1.4.20  Filing & Payment Compliance Managers Handbook (Cont. 1) 
Employee Work Reviews 
Telephone Monitoring  (01-20-2012)
Evaluative Telephone Monitoring

  1. For documentation and evaluative purposes managers are required to monitor each employee for a minimum of two (2) complete calls each month. This monitoring is in addition to the ACS TEACH review requirement.

  2. There are specific standards to which ACS employees must adhere. The first is to be knowledgeable about the cases on which they are calling or receiving calls. They must scan the ACS screens to familiarize themselves with the account, determine the objectives of the call, and prepare to listen and control the course of the conversation. While protecting the rights of the taxpayer, they must not be intimidated but be firm, calm, polite, and persistent. Surnames must be used when identifying themselves and when addressing the taxpayer. To prevent misunderstandings, IRS jargon must be avoided when communicating with the public. Finally, the conversations must be clear, concise, and controlled.

  3. Each monitored call must be documented and furnished to an employee within fifteen (15) workdays of the time the manager becomes aware, or should have been aware, of the event which it addresses. Follow National Agreement II, Article 12, Subsections 9A and 9B and 9C. Note that, whenever possible, taxpayer identifying information should be removed from EPF material. However, when assessing an employee's performance, it may be necessary to discuss taxpayers' cases or situations with some specificity. In these instances, EPF documentation that includes account information may be appropriate. See IRM, Disclosure Permitted by IRC 6103(l)(4)(A) , for further guidance in this area.

  4. Upon completion of the review, follow National Agreement II when sharing the review results with the employee. Praise good work, explain problems identified, give guidance, and determine training needs. Obtain the employee's signed acknowledgment. A copy must be given to the employee and one copy will be retained in the employee's EPF.

  5. Do not interrupt monitored conversations unless an error is being made by an employee that would adversely impact the accuracy or timely processing of the taxpayers account. When this occurs, activate the barge-in feature and alert the employee to put the call on hold while the issue is discussed privately.  (01-20-2012)
Non Evaluative Telephone Monitoring

  1. Managers can accomplish non-evaluative monitoring by reviewing the employee’s recorded calls on Contact Recording, and then inviting the employee to listen to their own call with you. You can stop the recording periodically to discuss better ways to handle a call. You can also conduct non-evaluative reviews by utilizing periodic side by side reviews when deemed appropriate or requested by an employee through the use of an optional telephone jack (double plugging) on the employee's teleset. Apply these techniques when circumstances merit an in-depth discussion for training purposes.

  2. Managers may delegate listening to recorded calls or side by side non-evaluative reviews to a lead CR or an OJI. Periodically, delegate side by side non-evaluative reviews to experienced CR's to foster the team approach to improve the group's performance. This peer-to-peer monitoring approach will ultimately improve the Service's work process.

  3. Double plugging as an introduction to the job by new CRs with experienced employees is a good training tool.  (01-20-2012)
ACS Contact Recording

  1. "Contact Recording" is a telephone application/tool/system that records incoming "toll free" telephone contacts for the purpose of subsequent monitoring for evaluative and non-evaluative reviews. Managers and Quality Reviewers use the tool to perform required random reviews (performance and product) of incoming telephone contacts. For more information on Contact Recording, refer to IRM  (01-20-2012)
ACS (TEACH) /ACS Support Paper Document Review

  1. If an employee is assigned paper document processing, ACS Activity (TEACH) reviews alone may be insufficient. This type of work is frequently found in ACS Support, and may include processing third party mail, taxpayer correspondence, and various listings. However, there may be occasions that warrant a paper document review in the call site.

  2. For evaluation purposes the manager has the option to conduct either a TEACH and/or Paper Document review dependingon employee assignments for that month. Five cases per employee should be reviewed monthly. Each program to which an employee is assigned should be reviewed to cover all aspects of the employee's performance.

  3. ACS Support managers should select ACS Support as their product line when inputting into EQRS; call site managers should use ACS Case Processing when completing TEACH reviews.

  4. Paper document reviews will enable the manager to determine whether the employee is following procedural guidelines, transcribing pertinent data, accurately performing locator research, and to assess the quality of the employee's work without limitation to cases routed for approval. They will also enable the manager to determine whether the employee is analyzing ACS data correctly; making correct decisions and recommendations; initiating effective follow-up actions; and unnecessarily encouraging taxpayer call-backs or correspondence .  (01-20-2012)
CSCO Paper Document Review

  1. For evaluative purposes, the manager is required to conduct paper reviews based on the employee's assignments. Required case load reviews vary based on locally determined criteria. Each program to which an employee is assigned should be reviewed to cover all aspects of the employee's performance.

  2. CSCO should use "Collection Paper" as their product line when inputting into EQRS

  3. Paper document reviews will enable the manager to determine whether the employee is following procedural guidelines and correctly transcribing pertinent data to assess the quality of the employee's work without limitation to cases routed for approval. Paper document reviews will also enable the manager to determine whether the employee is analyzing data correctly; making correct decisions and recommendations; initiating effective follow-up actions; and minimizing unnecessary taxpayer call-backs.  (01-20-2012)
CSCO Evaluative Paper Document Review

  1. For documentation and evaluation purposes, two (2) work reviews should be completed per employee per month. .

  2. Obtain the employee's batch intact at the end of the day from the closed case bin. Employees should not be notified in advance when their batch is to be selected; this is an unannounced review.

  3. At some time during the work week, obtain from the employee all documents processed (these are normally destroyed) from which to draw a review sample. It will not be necessary to arrange to obtain the I2 list pages from the employee since these are routinely returned to the manager after processing.

  4. The review sample should be selected from the actual documents in the batch.

  5. Review the information contained in the taxpayer's correspondence against the entries to determine whether the employee has exercised good collection judgment, followed procedural guidelines and whether pertinent data was entered. When reviewing locator processing, the manager should use applicable resources (i.e. computers, directories) to spot check the quality of the actual research.

  6. Each review should be documented. No specific case data, such as the taxpayer's name and/or TIN may be recorded on this form nor may unsanitized case screen prints be retained. If further review is needed, refer to the employees Summary of Job Elements.

  7. Upon completion of the review discuss the review results within 3 workdays (follow National Agreement) with the employee. Praise good work, explain problems identified, give guidance, and determine training needs. Obtain the employee's signed acknowledgment and retain the review in the employee's EPF.  (01-20-2012)
Compliance Non-Evaluative Reviews (OJI)

  1. Employees are subject to non-evaluative reviews during the on-the-job instruction phase of training. In addition to the evaluative monitoring and case reviews, managers must spend some time each week (except for the weeks in which evaluative reviews are done) monitoring or reviewing cases. In ACS a side-by-side, dual-jack approach should be utilized. This provides an opportunity for immediate feedback in a non-evaluative atmosphere that will foster employee receptivity.

  2. Each contact or case can be discussed immediately upon its conclusion (or even during the contact) so that the employee can be provided with the benefit of the manager, lead CR or OJI's own experience and perspective on effective telephone techniques and case handling.

  3. Results of monitoring conducted in this manner must be documented as non-evaluative and cannot be used as part of the employee's performance appraisal.  (01-20-2012)
Compliance Clerical Reviews

  1. Clerical functions may include list distribution, processing of various listings, mail receipt and distribution, typing, log controls, maintenance of files, locator research, and other various administrative tasks. The manager responsible for the clerical employee will conduct reviews on ten (10) actions taken by the employee to determine the accuracy of this work based on established campus direction.

  2. Review the mail sorting when the mail has been placed in bins for delivery to other areas. The frequency of theses reviews will depend on the experience of the assigned employee, the results of prior reviews, and the feedback from other functions/teams.

  3. Focus not only on the employee's ability to complete his/her assignments, but also on his/her ability to set priorities and complete assignments independently and expeditiously. Conduct monthly reviews to determine the accuracy and timeliness of employees' work.

