.
06 Subsection must be 03, Foundation
  Cd must be 10 and Determination
  Cd must be 01.
07 Subsection must be 01 and
  Determination Cd must be 01.
09 Determination Cd must be 70, 71 or
  72 or Subsection must be 24 or 25.
13 Any 1 position of the Class Cd
  must contain a 7, Subsection must
  be 03 and Foundation Cd must be 09,
  11–18.
14 Subsection must be 02–20, 22, 24,
  25, 50 or 60 and principle activity
  code must be 904. Determination Cd
  may be 01, 70, 71 or 72 unless 990PF
  is 1, otherwise it must be 01.
  Deductibility Cd must be 1 or 2.
  If Deductibility Cd is 1 then
  Determination Cd must be 01.
  If Deductibility Cd is 2 then
  Determination Cd must be 70, 71 or
  72. FR 1120 must be blank or 00.
 FR941 and FR940 may only be 1 or  
blank.
19 Employment Cd Employment Code. Indicates the organization has employees and is exempt from FUTA. Must be blank or "W" . If Subsection is 03,
Employment must be "W" .
Must be consistent with other fields:
  Employment Cd Other Checks
  Blank Determination Cd must
  be 70, 71 or 72.
W Subsection must be 03, 50
  or 60, 941 FR must not be
  06 and 940 FR must be blank.
Determination Cd must be 01.
20 Class Cd Classification Code. Enter the code or codes, in order of importance. Up to 4 codes may be entered. At least one code must be entered. Codes 2–4 may be blank. None should be duplicates. Each code must be 1–8. See IRM 7.21.6 for the Table of Classification Codes. Must be consistent with the Subsection Code:
  Class Cd Subsection Code
  1 1–22, 24, 25, 40, 50,
  60, 80, 90–92
2 3–6, 9, 12–14
3 3–6, 12
4 3, 6, 12, 5–8
21 Determination Cd Determination Code. Must be 01, 70, 71,
or 72. If Determination Cd is 01 the
  01 — Unconditional (Approved)
70 — Denied
71 — Failed to Establish
72 — Refusal to Rule
22 Effective Dt Effective date of exemption. Must be 6 significant numeric digits in YYYYMM format or 000000. May not be greater than the current year and month. Generally, the date is the date the organization was created; however, in the case of 501(c)(3), the date may be the date the application was received under the provision of 508(a) or the effective date of exemption under section 501(c)(3). If the effective date is unknown, enter "000000"
23 Affiliation Cd Affiliation Code. If Subsection is 24, Affiliation Code must be 3. Must be 1–3 or blank.
  1 — Central Organization over a National or Regional grouping of organizations (Not part of a group exemption)
  2 — Intermediate Organization included in a National or Regional grouping of organizations (Not part of a group exemption)
  3 — Independent Organization not affiliated with any group
24 Ruling Dt Ruling Date. The year and month the favorable or adverse determination letter is mailed. If the determination code is 71 or 71, the date the letter for additional information was mailed. Must be 6 significant digit in YYYYMM format. May be equal or less than the current month or one month in the future. If there are a few days left in the month and the manager is unable to approve the closing the next month should be used. However, if the manager tries to approve the case before the month ends, the case will display an error message on the ruling date.
25 Foundation Cd Foundation Code. Must be 2–4, 9–18 or blank.
  02 — 4940(d)(2) Exempt Operating Foundation
03 — Private Operating
04 — Private Non-operating
09 — Suspense
10 — 170(b)(1)(A)(i)
11 — 170(b)(1)(A)(ii)
12 — 170(b)(1)(A)(iii)
13 — I 70(b)(1)(A)(iv)
14 — 170(b)(1)(A)(v)
15 — 170(b)(1)(A)(vi)
16 — 509(a)(2)
17 — 509(a)(3)
18 — 509(a)(4)
  — May not be entered if Subsection is other than 03.
— Must be consistent with 990 FR or 990PF FR fields.
— Determination Cd must be 01.
— If principal Activity Code is 994 then Foundation Cd must be 15.
26 Adv Ruling Ends Advance Ruling Period Ends. The year and month the advance ruling will end. Must be significant numeric digits in YYYYMM format or blank. If entered, must be greater than current month and year. The system will display a prompt for the date to be verified if the date entered is more than five years.
  — If Type Request is "F" , Advance Ruling Ends MUST be 999999.
27 Deductibility Cd Deductibility Code. Must be 1, 2, 4 or blank. Must be consistent with Subsection below:
  1 — Yes (Contributions are deductible)
2 — No (Contributions are not deductible)
4 — Treaty (deductible under treaty provs.)
  Deduct Cd Subsection
1 01, 03, 04, 08, 10, 13,
  19, 20, 21, 50
2 Any valid Subsection Cd
4 01, 03, 04, 08, 10, 13,
  19, 20, 21, 50
28 Deductibility Year Year contributions are deductible. Must be numeric and in YYYY format or blank. May not be entered if Deductibility Cd is 2.
29 Entity Type Entity type of organization. Must be numeric or blank. Must be consistent with Subsection below:
  1 — Corporation
2 — Trust
3 — Cooperative
4 — Partnership
5 — Association
6 — NECT
  Entity Subsection
1 01–16, 19, 20, 25, 40,
  50, 60, 80
2 03–15, 17–22, 24, 25, 50, 60
3 03, 50, 80
4 40
5 01–21, 40, 50, 60
6 90, 91, 92
30 Pension Plan Indicates organization has a pension plan or not. Must be 1, 2 or blank.
  1 —Yes
2 — No
31 Group Exempt No Group Exemption Number assigned by the Adjustments Unit. Must be 4 significant numeric digits or blank.

