7.15.1 Employee Plans User Manual Introduction

Manual Transmittal

November 01, 2021

Purpose

(1) This transmits revised IRM 7.15.1, Employee Plans TEDS User Manual, Employee Plans User Manual Introduction.

Material Changes

(1) Added internal control sections:

  • Amended and renamed IRM 7.15.1.1 formerly Overview, now Program, Scope and Objectives.

  • Added IRM 7.15.1.1.1, Background

  • Added IRM 7.15.1.1.2, Authority

  • Added IRM 7.15.1.1.3, Acronyms.

(2) Updated for plain language and editorial changes.

Effect on Other Documents

This supersedes IRM 7.15.1, dated September 15, 2015.

Audience

Tax Exempt and Government Entities
Employee Plans

Effective Date

(11-01-2021)

Eric D. Slack
Director, Employee Plans
Tax Exempt and Government Entities

Program, Scope and Objectives

  1. Purpose: This IRM is an introduction to the IRM 7.15 series IRMs- Employee Plans TEDS User Manual. The Tax Exempt Determination System (TEDS) is a web-based information system used by Tax Exempt and Government Entities (TE/GE) Determination programs. TEDS is an electronic case and inventory management system.

  2. Audience: The determination application processing procedures in this manual are for employees in Employee Plans (EP) who work in TEDS.

  3. Policy Owner: Director, EP.

  4. Program Owner: EP.

  5. Program Goal: The Goal of TEDS is to provide:

    1. Real time access to inventory data.

    2. Reduced cycle time through electronic transfer of case files and online review.

    3. Increased uniformity and consistency in case processing.

    4. Interfacing with Letter and Information Network User-fee System (LINUS).

    5. Interfacing with legacy systems, Employee Plans-Exempt Organizations Determination System (EDS), to establish and update master file entities and account information.

Background

  1. The Tax Exempt Determination System (TEDS) is the primary system Employee Plans (EP) uses to process Determination Letter (DL) applications. Generally, EP will establish and work DL applications in TEDS but create the final DL in the EP/EO Determination System (EDS).

  2. TEDS stores in an electronic Records Repository:

    1. Images of original determination applications and associated data.

    2. Subsequent related documentation.

Authority

  1. Delegation Order 7-1, IRM 1.2.2.8.1, states the Director, Employee Plans has authority to issue favorable DLs on the qualified status of:

    1. Pension, profit-sharing, stock bonus, annuity, and employee stock ownership plans under IRC 401, IRC 403(a), IRC 409, IRC 4975(e)(7).

    2. The status for exemption of any related trusts or custodial accounts under IRC 501(a).

  2. Find a complete list of delegation orders governing EP Rulings and Agreements at http://www.irs.gov/uac/Delegation-Orders-by-Process1.

Acronyms

  1. The table lists commonly used acronyms and their definitions.

    Acronym Definition
    BRE Business Rules Engine
    CRX Correspondence Letter System
    CSPC Cincinnati Service Processing Center
    DL Determination Letter
    DLN Document Locator Number
    EDS Employee Plans-Exempt Organizations Determination System
    EP Employee Plans
    IT Information Technology
    NUI National Unassigned Inventory
    NAI National Assigned Inventory
    OCR Optical Character Recognition
    PWN Password Management
    TE/GE Tax Exempt and Government Entities
    TEDS Tax Exempt Determination System
    TOPS TE/GE Operational Program Support

Windows Based

  1. TEDS is user friendly and requires basic computer skills such as:

    • Locating data files.

    • Using tool bars.

    • Printing files.

    • Maintaining files.

System Support

  1. The TE/GE Business Systems Planning (BSP) function manages TEDS.

  2. TE/GE Business Customer Support (also known as TE/GE Operational Program Support (TOPS)) provides functional support and informational bulletins to TEDS users.