  4. Upon completion of the review discuss the review results within 3 workdays (follow National Agreement II) with the employee. Praise good work, explain problems identified, give guidance, and determine training needs. Document review results in narrative format specifically addressing aspects of the employee's job elements.  (01-20-2012)
Compliance Non-Evaluative Reviews

  1. The primary purpose of a non-evaluate review is to help the employee develop and enhance their job skills. Effective non-evaluate reviews foster open lines of communication among the employee, the manager, and the lead technical employee. This enables the manager and/or the lead to receive employee feedback and transfer operational goals informally.

  2. Non-evaluative reviews do not contain a written rating. Share the results orally. Some documentation is appropriate to establish that it actually occurred. (EQRS may be used to track employee development for this purpose by choosing "non-evaluative" on the drop-down menu option.) Have the employee initial and date any documentation. Provide one copy for the employee and retain the other copy in the employee's drop file.  (01-20-2012)
IDRS Adjustment Review

  1. IDRS adjustment reviews help prevent unpostables and ensure prompt correction of errors. Review a sample of IDRS adjustments with source documents, focusing on the following areas

    • Appropriate source documents

    • Accurate and complete input data

    • Proper hold codes

    • Correct priority codes

    • Accurate source codes

    • Appropriate blocking series

    • Appropriate reason codes

    • Complete remarks section

  2. IDRS adjustment reviews may be delegated to a work leader or peer, but employees may not conduct a review of their own cases. If this review is delegated, the employee conducting the review will brief the manager and the employee involved.

  3. IDRS/IORS (IDRS Online Reporting System) security reviews may not be delegated and must be performed by a manager.  (01-20-2012)
ACS Managerial Approval Process

  1. ACS Employee's Responsibility: With nationwide call routing (Enterprise) , we process accounts residing in other ACS Call Sites’ inventories, so case prints or other action is required to inform the manager that an approval is needed. ACS employees taking the following actions must inform their manager of the need to review and approve the case when it is moved to the managerial inventory (C0, R0, I0, or S0).

  2. . There is a systemic check that prevents non-managers from inputting these approvals on ACS. Other actions that either initiate or cease collection activities may require managerial approval as well.

  3. Procedures may be established locally to require managerial approval of other actions, but there will be no systemic checks to ensure this.  (01-20-2012)
ACS Managerial Approval Actions

  1. Any disposition requiring approval on an account residing on a different Call Site's inventory. See IRM 5.19.5 ACS Inventory.

  2. Levy / Lien Action:

    • Any manual levy

    • Levies on Social Security income - IRM

    • Levies or liens issued while pending an appeal or "Equivalent Hearing" - IRM

    • Lien filing on AAB less than $10,000 - IRM •

    • Decision not to file a lien on AAB over $10,000 - IRM

  3. Installment Agreement Dispositions

    • above streamlined criteria, including liens filed because the taxpayer is not able to full pay within 60 months or defaulted within the past 12 months - IRM

    • PPIA - IRM

  4. Currently Not Collectible Dispositions

    • Certain hardship cases warranting currently not collectible closings - IRM

    • Decedent, UTL and UTC with AAB over $5000 – IRM

    • CNC on defunct/insolvent corporations – IRM

  5. Return Delinquency Dispositions

    • Little or no Tax due except 6+ year old mods– IRM

    • HINF Closures - IRM

    • ASFR Referrals (W&I Only, 25% of referrals require approval) - IRM

  6. Request for Appeal

    • Collection Appeal Program (CAP) – IRM

  7. Referrals to Examination or Criminal Investigation - IRM  (01-20-2012)
ACS Call Site Managers' Responsibility

  1. ACS Call Site or Support Operations Managers: Provide general oversight to ensure approvals are done promptly.

  2. ACS Call Site or Support Team Managers: a daily basis, address your own employee's cases requiring approval and ensure your employees are making case prints when approvals are required or a query/listing process is used. Address cases remaining in the zero functions by working through the managerial approval inventory assigned to your team using next case access. If the work is correct, approve the case or if it can be resolved with a simple input, that action should be taken without referring the account. If work done by another Call Site's employee is not correct and/or cannot be resolved by you, provide your Call Site's ACS managerial approval process contact person with the TIN, the employee ID, and the date moved to the managerial function (or Screen 1 print). The information will be forwarded daily to the Call Site of the employee taking the case action for appropriate follow-up. Please DO NOT forward cases that you can correct easily.  (01-20-2012)
ACS Managerial Approval Contact Person's Responsibility

  1. Inform the other ACS Call Sites of cases in your site's managerial approval inventories that require additional attention prior to closure via fax promptly. Your site's team leaders will provide this information. Promptly resolve or direct cases identified by other Sites as needing additional work to the appropriate team manager for follow-up. To ensure that information is properly transmitted, verify that the fax was sent successfully. The contact person will enter DI comments on cases (both the person sending the account and the person responding in the originating site) to clearly record actions taken.

  2. If the referred account has not been resolved after two attempts, contact the managerial approval fax contact person in the receiving site by phone or secure e-mail (if the site accepts this type of transmission) to resolve the outstanding issue promptly. Local practice will be followed to elevate the issue if the account remains unresolved after that contact.  (01-20-2012)
CSCO Managerial Approval Actions

  1. The manager will review each case for compliance with the requirements of applicable IRM's for correct judgment in support of the employee's action. If the requested action is acceptable, take the action.

  2. If the requested action on the case is not acceptable because additional actions are required prior to managerial approval, or if the request is technically incorrect, the manager should return the case to the responsible employee for correction.

  3. If any requested action is not acceptable, return the request with an explanation to the originating employee. The manager should ensure that the responsible employee takes an appropriate action to resolved the taxpayer inquiry.

  4. The manager must approve all Installment Agreements with an assessed balance equal to or greater than $25,000.00 and all Partial Payment Installment Agreements. There are no exceptions to this rule.  (01-20-2012)
Training and Employee Development

  1. Management is responsible for the training and development of employees and managers. The following text outlines some of your responsibilities relating to the training and development of your employees and subordinate managers.

  2. CSCO employees training consists of structured formal classroom training in procedures and applicable computer applications. Training is also enhanced annually through Continuing Professional Education (CPE). New training may also include an on- the- job-training period.

  3. Training for new Collection Representatives (CRs) is described in the ACS Core Skills, made up of many class number offerings contained on the Enterprise Learning Management System (ELMS). Employee progress in the training is recorded in the ACS Development Guide. The development guide outlines the responsibilities of all participants in the technician's training program, and is used for documenting the trainee's progress. ACS management is responsible for seeing that the training needs of their employees are identified and met.

  4. Training for CSCO and ACS employees is achieved through "Continuing Professional Education (CPE)" and /or new hire training. This training is directed and controlled by the Training Coordinator. The Resource Training Coordinator (RTC) has the responsibility to ensure accreditation is given to course participants on the Enterprise Learning Management System (ELMS). Managers should be aware of the training needs and accomplishments of each team employee. Managers have the final responsibility to identify and to ensure team employees are provided the training required to effectively perform their duties.  (01-20-2012)
Core Training

  1. ACS Collection Representative core training consists of approximately ten weeks of structured formal classroom and On-The-Job (OJT) training. This training includes procedures, systems, equipment and hands-on training. All new employees are required to complete core training.

  2. The core classroom training consists of 27 Lessons and additional sub-lessons on the Enterprise Learning Management System (ELMS . The lessons are basically in an IMF or BMF format, with a further breakdown to return delinquency (RD) or balance due (BD). A lesson is a discussion of a specific subject, such as Lesson 2B, Automated Collection System Screen Displays. Each lesson provides a complete subject discussion and is a building block for subsequent lessons.

  3. The core training was developed to give Operation management more flexibility, based on the needs of the call site in determining the subject order and time frames. It allows more emphasis on the type of cases that are worked in the call site and the BOD. For instance, if the call site does not work cases involving Form 943 (MFT 11) accounts, the instructors would present the form briefly as an awareness, and emphasize the other BMF returns.