Exhibit 7.22.6-6  (01-01-2003)
Case History Record Screen

The screen below is displayed when the F6 key is depressed in any of the Query/Update Master Record screens (Exhibits 7.22.6–4 and 7.22.6–5).

This option allows any user to browse all actions taken on a case. The displayed actions could be status, entity, application, closing, letter or MF (master file) data updates.

EDS-ICS-643  CASE HISTORY RECORD
 
Case No: ____ EIN: __-___Plan/Form No: ____
Sponsor/Organization Name:__________________
 
Spec/Date of Date Update Description Proposed
Status Revw Status Entered of Update Closing Hours Letter EMP
 
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
____/_/__/_/____________._____
 
Hit F1:Restart F2:Next F3:Previous F4:Last F6:Emp List F10:Exit

The listing is in chronological sequence by the Date Update Entered.

After the current screen is filled you may press the following keys to display the next line or exit:

  1. F1 key to display the first screen (start over);

  2. F2 key to display the next record if there are more actions;

  3. F3 key to display the previous record if there were actions previously displayed;

  4. F4 key to display a screen of the last record to the top of the screen;

  5. F6 key to display the Specialist/Employee Listing for the employees listing on the screen; or,

  6. F10 key to return to the Query/Update Master Record screen.

Each item is described below.

The "Description of Update" item describes the section of the Update/Query Master File screen updated or program that created the history record. The description and the items or the program that created the history item are listed below.

  1. Case Approval — the case number was entered in the Case Approval Screen.

  2. Case Status — Date, status specialist no, hours, or case grade was updated:

  3. Closing Data — Filing Reqs 941, 1120, 1041, 1065, 940, 990C, 990T, 5227, 990PF, 990, Employment Cd, Class Cd, Determination Cd, Effective Dt, Affiliation Cd, Ruling Dt, Foundation Cd, Adv Ruling Ends, Deductibility Cd Deductibility Yr, Entity Type, Pension Plan, Group Exemption No or Taxonmy Code has been updated.

  4. EACS Tape Load — the record was updated by the tape load from EACS.

  5. Entity Data — EIN, File Folder Number, Plan Sponsor or Organization Name, Address, City, State and Zip Code

  6. Establish Data — Type Request, Control Date, Entity Type, Accounting Period, Area Office Location was entered in DTS to control the application.

