Section 19. Automated Underreporter Technical and Clerical Managers and Coordinators Guide

(1) This transmits revised IRM 1.4.19, Resource Guide for Managers, Automated Underreporter Technical and Clerical Managers and Coordinators Guide.

(1) Throughout the IRM underlines have been removed from AUR System hot keys and letters and are now bold

(2) Throughout the IRM Action 61 is changed to P-21-3 Policy Statement

(3) IRM 1.4.19.1.1(1) - revised Background statement

(4) IRM 1.4.19 1.3 - Title revised to Roles and Responsibility

(5) IRM 1.4.19.1.4 - new subsection for Program and Management Reviews

(6) IRM 1.4.19.1.5 - new subsection for Program controls

(7) IRM 1.4.19.1.7 - new subsection for Related Resources

(8) IRM 1.4.19.2(2) removed documents in W-2 series, removed (3) Form 1099 table, removed (4) Schedules in K-1 series, removed (5) other documents not required

(9) IRM 1.4.19.2(7) - added new c) Screening must be released by HQ, e) revised to; paper returns are uploaded using scanning

(10) IRM 1.4.19.2.1(1) - added reminder for HQ business hours and link for after hours procedures

(11) IRM 1.4.19.2.5 - revised for clarification and routing procedures of Form 3552

(12) IRM 1.4.19.3.1(1) - revised to 01-26, (20) removed BT47 and definition, (26) removed note

(13) IRM 1.4.19.3.1(45) - removed TY 2012, and BT 81 is segmented, removed a) and b) Batch Type 81001 - 81499 definition and Batch Type 81500 - 81949 definition

(14) IRM 1.4.19.3.1.2(2)8) - removed note for TY 2021 Digitized Batch Window

(15) IRM 1.4.19.3.1.3(2)8) - removed note for TY 2021 Digitized Batch Window

(16) IRM 1.4.19.3.1.3(3) - removed alpha listing and added table for error codes and definitions

(17) IRM 1.4.19.3.3.2(2) - removed table, step 6) and 7), added new (3) with steps 1-3 for system checks

(18) IRM 1.4.19.3.3.2.1(2) - removed table, step 6) and 7), added new (3) with steps 1-3 for system checks

(19) IRM 1.4.19.3.3.5.1(1) - removed BT 47, added BT 96 can be requested to work through View Case

(20) IRM 1.4.19.4.1 - removed for Aceyus Reporting subsection, renumbered remaining subsections

(21) IRM 1.4.19.4.2 - removed Bringing up the Phone System subsection, renumbered remaining subsections

(22) IRM 1.4.19.4.3 - removed End of Day/Shift Activities subsection, renumbered remaining subsections

(23) IRM 1.4.19.4.4 - removed Call Demand Forecast subsection, renumbered remaining subsections

(24) IRM 1.4.19.4.4.1 - removed Scheduling for Call Demand subsection, renumbered remaining subsections

(25) IRM 1.4.19.4.4.2 - removed Scheduling Staff subsection, renumbered remainder of subsections

(26) IRM 1.4.19.4.5 - removed Adherence to Schedule subsection, renumbered remaining subsections

(27) IRM 1.4.19.4.7 - removed Telephone Security subsection, renumbered remaining subsections

(28) IRM 1.4.19.4.9 - removed Track Telephone Time Reporting subsection, renumbered remaining subsections

(29) IRM 1.4.19.4.10 - removed Telephone Reports and Monitoring subsection, renumbered remaining subsections

(30) IRM 1.4.19.4.10.1 - removed ETD AHT Team Agent Application Report subsection, renumbered remaining subsections

(31) IRM 1.4.19.4.10.2 - removed Daily Availability/Shortage Log subsection, renumbered remaining subsections

(32) IRM 1.4.19.4.13 - removed Telephone UCCE System subsection, renumbered remaining subsections

(33) IRM 1.4.19.4.13.1 - removed Troubleshooting General Problems subsection, renumbered remaining subsections

(34) IRM 1.4.19.4.14 - removed Reporting to the Telephone System Analyst (TSA)

(35) IRM 1.4.19.5.1(3),(4),(5) and (6) - revised instructions to match the eGain system

(36) IRM 1.4.19.5.3(2) and (3),(4) - revised to match eGain system

(37) IRM 1.4.19.9.1.1- Revised title to Accessing Reports, and Listings

(38) IRM 1.4.19.9.2.1 - revised subsection to add digital response indicator and batch IRS received date

(39) IRM 1.4.19.9.2.2(1) - removed note,(10) removed Exception

(40) IRM 1.4.19.9.2.2.1(1) added note for reconsiderations (2) clarified to match AUR system

(41) IRM 1.4.19.9.2.2.2 - section clarified to match AUR system

(42) IRM 1.4.19.9.2.2.3 - (1) bullet added for Auto Notice to match the system report

(43) IRM 1.4.19.9.3(5) - revised to add table for error codes and definitions

(44) IRM 1.4.19.9.4.3(2) - added note for virtual indicator

(45) IRM 1.4.19.9.4.7(3) - revised to match system report

(46) IRM 1.4.19.9.4.9(2) - added to match the report headings

(47) IRM 1.4.19.9.4.10(1) - added listing identifies system built BT 84

(48) IRM 1.4.19.9.4.12(1) - added listing to match the AUR system report

(49) IRM 1.4.19.9.4.17(1) - added listing to match the AUR system report

(50) IRM 1.4.19.9.4.18 - revised title to New Transactions Report

(51) IRM 1.4.19.9.4.19(1) - added listing to match the AUR system report

(52) IRM 1.4.19.9.4.23 - revised subsection to clarify scanned images and listing report to match the AUR system

(53) IRM 1.4.19.9.5.2 - revised subsection to provide listing report to match the AUR system

(54) IRM 1.4.19.9.5.5 (2) - revised to clarify posted and not posted assessments.

(55) IRM 1.4.19.9.5.6(2) - added listing to match the AUR system report

(56) IRM 1.4.19.9.5.7(2) - added listing to match the AUR system report

(57) IRM 1.4.19.9.5.8(2) - added listing to match the AUR system report

(58) IRM 1.4.19.9.5.9(1) - added availability of soft notices

(59) IRM 1.4.19.9.5.11.3(2) - added listing to match the AUR system report

(60) IRM 1.4.19.9.5.11.6(1) - added note for volumes on summary page, added new (5) and (6), removed (7)

(61) IRM 1.4.19.9.5.11.7(1) and (2) - added listing to match the AUR system report, removed (4)

(62) IRM 1.4.19.9.5.11.8 - revised title to Extract Category Listing

(63) IRM 1.4.19.9.5.11.9(2) - added listing to match the AUR system report

(64) IRM 1.4.19.9.5.11.11(2) - added listing to match the AUR system report

(65) IRM 1.4.19.9.5.11.12(2) - added listing to match the AUR system report

(66) IRM 1.4.19.9.6(1)a - added Action required to match the AUR system report

(67) IRM 1.4.19.9.6.1 - new subsection for Action Required

(68) IRM 1.4.19.9.6.3 - removed MFT 31 inventory to put subsection in the order as shown on the system

(69) IRM 1.4.19.9.6.4 - removed Bankruptcy to put subsection in the order as shown on the system

(70) IRM 1.4.19.9.6.5 - Revised title to Batch Suspense Inventory Report

(71) IRM 1.4.19.9.6.6 - new subsection for Bankruptcy

(72) IRM 1.4.19.9.6.7.1 - new subsection for Auto Assessment Report - Employee Cases

(73) IRM 1.4.19.9.6.7.2 - new subsection for Closed Inventory - Employee Cases

(74) IRM 1.4.19.9.6.7.3 - new subsection for Employee Aging Report

(75) IRM 1.4.19.9.6.7.5 - new subsection for Open Transfers - Employee Cases

(76) IRM 1.4.19.9.6.7.6 - IRM 1.4.19.9.6.7.9 - removed and put in order as shown on the AUR system

(77) IRM 1.4.19.9.6.9 - new subsection for MFT 31 Inventory report

(78) IRM 1.4.19.9.11.2(1) - added clarification for Recon process code

(79) IRM 1.4.19.9.7 - added report tab titles

(80) IRM 1.4.19.9.8 - removed TY 2021 and TDC Notice suppression box

(81) IRM 1.4.19.9.10 - revised subsection to match the system report

(82) IRM 1.4.19.9.11(1) - revised to include new reports

(83) IRM 1.4.19.9.11.1 - new subsection for Universal Work(UW) Suspense

(84) IRM 1.4.19.9.11.2 - new subsection for UC Closed

(85) IRM 1.4.19.9.11.3 - removed subsection for Universal View Case Action Listing

(86) IRM 1.4.19.9.11.4 - removed subsection for UVC Activity Report

(87) IRM 1.4.19.9.14 - new subsection for Unassociated Cases

(88) IRM 1.4.19.11 - removed Work planning and control section, renumbered remaining sections

(89) IRM 1.4.19.11 - new subsection for Secure Messaging (TDC) Searches

(90) IRM 1.4.19.12.3 - removed Locking and unlocking terminals

(91) IRM 1.4.19.12.5.1 - added 30 minutes for no activity and close browser and login again

(92) IRM 1.4.19.12.7 - removed (R) reactivated and note for Status R

(93) IRM 1.4.19.12.8.1.1 - (3) - add new 19) to click on TDC field

(94) IRM 1.4.19.12.8.1.3(2)8) - added note to Use the Change to site drop-down menu

(95) IRM 1.4.19.12.8.4 - revised section to include updates to AUR system

(96) IRM 1.4.19.13.3.8 - revised title to Run Controls

(97) IRM 1.4.19.13.10(1)J) - removed note to verify age stat notices

(98) Exhibit 1.4.19-2 - remove table under Identity theft and added information to Miscellaneous - Open Case table

(99) Exhibit 1.4.19-10 - removed table for Batch Status Codes

(100) Exhibit 1.4.19.-11- removed Mandated IAT tools

(101) Exhibit 1.4.19-12 - removed Additional IAT Tools

Heather J. Yocum Director, Examination Field and Campus Policy Small Business/Self-Employed

Purpose - This IRM describes technical guidance for the Small Business/Self Employed (SB/SE), Individual Master File (IMF) Automated Underreporter Program (AUR). Specifically, this IRM includes guidance for technical and clerical managers and AUR Coordinators for controlling work, quality measures, monitoring, reporting, and security measures in the AUR Program.

Audience - The information and procedures in this IRM apply to technical and clerical Managers and Coordinators at the Small Business/Self-Employed AUR sites.

Policy Owner - The IMF AUR Program is under SB/SE Examination Field and Campus Policy.

Program Owner - IMF AUR Policy, under Exam Field and Campus Policy, is responsible for providing procedures to work the IMF AUR Program and for oversight of the AUR system.

Primary Stakeholders - The primary stakeholders are those in the IMF AUR Program.

Program Goals - Program goals for this type of work is to monitor inventory to be worked within specific time frames.

This IRM provides instructions for Automated Underreporter (AUR) managers (Technical and Clerical) and coordinators to control the flow of work, perform managerial reviews, and generate reports to monitor inventory. Managers verify errors found by review, ensure corrective actions are taken, monitor security reports, and keep the user data updated on the AUR System, ensuring proper security procedures are followed.

Chapter 61 of the Internal Revenue Code (Information and Returns), Subchapter A (Records and Returns), Part III (Information Returns), sections 6031 – 6059, contain the requirements for the filing of information returns for income reporting purposes. Rev. Proc. 2005-32 identifies taxpayer contacts to verify a discrepancy between the taxpayer’s tax return and an information return, or between a tax return and information otherwise in the IRS’s possession as taxpayer contacts and other actions not considered an examination, inspection or reopening.

The Director, Exam Field and Campus, Small Business/Self Employed, is the executive responsible for the IMF AUR Program.

The AUR Program Manager, Headquarters Examination Operations, Field and Campus Policy, IMF AUR Policy is the executive responsible for IMF AUR policy and the procedures in this IRM.