  4. Additionally, the suggested schedule was designed to give the students the opportunity to easily reinforce what was just covered in the classroom, with the use of interspersed periods of on-the-job training (OJT). It was designed to have the option for students to complete an OJT session after each significant lesson.  (01-20-2012)
ACS Interactive Training File (Procedures and Equipment)

  1. The ACS Interactive Training File is designed to introduce employees to equipment operations and to permit them to make simulated case decisions. They will learn how to operate the ACS equipment through the use of simulated cases and role-plays. An updated version of the Training was released in FY 2011.

  2. The ACS Core Training System consists of ‘free-form’ access mode only. The system allows the trainee to access the ACS Training cases and work them as live cases. Upon exiting the system, cases are not updated and are ready for use by next trainee. The system is designed to introduce employees to “ACS Green Screen” and ACSWeb screens. This allows them to make simulated case decisions. The training cases can be worked by and instructor/trainee in a classroom setting, or by the trainee at their desk. .  (01-20-2012)
On-the-Job Training

  1. On-the-job training (OJT) is a very integral portion of the technician training. Effective OJT instructors (coaches) are vital to the success of the technicians training program. As Operation and First-line managers, you must contribute to that success by carefully selecting the best OJT instructors and by periodically meeting with them to review progress and provide support.

  2. All employees selected to participate as an OJT instructor should receive OJI training. A couple of suggested training documents are Training 5920-102 Accounts Management On-the-Job Instructor Workshop (Student Guide) and Training 27016-102 ACS On the Job Instructor Workshop (Student Guide). These are paper published documents in "PDF" format for conducting class training. It may also be useful to include training on the use of the Embedded Quality Review System .

  3. It is suggested that coaches/instructors, at a minimum, review the core lessons and take the test themselves. Additionally, they will find it beneficial to complete the Interactive File lessons to anticipate any problems their students may encounter.

  4. All students should be counseled at various points throughout their OJT period. At a minimum, formal counseling sessions should include an initial, midway and final progress discussion. Informal counseling can be used to keep the trainees informed of their progress. Frequent opportunities should be taken to give trainees feedback to minimize any issues concerning the technical information and the progress of the employee . It is vital that the coaches provide honest feedback, positive or negative, to the students.  (01-20-2012)
Training for all Employees

  1. Employees will receive annual training under the Continuing Professional Education (CPE) program, also referred to as Refresher Training. Subjects will be designed to keep employees abreast of technical and procedural developments that relate to their jobs. In the event that Headquarters CPE training materials are not available, topics identified as mandatory must be developed locally. In addition to the mandatory topics, local training needs should always be identified and included as part of the CPE. The timing for delivering CPE will be negotiated with the Joint Operations Center to minimize impact to telephone traffic schedules.

  2. Topic(s) selection should be driven by “level of difficulty in new procedures and trend analysis as identified through telephone monitoring, NQRS/EQRS results or other feedback should be used as a basis for determining local training needs.

  3. In-Service and Out-Service training are additional options. Your local training coordinator can assist in identifying the proper course and obtaining approval for it, but it is your responsibility, as managers, to identify the training need and initiate the action.

  4. Managers must be aware and proactive in ensuring that team employees timely complete Mandatory Briefings. A Listing of Briefing ID numbers and titles is offered below. These offerings are available on ELMS. Briefings can be found at http://elms.web.irs.gov.

    • 16412 UNAX

    • 17900 No FEAR Act

    • 19357 Prevention of Sexual Harassment

    • 23131 7114 Certification of Ethics Meeting

    • 28970 Information Protection and Disclosure Briefing

    • 28971 Information Systems Security

    • 30909 Security Awareness for Employees (S.A.F.E.)

    • 31659 Physical Security and Emergency Training  (01-20-2012)
Developing Employees and Managers

  1. In addition to identifying training needs, you are responsible for developing your employees that report directly to you. Developing employees will initially be directed towards improving skills in their present position and developing potential toward advancement.

  2. Recognizing and developing potential is a responsibility of all levels of management. You must continually look for employees with potential for higher level and more responsible work.

  3. You are responsible for ensuring employees reach their potential in their present position and prepare employees for achieving career advancement for which they display skills and abilities. This can be accomplished through the development of a Career Learning Plan (CLP). The CLP is designed to enhance your employee's skills so that he or she may increase his or her current job performance and/or become more competitive when applying for in Service career enhancement positions. The CLP should specify the career goal or training needs, the developmental activities needed, and target completion dates. The CLP should be brief and realistic and assist the employee in identifying feasible and meaningful activities. Be careful not to recommend additional training that will serve little purpose in improving an employee's performance or advancement. Activities can include acting managerial or lead details, instructing, OJI coaching, developing and presenting technical workshops or details to other functions. Other developmental activities also include self directed training toward skill enhancement for employees as outlined in the "2009 National Agreement II" .

  4. Periodically review the CLP's of your employees to ensure developmental activities are being completed and to identify areas in which the employee needs assistance. Completion, addition, deletion, and extension of developmental activities should be annotated during these reviews.

  5. Every effort should be made to encourage all employees to develop a CLP, however, when an employee is unsure of his/her career goals or simply does not want an CLP, the employee should state so in writing and the manager should place this in the employee's EPF. This is done for two reasons:

    1. To document that the manager made the effort to assist the employee in developing an CLP and the employee chose not to have an CLP; and

    2. The document can be used as a follow-up item for the manager to encourage the employee at a later time.

  6. Employees should be provided with training/guidance on the job qualification process, including how to complete a job application and conducting a mock interview.

  7. Managers interested in further developing their professional education can research courses and their relationships to the IRS Leadership Competencies by researching in IRM 6.415.1.4 and or the Enterprise Learning Management System (ELMS).  (01-20-2012)
Managers Training

  1. Entry level managers should receive Tax Motivated Transaction(TMT) (Course 9012) training either prior to their first managerial assignment or within a few quarters of their initial assignment. New managers should also receive Core Leadership Training, Course No. 9670. All managers should attend the course between the second and sixth month after their selection but no later than the end of their probationary period (within one year).

  2. New managers should receive appropriate portions of technicians' core and module training. This material should be selected from Course No. 9670 series and be tailored locally depending upon the background and position of the newly selected manager.

  3. The new ACS manager should receive the pertinent procedures and equipment hands-on training and the ACS telephone operations training.

  4. Additional Self-Study Leadership training materials are available as useful tools in improving your managerial skills. These can be accessed through Skillsoft or Enterprise Learning Management System (ELMS).

  5. The following is a list of suggested Leadership classes. These courses will serve to enhance your ability as an IRS Manager and Team Leader to communicate with peers and subordinates, and will assist you in making decision that are in the best interest of your employees, the customer and the organization:

    • Administrative Procedures for Managers (APM), #15346 – (4-6 hrs.)

    • Front-Line Leader Readiness Program (FLRP)

    • Employee Relations/Labor Relations Skills for Managers (ER/LR), #15351 – (5-8 hrs.)

    • Leading from the Frontline Simulation, SkillSoft #12772 - (0.5 hrs)

    • 9012 Temporary Manager Training (TMT)

    • 9670 Front-Line Managers Course (CORE Leadership)

    • Management Aspects of EEO (MAEEO), #13466 – (4-6 hrs.)

    • 9016 Meeting Challenges

    • 9652 Leading Teams

    • 6700 Facilitative Skills for Leaders  (01-20-2012)
Training of Employees with Disabilities

  1. Your Local Accessibility Coordinator (LAC) serves as your main point of contact to assist managers and employees with disabilities in the day to day accessibility issues. The Local Accessibility Coordinators report to the Chief Accessibility Coordinator. The Office of the Chief Accessibility Coordinator (CAC) was established to assist Management with inquiries concerning accessibility, adaptive equipment/software compatibility and usability issues, reasonable accommodation concerns, and employees with disabilities performance issues to name a few. The CAC has program oversight of the Lions World Services for the Blind (LWSB) program and the LAC program. The CAC works in close partnership with the Equal Employment Opportunity and Diversity (EEOD) Reasonable Accommodation Coordinators (RAC), Alternative Media Center (AMC), and Information Resources Accessibly Program (IRAP).