  7. TEQMS — the approval program selected this case for the TEQMS review.

  8. ICS Conversion — Initialization for the implementation of Inventory Control.

  9. Incomplete App — the history record was created from CSS when the application was found incomplete.

  10. LGS Entity — the Entity was added or the EIN, File Folder Number, Plan Sponsor or Organization Name, Address, City, State and Zip Code was updated in LGS.

  11. Letter Created — a letter was created from DTS acknowledgement letters) or LGS

  12. Letter Deleted — a letter was deleted from LGS.

  13. Manager — manager has entered an "X" in the Case Approval screen to send the case to review.

  14. Manager/TEQMS — manager has entered an "X" in the Case Approval screen and the system has also selected the case for TEQMS.

  15. Mandatory — the system has sent the case for review because of mandatory review requirements in the IRM.

  16. Mandatory/TEQMS — the system has sent the case for review because of the mandatory review requirements and was also selected for TEQMS.

  17. MF CIs Posted — the closing record has posted in the Cincinnati Submission Processing Center. The MF Code will also display the code 30 to indicate the closing record has posted unless there has been an update after closing to any MIR data.

  18. MF Open Posted — the opening record has posted in the Cincinnati Submission Processing Center.

  19. MF Status — the MF status changed either from the Query/Update Master File screen, the Approval Screen or the nightly batch run.

  20. MF Upd Posted — the update after closing record has posted in the Cincinnati Submission Processing Center.

  21. Mgr/Mand/TEQMS — the system has sent this case to review because the manager has entered an "X" in the Case Approval screen, has met the mandatory review requirement and has been selected for TEQMS.

  22. OLE Mismatch — a difference between the name control on master file and the name control on EDS was found.

  23. Related Review — the case number has been entered the Re-open to Review screen.

  24. TC013 Requested — the specialist or unpostable clerk has corrected the name control by sending a name update to master file.

  25. UNP — (####) — the opening, closing or update after closing record unposted in the Cincinnati Submission Processing Center. The unpostable code will be displayed in place of the ####, above. The current MF Code will also display this unpostable code until the unpostable has been corrected.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Case No Display only. Case number.
2 EIN Display only. Employer Identification Number.
3 Plan/Form No Display only. Form number from the Application submitted.
4 Sponsor/Organization
Name
Display only. Organization Name for the Exempt Organization.
5 Status Display only. The Status as of the date in item 7, below.
6 Spec/Revw Display only. Employee number of the Specialist who the case is/was assigned to or the Reviewer who reviewed the case.
7 Date of Status Display only. Date of the status.
8 Date Update Entered Display only. Date the status was entered on the system.
9 Description of Update Display only. Description of the items or group of items updated on EDS screens or which program the update occured it. See (5), above.
10 Proposed Closing Display only. The proposed closing code entered by the specialist.
11 Hours Display only. The hours spent on the case by the Specialist or Reviewer.
12 Letter Display only. The letter created and perhaps sent to the Organization.
13 EMP Display only. Employee number of the Specialist, Reviewer, Manager or Secretary who performed the update.

The screen below is displayed when the F6 key is pressed in the Case History screen.

EDS-ICS-667   SPECIALIST/EMPLOYEE LISTING
    for Case: ______
 
EMP/SPEC NO GROUP   NAME   PHONE NO
 
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
___ ___ ______________ __-__-__
 
Hit Retn to Continue

All items are display items only.

Use the Enter key to display another page of the list or to return to the Case History screen. At any time in this screen, the Delete key can be used to terminate the listing if it is more than one screen.

Validity Checks
ITEM PROMPT DESCRIPTION
1 EMP/SPEC NO Display only. The employee number or specialist assigned to use EDS.
2 GROUP Display only. Group number the employee or specialist.
3 NAME Display only. Name of the employee or specialist.
4 PHONE NO Display only. Phone number of the employee or specialist.