AUR inventory is monitored and managed using a series of specific, detailed reports accessed through the AUR system.

Managers and Coordinators use additional reports applicable to AUR cases, such as ORCAS and Control-D to maintain specific inventory.

AUR Coordinators grant AUR system access via submissions through Business Entitlement Access Request System (BEARS).

AUR Policy analysts perform quarterly reviews to verify the accuracy of each users system permissions.

Program effectiveness is measured through periodic program reviews.

For a list of Terms and Acronyms see Exhibit 1.4.19-1, Glossary and Abbreviations.

Internal Revenue Manuals, publications, and managerial desktop guides are used and may be helpful if in-depth research is needed.

Automated Underreporter (AUR) cases are built from two primary sources: the Individual Master File (IMF) which contains information reported to IRS by taxpayers on Form 1040, U.S. Individual Income Tax Return, Form 1040-SR, U.S. Individual Income Tax Return for Seniors and the Information Returns Master File (IRMF) which contains information submitted by payers of Form W-2, Wage and Tax Statement, Form 1099-DIV, Dividends and Distributions, Form 1099-INT, Interest Income, and others. The IRMF is matched with the IMF to verify all income is reported. Underreporter cases result when computer analysis detects a discrepancy between the two data sources.

Discrepant cases are grouped by the following:

Subfile - a specific group of taxpayer returns with like issues, regardless of income type

Category - a specific type of discrepancy (income, adjustments to income, credits.)

Sub-category - range of potential tax change

For a list of Category, Subfiles and Sub-categories see Exhibit 1.4.19-9, AUR Category Code Description/Chart. These categories and sub-categories provided a logical system of criteria to select cases from the available inventory.

Cases are selected at the Headquarters level for each site utilizing the inventory selection tool. The inventory is then controlled by each AUR campus.

The Computing Centers (Enterprise Computing Center at Martinsburg (ECC-MTB) and Enterprise Computing Center at Memphis (ECC-MEM)) send tape information from the IRMF, Return Transaction File (RTF), Taxpayer Information File (TIF), and Payer Agent File. This information is downloaded to the AUR system.

Data from the TIF and Payer Agent File is updated weekly.

A computer tape containing Form 4251 (Return Charge-Out) data is printed on a campus printer for paper returns. Each Form 4251 contains a social security number (SSN), tax year, and other case identification information, represented on a bar code in numeric format. Returns are pulled by Federal Records Centers (FRC) and forwarded to the Campuses.

Each screening extract must be released at the headquarters level before it is available to the site to work.

All ELF cases are auto batched into Screening Batch Types (BTs) 01 - 26 and are identified as "Virtual batches" (no physical case). The batches are systemically closed and updated to "AB" status. Tax examiners (TEs) input the Process Codes (PCs) on the individual work unit listing and the clerks Release Batch (RB).

Paper returns are uploaded using scanning software to load them into the AUR system to build systemically.

After cases are selected from the inventory, they are worked according to procedures in IRM 4.19.3, IMF Automated Underreporter Program.

Cases with paper returns are received and scanned into the AUR system by the clerical function. As paper cases are scanned and systemically built into Screening Batch Types (BTs) 01 - 26 they are controlled in the AUR system. Screening batches are requested by technical units to be worked.

Tax examiners perform an in-depth analysis of each case. If the identified discrepant amount is resolved, the case is closed with no taxpayer contact. If the discrepant amount was not included on the return or otherwise resolved, the taxpayer is sent one of the following:

Letter 2893-C - a letter generated for confirmed and appropriate Federal Withholding (W/H) and/or Excess Social Security Tax (SST)

CP 2501 - an initial contact letter (no tax calculation) requesting additional information or a

CP 2000 - a proposal to change tax which includes calculations and explanations

CP 3219A- Statutory Notice of Deficiency.

Process codes are codes used to provide an audit trail for AUR case processing. Integrated Data Retrieval System (IDRS) reflects AUR PCs as pending actions until they post to Master File. . PCs designated to generate notices ( CP 2000, CP 2501 and CP 3219A) transaction code (TC) 922 string listed on IDRS.

There are other PCs input during AUR processing that do not generate notices. These PCs may require the case to be released from the work unit prior to batch release. For a complete list of PCs see IRM 4.19.3 Exhibit 4.19.3-4, AUR Process Codes.

Internal Process Codes (IPCs) are used to initiate internal processes. A complete list of IPCs can be found in IRM 4.19.3, Exhibit 4.19.3-3, AUR Internal Process Codes.

For a list of abbreviations and definitions used in AUR processing, see IRM 4.19.3, Exhibit 4.19.3-2, Glossary and Abbreviations.

Refer any AUR system issue to the AUR Coordinator. If after researching , the AUR Coordinator is unable to resolve the issue is elevated to the appropriate Headquarter (HQ) Analyst(s) using the HQ Referral form.

If AUR system issue happens outside of HQ Policy business hours. Refer to AUR After Hour Procedures

are the result of a task force initiated to provide timely and quality responses to taxpayer correspondence. For general guidelines refer to IRM 4.19.3.22.1.5, Policy Statement P-21-3.

The AUR system maintains an archived file of AUR cases for 10 years.

Cases from any site can be accessed using View Case in the appropriate tax year on the system.

For TY 2013 and prior if information on the case is needed, the case must be ordered from files.

A second CP 2501 or CP 2000 notice may be generated for the spouse whenever the secondary spouse's address has changed from the AUR tax year to the year of the latest filed return. The second notice is an exact duplicate of all the information contained in the original notice mailed to the primary taxpayer with the exception that the second notice contains the current address of the potential/probable ex-spouse.

CP 3219A notices are generated to each spouse, regardless of most recent address of record.

In general, assessments must be made within three (3) years after the return due date or filing date, whichever is later. An assessment may be made within six (6) years if there is a substantial omission, 25 percent or more per IRC 6501(e), of gross income.

The statute can be extended where the issuance of a Statutory Notice of Deficiency time frame overlaps the original ASED, see IRM 4.19.3, Statutory Notices of Deficiency.

Statute cases and the use of Form 872 should be kept to a minimum. However, if it is not possible to timely work and/or timely close these cases, Form 872 should be used.

A request for prompt assessment of tax on the estate of a deceased taxpayer limits the statute period for assessment of tax to 18 months after the written request is properly filed or to the normal statute date, whichever is earlier.

Statute awareness is a vital process to the performance of identifying statute cases in the Internal Revenue Service operations. The Statute Awareness Program was created to minimize barred assessments and erroneous abatements. For information on conditions which may extend the assessment statute expiration date (ASED), refund statute expiration date (RSED), or collection statute expiration date (CSED), see IRM 25.6, Statute of Limitations.

Employees who deal with statute related issues must be able to identify statute imminent or expired periods for assessing, refunding, and collecting tax on Individual Master File (IMF), Business Master File (BMF), and Individual Retirement Account File (IRAF) accounts.

If less than 90 days remain until the ASED, prepare the case for adjustment using Form 2859, Request for Quick or Prompt Assessment, and route to the Accounting Operations for assessment via Form 3552, Prompt Assessment Billing Assembly. Cases indicating a decrease in tax, previously assessed by AUR, are resolved by the AUR reconsideration function. See IRM 21.5.3, General Claims Procedures, for Category A criteria and claim disallowance procedures.

The Balanced Measurement System provides guidance for all functions of the IRS and contributes to the focus for work performed in the AUR function.

The Balanced Measures are described below:

Provide accurate and professional services to internal and external customers in a courteous, timely manner.

Empower employee engagement and high-quality productivity through motivational leadership, effective support services, and timely delivery of first-class training programs.

Generate a productive quantity of work in a quality manner and provide meaningful outreach to all customers.

Form 3210 - Document Transmittal - Correspondence, teletype, transmittal letters, reports, transmittal receipt and control documents, pertaining to receiving, controlling and transmitting tax returns, taxpayer account registers, and related documents should be maintained within the Operation for one-year from the date the transmittal was prepared. After the one-year period, Form 3210 can be destroyed in accordance with Document 12990, IRS Record Control Schedule (RCS) 23, Item Number 36.

Certified mail listings (CMLs) are retained at the site for the current open AUR years and three years prior. Any CMLs prior to this are sent to the FRC for retention.

Automated Underreporter employees are mandated to use the Integrated Automation Technologies (IAT) tools. When an action must be taken on IDRS (unable to complete the action within the AUR system) and an IAT tool is available, AUR employees with access to IAT tools are required to complete the action using the IAT tool. The IAT tools assist the tax examiner (TE) with IDRS research and input.

If an IAT tool is not functioning properly, the case should be worked using IDRS.

To avoid IDRS security violations, the following command codes must be in the employee’s profile to utilize the "xMend" IAT tool: ACTON, ADJ54, AMDIS, CFINK, DDBKD, DUPOL, ENMOD, ENREQ, FRM77, IMFOL, INOLE, IRPTR, LETER, LPAGE, MFREQ, REQ77, RTVUE, STAUP, SUMRY, TXCMP, TRDBV, and TXMOD. Other command codes may be optional depending on the action being performed.

Ensure the IRS Command Codes are established prior to utilizing the IAT tool. To research a specific IAT function, or access IAT job aids, See, Integrated Automation Technologies.

If the TP response includes a request to abate an Accuracy Related penalty (either Negligence or Substantial Understatement) and the tax examiner determines the abatement will not be granted, written managerial approval is required. See IRM 4.19.3.22.1.4, Accuracy Related Penalties, for additional information. The approval must be done at the time the tax examiner determines to continue processing the case AND must be done by a manager

An administrative waiver for certain penalties was implemented in 2001 for tax periods with ending dates after December 31, 2000. It is referred to as First Time Abate (FTA) and is available for penalty relief the first time a taxpayer is subject to certain penalties for a single return filed by the taxpayer. The AUR program DOES NOT grant penalty relief under FTA. If the taxpayer is requesting FTA for the failure to file, failure to pay, or other penalties and submitted Form 843, Claim for Refund and Request for Abatement, the request is sent to Accounts Management for processing.

To document the managerial approval to assert the penalty, the manager accesses the Case Note window in AUR (see SERP - Job Aids - IMF AUR Research Portal , AUR System Guide, 9.10.2, Creating a Case Note, for additional information) and selects the standard case note. Once committed, the case note will append to the case with the approving managers SEID.

AUR cases to be analyzed by AUR Tax Examiners (TEs) are built into batches, each batch is divided into work units. It is the manager’s responsibility to monitor and control work coming through their unit.

After all cases in the batch have been worked, the batches are released from the technical unit to the clerical function for appropriate action.

Each batch is identified with a five-digit number.

The first two digits of the batch number are used to describe the batch type.

The next three digits are used to describe the sequential number of a regular batch (001 through 999), or the Unit Location Number of a Unit Suspense Batch (Batch Types (BT) 36, 42, 45, 62, 65, 75, 77, 82, or 92).

Each case is assigned a nine-digit case sequence number (CSN). The CSN corresponds to the location of a case within a batch. A CSN is composed of different elements dependent upon whether the case is in a suspense batch or a regular batch.

The CSN of a regular batch consists of four sections. The description of the numbers in sequence are:

The first two numbers are the batch type.

The next three numbers are the batch sequence number.

The next two numbers are the work unit containing the case.

The last two numbers are for the document number within the work unit.

Cases assigned to the TEs individual unit suspense do not contain a work unit number or document number as listed in steps 3 and 4 above.

The CSN of a suspense batch consists of three sections. The description of numbers in sequence are:

The first two numbers are the batch type.

The next three numbers are the batch sequence or the location of a Unit Suspense Batch.

The last four numbers are the sequence number of a case within the batch. When the document number reaches 9,999 the batch sequence number increases by one and the document number within the batch starts at 0001.

Cases assigned to the TEs individual unit suspense only contain the batch number, they do not have a work unit or document number within the work unit.

The CSN is displayed on the Case History Screen.