    Please see Exhibit 1.4.20-3 for the links to various websites related to employees with disabilities.

  2. ACS/CSCO participates in special training programs with Lions World Services for the Blind in Little Rock, Arkansas for persons who are blind or visually impaired. This training is usually held twice a year. Headquarters has the oversight for these programs.  (01-20-2012)
Adaptive Equipment and Other Accommodations - IRAP Services

  1. Employees with disabilities will be provided adaptive equipment and services on a case by case basis in accordance with the agency guidelines for reasonable accommodations.

  2. Adaptive equipment and services will be purchased through the Information Resources Accessibility Program (IRAP) Office. Employees with disabilities and their managers should contact the IRAP Office to schedule a needs assessment by calling (202) 283-0283 (voice), (202) 283-6566 (TTY). Managers or Reasonable Accommodation Coordinators (RAC) will send an e-mail to *IRAP* or irap@irs.gov and include the following information:

    • Employee name and phone number

    • Manager name, phone number & fax number

    • Employee’s accommodation need (e.g., blind, low vision, deaf, hard-of-hearing, mobility impaired)

    The needs assessment, which consists of a brief telephone interview, will enable the IRAP associate, the employee and the employee's manager to determine what adaptive solutions will best meet the needs of the employee.

  3. The Primary IRAP Services include:

    • Assisting in the determination and acquisition of appropriate adaptive technology solutions, including installation, training, and maintenance of the equipment.

    • Performing technical consultation on adaptive hardware and software to local Modernization, Information Technology & Security (MITS) Services staff.

    • Evaluating new adaptive technologies for potential use within the IRS.

    • Assisting IRS employees with adaptive equipment features and functions.

    • Providing technical guidance on accessibility to owners of current or proposed information technology.

    • Providing technical guidance on the provisions of the Section 508 Accessibility Standards to IRS managers and employees

    • Communication information on IRAP services and accessibility principles

    • Developing and providing online training to assist IRS employees in better understanding accessibility issues.

    • Blindness/Low Vision Products:

      1. Speech and Braille output systems

      2. Braille translation software

      3. Portable note takers

      4. Screen magnification software

    • Deafness/Hard of Hearing Products:

      1. Teletypewriters (TTYs)

      2. Telephone handset amplifiers

      3. Visual signaling devices

    • Mobility Impairment Products:

      1. Alternative keyboards

      2. Trackball mouse

      3. Voice recognition software

    • Learning Disability Products:

      1. Scanner/Reader systems

    Any initial bulk purchases of a new type of equipment, after successful testing, will be coordinated through the IRAP Office.

  4. The IRAP Office is only responsible for the maintenance repair costs (after the expiration of initial warranty coverage) on equipment they purchased. Any maintenance and repair costs for equipment not purchased by the IRAP Office is the responsibility of the purchasing organization.

  5. Contact your local Modernization & Information Technology Services (MITS), Site Support Office to report equipment malfunctions. Known problems with adaptive equipment should be reported to the IRAP Office.

  6. Readers must be provided as necessary for visually impaired employees needing access to the Internal Revenue Manual (IRM) and Training material or other publications not available in hard copy..

  7. A centrally funded process for obtaining sign language interpreting service for hearing impaired employees was implemented Servicewide by memorandum in June 2000. Refer to IRM for details on Interpreter Services. Your EEO contact will be able to provide you with a copy of these procedures if needed.  (01-20-2012)
Braille Materials

  1. The Alternative Media Center (AMC) has been established to meet the needs of employees with disabilities for information in alternative media.

    • The Primary Services of AMS

      • Hard Copy Braille

      • Large Print

      • Electronically Accessible Tax Products and Training materials in HTML and text formats

      • Electronic Braille format

      • Speech-friendly PDF forms

      • Tactile graphics

      • Digital Talking Books

      • Help Desk Services

      • Custom development and delivery strategies for unique products

      • Document Accessibility Consulting

      • XML Accessibility Services

      • Training Services and tutorials

      • Research and Development

    • AMC Ordering Procedures

      Please include the following information with all orders to the AMC Help Desk or through E-mail:

      • Name and phone number

      • Complete mailing address including room numbers/stop numbers

      • Type of Media (braille, electronic, large print,)

      • Product(s) requesting

      • Quantity required

      • Date materials are needed (certain material may take up to 4 weeks to receive)

    • How to Obtain AMC Services

      Managers/employees may obtain annual Tax Products and Training material by:

      • Call or fax your order to the area distribution centers

      • Download electronic media from the AMC website or Multimedia Catalog site at: http://amc.enterprise.irs.gov and http://publish.no.irs.gov.

      • E-mail your request to the AMC at altmc@irs.gov.

  2. Call the AMC Help Desk at (202 622-1557).  (01-20-2012)
Interpreting Services Process

  1. Various laws and regulations require each business division to provide interpreting services, as needed, as a form of reasonable accommodation.  (01-20-2012)
Interpreting Services

  1. Each business division is responsible for funding all costs of interpreters who perform business related sign language interpreting services for deaf/hard of hearing employees and taxpayers.

  2. Cross-functional interpreting service needs are an Agency-Wide Shared Services (AWSS) Stewardship responsibility for which additional procedures are defined by AWSS.

  3. Managers are the authorizing officials for all interpreting services requests and should continue to follow the existing process at their respective locations for requesting these services through the local AWSS EEODFS Office. Requests require advance notice in order to ensure the availability of a sign language interpreter to meet the customer’s needs.

  4. Interpreters will be scheduled once the funding approval within the business unit is complete.  (01-20-2012)
Obtaining Interpreting Services

  1. Requests for interpreters should be made at least ten (10) business days in advance of event/meeting.

  2. Requests made with less than ten (10) business days notice are subject to interpreter availability.

  3. Requests are prioritized, with scheduled training and mandatory meetings getting high priority, parties and luncheons having lower priority.

  4. Scheduled assignments will get priority over last minute assignments.  (01-20-2012)
Circumstances for Obtaining Interpreting Services

  1. Interpreting services purchased using the centrally funded process may be requested in at least the following circumstances:

    • Training

    • Employee orientations

    • Formal/informal staff meetings

    • Formal/informal conferences and meetings

    • Job interviews

    • Video conferences

    • Special Emphasis programs

    • Interagency meetings

    • Orientations for new employees

    • Tax related meetings

    • Other business related activities

  2. Contact the local EEODFS Office for questions on Interpreting services procedures. Questions concerning the financial aspects may be directed to the AWSS Office of Strategy and Finance

  3. Managers may contact the Registry of Interpreters for the Deaf at (703) 838-0030 (voice) or (703) 838-0459 (TTY) to find a list of qualified sign language interpreters.  (01-20-2012)
Overview of Quality

  1. The Quality Review process provides a method to monitor, measure and improve the quality of work within each operation. Quality review data is used to provide quality statistics for the Service’s Business Results portion of the balanced measures, and to identify trends, problem areas, training needs and opportunities for improvement.The business results for reporting quality include Customer Accuracy, Timeliness, and Professionalism. Regulatory Accuracy and Procedural Accuracy are internally reported process measures.  (01-20-2012)
Quality Measurement Process

  1. Three systems are used in the quality review process. They utilize a common approach to quality, and provide a clear link between quality measures and employee performance. They use the same standards and consequently bring accountability for quality throughout all levels of the organization. These systems are:

    • Quality Review Database version 2 (QRDbv2) - Used for Historical Data

    • Embedded Quality Review System (EQRS)

    • National Quality Review System (NQRS)

    The three systems are described below.

  2. The Quality Review Database v2 was an on-line database accessed through the IRS Intranet. This data based was used to obtain FY 2002- 2004 reports only. This database is no longer an option on the EQRS website and must be accessed throughhttp://CQRS.web.irs.gov.

  3. Embedded Quality Review System (EQRS) - EQRS is an on-line database used by the managers/reviewers to review employee performance. All employees are evaluated on the same measures and are evaluated using a common evaluation tool and performance reports.