Exhibit 7.22.6-7  (01-01-2003)
Approval of Case Closing Screen

The screen below is diplayed when option 8 is selected from the Inventory Control System (ICS) Main Menu. This option allows only the manager or secretary/clerk to approve cases for closing from the specialist or from review.

The Approval screen also selects cases for the TEQMS sample, certain mandatory cases and allows a manager to send those cases that cannot be identified as mandatory cases or the manager can choose to send a case to review. The case history screen will display the approval and how a case was selected for review.

EDS-ICS-668a   APPROVAL OF CASE CLOSING
 
Case No Employer/Organization Name   Hours Grade Message
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
 
Hit F1:Execute F10xit

The screen requires the entry of case number(s) and an "X" next to the case number if the manager wishes to send a case to review. If an "X" is entered the status will automatically be updated to status 31.

Each case number must be 9 digits.

Depress the F1 key.

When there are no input errors, the screen will re-display with the Organization Name, the hours and case grade and any error messages, if appropriate. The "F5:Approve" message will be displayed.

When there is an input error, the message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (4), above.

Verify that the cases displayed are the correct cases to be approved. If a case displayed is incorrect, correct the case number and depress the F1 key for the screen to process the corrected case number with the other case numbers.

Verify the hours and case grade are correct. If any are incorrect delete the case number from the screen and depress the F1 key to process the screen again without that case number. The hours and case grade must be corrected in the Query/Update Master Record screen before approving the closing.

A message "F5:Approve" will display at the bottom of the screen. If all items have been verified, depress the F5 key.

The screen will re-display again with the message(s) "Approved" , "Sent to Review" or "Update Failed" . The case(s) with the message "Approved" will be updated to closed. The proposed closing code will be moved to the current status. The cases selected for review will be updated to status 31. For the List of other messages see Messages on the next page.

If there are more cases to approve, press the F1 key to display a blank screen and continue.

If there are no more cases to approve, press the F10 to exit.

If the error messages "Update Failed" or "KD, EC or IC Rec Missing" was displayed see your Functional Coordinator. There is a file mismatch when any of these messages are displayed.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Case Number Must be numeric.
2   Manager review selection. If entered, just be "X" . See (2), above.
3 Plan Sponsor/Organization Name Display only. The first name line of the Plan Sponsor or Organization.
4 Hours Display only. The hours the specialist entered.
5 Grade Display only. The grade of the case.
6 Message Display only. The following messages will or could be displayed when appropriate:
    Approved
    Been Reviewed
    Case Has Already Been Approved
    Case Not Found — Case number may have been entered incorrectly.
    Case Not Ready for Closing
    Duplicate — Case number was duplicated on the screen.
    EM Rec Missing — Employee record is missing from the employer master file. Inconsistent State and AOL
    LGS Record, Cannot Approve
    Must Update EIN Prior to Approval
    Must Update Ruling Dt — Ruling date is one month in the future, update to to this month.
    Must Update Specialist No — Specialist number is a dummy specialist number, update it to who worked the case. N/A for Review — Correction disposals should not go to review.
    Not Ready to Close, Case Suspended — check the MF code, it is a suppressed code.
    Not Ready to Close, Case Unpostable
    Not Ready to Close, Take to Review
    Reviewer Hours not Present
    Reviewer No not Present
    Sent for TEQMS
    Sent to Review

Exhibit 7.22.6-8  (01-01-2003)
Print Closing Sheet Screen

The screen below is displayed when option (7) is selected from the ICS Main Menu or the Query/Update Master query screen. Up to 20 closing sheets may be requested at one time. Print Closing Sheet verifies each Case Number at a time to see if it exists on EDS. Messages will be displayed when a Case Number cannot be found.

EDS-ICS-653  PRINT CLOSING SHEET
 
Enter Case Number(s):
 
_____ _____ _____ _____
_____ _____ _____ _____
_____ _____ _____ _____
_____ _____ _____ _____
_____ _____ _____ _____
 
Hit F1:Execute F10:Exit

Enter the fields according to the validity checks below.