The CSN is valid for locating a case as long as the original batch remains intact and in order during processing. If a case is removed from its original location in the batch and is not returned to it, the CSN is not valid for locating the case. A new CSN is assigned when the case is built to a new batch.

To view the history of a case anywhere on the AUR system:

Select the tax year from the AUR Year menu.

Select review from the AUR main menu.

Select Case history from the drop down menu. The History/View/Request window displays.

Enter the SSN.

If the case is a phone case, click in the PHONE CONTACT box, otherwise press .

If the case is a text chat contact, click in the TEXT CHAT box, otherwise press .

Clerical queries and searches the status of a case by taking the following action:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Case history from the drop-down menu. The History/View/Request window displays.

Enter the SSN.

Press twice.

The batch status code defines the status of the batch at any time during processing. See IRM 4.19.2.5.2, Batch Status Codes, for a list of acceptable batch status codes and their meanings.

01 - 26 - Screening Association - The AUR inventory is ordered in groups referred to as extracts. As case information for these extracts is downloaded into AUR, it is assigned a batch type number ranging sequentially from 01 through 19. These digits represent the extract number.

ELF cases are identified as "VIRTUAL" (V) cases. The system auto-batches these cases into extract batches 01XXX - 19XXX. The batches are identified with a "V" to the left of the batch number on the Batch Inventory Report.

The clerical function builds all paper returns into the initial screening batches and holds them until requested by a technical unit through the Batch Request option.

Batch Types 27 - Auto-Generated Notice - Certain AUR inventories bypass the physical analysis/screening phase of the program and have CP 2000 systemically generated. This process is referred to as Auto-Generated Notices (AGN). These cases systemically move to BT27. No clerical action is required for these cases during analysis batch building.

Batch Type 29 - Priority Screening - Screening cases in this batch type may require expedited processing. Technical managers should follow campus direction for requesting these batches.

Batch Type 30 - Missing Return Suspense - There are two types of cases built to BT 30:

Cases where FRC pulled the wrong document locator number (DLN) (IPC WP).

Cases where the system has reordered the return automatically based on the reorder date input by the AUR Coordinator. IPC 0A is generated when the system reorders the return.

If the returns are not built to BT 31 (Complete Screening Cases) within 60 days, the cases are systemically closed with PC 29, an Unavailable Return Report is generated.

Batch Type 31 - Complete Screening Cases - Cases previously assigned to BT 30 are built to BT 31 when the return or data is received. These batches are available for processing by technical units.

Batch Type 33 - Screening Research Complete - Cases previously assigned to BT 34 and BT 35 are built into BT 33 when the requested research is received. These batches are available for processing by technical units. The cases have IPC 0A, additional return requested.

Batch Type 34 - Screening Research Suspense - Screening Research Suspense Batch numbers are 34000 - 34599, requests for additional return (IPC 0A). The Aged Screening Research Pull List is generated weekly for cases not completed within 60 days from the request date. The cases are systemically closed with PC 29.

Filing status 3 (married filing separate) cases do not automatically close if the research is not received. These cases are assigned to BT 33 and are available for request and processing by the technical units.

Batch Type 35 - Miscellaneous Referrals - Cases requiring additional technical assistance are built into this batch. These cases must have a current IPC 0D. These batches are available for request and processing by the technical units.

Batch Type 36 - Screening Unit Suspense - Cases which require technical determination by the manager or lead are transferred by the TE to their Screening Unit Suspense. The system automatically generates IPC 0E and moves the cases to the unit suspense batch. These cases are suspended in the unit and should be monitored by the TE and manager/lead TE to ensure timely actions are taken. Cases are held in the unit until the issue is resolved and the case is released to the unit’s designated area for clerical retrieval.

Batch Type 37 - Released Unit Suspense - Completed cases from BT 36 are released to the designated area for clerical retrieval. The clerical function builds the cases into BT 37, verifies the PC/IPC, and releases the cases to the appropriate area based on the PC/IPC.

Batch Type 38 - Remail CP 2000/Recomp - During the batch building process for BT 59, undeliverable CP 2000 and recomputation notice cases with an address update are rejected by the system. The clerical function builds these cases into BT 38. When a better address is identified the system assigns new notice dates and generates amended notices. The system moves the cases to Recomp/Amended/PC55 Suspense BT 55.

Batch Type 39 - Screening Rejects - When a notice is rejected, the clerical function pulls the case from the suspense file and builds into BT 39. These batches are available for request and processing by the technical units.

Batch Type 40 - CP 2501 Suspense - During the systemic batch disassembly process, cases with a current PC 30 are systemically assigned to BT 40 in CSN order. The cases remain in BT 40 until a response is received, the notice is returned undeliverable, or the suspense timeframe expires.

Batch Type 41 - CP 2501 Identity Theft (IDT) Response -CP 2501 responses with an indication of identity theft are built into separate BT 41 by the clerical function. These batch numbers are provided to the AUR Coordinator. BT 41 may only have one IRS received dates.

Batch Type 42 - CP 2501 Unit Research Suspense - Cases with IPC 3A are systemically assigned to the appropriate unit suspense batch based on the IPC and the TEs SEID. These cases are suspended in the unit and should be monitored by the TE and the manager/lead TE to ensure the requested research is received and timely actions are taken. Completed cases are released to the unit’s designated area for clerical retrieval.

Batch Type 43 - CP 2501 Miscellaneous Referrals -CP 2501 response cases requiring technical assistance are assigned IPC 3D. The clerical function builds the cases to BT 43. The batches are available for request and processing by the technical units.

Batch Type 44 - CP 2501 Response -CP 2501 cases receiving a taxpayer response with no indication of identity theft are built to BT 44 by the clerical function and are available for request and processing by technical units. BT 44 may have multiple IRS received dates.

Batch Type 45 - CP 2501 Unit Suspense - Cases requested by the TE and cases which require technical determination by the manager or lead (transferred by the TE to their CP 2000 Unit Suspense) are systemically assigned to BT 45. The system automatically generates IPC 3E and moves the cases to the unit suspense batch. These cases are suspended in the unit and should be monitored by the TE and manager/lead TE to ensure timely actions are taken. Cases are held in the unit until the issue is resolved and the case is released to the unit’s designated area for clerical retrieval.

Cases with a CSN of 45950 indicates the case is a Universal Work Case (UWC).

Batch Type 46 - CP 2501 Response Release - Completed cases from Unit Suspense (BT 42 and BT 45) are released to the designated area for clerical retrieval. The clerical function builds these cases into BT 46, verifies the PC/IPC and releases the cases to the appropriate area based on the PC/IPC.

Batch Type 49 - CP 2501 No Response Auto Purge - Cases not receiving a taxpayer response within the suspense timeframe and are not identified by the system as requiring a TE to review, are systemically assigned to BT 49. The system automatically updates the PC to 57 to generate a CP 2000 Notice. BT 49 is not requested or processed by the technical units.

Batch Type 50 - CP 2000 Suspense - Cases with a current PC 55 and no amended indicator are systemically assigned to BT 50. The cases are filed in CSN order based on notice date and remain in this suspense batch until a response is received, the notice is returned undeliverable, or the suspense timeframe expires.

Batch Type 51 - CP 2000/Recomp Agreed Response -CP 2000 and Recomputation notices receiving fully agreed responses are built into BT 51 by the clerical function. When clerical updates the batch to "RB" status, the system automatically changes the PC to 67, creates and posts the assessment record, and closes the IDRS control base on these cases. BT 51 may have multiple IRS received dates.

Batch Type 52 - CP 2000/Recomp Disagreed Response - Disagreed CP 2000 and recomputation notice response cases are built into BT 52 by the clerical function. The batches are available for request and processing by the technical units. Each BT 52 has one IRS Received Date.

Separate BT (52,53,58) are built for identity theft responses which require priority handling.

Batch Type 53 - CP 2000/Recomp Priority Response - Fully agreed and/or disagreed CP 2000 and Amended CP 2000 response cases may be built into BT 53 based on an IRS received date of 20 or more days old. BT 53 is available for request and processing by the technical units. BT 53 may have multiple IRS Received Dates.

Separate BT (52,53,58) are built for identity theft responses which require priority handling.

Local management has the option to batch fully agreed cases with an IRS received date of 20 days or more to BT 51.

Batch Type 55 - Recomputed Amended/PC 57 CP 2000 Suspense - During the systemic batch disassembly process, cases with the following PCs are systemically assigned to Recomputed CP 2000 Suspense (BT 55):

PC 55 - CP 2000 with a manual interest calculation

PC 55A - Amended CP 2000

PC 57 - CP 2000 issued after a CP 2501

PC 59 - Recomputed CP 2000

Cases remain in this batch until a response is received, the notice is returned as undeliverable, or the suspense timeframe expires.

Batch Type 58 - Late CP 2000 Response (CP 3219A Generated) - Cases where a notice has been generated but has not been mailed due to receipt of a response are built into BT 58. When cases are built into BT 58 the notice is stopped. These batches are available for request and processing by the technical units. BT 58 may have multiple IRS received dates.

Separate BT (52,53,58) are built for identity theft responses which require priority handling.

If response does not build to BT 58, clerical holds the case until the notice date and then builds to the appropriate response batch.

Once a case has been built to BT 58, it cannot be transferred out of the batch, doing so causes issues with stopping the notice.

Batch Type 59 - Aged CP 2000 Stat Preparation -CP 2000, recomputation notice, or IPC 6L or 6S cases, which have either met the suspense timeframes or are true undeliverables, are systemically assigned to BT 59. The system automatically updates the PC to 75 to generate a notice. BT 59 is not requested or processed by the technical units.

Batch Type 60 - CP 2000 Letter Suspense - During the systemic batch disassembly process, CP 2000 cases requiring a letter are systemically assigned to BT 60 based on the assignment of IPC 6L or 6S. These cases are filed in CSN order based on the letter date and remain in BT 60 until a response is received, the letter is returned as undeliverable, or the suspense timeframe expires.

Batch Type 61 - Manual Interest Rejects - Cases previously processed and rejected are built into BT 61 and are available for request and processing by technical units. The interest computation date, determined by local management, is input by the tax examiner when the batch is updated to "AU" status.

These batches MUST be released timely to avoid missing the notice date. If the notice date is missed these cases have to be reworked.

Batch Type 62 - CP 2000 Unit Research Suspense - Cases with IPC 6A are systemically assigned to the appropriate unit suspense batch based on the IPC and the TEs SEID. These cases are suspended in the unit and should be monitored by the TE and the manager/lead TE to ensure the requested research is received and timely actions are taken. Completed cases are released to the unit’s designated area for clerical retrieval.

Batch Type 63 - CP 2000 Miscellaneous Referral -CP 2000, recomputation notice, or IPC 6L or 6S responses requiring technical assistance are built into BT 63. The current IPC must be 6D. These cases are available for request and processing by the technical units.

Batch Type 65 - CP 2000 Unit Suspense - Cases requested by the TE and cases which require technical determination by the manager or lead (transferred by the TE to their CP 2000 Unit Suspense) are systemically assigned to BT 65. The system automatically generates IPC 6E and moves the cases to the unit suspense batch. These cases are suspended in the unit and should be monitored by the TE and manager/lead TE to ensure timely actions are taken. Cases are held in the unit until the issue is resolved and the case is released to the unit’s designated area for clerical retrieval.

Cases with a CSN of 65950 indicates the case is a UWC.

Batch Type 66 - CP 2000 Response Release - Completed cases from BT 62 and/or BT 65 are released to a designated area for clerical retrieval. The clerical function builds the cases into BT 66, verifies the PC/IPC, and releases the cases to the appropriate area based on the PC/IPC.

Batch Type 67 - Partially Agreed - Cases assigned IPC RN (Partially agreed response) are built into BT 67. When the batch is updated to "AB" status, the IPC RN/CR is converted to PC 59/57. After 7 days clerical updates the batch to "RB" status, the system updates the case to PC 67 and creates and posts an automatic assessment record. If the batch has not been updated to "RB" status after two cycles the system generates a Partially Agreed Aging Report.