  4. National Quality Review System (NQRS) is used by the Centralized Quality Review staff (CQRS) and local reviewers.

  5. For additional information on these two systems research IRM

  6. Review Data is compiled in EQRS and NQRS by completing a Data Collection Instrument (DCI).

  7. A DCI is used in both the EQRS and NQRS systems to input review results. The reviewer has the option of using a "smart DCI" that targets suggested attributes for their particular product line or "Specialized Product Review Group (SPRG)." The Smart DCI will only display the most commonly used attributes applicable to the SPRG selected for review.

  8. When reviewing a case, if additional rarely coded attributes that are not on the Smart DCI are needed, click on the “Total Attributes” button within each attribute screen. This will bring up the Total DCI for that SPRG.

  9. CQRS uses the ASPECT telephone system when conducting telephone reviews. The sample plan calls for 4 reviews, per day, for the ACS call sites' telephone program. This provides a valid sampling on a quarterly basis with a precision margin of 5%. For ACS case processing reviews, CQRS uses a random sample of ACS closed cases pulled from weekly Query Master File (QMF) reports. This provides a valid sampling at the Enterprise level. Although there are not sampling plans for manager reviews, there are minimum review requirements.

  10. EQRS users may also have access to the Contact Recording system to review monitored calls.  (01-20-2012)
Quality Review Database QRDBv2

  1. The Quality Review Data Base was an on line database which was used before transitioning to the EQRS and NQRS systems. The system was accessed through the IRS Intranet. Tthe QRDB system housed old reports prior to 2004. Currently the QRDB system can no longer be accessed through the EQRS website and must be accessed through http://CQRS.web.irs.gov.  (01-20-2012)
Role of the Centralized Quality Review (CQRS)

  1. The Centralized Quality Review system (CQRS) is operated by Headquarters. The objective of the CQRS site is to collect data that will provide independent quality review services for a number of different product lines. They provide the basis for measuring and improving program effectiveness by:

    1. Identifying defects resulting from site, systemic and procedural issues, and

    2. Determining root causes of defects and recommending corrective actions.

  2. Centralized Quality Review System (CQRS) measures the quality of:

    1. Tax Law, Accounts, NDC, Default Screeners, e-help, TE/GE and ACS on-line calls answered by Collection Representatives in all sites

    2. E-Mail (Electronic Tax Law Assistance - ETLA) responses to questions received through the IRS web site

    3. Field Assistance Tax Law, Accounts, Return Preparation and procedural contacts  (01-20-2012)
EQRS/NQRS Standard Reports

  1. The Embedded Quality Review System (EQRS) is an on-line database accessed through the IRS Intranet. Managers will use EQRS and the EQRS Data Collection Instrument (DCI) to input case analysis results. Managers will also use EQRS to generate employee feedback reports, standardized and ad hoc reports. For a list of Product Lines and Specialized Product Review Groups (SPRG) covered by EQRS. See IRM

  2. Reports may be retrieved through both EQRS and NQRS

  3. EQRS and NQRS provide standard reports on Customer Accuracy, Timeliness, and Professionalism on a period of time specified by the requestor. Weighted and un-weighted reports are available. Attributes accuracy reports are also available, as well as top defect reports.

  4. EQRS provides standard employee level, organizational level and Ad Hoc reports. An Individual Review Feedback Report is shared and signed by the employee. An employee cumulative report is also available. Management has the ability to secure a cumulative organization report, and a standardized top ten defect or top ten successes report for their call site; or for any subgroup within their call site. See IRM

  5. NQRS provides various weighted and unweighted reports. The weighted reports available in NQRS are:

    • Customer Accuracy

    • Timeliness

    • Professionalims

    • Days to Close

  6. The unweighted reports available on NQRS are:

    • View/List DCI

    • Quality Attribute Accuracy

    • Quality Rate

    • Accuracy by Header Field

    • Days to Close

    • Time in Inventory

    • Top Defects/Successes by Site

    • Customer Accuracy Driver

    • DCI Deletes/Changes

    • Transfer Report

    For additional information please see IRM

  7. Ad hoc reports are an extremely helpful tool found in both systems. They allow for drill down analysis of data. They can provide a list of records or a count of records that meet the query criteria. See IRM  (01-20-2012)
Role of the Campus Quality Analyst

  1. The role of your site's Quality Analyst is to measure and monitor quality data and recommend solutions to improve the site's performance. This is done in the following manner:

    1. Analyze trend data from the EQRS and NQRS;

    2. Conduct local case reviews and telephone monitoring to supplement the NQRS and EQRS data;

    3. Calibrate and validate quality review results between EQRS and NQRS;

    4. Perform focus reviews determined by prior quality results or to ensure new or revised procedures are properly implemented;

    5. Provide managers with quality trend analysis on an ongoing basis;

    6. Alert management when errors have been identified that recent procedural changes are having an impact on quality results;

    7. Identify the root cause of the defects. This can include problems with the IRM or systemic issues. as well as employee performance;

    8. Attend Operation meetings;

    9. Attend Operation and team meetings to discuss error trends identified and recommend solutions. Solicit feedback from employees to further assist in identifying root causes;

    10. Recommend solutions to address root causes. Here are some examples.


      For additional information see IRM


    Recommend changes to the IRM where procedures are missing or unclear. Surface systemic problems to the appropriate function.


    Recommend and coordinate training to site management and training coordinators.


    Suggest changes to the training material that will ensure consistency with IRM procedures.


    Coordinate the development of training material to supplement the existing material.


    Coordinate with other functions when their procedures are in conflict with your IRM procedures.  (01-20-2012)
Program Analysis System (PAS)

  1. The Program Analysis System (PAS) is a method of analysis that identifies systemic deficiencies and provides a basis for evaluating the effectiveness of a particular program or function. PAS identifies program and processing defects, assesses the reason for defect occurrences and recommends solutions. PAS is a product review and data does not impact individual employee performance.

  2. Sample plan for Compliance Paper Review: Based on a request from your staff, the Statistical Support Team developed a new sampling plan for the Compliance Paper quality review. This sampling plan is a direct result of recommendations made by the consultants of Booz-Allen Hamilton who reviewed the quality programs for IRS. This new plan allows for statistically reliable estimates with 90% confidence and 5% precision quarterly at the site level. Refer to IRM - Sample Procedures for ACS Written and IRM - Sample Procedures for Collection Paper for specific information regarding the calculation methods for the PAS sampling.  (01-20-2012)
Role of the Campus Manager

  1. You will work closely with your site's Quality staff to ensure your employee's are providing customer service and processing cases in a quality manner as defined in your IRM. An analysis of on-line and case processing review results can be useful in determining areas that need to be addressed and or reinforced.

  2. All managers will use the EQRS system to complete employee in-line reviews and case processing reviews. Results may be used to identify the need for increased monitoring or reviews to further evaluate performance. Quality results are linked, by attribute, directly to the employee's CJEs.

  3. The standardized attributes mean every employees should receive consistent reviews from their managers. Managers should utilize team, department, and organizational level reports to ensure fair and consistent scoring of attributes among employees, and to ensure that review requirements are met.

  4. Based upon review results, managers will ensure that appropriate training or coaching will be provided to employees.

  5. As trends are identified and corrective action is taken, monitor your teams performance to ensure that the actions taken have improved the defects.  (01-20-2012)
Acting Manager Assignments and Designations

  1. You should designate an acting manager during periods of absence. To maintain continuity, the acting manager should usually perform all managerial tasks (Refer to the National Agreement II for certain restrictions on performance evaluations (Section 4) and evaluative telephone monitoring (Section 12)). Managerial tasks to be performed and those to be deferred may depend on the duration of the assignment. Assignments should be agreed on between you and the acting manager in advance. Specific expectations should be given at the beginning of each assignment. This will form the basis for your feedback on performance of the acting assignment. Except for assignments of very short duration, you will provide the acting manager with documentation evaluating performance on the detail.