Depress the F1 key.

When there are no input errors and;

  1. Case numbers found on EDS, a blank Print Closing screen is displayed to enter additional case numbers. Enter up to 20 more case numbers and continue at (3), above. If all case numbers have been entered continue at (6), below.

  2. Case number not found, a message is displayed " record not found" . Verify that the case number was entered correctly. If it was not, correct it and hit F1 to execute the change. If the case number was correct, disregard message. The case number that was not found will be skipped and all other closing sheets will be processed. For case numbers not found, the applications must be re-entered in DTS.

When there is an input error, the error message is displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (3), above.

After depressing the F1 key a blank screen is displayed with a message to depress the F5 key to process and print the closing sheets. If there are more case numbers to process, enter them and continue at (3), above. If there are no more case numbers to process depress the F5 key. The Printer Format/Selection screen is displayed.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Enter Case Numbers Must be numeric. Must be a case number in the EDS system.

Exhibit 7.22.6-9  (01-01-2003)
Print Format/Selection Screen

The following screen is automatically displayed after selecting Option 5 — Reprint Transmittal Sheets, Option 6 — Print Labels or Option 7 — Print Closing Forms on the ICS Main Menu or after selecting Option 6 — Print Case History or Option 7 — Print Closing Forms on the Initial Query Screen of the Update Master Record screen.

EDS-FMS-20   Print Format/Selection
 
 
 * Print Mode  _
 * Device Number  _
 * Number of Copies  _

Enter the fields according to the validity checks below.

Depress the F1 key.

When there are no input errors, the ICS Main Menu is displayed.

When there is an input error, the error message will be displayed and the cursor positioned on the field in error. Correct the input error.

The F10 Key can not be used to exit the Print/Format/Selection Screen.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Print Mode Must be entered. Valid entries are T, S, and 1–9.
    T — Text printer
S — Slave printer
1–9 — Local print routines
  (Area will provide instructions for the use of options 1–9)
2 Device Number Must be entered if Print Mode is T.
Must be numeric.
3 Number of Copies If Blank one copy will be printed.
Must be numeric.

Exhibit 7.22.6-10  (01-01-2003)
Status 51 Update—Technically Screened/Waiting Assignment Update Screen

The screen below is displayed when option 10 is selected from the Inventory Control System (ICS) Main Menu. This option allows any user of EDS to update a case to status 51. The Action History of the case will display the login of who updated each case.

EDS-ICS-664a Status 51—Update—Technically Screened/Waiting Assignment
    Case Grade:__
 
Case Number Employer/Organization Name  Status Message
 
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
 
Hit F1: F10:Exit

The previous status must be 39, 50, 55, 58, 60, or 62 and the proposed closing is 06.

The screen requires the entry of case number(s). The case grade may be entered if all the cases to be entered have the same case grade.

Enter these fields according to the validity checks below.

Depress the F1 key.

When there are no input errors, the screen will display the Organization Name, the current status if it is any status other than 50 and any error messages, if appropriate.

When there is an input error, the message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (4), above.

Verify that the case(s) displayed are the correct cases to be updated. If a case is listed that is not the correct case, the case number can be corrected. You must depress the F1 key for the corrected case number to be processed with the others. Once the case(s) are verified depress the F5 key.

The screen is displayed again with the message(s) "UPDATED" or "UPD FAILED" . The case(s) with the message "UPDATED" will be updated to status 51 or status 58. For the list of other messages see Validity Checks, Item 5 Message.

If there are more cases to update, depress the F1 key to display a blank screen and continue.

If there are no more cases to assign, depress the F10 to exit.

If any of the messages below are displayed see your Functional Coordinator to correct the error. The case has a file mismatch.