The auto assessment report does not generate for BT 67.

Batch Type 68 - Manual Stat Prep - Undeliverable notice cases with a post office forwarding address or a new address on the system and cases the TE has identified as requiring a manual notice (PC 77) are built into BT 68. Manual notices are prepared by the tax examiner who input the PC 77 or by the locally designated employee. BT 68 is not requested or processed by the technical units.

Batch Type 70 - Statutory Notice Suspense - During the systemic batch disassembly process, the system assigns cases with a PC/IPC 75, 77, 95, 8L, 8S, or 8M into notice Suspense (BT 70). The cases are filed in CSN order based on the notice date and remain in the suspense batch until a response is received or the suspense timeframe expires.

Batch Type 71 - Statutory Notice Agreed Response - Statutory notice cases receiving fully agreed responses are built into BT 71 by the clerical function. When the clerk updates the batch to "RB" status, the system automatically updates the PC to 87, creates and posts an automatic assessment record. BT 71 may have multiple IRS Received Dates.

The auto assessment report does not generate for BT 71.

Batch Type 72 - Statutory Identity Theft (IDT) Response - Disagreed notice responses with an indication of identity theft are built into BT 72. The batch numbers are provided to the AUR Coordinator. BT 72 may have multiple IRS received dates.

Batch Type 73 - Statutory Notice Miscellaneous Referral - notice cases requiring technical assistance are built into BT 73. The current IPC must be 8D. BTs 73 are available for request and processing by the technical units.

Batch Type 74 - Statutory Notice Response - Disagreed notice response cases can be built into BT 74. BTs 74 are available for request and processing by the technical units. BT 74 may have multiple IRS received dates.

Local management has the option to use BT 71 for fully agreed responses with a PC 75 or 77, regardless of the IRS received date.

Batch Type 75 - Statutory Notice Unit Suspense - Cases requested by the TE and cases which require technical determination by the manager or lead (transferred by the TE to their Statutory Notice Unit Suspense) are systemically assigned to BT 75. The system automatically generates IPC 8E and moves the cases to the unit suspense batch. These cases are suspended in the unit and should be monitored by the TE and manager/lead TE to ensure timely actions are taken. Completed cases are released to the unit’s designated area for clerical retrieval.

Cases with a CSN of 75950 indicate the case is a UWC.

Batch Type 77 - Statutory Notice Unit Research Suspense - Cases with IPC 8A are systemically assigned to the appropriate unit suspense batch, based on the IPC and the TE's SEID. These cases are suspended in the unit and should be monitored by the TE and manager/lead TE to ensure the requested research is received and timely actions are taken. Completed cases are released to the unit’s designated area for clerical retrieval.

Batch Type 79 - Statutory Notice Defaults - CP 3219ANotice cases (PC 75, 95, and IPC 8L, 8S) having met the suspense timeframes are systemically assigned to BT 79. When the clerk updates the batch to "RB" status, the system automatically updates the PC to 90 and creates and posts an automatic assessment record.

Batch Type 81 - Reconsideration - For any year available on the AUR system, responses received for closed cases in BT 96 can be built to BT 81. These batches are available for request and processing by the technical units. BT 81 is used to control, monitor, and track correspondence for closed cases received in AUR for reconsideration.

DO NOT "RB" BT 81.

Batch Type 82 Reconsideration Suspense - Reconsideration cases in BT 81 requiring subsequent correspondence or research are systemically assigned to BT 82 upon input of IPC 9B, 9E or 9L.

Batch Type 83 Employee URP Reconsideration Suspense -Correspondence for closed Employee URP cases from BT 9600X can be built to BT 83.

Batch Type 84 - Cases with New Actions - Cases the system has identified with new actions since batches or cases were released by the tax examining units are built to BT 84 as follows:

Batch Segments

Definitions

84001-84299

Screening Cases with New Actions

84300-84448

CP 2501 Cases with New Actions

84449-84499

CP 2501 IDT Cases with New Actions

84500-84748

CP 2000 Cases with New Actions

84749-84799

CP 2000 IDT Cases with New Actions

84800-84948

Statutory Notice Cases with New Actions

84949-84999

Statutory Notice IDT Cases with New Actions

These batches are available for request and processing by the technical units.

Batch Type 85 - Remail Statutory Notices - CP 3219A Notices returned by the Post Office as undeliverable are targeted to BT 85. To be accepted in BT 85, the case must have a PC 75 and a system identified new address present since the was mailed to the taxpayer.

Build undeliverable with PC 77 to BT 68. During the batch building process (BT 85), the system checks each SSN for a new address. If a new address is present, the SSN is accepted into the batch. When the batch is updated to "RB" status, the AUR system automatically generates a request for a new Notice to the new address. If there is no better address or if the case is other than PC 75, the system does not accept the SSN in BT 85.

Refused or unclaimed notices are systemically marked with an undeliverable indicator "X" . The system displays the following error message: "ERROR: Stat notice was unclaimed or refused. Dispose of Stat as classified waste." These undelivered notices do not need to be interfiled and should be discarded in accordance with local classified waste procedures.

Batch Type 86 - Statutory Notice Response Release - Completed cases from BT 75 or BT 77 are released to a designated area for clerical retrieval. The clerical function builds the cases into BT 86, verifies PC/IPC, and releases the cases to the appropriate area based on the PC/IPC.

Batch Type 87 - Partial Agreed Statutory Notices - Cases assigned IPC SR/DR (Partially agreed notices) are built into BT 87. When the batch is updated to "AB" status, the IPC SR/DR is converted to PC 95. After 7 days clerical updates the batch to "RB" status, the system updates the case to PC 87/90, creates and posts an automatic assessment record. If the batch has not been updated to "RB" status after two cycles the system generates a Partially Agreed Aging Report.

The auto assessment report does not generate for BT 87.

Batch Type 88- Reconsideration Cases with No Assessments - Clerical builds reconsideration cases to BT88 when responses do not require examiner adjustments due to a copy of CP 2000, duplicate response, refile signature document and subsequent payment.

Batch Type 89001 - Bankruptcy Suspense Cases - Cases where a PC 98 is entered are systemically assigned to BT 89001. These cases are monitored by the bankruptcy coordinator and remain in this suspense batch until processing is completed.

Batch Type 89003 - Identity Theft Suspense Cases - Cases where an IPC SI is entered are systemically assigned to BT 89003. These cases are monitored by the AUR IDT liaison and remain in this suspense batch until processing is complete.

Batch Type 89004 - Statutory Suspense - MFJ - Only One TP Signature on Consent - During the systemic batch disassembly process, Statutory Notice cases where only one TP has signed the consent to tax increase are systemically assigned to BT 89004 based on the assignment of IPC S3.

Batch Type 89005 - Suspense - MFJ - Only One TP Signature on Consent - During the systemic batch disassembly process, CP 2000 cases where only one TP has signed the consent to tax increase are systemically assigned to BT 89005 based on the assignment of IPC S6.

Batch Type 89006 - Statutory Suspense MFJ - Only One TP Filed Petition - During the systemic batch disassembly process, Statutory Notice cases where only one TP has filed a petition with the U.S. Tax Court are systemically assigned to BT 89006 based on the assignment of IPC S8.

Batch Type 90 - Employee Screening - Employee cases downloaded to the AUR system are built into BT 90. The employee designated to work employee cases builds these cases to this batch type.

Batch Type 91 - Employee Suspense - Employee cases, which the designated TE has issued CP 2501, CP 2000, Recomputation Notice, CP 3219A Notice, or sent a letter to the taxpayer, are built into BT 91. The employee designated to work employee cases builds these cases to this batch type. These cases remain in this batch type until they are closed.

Batch Type 92 - Employee Unit Suspense - Employee cases the system identifies during processing which require a technical determination or additional information and employee cases with IPC LC or LR are built into BT 92. The employee designated to work employee cases builds these cases to this batch type. Cases can have notices or letters issued. These cases remain in BT 92 until they are closed.

Batch Type 93 - Declared Disaster - During processing, cases identified with a disaster zip code are built into BT 93. Disaster batches cannot be closed until after the disaster end date when the clerical function updates the batches to continue AUR case processing. BT 93 is divided as follows:

93001-299 - Screening Disaster Suspense

93300-399 - CP 2501 Disaster Suspense

93400-699 - CP 2000 Disaster Suspense

93700-799 - CP 2000 Prep Disaster Suspense

93800-899 - Disaster Suspense

93900-999 - Disaster Default Suspense (PC 90 input by TE)

Batch Type 94 - Fraud Referral Suspense - When the TE determines a case meets potential fraud criteria, IPC 3F, 6F or 8F is assigned. The system automatically assigns cases with these IPCs to BT 94 during systemic batch disassembly. BT 94 is made available for review by the Examination Operation.

Batch Type 95 - Review - Cases identified for review are built into this batch type as follows:

BT 95001-199 - Reserved

BT 95200-399 - CP 2000 Notice Review

BT 95400-499 - Reserved

BT 95500-599 - CP 2000 Sort Code/Override Indicator Review

BT 95600-799 - Pre-Stat Notice Review

BT 95800-999 - Stat Recomp/Sort Code Review

Batch Type 96 - Closure Suspense - Cases with a closure PC are systemically assigned to BT 96001 when the clerk updates the batch to "RB" status.

Closed Reconsideration cases are systemically assigned to BT 96002 upon assignment of IPCs 9F, 9I, 9N, 9P or 9R.

Batch Type 98 - Lost Case Suspense - SSNs where the physical case file cannot be located are systemically assigned to BT 98, when IPC "LC" is input by a TE or clerk.

The unit manager is responsible for monitoring the workload and determining the need to request additional work for their Unit.

To request a batch:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Batch from the Control menu.

Select Status/Location from the drop-down menu.

Select Status/Location from the pull right menu. The Update Batch Status/Location window displays with the cursor in the BATCH field.

Enter the batch number.

Use to list all batches in "AB" status and the scroll bar to locate a batch. Select the batch by highlighting the batch number and press or double click on the batch number.

Response batches are not listed in IRS received date order.

Press . The cursor moves to the NEW STATUS field.

Enter "AU" in the NEW STATUS field.

Press .

Press to commit.

A work unit listing report will generate in a separate window after committing. Click OK in the pop-up Forms window to proceed. View as needed or close the window to cancel.

Press to exit.

All batches in "AB" status display in descending order.

Virtual screening batches display a "V" to the right of the batch number.

Response batches display a "Y" when the original cases were virtual cases or an "N" if the original cases were paper.

Batches in "AU" status can be canceled. This can be done even if some of the cases have been worked. Any work units not completed need to be reworked when the batch is reassigned.

To avoid reworking cases, every effort should be made to complete started work units prior to canceling the batch.

To cancel a batch:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Batch from the Control menu.

Select Status/Location from the drop-down menu.

Select Status/Location from the pull right menu. The Update Batch Status/Location window displays with the cursor in the BATCH field.

Enter the batch number in the BATCH field. The current status and location displays. The cursor moves to the NEW STATUS field.

Enter "CB" in the NEW STATUS field.

Press .

Press to commit.

Press to exit.

Canceling a batch automatically updates the location to "RLS" .

When a batch of work has been completed it needs to be updated to batch status "BF" .

To release a batch from the unit:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select B Batch from the Control menu.

Select Status/Location from the drop-down menu.

Select Status/Location from the pull right menu. The Update Batch Status/Location window displays with the cursor in the BATCH field.

Enter the batch number in the BATCH field. The current status and location displays. The cursor moves to the NEW STATUS field.

Enter "BF" in the NEW STATUS field. The system displays the following message: "CHECKING CASES IN BATCH" . See (3) and (4) below.

Press .

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

Before Manual Interest batches (BT 61) can be updated to "BF" status, the system checks to see if the designated notice date has passed. If the date to generate the notice has passed, the cases need to be reworked.