  2. You may designate specific tasks even though you are not absent. This enables a manager to provide developmental assignments to employees aspiring to the next level to gain useful experience while freeing some of your time. In this situation, no "acting" assignment exists. The person to whom the task is designated does not exercise managerial authority; therefore, tasks reserved to managers, (i.e., telephone monitoring, manager approvals, callbacks requested by the taxpayer that involve a CAP appeal), cannot be delegated. You should document any designation of specific tasks on the employee's CLP as a developmental assignment  (01-20-2012)
Campus Systems Administrator – Roles and Responsibilities

  1. The role and responsibilities of a system administrator (analyst) are as follows:

    1. Ensuring system is properly configured to meet organizational and operational objectives;

    2. Maintaining a trouble log to monitor response time problems, circuit problems, unusual staffing situations (snow days, building closures, etc.) or any other factor which could distort telephone data and affect circuitry or staffing plans;

    3. Ensuring circuitry meets standardization requirements;

    4. Adhering to schedule;

    5. Checking the Automated Collection System/Integrated Collection System (ACS/ICS) Parameter File for the correct date and cycle;

    6. Reviewing the reports that are generated from the system to determine if the operation is achieving its goal and identify system problems that may exist within the system;

    7. Distributing ACS/ICS and QMF Reports to appropriate managerial levels, providing assistance to managers and employees, and creating user profiles and assigning passwords;

    8. Checking voice disk space;

    9. Printing and reviewing Telephone Routing Interactive Systems Management Information Statistics (TRIS MIS);

    10. Monitoring agents for long wrap and idle times as needed;

    11. Analyzing systems impact resulting from Headquarter office maintenance, TRIS Project Office Master Customer Service Script changes, etc.;

    12. Advising Operation management and facilitate implementation with involved parties;

    13. Instructing site employees on new features and procedures and troubleshoot system and equipment problems resulting from changes;

    14. Creating QMF reports and Customview Canvas as requested by the Operation Manager.  (05-30-2013)
Systems Security Responsibilities

  1. System's management begins with the establishment of the Security database for IDRS, ACS and the Resource Allocation Control File (RACF). Information input to the Security database authorizes employees to use the system and keeps track of employee information for reporting purposes.


    For security purposes written procedures should be provided to all users and training conducted once a year.

  2. For ACS Security refer to IRM

  3. For security purposes, perform the following tasks:

    1. Prepare written instructions to users and conduct training to promote overall system security;

    2. Maintain a current and historical master record of all control numbers, ACS, and IDRS users within the call-site or CSCO;

    3. Maintain a complete listing of all call site hardware;

    4. Maintain system-wide records concerning security on the parameter file;

    5. Perform periodic reviews of IDRS command code profiles with managers to ensure that employees have only those command codes that are required to complete the job;

    6. Assure that profile change requests are appropriate and meet security criteria;

    7. Monitor security reports;

    8. Ensure that RACF and IDRS security violations are identified and appropriate remedial actions are taken

    9. Inform the operation of continuing violations and provide appropriate documentation

    10. Maintain appropriate records of security violations.  (01-20-2012)
Functional Coordinator (FUNCO) Responsibilities

  1. This person serves as the first point of contact for technical support to computer system end-users. They ensure security of the functional area computers and act as the coordinator in the implementation of automated applications. The role and responsibilities of a FUNCO are as follows:

    1. Reporting system problems that cannot be resolved through normal troubleshooting procedures;

    2. Serving as the coordinator for computer maintenance and hardware problems;

    3. Reports problems to the MITS help desk and ensures they are resolved;

    4. Resolves common technical problems and serves as a technical resource to functional coordinators in other divisions;

    5. Reviews and submits requests to MITS for security access for functional area users. Reports user-identified security breaches to the appropriate team manager or to his/her supervisor if of a more sensitive nature;

    6. Ensures permissions and passwords are requested and received;

    7. Evaluates existing computer equipment and makes recommendations for replacement or upgrades; Determines where new equipment will be installed with input from management;

    8. Assists MITS with functional moves by updating floor plans and re-arranging work areas/computer set-ups as applicable;

    9. Maintain a complete listing of all call site hardware;

    10. Maintains and monitors user permissions including adding, deleting, and modifying user permissions on shared directories assigned to functional areas;

    11. Creates, monitors, and secures folders on shared directories on the network;  (05-30-2013)
Resource Allocation Control File (RACF)

  1. The ACS security system exists in the appropriate campus and is used to control access to the ACS host system. To add or remove users from the ACS system the following steps must take place:

    1. The ACS employee must complete an online Form 5081 request. These are routed through the appropriate channels for management approval and then routed to the Security Office at the campus. The Security Office issues a RACF user number for all new employees.

    2. Following issuance of the RACF user number, the ACS Systems Analyst will create a temporary RACF password.

    3. The RACF user member is entered on the ACS Security Maintenance Screen (SMOO) with the appropriate team, function and unit.  (05-30-2013)
Profile Resume Procedures

  1. This process is utilized to specify that a user is to be allowed access to the system again. The analyst would normally use RESUME to restore a users access to the system that has been revoked by:

    • Three consecutive unsuccessful password/log in attempts

    • A prior REVOKE command

  2. You can assign a new entry password and RESUME the profile at any time. See Exhibit 1.4.20-5 for detailed instructions. Always remember to do the following:

    • DISPLAY the user before resuming that user. See Exhibit 1.4.20-4 for detailed instructions.

    • Verify the appropriate action is taken on the correct user.  (05-30-2013)
Profile Revoke Procedures

  1. When an employees profile is "REVOKED" , this specifies that RACF is to prevent a user from accessing the system. The users profile and DATA SETS are not deleted. The user cannot access the system, and the employee will be denied access at their next log in attempt.

  2. A user should always be "REVOKED" if detailed to another position for 30 days or more.

  3. If a user no longer needs ACS/ICS access DELETE the user by completing an OL5081.


    Remember to "DISPLAY" the user id before revoking or resuming and verify that the appropriate action is being taken on the correct user. See Exhibit 1.4.20-5 for detailed instructions.  (01-20-2012)
Handling Telephone Threats Through the Aspect Telephone System.

  1. In situations of threats received on the telephone (e.g. bomb threats, suicide, building security threats or other threats of bodily harm to employees or their families), the CR will push the EMERGENCY/Record Call button on the Aspect Teleset to allow the call to be recorded.

  2. This procedure will begin the recording of the conversation and notify both the manager and the System Analyst (SA) an emergency exists at the CR's work station.

  3. In addition to reserving at least one voice port for emergencies of this nature, you will need to obtain the following information details for tracing the call:

    • Product line on which the call was received (7650 or 3903).

    • Time call received and length of call

    • Trunk number the call came in on and the Circuit ID#

  4. When notified of an emergency call, take the following actions:

    • Query the trunk record (via Aspect) for the trunk number that the call came in on. This trunk record will provide you with the Circuit ID# (the number of the T-1)

    • Provide this information to the Telecom representative and contact AT&T's Annoyance Call Bureau for 800 Services at 1-800-325-0261

  5. In order for AT&T to trace the call, they will need the following:

    • The 800# the taxpayer was calling

    • The office where the call was terminated

    • Length of call

    • Time the call was received

  6. Provide this information to the local Treasury Inspector General for Tax Administration (TIGTA) office along with a copy of the recorded telephone call.

  7. Maintain a copy of the Trunk record, Agent and Trunk Detail reports in a security file for possible future reference.  (01-20-2012)
Handling Telephone Threats on Non-Aspect Telephone Systems

  1. Telephone threats to the IRS may be directed at the agency or at an individual employee of the Service. Telephone threats, as with any other type of threatening or intimidating behavior or action should be taken very seriously, regardless of whether or not the threat specifically mentions an explosive device. Managers can reference IRM Safety and Security Overview as a guideline.

  2. It is recommended that all employees under the manager's span of control are aware of such guidelines and understand what actions are required to be taken should this type of incident occur.

  3. Some items you should be aware of in the event of a threatening call.

    1. Take note of the wording the caller is using. If possible, try and write down as much specific language and/or direct references the caller makes.