  1. KD Rec Missing.

  2. EC Rec Missing.

  3. IC Rec Missing.

  4. ERROR: Could Not Create AH Record.

1 Case Grade If entered, must be numeric. Must be a valid case grade: 09, 11, 12, or 13
2 Case Number Must be numeric. Enter the nine digit number assigned by DTS.
3 Plan Sponsor/Organization Name Display only. The first name line of the Plan Sponsor or Organization.
4 Status Display only. The current status of the case if it is not 50.
5 Message Display only. The following messages will or could be displayed when appropriate:
    CASE CLOSED
CASE NOT FOUND — Case number may have been entered incorrectly.
DUPLICATE
INCON UPDATE — status is not 50, 39, 58 or 55 and proposed closing 06
INVALID UPDATE
UPD FAILED

Exhibit 7.22.6-11  (01-01-2003)
Re-open Cases Closed In Error To Review Screen

The screen below is displayed when option 11 is selected from the Inventory Control System (ICS) Main Menu. This option allows the manager, secretary/clerk or Adjustments Unit to re-open cases to review that were closed in error.

Most cases closed in error will be cases the Approval Screen could not identify as mandatory review and the manager did not enter the "X" to send those cases to review or the related case sent to review and all cases should be processed together.

EDS-ICS-665a Re-open Cases Closed In Error To Review
 
Case Number Employer/Organization Name  Status Message
 
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
 
Hit F1:Execute F10:Exit

Enter case number(s).

Each case number must be 9 digits.

Press the F1 key.

When there are no input errors, the screen displays the Plan Sponsor Name or Organization Name and current status.

When there is an input error, the message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (3), above.

Verify that the cases displayed are the correct cases to be re-opened. If a case displayed is incorrect, correct the case number and press the F1 key for the screen to process the corrected case number with the other case numbers. CASES CAN ONLY BE RE-OPENED THE SAME DAY THEY WERE CLOSED. If the case has been closed prior to the current date re-establish it and update accordingly.

A message "F5: Approve" is displayed at the bottom of the screen. If all cases have been verified, depress the F5 key.

The screen will display the message "Sent to Review" or "Update Failed" . The case is updated to status 31. For the list of other messages see Validity Checks, Item 5 Message.

If there are more cases to re-open, press the F1 key to display a blank screen and continue.

If there are no more cases to re-open, press the F10 to exit.

If the error messages "Update Failed" or "KD, EC or IC Rec Missing" was displayed see your Functional Coordinator. There is a file mismatch when any of these messages are displayed.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Case Number Must be numeric.
2 Plan Sponsor/Organization Name Display only. The first name line of the Plan Sponsor or Organization.
3 Status Display only. The current status.
4 Message Display only. The following messages will or could be displayed when appropriate:
    Case Closed — Closed date is not equal to today. Re-establish if necessary.
Case Open
Duplicate — Case number listed more than once on the screen
Sent to Review

Exhibit 7.22.6-12  (01-01-2003)
EDS — Exempt Organization Case Closing Sheet

The EO Case Closing Sheet is printed from Option 7 of the ICS Main Menu or the Query/Update Master File screen. This form should be printed for every case closed. The manager will approve the closing by initialing in the space provided at the bottom of the form.

EDS — EXEMPT ORGANIZATION CASE CLOSING SHEET
 
Case No: 312021005EO FFN: 310000000  EDS Screener’s ID: 31000
 
EIN: 31–0000000 Control Date: 02/31/2001 Case Grade: 09 508 Date: 01/01/2002
 Name Control: FIDO
Organization Name: FIDO INC       Form No: 1023
            Type Request: l
             Acct Period: 09
           IRC Code: 03
  In Care of:        NAICS Code: 00000
   Address: 1111 CONSTITUTION AVENUE, NW    NTEE: T20Z
    WASHINGTON, DC 20006
  DBA:      Current Status: 01
EO/BMF
 
Filing Req—  941: 1120: 00 1041: 0 1065:  940: 0
    990C: 990T: 5227: 990PF: 990: 01
 