User Community

  1. TEDS allows users to electronically access case files. Not all TEDS users have case access abilities.

  2. TEDS users include:

    1. Determination Specialists (including Screeners and Quality Assurance Reviewers).

    2. Group Secretaries/Clerks.

    3. Processing Clerks.

    4. Unpostable Clerks.

    5. User Fee Adjusters.

    6. Group Managers.

    7. Area Managers.

    8. National Unassigned Inventory (NUI) Managers.

    9. TE/GE Business Customer Support (also known as TOPS).

    10. Functional Security Managers.

    11. Records Managers.

    12. Researchers I.

    13. Researchers II.

    14. Researchers III.

  3. Users gain initial access to TEDS through the OL5081 process. TEDS users with locked accounts can reset through OL5081 or OS GetServices.

    1. Once the user is approved, he/she will receive an email from the OL5081 system.

    2. Included in the email is a link to the TEDS home page and instructions to set up a desktop shortcut.

Logon

  1. To logon to TEDS the user must click “login”. See Exhibit 7.15.1-1, TEDS Initial Login Screen.

  2. Each TEDS user is assigned only one user login.

  3. TEDS:

    1. Limits the number of login attempts to three before disabling the user’s password.

    2. Identifies and authenticates all users accessing any of TEDS application components.

Password

  1. The TEDS password is aligned with the users’ Windows/LAN account password.

    Reminder:

    When a user changes his/her Windows password, the TEDS password is automatically updated.

  2. If a users’ TEDS account is locked the Windows account is also locked. Use Password Management (PWM) a self-service tool to unlock your own workstation. Instructions for PWM setup and use are on the Information Technology (IT) website: http://eues.web.irs.gov/ESD/PWM.aspx.

TEDS Business Rules

  1. TEDS uses the Business Rules Engine (BRE), a managerial software program, which automates operational business decisions.

  2. TEDS uses BRE to program information from the application package into an electronic format.

  3. The BRE allows the IRS to improve writing, viewing, managing, or changing TEDS business processes as needed.

  4. The BRE covers a case’s complete cycle within TE/GE EP Determinations.

  5. TEDS business rules:

    1. Streamline administrative duties.

    2. Improve the determination process.

    3. Facilitate accurate and consistent EP Determinations business policy across the country.

Converting Information into Electronic Format

  1. Data transcribed from the following returns develops TEDS business rules results:

    1. Form 5300, Application for Determination for Employee Benefit Plan.

    2. Form 5307, Application for Determination for Adopters of Volume Submitter Plans.

    3. Form 5316, Application for Group or Pooled Trust Ruling.

    4. Form 5310, Application for Determination Upon Termination.

    5. Form 5310A, Notice of Plan Merger or Consolidation, Spinoff, or Transfer of Plan Assets or Liabilities; Notice of Qualified Separate Lines of Business.

    6. Form 8717, User Fee for Employee Plan Determination Letter Request.

  2. The data establishes summary information about the case such as:

    • Case grade.

    • Preliminary user fee validation.

    • Open case status.

How Business Rules Work

  1. There are two categories of business rules:

    • Opening business rules. See IRM 7.15.1.7.4, Opening Business Rules.

    • Closing business rules. See IRM 7.15.1.7.5, Closing Business Rules.

  2. Cincinnati Service Processing Center (CSPC) prepares the hardcopy file for scanning.

  3. Business rules transcribe data from various fields of the Form 5307, 5300 or 5310 either:

    • Manually.

    • Automatically, using optical character recognition (OCR).

  4. TEDS translates the data into "if – then" statements which are uploaded into the BRE.

  5. After CSPC scans an application package and a case number is assigned, business rules run based on the following factors:

    1. Case classification.

    2. Case complexity.

    3. Case completeness.

    4. Case category.

    5. Case grade.

    6. Cycle business rules.

    7. Disclosability.

    8. User fee validation business rules.

Business Rules Results

  1. Some business rules results record case data, found in the "Case Information" file on the "General Case Information" and "Receipt and Handling" tabs.