    2. Listen closely to the voice (male/female), voice quality (calm/excited), accents, and speech impediments.

    3. Notate if the caller appears well spoken, incoherent, and irrational or if the caller uses foul language. As difficult as it may be, it is important that you take note as to the specific language the caller uses. Investigators will be interested in all aspects of the call.

    4. Notate any background noises you might hear, such as street sounds, a PA system, animal noises, music, and any other noise which may give a clue to caller’s location.

    5. Follow site direction to report threatening phone calls. Telephone numbers are available through your offices security or TIGTA representatives.  (01-20-2012)
Employee and Building Security

  1. In the event of an emergency, ACS sites should contact JOC directly.

  2. All managers must familiarize themselves, and their team, with the Occupational Emergency Plan (OEP) book. This plan describes procedures and responses relative to a variety of emergency situations and threats, both natural and man made. Adherence to these specific procedures is imperative. A copy of this plan must be kept in the managers office and will be available for reference by all employees.

  3. In the event of an emergency, CSCO operation's should follow established contact directives to ensure notification of applicable stakeholders.

  4. Managers should be familiar with all evacuation procedures and Accountability Stations as they pertain to their Team and Department employees.

    1. All manages must maintain a current listing of active duty employees. This listing must be available in the event of a site evacuation. This listing should be taken to the Team Accountability Station to ensure that all active employees are accounted for in the event of an evacuation.

    2. Managers must familiarize their Team members on proper evacuation procedures and Accountability locations. Secondary Accountability locations may be warranted. A map of this location and the evacuation routes should be posted

  5. Managers should ensure that their employees are aware of locally established Business Resumption Plan (BRP) protocols and have access to all contact numbers in the event of a site closure or other similar event.

  6. All managers should familiarize themselves with local emergency personnel, security and medical phone numbers, CSCO contact campus reporting instructions hot-line or other site BRP directives and protocols specific to site locations.

  7. All managers should maintain a Business Resumption Plan (BRP) listing, complete with employee contact information. Managers must also communicate with Team employee’s site closing contact information so employees can ascertain the re-opening of affected sites and plan accordingly.

  8. Managers should be familiar with the various Organizational identification cards and badges to ensure access to prohibited areas is controlled.

  9. Managers should be aware and alert to issues related to violence in the workplace and trigger signs that employees may display. Review campus direction and protocols with respects to handling individual employees who display such mannerism

  10. Managers must complete relative incident reports to ensure accurate follow-up and actions.  (01-20-2012)
Site Closings

  1. In the event of an emergency, call sites should contact the Joint Operations Center (JOC) directly. JOC will ensure the information is posted on the JOC web page. Emergency situations include:

    • Weather

    • Disasters

    • Threats to the health and well being of the employees

    • Instances where the site is unable to access applicable applications, such as AMS, ACS, IDRS, and AOIC, but these systems are available elsewhere across the enterprise


    Each site must provide to their Headquarter office the name of three individuals, including the Operation Manager that will be authorized to contact JOC in the event of an emergency. This list of names will provide information to the staff at JOC as they become more familiar with the ACS/CSCO operation, as well as to the Headquarters office.

  2. For office closure or emergency information employees will need to call the IRS help desk at 866-743-5748 option 3. For TTY 800-877-8339.

  3. Scheduled Site Closings: Sites should work with their respective JOC and Headquarter Operations for any pre-approved request outlined below:

    • Site wide mandatory training that has a deadline and it is not possible to stagger the training

    • Unusual site events, and Headquarters Office agrees with the instance

    • Scheduled administrative closings, such as fire drills

  4. Communications Plan: JOC web page: http://joc.enterprise.irs.govwill provide information on emergency closings, site hours of operation and any exceptions that are communicated to JOC.  (05-30-2013)
ACS Telephone Program and System Reports

  1. A primary responsibility is to assist in monitoring and managing the telephone system to maximize level of service. Available ACS reports include:

    • ACS Production Report (ACRM5001) - provides management with information to monitor new cases, processed cases and the remaining balance of cases. Monitoring this information permits management to make policy decisions on case load scheduling, utilization of resources, and prioritization of taxpayer accounts. The Production report shows beginning and ending inventory balances for major categories of activity, which account for balance changes. Access to this report is through the ACS Manager Menu using action code RP00, Report 1, Report ID ACRM5001.

    • Call Site Total Screen - used to identify a National Inventory of open ACS cases for all call sites. To display, enter the action code NI00 from the Manager Menu. Total case inventory will be shown for each call site. Placing an S by an individual call site will result in a breakdown of the call site's inventory by Team and TIN Range.

    • Standard QMF (Query Management Facility) reports can be accessed by Systems Analysts through QMF for Windows. AD Hoc reports may be created by the Systems Analyst using QMF based on the criteria provided by the Operation Manager. A strong knowledge of the ACS database is required.

    • IRM provides information regarding other ACS Telephone Program Reports  (01-20-2012)
CSCO System Reports

  1. Departments rely on a variety of inventory and age reports. These reports assist all levels of management within CSCO to identify the status of casework and the relationships those cases have on issues such as age and service. It is imperative that managers learn to interpret these reports in order to make informed decisions based on accurate data.

  2. Some CSCO reports are available for viewing on the Headquarters' SharePoint drive. You will need to request permission to access this site. The following reports are examples of those that are available on this site.

    • ACS Reports

    • COBR Schedule and Narratives

    • COIC Streamline Report

    • CSCO Inventory Report

    • MAAG

    • Workplans

  3. Some W&I CSCO reports are available for viewing on the Headquarters shared drive, formerly referred to as the “L” drive. Your Department Managers can support active permissions to access this drive:

    1. Quality/Overage

    2. IA Tracker

    3. COM Report

    4. Customer Satisfaction

  4. There are reports that SB/SE and W&I CSCO managers should review on a weekly basis, as applicable. Some examples are:

    1. CCA 4243 (overage)

    2. WP & C

    3. ASFR 200 report (MIS)

    4. Department specific inventory reports (i.e., program inventory reports)

    5. AMS  (01-20-2012)
Managers Responsibility to the Employee Satisfaction Survey

  1. Every manager has a responsibility to encourage their team members to actively and honestly participate in the Survey process. Managers must also schedule a meeting with a facilitator, when possible, and invite NTEU representatives to that meeting. An action plan should be created and those issues need to be charted on the ESTracker website http://estracker.no.irs.gov, which should be updated and maintained as necessary throughout the year. The Engagement Strategy Tracker (ES Tracker) tool is available on the IRS intranet. It is mandatory that you record your initial and subsequent workgroup meeting date(s) in ES Tracker. Any employee in the workgroup may access ES Tracker, however; they must register via the IRS intranet at http://estracker.no.irs.gov. An ES Tracker User Guide is available online. You may also contact your Employee Engagement Program Leader or Coordinator for assistance. Workgroups are not mandated to create issues if none are identified. Below are some key items to remember:

    1. Record the date of the initial workgroup meeting

    2. Record the issue(s) your workgroup identified to work on and follow-up actions

    3. Note that common issues, such as those involving computer needs or facilities are not considered as appropriate for the ESTracker process and should be resolved creating a “Get It” ticket or 5081 request. If the group cannot resolve the issue through these methods, then it may be entered into ES Tracker.

    4. Only issues that are not within the workgroup manager’s authority to resolve should be elevated.

    5. The workgroup owns the issues and action plan entered in ES Tracker. The entire group should work to overcome barriers to success identified during group meetings.

    6. If the workgroup contains any bargaining unit employees, OD/FD management may use ES Tracker to generate a report that may be provided to NTEU.

    7. For more information visit the website: http://estracker.no.irs.gov ES TRACKER Guidance or Manager's Tool Kit.  (01-20-2012)
Managers Responsibility to the Customer Satisfaction Survey (CSS)

  1. The Customer Satisfaction Survey is a telephone survey for ACS customers. Surveying taxpayers allows us to identify the things we are doing right, as well as areas for improvement in order to deliver top quality service to America’s taxpayers. Improving customer satisfaction requires the combined efforts of all IRS employees. Front line employees and managers are the primary providers of service to taxpayers, and can directly impact taxpayer perceptions of IRS courtesy, professionalism, accuracy, timeliness and fairness through the actions they taker (or fail to take).