Employment Cd: W
  Class Cd: 1000  Determination Cd: 01  Effective Dt: 200112
  Affiliation Cd: 3       Ruling Dt: 200203
  Foundation Cd: 15  Advance Ruling Ends: 0
  Deductibility Cd: 1  Deductibility Yr: 2001 NAICS Cd: 00000
  Entity Type: 1  Area Office Location: 52  Pension Plan: 2
Group Exemption No:
 
Items indicated by the following paragraph codes are missing:
 
DATE: 03/09/2002 CLOSING CODE: 01 SPECIALIST: 31000 HOURS: 001.0 CLOSING LTR: 947
REVIEWER: 31005 HOURS:000.1
COMMENTS:
 
Manager Initials:_____
Form 8670

Paragraph numbers will print in "Items that should be considered before closing" . These paragraph numbers are items that were blank on the application but were not necessary to reject it to the organization. Answer(s) should have been found for the items (paragraphs codes listed) that were blank.

This form also lists each item that was entered on DTS. Each item should have been verified prior to closing the case in the Query/Update Master Record screen. Instructions for the use of the Query/Update Master Record screen can be found in Exhibit 7.22.6–4. After printing this form, if there are any items that are incorrect, correct them and reprint the closing form.

EO CASE CLOSING SHEET
LABEL DESCRIPTION
Case Number Number generated by EDS. This number is used to control the case in Inventory Control and to create letters in Letter Generation.
FFN File Folder Number assigned by EDS.
EDS Screener’s ID Login ID of Individual who transcribed the Application.
EIN Employer Identification Number
Associated with Organization.
Control Date Control Date entered during transcription.
Case Grade Case Grade generated by EDS
(9, 11, 12, or 13).
508 Date Original Submission Date of an
Application — 508(a).
Organization Name Name of the Organization on Application.
Form No Form Number of Application.
Type Request Type of Request for Exemption.
Address Street Address, City, State
and Zip Code of Organization.
IRC Code Subsection code under which
the Organization applied.
DBA Also known as, doing business as
name the Organization operates by.
Filing Req Filing requirement codes for Form 941, 1120,
1041, 1065, 940, 990C, 990T, 5227, 990PF
and 990.
Employment Cd Employment code. See Exhibit 7.22.6–5
for the use of this code.
Class Cd Classification codes. See Exhibit 7.22.6–5
for a list of the codes.
Determination Cd Determination of exempt status. See
Exhibit 7.22.6–5 for a list of the codes.
Effective Dt Effective date of exemption.
Affiliation Cd Affiliation code. See Exhibit 7.22.6–5
for a list of the codes.
Ruling Dt Date the exempt status was ruled on.
Foundation Cd Foundation code. See Exhibit 7.22.6–5
for a list of the codes.
Advance Ruling Ends The date the advance ruling period ends.
Deductibility Cd Deductibility code. See Exhibit 7.22.6–5
for a list of the codes.
Deductibility Yr Deductibility year. The year contributions
are deductible.
Activity Cds Activity codes. Codes of other activities
the organization engages in.
Entity Type See Exhibit 7.22.6–5 for a list of the types.
Area Office Location Area Office code the organization is located
in.
Pension Plan Indicates whether the organization has
a pension plan. See Exhibit 7.22.6–7 for
the list of the codes.
Group Exemption No Group exemption number assigned to a group
of organizations. May or may not have
been entered when it was assigned.
Items indicated by the
following paragrap
codes
The following was corresponded for:
207 — Annual accounting period,
208 — IRC subsection code for Form 1024,
209 — IRC subsection code for Forms
1025 and 1026.
Was updated when closing the case in
the Query/Update Master Record screen.
DATE Date of Closing Code
CLOSING CODE Code case was closed under.
SPECIALIST Specialist number of who closed the case.
HOURS Time spent on the case.
REVIEWER Reviewer number of who closed the case.
HOURS Reviewer time spent on the case.
CLOSING LTR Number of the letter sent to the plan
sponsor when case was closed.
COMMENTS Space for comments to be written.
Manager Initials Space for the manager to initial their
approval of the closing.

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