  2. Other business rules results are stored within the BRE Results folder.

  3. Business rules:

    1. Identify issues that may need development in the determination process.

    2. Determine why a case was classified in a particular way.

    3. Identify why a case is unable to close to the manager for review.

  4. View business rules results by opening the BRE folder. Possible contents:

    • Summary Messages.

    • BRE Response.

    • Closing Rule Results.

Opening Business Rules

  1. The disclosability business rules determine whether the case is:

    • Disclosable (greater than 25 participants).

    • Non-disclosable (less than or equal to 25 participants).

  2. Case classification business rules consider the following:

    • Outcome of case complexity.

    • Case completeness.

    • User fee opening business rules.

  3. Case completeness business rules determine if the application package is complete. The application package must include a plan document.

  4. Case category business rules determine the case type:

    • Initial application/submission.

    • Amended plan.

    • Affiliated Service Group.

  5. Case grading business rules determine the grade.

Closing Business Rules

  1. Closing business rules automatically run when one of the following occurs:

    1. A specialist attempts to update a case to the manager in status 74PC for proposed closure.

    2. The case is updated to status 21 for closure on EDS.

    See IRM 7.15.1.10, TEDS Status Codes and IRM 7.15.7, Electronic Case Processing.

  2. After a case updates to status 74PC, the closing business rules run. This may prevent the case from rolling to status 74PC.

Editing Business Rules

  1. Opening business rules can’t be modified. See IRM 7.15.1.7.4, Opening Business Rules.

  2. Closing business rules can be modified. See IRM 7.15.1.7.5, Closing Business Rules and IRM 7.15.7.6.4.1, Confirming the Status Change.

Case Establishment

  1. The CSPC performs the determination letter request case establishment following procedures described in IRM 3.45.1, Processing Employee Plan and Exempt Organization Determination Applications and User Fees.

    1. Receipt and Handling, a part of the Processing Division, performs the initial stages of the Determination processing.

    2. After CSPC scans the application, they ship the hard copy file to Files in Florence, KY.

  2. LINUS is the system of record for all user fee payments, refunds, and adjustments. From LINUS a case is assigned a Document Locator Number (DLN). The DLN is used to control, identify and locate a case. All application packages processed at CSPC are stamped with either a remit DLN or non-remit DLN, as appropriate. For further explanation see IRM 3.45.1.8.1, Document Locator Number (DLN).

  3. The final determination letter and closing documents are prepared in EDS. See IRM 7.15.7, Electronic Case Processing.

  4. All closing information is processed to the Master File. See IRM 3.45.1.

  5. CSPC inserts separator sheets between various document types.

  6. TEDS captures and stores electronic images in Tagged Image File Format (TIFF).

    1. Both sides of each sheet of paper are scanned.

    2. Blank pages are deleted after scanning.

    3. Envelopes are never scanned.

    4. Non-scannable items are notated on an input sheet which is scanned into TEDS.

  7. CSPC:

    1. Manually transcribes data fields from the application packages and related forms (e.g., Form 2848, Form 8717, etc.). OCR is used to automatically transcribe data fields from Forms 5307, 5300 and 5310.

    2. After scanning verifies images and data as readable and correct.

    3. Re-scans application packages with unreadable images.

    4. Reassembles all documents and places them in a case file. The file has a printed label attached to the outside.

    5. Ships the paper copies of application packages to the Cincinnati Processing Unit. See IRM 7.11.1, Employee Plans Determination Letter Program.