After entering "BF" Status Code, the system checks to see if any of the following conditions apply:

Error Condition

Definition

NO PC

No PC assigned to the case

NEW TRN

New transaction is present on the case

PC NOT VER

PC has not been verified (clerical)

PYR AGT

New payer agent information is present for the case

REQUEST

Case has been requested by another user

OVER 100K

Tax increase is over $100,000 and requires review

LTR PAR

Special paragraph on a correspondex letter needs review

ACT REQ

Action required based on universal access

DIS ZIP

Case is in a federally declared disaster area

STAT IMM

Case is statute imminent

PEN STATUS CDWAIV

Case with a penalty the manager has not reviewed

STOL ID

Case has an identity theft indicator

DIG RESP

Case has a new digital response that hasn’t been reviewed

The cases can be transferred to unit suspense for correcting, except for cases in BT 58.

If cases meet any of the above criteria, the SSN of each one displays with an indicator (asterisk) in the appropriate column on the Cases in Error screen. To access the Cases in Error Report see IRM 1.4.19.9.3, Cases in Error Report, and IRM 1.4.19.9.1.1, Accessing Reports and Listings. For a list of error conditions and the action required to correct each one, see Exhibit 1.4.19-4, Error Condition-Cause-Corrective Action Chart.

Take the following actions to review special paragraphs for letters:

Open Paragraph Review

Select the tax year from the AUR Year menu

Select review from the AUR main menu.

Select Manager from the drop-down menu.

Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

Enter the SSN of the case to be reviewed. The case information displays.

Select reF tools from the Case Analysis menu.

Select Letter from the drop-down menu. The Create Correspondex Letter screen displays. A Y displays next to the letter being sent.

Click on the Y.

Click on Display.

Review the Open Paragraph.

If the Open Paragraph needs to be corrected, assign/transfer the case back to the TE for correction.

The Bypass Letter option is available on the Cases in Error screen. Follow campus direction for this option. To bypass letter paragraphs, click in the LETTER BYPASS field and press to exit.

By using the Bypass Letter option you are releasing work without reviewing Open Paragraphs for errors in grammar and spelling or for content.

Batches, with the exception of suspense batches, are divided into work units. The number and volume of work units is set by the AUR Coordinator.

Before analyzing cases within a specific work unit, the work unit must be assigned to a Standard Employee Identifier (SEID).

To assign a work unit the TE must:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Work Unit from the Control menu.

Select Assign from the drop-down menu. The Assign Work Unit window displays, with the cursor in the BATCH field.

Enter the batch number. The cursor moves to the WORK UNIT field.

Enter the two-digit work unit number. The cursor moves to the ACCEPT field.

Enter "Y" to accept the work unit. The SSNs of the work unit display in the SSN fields.

Verify these SSNs are part of the work unit.

It is not necessary to verify SSNs on virtual batches.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

Sometimes it is necessary to change the assigned SEID of a work unit to another user. When a work unit is reassigned, it updates only unworked cases in a work unit. This option should be used to reassign a work unit when the assigned user is unable to complete the work unit.

Reassigning work units from one SEID to another does not change the batch assignment of the work unit.

To reassign a specific work unit:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Work Unit from the Control menu.

Select Uid update from the drop-down menu.

Select SSN from the pull right menu. The Update Work Unit UID window displays, with the cursor in the BATCH field.

Enter the batch number. The cursor moves to the WORK UNIT field.

Enter the two-digit work unit number.

Enter the new SEID. If any case in the work unit is being worked by another user (displayed on their terminal), the system generates an error message: "Case is being worked by (user SEID)" . Have the user clear the case from their screen. Reenter the batch number. The cursor moves to the CURRENT SEID field.

If some of the cases in the work unit have been worked (PC is on the system), an error message displays. A SEID must be assigned to partially completed work units. When the work unit is completed, it is released to the original batch.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit. All the cases in the work unit are either returned to the batch or reassigned to the new SEID. Cases with a PC entered on the system retain the original TE’s SEID on the AUR history, unless the case is reworked.

To reassign all work units from a specific SEID :

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Work Unit from the Control menu.

Select Uid update from the drop-down menu.

Select Update suspense from the pull right menu. The Update All SEID window displays, with the cursor in the CURRENT SEID field.

Enter the current user SEID. All work units assigned to the current SEID display.

Enter the new (reassigned) SEID in the NEW SEID field.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

Using the SEID Update assigns all unworked cases to a new SEID: even those cases assigned to the TEs individual unit suspense.

Based on the assigned profile the Transfer Work Unit option may or may not be available.

When a work unit is transferred, to another TE or another manager, the system moves all the cases in the work unit from the original batch to unit suspense. The cases are no longer part of the batch and cannot be returned to their original batch or within a work unit and must be released individually. Use this option to transfer a work unit from the batch when the batch needs to be released and the work unit is not complete.

Each case from the work unit must be accepted individually. If the transferred work unit must be updated again, each case has to be updated individually. Transferred work units must have the PC on each case updated before release.

To transfer a work unit:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Work Unit from the Control menu.

Select Transfer from the drop-down menu.

Select Transfer from the pull right menu. The Transfer Work Unit window displays, with the cursor in the BATCH field.

Enter the batch number. The cursor moves to the WORK UNIT field.

Enter the two-digit work unit number. The cursor moves to the TO UID NUMBER field.

Enter the new SEID.

Press to commit.

Press to exit.

A work unit must be released when all the cases in the work unit are complete.

To release a work unit the TE must:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Work Unit from the Control menu.

Select Release from the drop-down menu. The Release Work Unit window displays with the cursor in the BATCH field.

Enter the batch number of the work unit to be released. The cursor moves to the WORK UNIT field.

Enter the two-digit work unit number. As these cases are released, the system performs validity checks for each SSN (case) in the work unit.

If there is a discrepancy, the Cases in Error window overlays the Release Work Unit window, showing the SSN(s) of the cases in error. The work unit cannot be released until all error conditions are corrected. See Exhibit 1.4.19-4, Error Condition-Cause-Corrective Action Chart, for error conditions and the action required to correct each one.

If there are no cases in error, or when all error conditions have been corrected, the cursor moves to the RELEASE field. Enter "Y" in the RELEASE field.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit. When the release of a work unit is complete, the SEID is removed, indicating no ownership.

During the response phase, if research is requested on a case(s) using IPC 3A, 6A, or 8A, the Unit Research Suspense window overlays the Release Work Unit window. These cases are systemically assigned to the Unit Suspense batch and must be physically removed from the work unit.

The system checks to verify all cases in the work unit have been completed with a PC and there are no cases where:

the case has not been completed with a PC, OR

there are New Transactions on tax account screen, OR

there is new Payer Agent information, OR

there is New Correspondence.

Sometimes it is necessary to assign, reassign, transfer and release individual cases.

The Assign option is used to assign individual cases to your SEID. Cases must be assigned to a SEID before any changes can be made. Examples of when this option might be used are to:

correct an error

rework a case released either individually or in a work unit

To assign a case the TE must:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Assign from the drop-down menu. The Assign Case window displays, with the cursor in the SSN field.

Enter the SSN of the case to be assigned.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

The Release Case option is used to release a case from an individual's suspense.

To release a case the TE must:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Release from the drop-down menu. The Release Case window displays, with the cursor in the SSN field.

Enter the SSN of the case to be released.

The system checks to verify certain conditions. If the system identifies a discrepancy, the Error window overlays the Release Case window (an asterisk (*) displays in the error condition column). The case can not be released until all error conditions are resolved. See Exhibit 1.4.19-4, Error Condition-Cause-Corrective Action Chart, for a complete list of error conditions and the action required to correct each one.

If the case being released belongs to a batch assigned to the unit it should be returned to the batch in CSN order. If the batch displayed is a Unit Suspense batch type, the work unit and sequence number is blank. After releasing a case in unit suspense, place the case in the designated area for clerical retrieval.

If there are no errors on the case, or when all error conditions have been corrected, press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

The Release Case option is also used to release a Universal Work Case (UWC) assigned to a user.

To release a universal case the TE must:

These cases do not appear on the unit inventory report, TEs need to use or access "cases assigned" to identify cases assigned to them under Universal work. Managers should monitor the employees inventory to ensure cases worked through UWC (BT XX950) are released timely.

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Release from the drop-down menu. The Release Case window displays, with the cursor in the SSN field.

Enter the SSN of the case to be released.

The system checks to verify certain conditions. If the system identifies a discrepancy, the Error window overlays the Release Case window (an asterisk (*) displays in the error condition column). The case can not be released until all error conditions are resolved. See Exhibit 1.4.19-4, Error Condition-Cause-Corrective Action Chart, for a complete list of error conditions and the action required to correct each one.

If the case being released belongs to a batch assigned to the unit it should be returned to the batch in CSN order. If the batch displayed is a Unit Suspense batch type, the work unit and sequence number is blank. After releasing a case in unit suspense, place the case in the designated area for clerical retrieval.

If there are no errors on the case, or when all error conditions have been corrected, press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

There are times when TEs forget to release cases belonging to another site (UWC). The AUR Coordinator at the originating site contacts the AUR Coordinator of the site where the case is assigned through UWC and provides an SSN. If available, notify the TE to release the case. If the TE is not available see (4) below.

The AUR Coordinator can release UWC cases a TE has worked and forgotten to release. To release a case the coordinator should take the following action:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Transfer from the drop-down menu.

Select Transfer from the pull right menu. The Transfer Case window displays, with the cursor in the SSN field.

Enter the SSN provided by the parent site. The following message appears "WARNING: WHEN YOU COMMIT, THIS UNIVERSAL WORK CASE WILL BE REFILED TO THE ORIGINAL BATCH AND LOCATION" , acknowledge the message.

Press to commit.

Press to exit.

When the AUR Coordinator releases the case it is refiled to the previous suspense batch. All PC's entered by the TE are lost.

It may be necessary to transfer a case to the unit suspense batch, such as while waiting for assistance on the case or when another user needs to work a case. The manager may also need to transfer cases to other users.

To transfer a case the TE must:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Transfer from the drop-down menu.

Select Transfer from the pull right menu. The Transfer Case window displays, with the cursor in the SSN field.

Enter the SSN of case that needs to be transferred.

Enter the SEID to which the case is to be transferred.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

Based on the assigned profile the Update Transfers option may or may not be available. When using the Update Transfers function, the case must be in transfer status (for example, the case has been transferred but not accepted by the new user).

To update a case transfer:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Transfer from the drop-down menu.

Select Update from the pull right menu. The Update Transfers window displays with the cursor in the SSN TO UPDATE field.

Enter the SSN of the case to be updated. The cursor moves to the NEW UID field.

Enter the new SEID.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

When in the Update Transfers window, multiple SSNs can be updated without exiting the screen by repeating steps 6 and 7 above.

In certain situations it may be necessary to request an individual case to work. The request case option generates a charge-out which the clerical function uses to pull, transfer, and route the case to the requester.

This option should not be used when working virtual cases, the TEs should use the UWC option whenever possible.

To request a case:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select reQuest case from the drop-down menu.

Enter the SSN. The Request Case window displays with a "W" in the REQUEST CD field, press .

The system displays a message if the case is not in a Suspense Batch.

A "Y" displays in the TELEPHONE field.

Verify the "Y" is only in the telephone field and NOT in the PRP/CNGR field unless applicable.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

When a TE is on the phone with a taxpayer, cases in major suspense batches (BTs 40, 50, 55, 60, 70, 93, and 96) can be requested to work through View case.

The system displays the following error message if the case can’t be requested using Universal Work: "Case is not in a batch allowed for universal work case."

If TE is unable to request a case using Universal work, see IRM 1.4.19.12.7.1.1, Adding/Reactivating Users.

To request and work a case through UWC the TE must be in the View Case Screen:

Select Control from the AUR main menu.

Select Case from the drop-down menu.

Select univ Work from the pull right menu.

Click on the YES box when the following message displays: "Do you accept the case to work?" .

Acknowledge the message: "Warning: Case has been assigned to you. Please work case and release."

Once a case has been released through UWC and additional changes need to be made and the case belongs to another site, TEs should not request clerical to transfer the case. Use the action required box to notify the originating site a correction needs to be made.