  2. To provide taxpayers with complete anonymity when providing their responses, private market research firms are used to survey taxpayers with whom we interact. These companies compile and analyze the survey results and issue reports. The reports highlight the overall customer satisfaction rating and include the areas to focus on to improve future results.

  3. Each Operating Unit has at least one Customer Satisfaction Coordinator who is familiar with the results and reports for their function.

  4. For each function, Customer Satisfaction survey results are reported annually at the National level.

  5. The following are areas where reports and additional information can be located:

    • IRM

    • http://mysbse.web.irs.gov/supportingsbse/strategicplanning/custsat/default.aspx  (01-20-2012)
Useful Websites for Managers

  1. Electronically accessing information is the most common way for managers to acquire the information they need by searching through the Intranet/Internet. Below are some useful web addresses that will assist you in gathering the information you need in the most efficient manner.

    1. http://apm.web.irs.gov -This is the link to the APM website which provides procedural guidance for managers.

    2. http://estracker.no.irs.gov - This is the link where you will enter, update and maintain entries related to Survey issues generated by your workgroup.

    3. http://elms.web.irs.gov - This site will provide you access to a variety of training issues related to both yourself and your Team employees.

    4. http://hco.web.irs.gov/perfmgmt - This link will provide information related to the Performance Management System.

    5. http://oamc.web.irs.gov/mhb/topicalindex/training/lead%20development%20guide.xls This link will provides access to various websites that will assist you in acquiring information on a variety of topics.

    6. http://sbse.web.irs.gov/learning/administrative_professional_resources_old.htm

    7. http://e-learning.web.irs.gov/iSupport/

Exhibit 1.4.20-1 
Types of Performance Awards

Performance Awards Monetary awards granted to recognize and reward individual employee performance as reflected in their most recent performance appraisal. There are three general categories of performance awards:
- bargaining unit employees
- non-bargaining unit employees
- non-bargaining unit employees compensated under the IRS paybanding system
Special Act or Service Award Monetary awards granted to recognize and reward commendable employee, team or group achievements. Managers may recommend an award for employees’ personal achievements in connection with or related to official employment or otherwise in the public interest.


There is no limit to the number of special act awards that an employee may receive for accomplishments either as an individual or a member of a group or team

Managers' Awards A type of special act award designed for timely recognition, and fast processing and payment. These awards may be used to recognize an achievement performed in an exemplary manner that is more limited in scope than a special act or service award. Managers' award amounts are limited to $50 to $250, an approval and processing procedures are more steamlined than for special act or service awards.
Time-Off Awards Time-off from duty granted without charge to leave or loss of pay. At management's discretion, any monetary award may be granted as a monetary payment, as a time-off award, or a combination monetary and time-off award. Up to 40 hours of time-off may be granted to an employee for a single award, and up to a total of 80 hours of time-off may be granted to an employee during a leave year. A time-off award must be scheduled and used within one year from the effective date of the award.
Quality Step Increase (QSI) An increase in a GS, GM or GL employee's rate of basic pay from one step of the grade to the next higher step of that grade. The purpose of a QSI is to provide appropriate incentives and recognition for excellence in individual employees' performance.


Effective for appraisal periods ending on and after September 30, 2008, IRS implemented an enhanced criteria-based QSI policy as part of the Commissioner's "Workforce of Tomorrow" initiative to make the IRS the best place to work in government.

Bilingual Award Special Act awards granted to employees who use their bilingual skills on a regular basis, are currently rated at least fully successful and are not otherwise compensated through a Performance Award or Superior Accomplishment Award based on their use of their bilingual skill.
External Awards These honors are sponsored by agencies or organizations outside of IRS in recognition of notable achievements in the public sector. (The external awards program is administered by the Human Capital Office).
Honorary Awards Symbolic non-monetary recognition items such as certificates, plaques, medals, or similar items which provide suitable commemoratives of employees' notable achievements.
Suggestion Awards Based on the adoption of employee suggestions to improve the efficiency of effectiveness of Government operations through formally submitting their ideas in writing.

Exhibit 1.4.20-2 
Other Types of Honorary Awards

Commissioner's Award This award is the highest honor that the Commissioner can bestow. This award is an expression of the Commissioner's personal appreciation for outstanding and significant contributions in the public interest related to the activities of the Internal Revenue Service. This award may be presented to an individual, team, or group within the IRS.
Federal Career Service Award Honor IRS employees upon attainment of 5 years of federal service and at each subsequent 5 year milestone.
Certificates of Recognition These are used to recognize employees who have provided significant, non-routine contributions which do not meet the criteria for any other type of award. These certificates are also suitable for presentation to individuals or groups outside of IRS that have made significant contributions to the Service.
Albert Gallatin Award The Department of Treasury's highest career service award. Conferred by the Secretary upon the retirement or death of Federal employees who served twenty or more years in the Department and whose record reflects fidelity to duty. (The HCO Benefits and Services Team provides guidance and procedures regarding employee eligibility and the distribution of Gallatin Awards.)
Travel Gainsharing Awards A program that allows employees, who save the government money while traveling, to receive a portion of that money as an award. (Additional information may be found at the Employee Resource Center.
Retiree Emblems A retiree emblem and retirement certificate is issued to retiring employees who have completed ten years or more of service with the IRS.

For more information, please see IRM 6.451.1- Awards and Recognition.mmmm,

Exhibit 1.4.20-3 
Links to Resources - Employees with Disabilities

  • Accessibility Office (AO)

  • Contacts

  • Office of Equity, Diversity and Inclusion (EDI)

  • Recruitment and Hiring of Persons with Disabilities

  • Employment Operation

  • Alternative Media Center (AMC)

  • Accessible Documents

  • OS GetServices

  • Request for Assistive Technology

  • Assistive Technology

  • External Contacts

Exhibit 1.4.20-4 
Actions To Display A User on ACS

To DISPLAY an employee on ACS to see if they are REVOKED take the following actions:


  • Type LOGON

  • Hit Space Bar

  • Type your RACF ID

  • Hit Control

  • Type in your Password

  • Hit Control

  • When you see *** hit Control again

  • Type in TSO

  • Hit Space Bar

  • Type LU

  • Hit Space Bar

  • Type in Employee's RACF ID

  • Hit Control

If your screen looks like this (see the example below) before you hit your final control, you are correct.

  • Example: TSO LU J955555

Exhibit 1.4.20-5 
Actions To Resume A User on ACS

To RESUME an employee on ACS that has been REVOKED take the following actions:


  • Type LOGON

  • Hit Space Bar

  • Type your RACF ID

  • Hit Control

  • Type in your Password

  • Hit Control

  • When you see *** hit Control again

  • Type in TSO

  • Hit Space Bar

  • Type ALU

  • Hit Space Bar

  • Type in Employee's RACF ID

  • Hit Space Bar

  • Type RESUME

  • Hit Control

If your screen looks like this (see the example below) before you hit your final control, you are correct.

  • Example: TSO ALU J955555 RESUME

Exhibit 1.4.20-6 
Actions To Resume and Assign New Passwords

To RESUME an employee on ACS that has been REVOKED and issue a new password, take the following actions:


  • Type LOGON

  • Hit Space Bar

  • Type your RACF ID

  • Hit Control

  • Type in your Password

  • Hit Control

  • When you see *** hit Control again

  • Type in TSO

  • Hit Space Bar

  • Type ALU

  • Hit Space Bar

  • Type in Employee's RACF ID

  • Hit Space Bar

  • Type the word PASSWORD

  • Hit Space Bar

  • Type (

  • Type the temporary password you want to assign to the employee

  • Type )

  • Hit Control

If your screen looks like this (see the example below) before you hit your final control, you are correct.

  • Example: TSO ALU J955555 PASSWORD (NEW99you)


    Passwords should be a combination of 8 letters/numbers. This format works the best.

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