    Control Date: 03/01/2006 Case Grade: 12
    Name: XYZ Co. Form # 5307
    Case #: XX1234567 Type of Request: I
    EIN: XX-3456789 Plan #: 002
    Case Classification: Merit  
    Potential Dup. #: XX8910111213  
      BBTS #: 6090
    DLN: XX12345678901234 Non-Scan Item: N

TEDS Determination Process

  1. EP Determination processes changed significantly with TEDS.

  2. The new processes include:

    1. Creating a unique TEDS case number. The TEDS and EDS case numbers both populate to EDS.

    2. Automatic and manual case data transmission from TEDS to LINUS and EDS (status updates).

    3. Automatic closure to the TEDS Records Repository for Forms 5310-A.

    4. Case history record updates to show new information such as case assignments, status updates, transition to manual case processing, etc.

    5. Electronic storage of case images and data in the TEDS Records Repository.

  3. TEDS creates a case chronology record for each case. TEDS automatically updates the case chronology for some entries such as case assignment. Specialists make case chronology entries to cases in his/her assigned inventory and can view all the entries. Other users can only view the entries they make.

  4. TEDS transmits case data to Correspondence Letter System (CORRESPONDEX, CRX). Using this information CRX generates the acknowledgement notice.

TEDS Status Codes

  1. Status codes in TEDS are treated the same way as status codes in EDS.

  2. An application is assigned status code 63 immediately upon establishment on TEDS. Once the case is in status 63 the opening business rules determine whether the case updates to status 51, 61 or 21AC for the 5310A applications.

  3. Every application that is in the National Unassigned Inventory (NUI) or the National Assigned Inventory (NAI) has the potential to update to any status code, but must follow a specific status flow.

  4. Opening business rules automatically:

    1. Determine and update the status codes to the NUI status code 51 or 61.

    2. Update the status code 21AC for the 5310A and places the case(s) in the Archived inventory.

  5. See Exhibit 7.15.1-2, Status Code Process Steps Table for a comprehensive list of status code process steps.

TEDS Sub-Status Codes

  1. TEDS may assign a sub-status code to a status code. A sub-status code provides information on the current state of a case and may impact future case actions.

  2. Sub-status codes appear as part of the listed status of the case. Sub-status codes are reflected in TEDS but not in EDS.

    Example:

    If IRS receives additional documents for an assigned non-merit case the case status in TEDS is 52AD.

  3. Sub-status Codes are listed in the table below.

    Sub-status Code Sub-status Code Name Description
    AC Auto Closure
    • Automatic closed case.

    • Use with status 21 and 71.

    • Is an automatic update.

    AD Additional Document
    • Additional documents were scanned in and associated with an open or closed case.

    • Is an automatic update.

    AI Awaiting Information
    • Use when the TEDS user sends a request for additional information and is awaiting a response from the applicant.

    • The TEDS user must manually check the awaiting information indicator in the case chronology entry to trigger the sub-status update.

    • Is a manual update.

    AR Administrative Re-Opening
    • Administrative Re-opening.

    • Use with statuses 21, 57 and 59.

    • Is a manual update.

    BR Auto Closure Closing Business Rule Error
    • Used with status 71.

    • Is an automatic update (Only Records Manager can work or reassign to a specialist in 72).

    CC Closed Case
    • Case is in a final closed state.

    • Use with status 21 to indicate closed cases scanned into TEDS for Archival Purposes only.

    • Is an automatic update.

    GR Group Suspense
    • Group Suspense.

    • Use with status 37.

    • Is a manual update.

    PC Proposed Closure
    • Used with status 74.

    • Is a manual update.

    UI Unassigned Suspense
    • Unassigned Inventory, use with status 37

    • Is an automatic update.

TEDS Initial Login Screen

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Status Code Process Steps Table

This exhibit provides a comprehensive list of status code process steps. If a case is in the "From" status, it may be updated to any of the "To" status's.