A case transferred to a user must be accepted before it can be worked. Before accepting a case transfer, the paper case should be in the user's possession.

To accept a case transfer the TE must:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Transfer from the drop-down menu.

Select Accept from the pull right menu. The Accept Transfers window displays showing individual cases transferred to your SEID. The cursor is in the ACCEPT field.

The Accept Transfers window is the same for accepting work units and individual cases.

Enter "Y" in the ACCEPT column for each case being accepted.

After entering "Y" for all the cases you choose to accept, press to commit.

Press to exit.

Each user can be given a profile, which allows them to view any case on the system. For any year available on the AUR system, a user can view cases (Universal View Case (UVC)) in any of the seven AUR sites. The view case function is necessary for users who answer taxpayer telephone inquiries and for Notice reviewers.

The status bar on the Case Analysis screen displays the site where the case is located. The status bar indicates the user is in View Case.

If TE is unable to view a case using UVC, see IRM 1.4.19.12.7.1.1, Adding/Reactivating Users.

When a case is accessed as a View Only Case, only the following changes will be saved on the case:

Telephone number and contact hours on the Tax Account screen.

Case notes on the Case Note screen.

IR notes on the IR Note screen.

All update fields on the Taxpayer Information window.

Action required box.

Update Address window.

To view a case:

Select the tax year from the AUR Year menu.

Select reView from the AUR main menu.

Select View case from the drop-down menu. The History/View/Request Case window displays with the cursor in the ENTER SSN field.

Enter the SSN of the case to be viewed.

Enter a "Y" in the Phone Contact box if applicable. When a "Y" is entered the Disclosure Verification Screen appears, see IRM 4.19.3.22.2.2.1, Disclosure Verification Screen, for additional information. If a "Y" is not entered or the Disclosure Verification Screen is completed, the case to be viewed displays.

Press to exit.

Based on the assigned profile, the SEID update option may or may not be available. The Case SEID Update option is used to reassign a single case to another user. This option is used when an employee is not available to work a case assigned to them or to transfer it to another user.

To reassign a case:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Uid update from the drop-down menu.

Select Case Uid from the pull right menu. The Update Case UID window displays with the cursor in the SSN field.

Enter the SSN of the case being reassigned. The cursor moves to the NEW UID field.

Enter the SEID of the TE to work the case.

Press to commit. A message displays indicating the records have been committed. Acknowledge the message.

Press to exit.

When it is determined cases have too many errors after a review, the Restore Work Unit option can be used to refresh the data to near original data (before the TE made entries). Return value fields where changes to the original Return Transaction File (RTF) data were made cannot be restored. Caution TEs to recheck these entries for validity. The case must be reworked and the appropriate PC, other than RF, assigned. This option can only be used in the screening phase of Underreporter prior to the batch being updated to "RB" status. The AUR Coordinator and managers have access to restore options.

The Restore Work Unit options should ONLY be used when all other actions have been taken to resolve the error(s).

To restore a work unit:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Work unit from the Control menu.

Select reStore from the drop-down menu. The Restore Work Unit window displays.

Enter the batch number and work unit number to be restored.

Press to commit. Cases cannot be accessed during the restore process. A message displays indicating all cases in the work unit have been restored.

Press to exit.

Each AUR site is responsible for providing successful toll-free service to our taxpayers. This subsection contains information and instructions for AUR managers to resolve taxpayer telephone inquiries through the UCCE (Unified Contact Center Environment) Telephone System. This includes security measures, accessing the system and training telephone assistors. See SERP - Job Aids - IMF AUR Research Portal , IRS Cisco Finesse Supervisor Desktop User Guide.

Universal Work allows the TE to provide quality service to the taxpayer regardless of which site controls their case. This option is available for any year available on the AUR system. If the case requires a paper document or a fax, and is controlled at another campus, do not use the Universal Work Option. See IRM 4.19.3.22.2.6, Universal Case.

If TE is unable to view or request a case using UWC, see IRM 1.4.19.12.7.1.1, Adding/Reactivating Users.

Manager calls should be very rare. If an assistor refers an excessive number of calls, it is likely additional training and coaching is needed in "Effective Communication" and/or "Dealing with Difficult Taxpayers" .

Remember everyone in IRS is an advocate for the taxpayer. Appropriate actions should be taken to correct the taxpayer’s problem on first contact. However, if you cannot correct the problem AND the taxpayer’s issue meets Taxpayer Advocate Service (TAS) criteria as outlined in IRM 21.1.3.18, Taxpayer Advocate Service (TAS) Guidelines, refer the case to the TAS.

Encourage assistors to practice techniques to diffuse a taxpayer's anger, reassure taxpayers they can assist with the issue, and to make every effort to handle the call themselves. However, some taxpayers:

Immediately want to speak with a manager,

Are only satisfied by speaking with a manager even though the assistor has provided the requested assistance,

Want to complain about the service the IRS has provided, or

Want to compliment the service the IRS has provided.

To receive a manager call, ensure you are signed onto the Cisco Finesse Supervisor desktop software. For log in information, See the Cisco Finesse Supervisor Desktop User Guide.

When you are prepared to speak with the taxpayer, take the referred call:

Verify from the phone assistor disclosure was covered. If disclosure was not addressed, it’s the manager’s responsibility to cover disclosure procedures.

Obtain the SSN and the tax year from the assistor and ensure the assistor is no longer viewing the case.

Select the tax year from the AUR Year menu.

Select reView from the AUR main menu.

Select View case from the drop-down menu. The History/View/Request window displays with the cursor in the ENTER SSN field.

Do not click on the PHONE CONTACT field, when the assistor has already taken this action.

Connect with the taxpayer and provide your last name (for example, "Manager LAST name" or Mr, Mrs, Miss, Ms, LAST name), unique badge identification number and ask "How may I help you?" .

DO NOT provide your first and last name when identifying yourself, use one of the examples shown above.

While talking with taxpayers, you represent the IRS and must always conduct yourself in a professional manner. There is no excuse for treating anyone rudely. Be courteous, control the direction of the conversation and give the taxpayer accurate and complete assistance.

Maintain a pleasant, friendly tone of voice.

Speak clearly, using words the taxpayer can understand.

Avoid using IRS jargon and acronyms.

Handle taxpayer’s negative reactions with patience.

Treat the taxpayer as a unique individual deserving respect.

Put yourself in the taxpayer’s place. If you received a notice and called for assistance, you would want to be treated with respect and given accurate, complete information to resolve the problem.

Callbacks are used when you prefer to return the call later , enabling you to research the account before talking to the taxpayer. If you prefer to return the taxpayer's call, obtain the taxpayer's name, SSN, phone number and the best time to return the call. For more information on making an outgoing call, see the Cisco Finesse Supervisor Desktop User Guide.

Double jacking enables the manager to take the call along side the assistor. Using this procedure might provide some insight on how this type of call could be handled by the assistor in the future.

Place yourself in IDLE or Logout of the Cisco Finesse Supervisor desktop when you are away from your desk.

When a call is transferred to the manager, the taxpayer is already distressed. Be prepared to take the appropriate action to deal with their needs. An important goal in dealing with a distressed taxpayer is to keep potentially disruptive emotions out of the conversation. Start with controlling your own reactions and emotions.

Even though the taxpayer is distressed, they want to believe as a manager, you can make the situation better.

There are three steps to lessen a taxpayer's anger:

Listen.

Empathize.

Assure.

When a phone assistor clicks on the "Emergency" button, the manager will be notified. The call will automatically become a conference call to include the phone assistor, caller, and the Emergency Call Recording line.

The following instructions should be used when receiving a bomb or other threatening call:

The assistor gets the manager's attention. Managers should be available to walk the assistor through the procedures.

The assistor needs to be as calm as possible, following the instructions below and asking the questions as shown on Form 9166, Bomb Threat Data Collection.

Keep the caller on the line as long as possible. Ask them to repeat the message. Ask the questions listed on Form 9166.

Complete the Form 9166. Retain a copy for your records and forward a copy to Treasury Inspector General for Tax Administration (TIGTA).

If the caller does not indicate the location or time of possible detonation, ask them for this information. Since calls are routed between different sites, it is extremely important to try to ascertain the caller's physical location and which IRS facility (city, state, specific building/floor/function) is being threatened.

Inform the caller the building is occupied and detonation of a bomb could result in the death or serious injury to many innocent people.

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

Pay particular attention to background noises such as motors running, music playing, and any other noise which might give a clue to the caller's location.

DO NOT hang-up after the caller is off the line. This assists in tracing the call.

Immediately report a bomb threat to your nearest TIGTA office. If the bomb threat concerns another IRS building, the TIGTA agent(s) contact the TIGTA office having jurisdiction over the threatened IRS building. Enter the telephone numbers for contacting your TIGTA Office below. More related information can be found at Emergency & Safety and see IRM 21.1.3.10.7, Bomb Threats.

It may be helpful to keep a Form 9166 with the above information readily available at your workstation.

If a taxpayer makes a suicide threat over the telephone, the assistor should:

Press the Emergency button located in the Finesse Agent Desktop software.

Stay calm.

Not hang up or ignore the caller.

Use good judgment in keeping the caller on the line.

Immediately get a manager or the acting manager to take the call - without transferring or putting the caller on hold.

The manager/acting manager:

Takes responsibility for the telephone call.

Asks the caller for the location (including phone number) from which they are calling.

If the caller complies, document the caller's address/location.

Use all means available at your site, including the telephone or internet access to gather the necessary information to contact the required local law enforcement or government suicide prevention authority.

Campus directions vary, ensure all managers have the appropriate instruction inserted here. All sites should cover this information with local management to ensure during a live call of this type, it is not the first time the manager has reviewed these instructions.

If either the assistor and/or manager is teleworking, see IRM 21.1.3.12.1, Suicide Threat Procedures in a Telework Environment, for more information.

Report the threat and the caller's location to the local authorities. When we obtain a telephone number or location from the caller, we can relay this information to the local authorities.

If the caller provides their location, this information can be given to local authorities. This is not a disclosure of return/account information. See IRM 11.3.34.2, Procedures for Release of Information Regarding a Nontax Crime, and IRM 11.3.34.3, Expedited Procedures in Emergency Situations, for more information.

When reporting a suicide threat to local law enforcement authorities, state only that the threat was made during a contact involving "official business" .

Before ending the call, try to resolve the tax problem and calm the caller.

Contact your local Disclosure Manager as soon as possible and inform them of the threat and of any information disclosed to the law enforcement or suicide prevention authority. See IRM 11.3.34.2, Procedures for Release of Information Regarding a Nontax Crime, and IRM 11.3.34.3, Expedited Procedures in Emergency Situations, for more information.

If the caller refuses to give their location, a manager/lead or TE (provided a local Disclosure delegation order granting authorization is in effect) can use IRS systems to obtain the name and address of the caller, to give the information to federal or state law enforcement agencies, in situations involving life and health of an individual. This is considered an authorized IRC Section 6103(i)(3)(B) disclosure. See IRM 11.3.28.8, Use of Returns and Return Information in Administrative and Judicial Proceedings, and IRM 21.1.3.12, Suicide Threats, for further information.

Calls involving threats of suicide require all of the following actions be taken:

Contact your local Disclosure Office. Disclosure will guide you through the required accounting for the disclosure.

Contact the local TIGTA office following established local procedures.

Contact Employee Protection using Form 13090, Caution Indicator Referral Report, via fax, mail or a secured e-mail message. For additional information regarding Caution Upon Contact designation and referrals see IRM 25.4.2, Caution Upon Contact Taxpayer.

Taxpayer complaints about unresolved tax account issues should be resolved if possible. If unable to resolve and the issue meets Taxpayer Advocate Service (TAS) criteria, transfer to TAS. See IRM 21.1.3.18, Taxpayer Advocate Service (TAS) Guidelines.

Check for campus directions for handling taxpayer complaints and compliments. See IRM 21.1.3, Taxpayer Complaints/Compliments About IRS Service.