Package Type From To Description Transition Requirement From Container Path/Location To Container Path/Location Comments
  21 21AD Closed to Closed (Additional Document) Automatic Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21CC 21AD Closed Case -to- Closed (Additional Document) Automatic Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21AC 21AD Auto Closure –to-Closed (Additional Document) Automatic Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders. Case remains in the Archive with no change in the container structure.  
  21 21AR Closed to Administrative Re-Opening Manual – Generally to print a letter Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21CC 21AR Closed Case -to- Administrative Re-Opening Manual Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21AC 21AR Auto Closure –to- Administrative Re-Opening Manual Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21AD 21AR Closed (Additional Document) –to- Administrative Re-Opening Manual Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21AR 21 Administrative Re-Opening to Closed Manual Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure. Closed with applicable Closing Code
  21AR 21CC Administrative Re-Opening -to- Closed Case Manual Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
  21AR 21AC Administrative Re-Opening -to- Closed Case Manual Archived Cases → EP Cases → Archive Year →Case→ Documents→ (and appropriate sub folders). Case remains in the Archive with no change in the container structure.  
Initial Application 37 51 Suspense -to- Unassigned Inventory (non-merit) Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Remains in NUI. Suspense Code used with Appropriate Sub-Status. Depending on when the case is put in suspense is where case will come from.
Initial Application 37 61 Suspense (Technical Screening) -to- Unassigned Inventory (Technical Screening) Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Remains in NUI. Suspense Code used with Appropriate Sub-Status. Depending on when the case is put in suspense is where case will come from.
Initial Application 37 71 Suspense (Technical Screening) -to- Unassigned Inventory (Accelerated Processing) Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Remains in NUI.  
Initial Application 37 74 Suspense -to- For Managerial Review Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Suspense Code used with Appropriate Sub-Status
Initial Application 37 75 Suspense -to- Group Inventory Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Suspense Code used with Appropriate Sub-Status
Initial Application 51 37 Unassigned inventory (non-merit) -to- Suspense Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Remains in NUI. Move all documents to the NAI container with the same sub folder structure as for the NUI. Suspense code used with applicable sub-status code
Initial Application 52 74 Assigned to specialist – non-merit -to- For managerial review Manual NAI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. No Closing Rules to be run.
Initial Application 52 74PC Assigned to specialist – non-merit -to- Managerial Review (Proposed Closure) Manual NAI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Closing Business Rules would be run.
Initial Application 52 75 Assigned to specialist – non-merit -to- Group Inventory Manual NAI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 53 74 Return to Specialist (Non-Merit) -to- For Managerial Review Manual NAI →EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. No Closing Rules.
Initial Application 53 74PC Return to Specialist (Non-Merit) -to- Managerial Review (Proposed Closure) Manual NAI →EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 53 75 Return to Specialist (Non-Merit) -to- Group Inventory Manual NAI →EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 61 37 Unassigned inventory (technical screening) -to- Suspense Manual NUI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NUI. Suspense Code used with Associated Sub-Code
Initial Application 61 75 Unassigned inventory (technical screening) -to- Group Inventory Manual – when the case is assigned to a group NUI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Move all documents to the NAI container with the same sub folder structure as for the NUI. The following automated flows are possible: 61 to 52 (via 75) 61 to 62 (via 75) 61 to 72 (via 75)
Initial Application 62 74PC Assigned to technical screener –to- For managerial review (Proposed Closure) Manual – when the case is assigned to a specialist as a non-merit case NAI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. EP Closing Business Rules to run prior to reaching 74PC
Initial Application 62 74 Assigned to technical screener -to- For managerial review Manual NAI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Remove EP Closing Business Rules from 62 to 74 flow.
Initial Application 62 75 Assigned to technical screener -to- Group Inventory Manual – when the case is assigned to a group from technical screening NAI → EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
EPCC 63 21CC Case established -to- Closed Automatic – after status ‘63’ when TEDS case is a Closed Case using EP Closed Case & Case is nonexistent in TEDS Archived Cases → EP Cases→ Archive Year →Case→ Documents→ (and appropriate sub folders). No change in container structure.  