Managers are required to review 3 calls per month per assistor or the number of reviews as set forth locally by either the Department or Operations Manager.

To review a live call see SERP - Job Aids - IMF AUR Research Portal , Cisco Finesse Supervisor Desktop User Guide, for more information.

Review information is entered into the Embedded Quality System (EQRS); however, a monitoring sheet is usually helpful in keeping a record of the call.

Managers must complete a BEARS, Automated Information System (AIS) User Registration/Change Request, to request a link to EQRS. Read the EQRS User Guide before proceeding to main menu for logon.

Calls can also be reviewed using Contact Recording through the Verint System. To review a call using Contact Recording, managers and reviewers requiring access to Verint must complete a BEARS request with the appropriate special instructions.

IRM 4.19.3.22.2, Telephone Responses, contains the requirements for assistors and should be referenced in call reviews.

Share the review with the assistor within 3 workdays. However, if the assistor has provided incorrect information to the taxpayer, the manager informs the assistor as soon as possible but no later than eight (8) work hours after the call has been reviewed. Keep a signed copy of the review for your records.

AUR tax examiners can communicate with certain taxpayers via secure messaging.

All secure messages being sent through eGain require a Manager or Leads review to accept or reject the message before it is sent to the taxpayer/authorized representative. See the Secure Messaging Taxpayer Digital Communication User Guide, on the AUR Research Portal IMF, for more information.

Outbound messages to taxpayers/authorized representatives require managerial approval. When a TE creates a message, the system sends the message to the Lead’s inbox and places it in the Manager Approval queue. When the Lead signs into eGain, the outbound messages requiring managerial approval displays in the inbox.

The Manager or Lead must Accept or Reject the messages. Once the Manager or Lead accepts the message it is sent to the customer. If the message is rejected it’s sent back to the examiner for corrections.

To view the message needing review, take the following actions:

Go to the Inbox.

Click on the message activity needing review. The message displays in the Reply pane.

Review the message for the following:

Check the Subject Line for spelling errors and to ensure it has been updated from the initial Welcome Message subject line.

TP’s name is not in all capital letters or lower case in the greeting.

The outbound message has the correct attachments.

IRS Case status. If the message is a closing, ensure the IRS Case status is marked Completed.

The content of the message addresses the taxpayer response and meets all required correspondence criteria. See IRM 4.19.3.22.9, Correspondence.

If the message is acceptable, click Accept. The message automatically goes through spellcheck and then is sent to taxpayer.

If the message is unacceptable (i.e., spelling/grammar issues, incorrect information provided, etc.), send an encrypted email and ensure the subject line does not contain PII to the examiner, with the reason you are rejecting the message. Provide the SSN and Case ID of the message being rejected. Then click Reject, the message is sent to the tax examiner’s inbox for correction.

Messages are automatically populated into the Lead's inbox when the Lead signs into eGain. When the lead is not in, the manager must manually pick the messages from the Manager Approval Queue to review. Review of the messages themselves should follow the same process outlined in IRM 1.4.19.5.1, Procedures for Reviewing Outbound Messages.

To manually pick the messages from the Manager Approval Queue:

Click on the ellipsis in the Inbox pane. A drop-down menu displays.

Select "Pick" from the drop-down menu. The Pick Activities Dialog Box displays.

Select the Queue radio button, then click the downward triangle, a drop-down menu displays.

Select the Manager Approval queue from the drop-down menu. The activities display in the Filter By Subject field.

Highlight the activities you wish to select and click "Pick" in the lower right side of the Dialog box. The activities automatically populate in the inbox.

There may be instances where cases need to be transferred either to another employee or back into the Secure Message Queue to be put back into the round robin assignment.

If an employee needs to be added or removed from round robin new case assignment due to extended leave or other circumstances, contact the local AUR eGain ADMIN no later than Wednesday with the employee’s name and SEID for the change to be effective starting the following week.

If a case needs to be transferred from one employee to another take the following actions to the pick the case activities:

Perform an eGain Case ID search to populate the Inbox with all activities associated with the case.

Review the case to identify all currently open activities associated with the case to identify the activities assigned to the examiner in your eGain Unit.

Go to the Inbox and click on the ellipsis, a drop-down menu displays.

Select "Pick" from the drop-down menu. The Pick Activities Dialog Box displays.

Select the User radio button and the name of the currently assigned user from the drop-down menu. The activities display in the Filter by Subject field.

Sort the activities by Case ID to be sure to get all messages for same case.

Select the activity to transfer and click "Pick" in the lower right side of the dialog box. The activity automatically populates in the inbox. Repeat this process until all activities associated with the case have been picked.

To transfer the case and all associated activities, take the following actions:

Go to the Inbox.

Select an activity for the case to be transferred. The activity and case information will now display in the Reply and Information panes.

Select the Case icon in the Information (right-hand) pane and update the owner to the examiner that the case will be transferred to. If the examiner is outside of your unit, update the owner to the unit lead. Click Save in the Case Details pane.

Select the message activity in the inbox you want to transfer and click the ellipsis. A drop-down menu displays.

Select Transfer from the drop-down menu. The Transfer Activities Dialog box displays.

Activities must be transferred one at a time.

In the Transfer to drop-down menu, select User. A list of user’s displays.

Select the user the case is being transferred to and click the Transfer button.

Repeat steps 4 through 7 for all activities

Inform the receiving employee so they can send out the message stating they are the newly assigned examiner for the case.

Take the following actions if a case needs to be transferred back to the Round Robin Assignment queue:

Go to the Inbox and click on the ellipsis, a drop-down menu displays.

Select "Pick" from the drop-down menu. The Pick Activities Dialog Box displays.

Select the User radio button and the SEID from the dropdown menu. The activities display in the Filter By Subject field.

Sort the activities by Case ID to be sure to get all messages for same case. There is usually only one since this is used for transferring a new taxpayer back into the queue to be assigned round robin to the next examiner. The subject of the message is title "No Subject (nnnnn)" .

Highlight the activity you wish to select and click "Pick" in the lower right side of the Dialog box. The activity automatically populates in the inbox.

The unit Manager, Lead, and Clerk have the permissions to change the case owner. Only the Manager, and Lead or the assigned examiner can transfer the case.

All Compliance managers are required to conduct the following (where applicable) reviews:

Telephone monitoring

Workload reviews and on-line reviews

IDRS reviews

Evaluative reviews

Non-evaluative reviews

Clerical reviews

Reviews should focus on effective case resolution according to IRM guidelines. Emphasize the achievement of quality service.

Headquarters, Directors, Operations and Department Managers set review requirements for their respective operations. Conduct a balance of these reviews throughout the year and include a variety of types of reviews. When necessary, conduct side-by-side non-evaluative reviews for skill development.

Managers shall perform, at a minimum, quarterly audits of the Form 3210 Acknowledgement process for packages containing PII to ensure appropriate follow-up is occurring. This procedure will allow AUR managers the opportunity to validate that PII senders are following up on Form 3210 Acknowledgments within defined timeframes so that lost shipments are identified quickly. This reduces the likelihood that the PII could be exposed to an unauthorized user.

The primary purpose of a non-evaluative review is to help employees develop and enhance their job skills. Effective non-evaluative reviews foster open lines of communication between the employee, manager and the lead TE. These reviews enable the manager/lead TE to convey employee feedback and transfer operational goals in an informal manner.

Non-evaluative reviews do not contain a numerical rating. The results are to be shared orally. Some documentation is appropriate to establish the review actually took place (EQRS may be used to track employee development for this purpose).

Have the employee initial and date any documentation.

Provide one copy for the employee and retain the other copy.

The manager is primarily responsible for performing evaluative reviews; however, a portion may be delegated to the lead TE, with the except for IDRS Security Reviews and where only one type of review is required during the employee’s evaluative period. Although performing some of the reviews may be delegated, the manager must always present the results to the employee for the review to be used for evaluative purposes.

There are various types of evaluative and non-evaluative reviews used to observe and evaluate employee’s performance throughout the year. The following reviews should be performed to effectively evaluate an employee, if applicable:

Paper Case

Telephone Monitoring

Workload

Inventory Management

Systems Security

Age/Inventory

On-the Job

Employee Time Report, and other Reports

Suspense case reviews

Specialized case reviews

There are four types of review which can be accomplished within the AUR system:

Individual Quality

Managerial Review - The manager is responsible for managerial reviews

Unit Review

Underreporter Notice Reviews

A technical review should be performed on No Response and Undeliverable cases.

Current AUR system designs do not allow for two users to easily access the same case simultaneously. If the monitor/reviewer accesses the case before the assistor, it can prevent the assistor from accessing the taxpayer’s account in a timely manner. This presents a challenge when monitoring employee activity on incoming toll-free calls. The monitor can successfully review assistor calls by either:

Utilizing Contact Recording: This functionality records activity for randomly selected call(s) and allows the monitor to review the call(s) later .

Waiting until call completion to access the taxpayer information on the AUR system.

Individual quality review is performed by the designated quality reviewer (manager/lead). To perform these reviews:

Select the tax year from the AUR Year menu.

Select reView from the AUR main menu.

Select Manager from the review menu.

Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

Enter the SSN of the case to be reviewed.

Press the case data will display.

When the review is complete, press to exit.

Cases returned from a reviewer and identified as having errors, may be reviewed by the manager.

If the error is not appropriate, return the case to the review examiner for reconsideration following campus directions.

If the error is valid, return the case to the original TE for correction.

s are performed by the manager or designated examiner. This review is performed on any TE assigned to their unit.

To perform this review:

Select the tax year from the AUR Year menu.

Select reView from the AUR main menu.

Select Manager from the drop-down menu.

Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

Enter the SSN of the case to be reviewed.

Press . The case data displays.

When the review is complete, press to exit.

are performed by designated TEs. This review is performed on any batch assigned to a unit.

The review is performed by accessing the History/View/Request Case window.

Select the tax year from the AUR Year menu.

Select reV iew from the AUR main menu.

Select View case from the drop-down menu. The History/View/Request Case window displays with the cursor in the ENTER SSN field.

Enter the SSN of the case to be reviewed. The selected case displays.

When the review is complete, press to exit.

The CP 2000 Notice review is mandated, requiring review results be posted to the Notice Review Tracker on the SharePoint Monday of each week. The review MUST be completed the same week the batch is built.

If Monday is a non-workday (holiday, inclement weather, etc) the tracker must be completed on the 1st workday of the week.

Notice reviews are performed by a designated group of TEs. As there is no file copy of the CP 2000 for review, the review is performed on-line by taking the following actions:

Select the tax year from the AUR Year menu.

Select reView from the AUR main menu.

Select Manager from the drop-down menu.

Select Review from the pull right menu. The Case Analysis screen displays with the cursor in the PRIMARY SSN field.

Enter the SSN of the case to be reviewed. The selected case displays.

When the review is complete, press to exit.

The review can also be performed by:

Select the tax year from the AUR Year menu.

Selecting reView from the AUR main menu.

Selecting View case from the drop-down menu. The History/View/Request Case window displays with the cursor in the ENTER SSN field.

Enter the SSN of the case to be reviewed. The selected case displays.

When the review is complete, press to exit.

All notice reviews are batched by the control function into BT 95. See IRM 4.19.2.6.61, Batch Type (BT) 95 (Review), for additional information regarding BT 95.

The Payer Agent window is used to input information to identify IRs where an issue with the way the payer reported the income may be present.

There are two types of Payer Agent Coordinators (National and AUR Site).

National Designated AUR Payer Agent Coordinator (currently located in Ogden) is responsible for the input of all Employer/Agent information return documents received from the Enterprise Computing Center at Martinsburg (ECC-MTB) Management and Technology Information Returns Division. See IRM 4.19.3.6.3, National Designated AUR Payer Agent/Fraud Coordinator – Instructions.

AUR Site Payer Agent Coordinator (located at each of the seven sites) is responsible for referrals of questionable/suspicious Payer agent data identified at their site. This includes creating a record in AUR when one does not exist or updating a record when required. See IRM 4.19.3.6.2, AUR Site Payer Agent/Fraud Coordinator – Instructions.