5310A 63 21AC Case established -to- Closed Automatic – when the application is form 5310A NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Archived Cases→ EP Cases→ Archive Year →Case→ Documents→ (and appropriate sub folders). Closing Code is 08
Initial Application 63 51 Case established -to- Unassigned inventory (non-merit) Automatic – immediately after status ‘63’ when result of initial business rules is a non-merit case classification. NUI→EP Cases→ Case→ Documents→ (and appropriate sub folders). No change in container structure.  
Initial Application 63 61 Case established -to- Unassigned inventory (technical screening) Automatic – immediately after status ‘63’ when result of initial business rules is a merit, merit-proposed-auto, or auto-closure case classification) NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). No change in container structure.  
5330 & 5310 63 71AC Case Established -to- Unassigned Inventory (Accelerated Processing) Automatic NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 64 74PC Manager returned technical screener case to specialist -to- Managerial Review (Proposed Closure) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. EP Closing Business Rules to Run.
Initial Application 64 74 Manager returned technical screener case to specialist -to- For Managerial Review Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Remove Closing Rules from 64 to 74 flow.
Initial Application 64 75 Manager returned technical screener case to specialist -to- Group Inventory Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 71 37 Unassigned inventory (Accelerated Processing) -to- Suspense Manual NUI→EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NUI with no change in the container structure.  
Initial Application 71 75 Unassigned inventory (Accelerated Processing) -to- Group Inventory Manual –when case is assigned to a group NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Move all documents to the NAI container with the same sub older structure as for the NUI. The following automated flows are possible: 71 to 52 (via 75) 71 to 62 (via 75) 71 to 72 (via 75)
5300 & 5310 71AC 21AC Unassigned Inventory (Accelerated Processing) –to- Auto Closure Automatic NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Archived Cases →EP Cases→ Archive Year →Case→ Documents→ (and appropriate sub folders). Transition if: - Current date is greater than control date + 60 days and - Closing business rules successful
5300 & 5310 71AC 37 Unassigned Inventory (Accelerated Processing) –to- Suspense Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in the NUI with no change in the container structure.  
5300 & 5310 71AC 71BR Auto Closure –to- Closing BR Incomplete Automatic NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in the NUI with no change in the container structure. Transition if: - Current date is greater than control date + 60 days and - Closing business rules failed
5300 & 5310 71AC 75 Auto Closure – to – Group Inventory Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Move all documents to the NAI container with the same subfolder structure as for the NUI. The following automated flows are possible: 71AC to 52 (via 75) 71AC to 62 (via 75) 71AC to 72 (via 75)
5300 & 5310 71BR 71AC Closing BR Incomplete –to- Auto Closure Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders).    
5300 & 5310 71BR 37 Closing BR Incomplete –to- Suspense Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in the NUI with no change in the container structure.  
5300 & 5310 71BR 75 Closing BR Incomplete – to – Group Inventory Manual NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Move all documents to the NAI container with the same subfolder structure as for the NUI. The following automated flows are possible: 71BR to 52 (via 75) 71BR to 62 (via 75) 71BR to 72 (via 75)
Initial Application 72 74PC Assign to Technical Screener (AP/IP) -to- Managerial Review (Proposed Closure) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. May require Closing Business Rules to be run.
Initial Application 72 74 Assign to Technical Screener (AP/IP) -to- For Managerial Review Manual NAI→EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. No Closing Business Rules.
Initial Application 72 75 Assign to Technical Screener (AP/IP) -to- Group Inventory Manual – when the case is assigned to a group from technical screening NAI→EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 73 74PC Return to Technical Screener (AP/IP) -to- Managerial Review (Proposed Closure) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. May Require Closing Business Rules.
Initial Application 73 74 Return to Technical Screener (AP/IP) -to- For Managerial Review Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. No Business Rules would be run.
Initial Application 73 75 Return to Technical Screener (AP/IP) -to- Group Inventory Manual – when the case is assigned to a group from technical screening NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74 37 For managerial review -to- Suspense Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Suspense Code used with Associated Sub-Code
Initial Application 74 51 For managerial review -to- Unassigned inventory (non-merit) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI → EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 74 52 For managerial review -to- Assigned to specialist – non-merit Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74 53 For managerial review -to- Return to Specialist (Non-Merit) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74 61 For managerial review -to- Unassigned inventory (technical screening) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→ EP Cases→; Case→; Documents→ (and appropriate sub folders).  
Initial Application 74 62 For managerial review -to- Assigned to technical screener Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders) Case remains in NAI with no change in the container structure.  
Initial Application 74 64 For managerial review -to- Manager Returned Technical Screening Case to Specialist Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74 71 For managerial review -to- Unassign Case (AP/IP) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI →EP Cases→ Case→; Documents→; (and appropriate sub folders).  
Initial Application 74 72 For managerial review -to- Assign to Technical Screener (AP/IP) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74 73 For Managerial Review -to- Return to Technical Screener (AP/IP) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application to another group (and vice versa) 74 74 For managerial review -to- For managerial review Manual - Use when going between one group to another Group and vice versa NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Need to determine when this flow would be used.
Initial Application 74 75 For managerial review -to- Group Inventory Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74 91 For managerial review –to- Unassigned Inventory (Washington) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 74PC 37 Managerial Review (Proposed Closure) -to- Suspense Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Suspense Code used with Associated Sub-Code
Initial Application 74PC 51 Managerial Review (Proposed Closure) -to- Unassigned inventory (non-merit) Manual NA/NUII→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 74PC 52 Managerial Review (Proposed Closure) -to- Assigned to Specialist (Non-merit) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 53 Managerial Review (Proposed Closure) -to- Manager returned to specialist Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 21 Managerial Review (Proposed Closure) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 61 Managerial Review (Proposed Closure) -to- Unassigned inventory (technical screening) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 74PC 62 Managerial Review (Proposed Closure) -to- Assigned to a Technical Screener Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 64 Managerial Review (Proposed Closure)-to- Manager returned technical screener case to specialist Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 71 Managerial Review (Proposed Closure) -to- Unassigned inventory (Accelerated Processing) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 74PC 72 Managerial Review (Proposed Closure) -to- Assign to Technical Screener (AP/IP) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 73 Managerial Review (Proposed Closure) -to- Return to Technical Screener (AP/IP) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 74PC 74 Managerial Review (Proposed Closure) -to- For Managerial Review Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application to Group Inventory 74PC 75 Managerial Review (Proposed Closure) -to- Group Inventory Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application to QA 74PC 75 Managerial Review (Proposed Closure) -to- Group Inventory in QA Automatic NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 75 37 Group Inventory -to- Suspense Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Suspense Code used with Associated Sub-Code
Initial Application 75 51 Group Inventory -to- Unassigned inventory (non-merit) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 75 52 Group Inventory -to- Assigned to specialist - non-merit Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 75 61 Group Inventory -to- Unassigned inventory (technical screening) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→ EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 75 62 Group Inventory -to- Assigned to technical screener Manual – when the case is assigned to a technical screener NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 75 71 Group Inventory -to- Unassign Case (AP/IP) Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). NUI→EP Cases→ Case→ Documents→ (and appropriate sub folders).  
Initial Application 75 72 Group Inventory -to- Assign to Technical Screener (AP/IP) Manual –when the case is assigned to a specialist as an AP case. NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure.  
Initial Application 75 74 Group Inventory -to- For Managerial Review Manual NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Used to correct an error. No Closing Business Rules to Run.
Initial Application 75 75 Group Inventory -to- Group Inventory Manual (Mgr to Mgr) NAI→ EP Cases→ Case→ Documents→ (and appropriate sub folders). Case remains in NAI with no change in the container structure. Allows manager-to-manager reassignment
EPCC All 21 All - to- Closed Automatic- when EPCC received for case not in 21   No change in container structure.