New and/or updated Payer Agent information is populated weekly for all the sites when the X007 AUR Run is processed.

When the Payer/Fraud menu option is selected a drop-down menu displays the following:

Payer Agent - allows Search and New Entry for payer agent information.

Payer Agent list - shows a listing of all Payer information loaded into the AUR system.

Potential Fraud - allows Search and New Entry for fraud information.

Potential Fraud List - shows a listing of all Fraud information loaded into the AUR system

Potential Fraud Listing opens in a BOE window.

When Payer Agent is selected the payer agent window displays. There are two tabs which allow the user to search or input payer agent information or standard paragraphs.

The Payer Agent window allows for Advanced Search and New Entry which displays the following information:

EIN –Employer Identification Number

Payer Name Lines – Identifies the Payer for which the issue was reported

DOC Type –Literal for the type of document received (1098,1099, W-2)

Income Type –Literal for the type of income reported (Wage, DCB, MED)

Source – How the information was reported either Paper or Magnetic Media Tape (P= Paper, T=Tape)

IR’s Updated – Auto populates when the information is created or updated

Service Center - which input the payer agent

Description – information or instructions pertaining to the issue reported

The Payer Agent window can also be used to search using the EIN. Enter the EIN in the EIN field and press Enter. If no information populates after the EIN is entered, the following error message displays No Payer Agent information is available.

The Standard Paragraphs tab allows the payer agent to add, view, modify and delete paragraphs:

If

Then

Adding a paragraph

Select ADD button. The cursor moves to the next available line for entry.

Press <CNTRL+E>or double click. The edit paragraph window displays.

Enter paragraph information.

Select the SAVE button.

Deleting a paragraph

Select the Paragraph Test line

Press the "Delete" button

The system will prompt to ensure this paragraph is to be deleted

View or Modify a paragraph

Select Paragraph Text line

Press <CNTRL+E>or double click. The Edit Paragraph window will appear

Press "Save" button when finished.

Once information is saved in the payer agent window it can’t be deleted.

Payer Agent should review the Payer Agent listing when entries have been made as described in (3) above. See IRM 1.4.19.9.6.8, Payer Agent List, for additional information.

When the potential Fraud is selected as described in (1) above, the Potential Fraud window appears. There are two options Search and New Entry:

If accessing

Then

Search

Select the Search Button. The Search potential Fraud window will appear.

Enter the EIN, Doc Type, Income Type and/or Money amount.

Press or Search button. The Fraud information displays in the fields.

If no information populates after the EIN, Doc Type, Income Type and or Money amount is entered, the screen remains blank if nothing was found.

New Entry

Enter EIN

Enter Payer Name in the Payer Name Lines field.

Enter document type in the DOC Type field.

Enter Income Type, otherwise leave blank.

Enter Money Amount, otherwise leave blank.

Enter P=Paper or T=Tape (magnetic media) in the Source field.

Date - field auto populates with current date.

SC – Service Center, auto populates with Fraud coordinators service center

Fraud Description Notes - Enter specific Instructions for the tax examiner in the Text Lines field

Press the Save button or F4 to commit.

Once information is committed in the Fraud window it cannot be deleted.

Select New Entry button allows new fraud information to be entered. A Cancel New Entry button will appear in the window.

While all the reports and listings serve a specific purpose, some have been designated as "Most Important" and should be monitored on a regular basis.

The AUR System provides numerous methods to monitor inventory through history windows and inventory reports. The following reports have been designated as:

"Most Important"

Unit Suspense

Aged Response Batch Summary

Inventory

Mistle

Mistle XCL

Notice Letter Listing

Non-Stat Listing

PC Status Listing

Weekly PC/IPC Listing

Unit Inventory

Lost Case Report

Disassemble Age Report

Reject Listing

Batch Released Report

Open Case Listing

Open Transfer Listing

Missing Assessment Report

Statute Listing

Stat Not Generated Report

Extract Cycle Category Listing

IDT Suspense Listing

Restricted Case Report

TDC Notice Suppression

The reports in the AUR System serve two distinct purposes. The first is to provide listings to aid in the flow of work through the units. The second is to provide managers and the AUR Coordinator with information to be used in the coordination and monitoring of inventory.

The report data on the AUR System is classified as either system or user generated. There are two major groupings.

The first grouping is designated as Reports.

Reports contain data elements providing information which allows management to monitor the total inventory.

Reports are usually generated by the system and display all data reflecting the whole system rather than the individual batch information provided by the listings.

Both reports and listings most often reflect real time information rather than cumulative data.

The second grouping is designated as Listings.

Listings are used as transmittal sheets for specific batches of work. Listings break down batch information by Process Codes, Case Sequence Number, and/or SSN.

Listings do not give a comprehensive picture of the inventory and are not usually generated by the system.

A few of the listings are system generated and provide information, which is needed to process cases requiring special handling. See Exhibit 1.4.19-6, AUR Report Matrix, which lists each report and listing with the report frequency, access capabilities, purpose and type of report.

To navigate through a report on the screen, use the mouse or the following keys on the keyboard:

End - Takes you to the last page of the report

Down Arrow - Moves the cursor down one line

Page Down () - Takes you to the next page of the report

Home - Takes you to the first page of the report

Up Arrow - Moves the cursor up one line

Page Up () - Takes you to the previous page of the report

System generated reports are created weekly during the normal batch processing runs.

To access a report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu. When the reports menu displays, each type of report or listing available is shown as an option.

Select the report or listing to view/print. The report/listing opens in a Microsoft Edge window or in a Business Object Enterprise (BOE) window.

BOE reports can also be exported to Excel, PDF, HTML, Text and CVS Archive files by using the BOE “Export” button in the BOE menu.

If the report opens in a Microsoft Edge window, you can view the report/listing by taking the following actions:

Select ellipsis options.

Select Print from the drop-down menu.

To exit the report, use the "X" in the top right-hand corner of the report.

Press to close the Control Menu.

If a print of the entire report is not needed, press the (print screen) key to access Snag-IT to capture the portion of the report shown on the screen.

If the report opens in a BOE window, you can view the report/listing by taking the following actions:

Click on the ellipsis under File. Select the print option. Click print. The report/listing downloads to PDF for printing.

Click on Open file. The report/listing opens in PDF.

Select File from the menu or click on the printer icon.

If the File option is selected, select Print from the drop-down menu.

To exit the report, select File then Close from the menu options at the top of the report or use the "X" in the top right-hand corner of the report.

The following reports are listed under the ControlBatch menu option:

Batch Inventory

Batch Listings

Batch Released

Batch Inventory Reports list batches by status in batch number order. These reports are generated on demand and can be viewed by the AUR Coordinator, managers or lead TEs.

This report option contains a menu, which allows the user to select nine data options.

Association - displays screening batches in AB status.

Batch Type - displays a specified batch type.

Complete - displays all batches, their status, digital response indicator, whether folder exists, days in status, volume, location, and age. The batches display in numerical order for each status.

Use the Complete Batch Report to determine the overall batch processing within your site and to identify any work flow issues, (for example, are batches being disassembled timely, are batches aging without actions). This report has been designated as one of the "Most Important" .

CP 2000 - displays all CP 2000 batches, their status, digital response indicator, whether folder exists, days in status, volume, location, batch IRS received date, and age. The batches display in numerical order for each status.

CP 2501 - displays all CP 2501 batches, their status, digital response indicator, whether folder exists, days in status, volume, location, batch IRS received date, and age. The batches display in numerical order for each status.

Recon - displays all BT 81, their status, days in status, volume, location, and age. The batches display in numerical order for each status.

Screening - displays all screening batches, their status, days in status, volume, and location. The batches display in numerical order for each status.

Statutory - displays all CP 3219A Notice batches, their status, digital response indicator, whether folder exists, days in status, volume, location, batch IRS received date, and age. The batches display in numerical order for each status.

Unit Suspense - displays the total number of cases when the appropriate batch type is input that is assigned to unit suspense batches , the oldest IRS received date and age from the IRS received date. Use this report to determine if the site has excess inventory in the unit suspense.

Managers should monitor this report on a weekly basis. This report has been designated as one of the "Most Important" .

For response batches, the FLDR EXISTS field contains a "N" when the when the cases are fully virtual or a “Y” when the there is a paper case file. The DIG field contains a “Y” for digital responses and “N” for paper responses.

Each data option may be detailed by choosing one or all of the Batch Status Codes or Location Numbers within the selected data option. The Status categories are further broken down by:

Batch Inventory Report Displays

Dig (Digital)

Batch Number

Fldr Exists

Days in Status

Volume

Location

Batch/IRS Rcv’d Date

Age from IRS Rcv’d Date

Volume over 30 Days by Saturday

AB Status Date

Age from AB Date

The Dig column will display:

"A" if it’s auto batched with a digital response

"Y" or "N" if response was built by clerical

If the column is blank that means the case was built by a systemic process other than auto batching, for example: auto purge.

The Batch Inventory Report also provides a summary page. This page displays:

Batch Status

Batch Volume

Case Volume (number of cases assigned to batches)

Oldest IRS Received Date

Age (number of days from IRS Received Date)

To view the Batch Inventory Report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Batch from the drop-down menu.

Select bath inventorY from the pull right menu. A pull right menu displays with report options.

Select one of the available options from the pull right menu. The applicable window displays.

The COMPLETE option includes all of the other categories except for Unit Suspense.

If the Batch Type option is selected, enter a two-digit batch type (e.g., 29 for Priority Screening, 36 for Screening Unit Suspense).

Default entries appear in the STATUS, LOCATION, SUMMARY ONLY and SORT ORDER fields. To change a default entry, place the cursor in the field, press or and enter the correct values for each field.

STATUS - enter the current status of the batch being requested (AU = Assigned Unit, BF = Batch Finished).

LOCATION - enter a three-digit location (unit) number or ALL for all locations.

SUMMARY ONLY - enter either "N" for Detail, which generates a report with batch number, days in status, volume, case volume, location, batch IRS received date, age from IRS received date, and the summary or "Y" for Summary, which generates a report with status, batch volume, case volume, oldest IRS received date and age.

SORT ORDER - enter default entry "S" for sequence order. Click to view report.

Batches containing multiple received dates do not display in date order.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to print/view reports and listings.

This report is used to monitor the volume of work available and is continuously updated by the system.

display all cases in a designated batch arranged in a selected sequence order.

As a rule, these listings are not system generated and DO NOT give a comprehensive picture of the total inventory. The header information for all batch listings includes:

Batch Number

Batch Status

Batch Date and

Batch Location

The last page of Batch Listings is a summary page which contains total volumes for each data column. Batch listings can be generated for any batch in the system and can be viewedby the user. Batch listings include the following:

PC - Sequence Number - SSN

Sequence Number - SSN - PC

Sequence Number - SSN

To access batch listings:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

SelectB atch from the drop-down menu.

Select Batch listings from the pull right menu.

Select one of the available options from the pull right menu. The listing options display in the order stated in (3) above.

Select one of the available options from the pull right menu (Complete or Summary) for the Sequence Number - SSN - PC Listing and the PC - Sequence Number - SSN Listing. The Batch Listings window displays with the cursor in the ENTER BATCH NUMBER field.

Enter the batch number. The selected Batch Listing opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

These listings can also be accessed by taking the following actions:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Batch from the Control menu.

Select Status/Location from the drop-down menu.

Select Status/Location from the pull right menu. The Update Batch Status window displays with the cursor in the BATCH field.

Select Reports.

Select Batch listings from the drop-down menu.

Select one of the available options from the pull right menu. The listing options display in the order stated in (3) above.

Select one of the available options from the pull right menu ( Complete or Summary) for the Sequence Number - SSN - PC Listing and the PC - Sequence Number - SSN Listing. The Batch Listings window displays with the cursor in the ENTER BATCH NUMBER field.

Enter batch number. The selected Batch Listing opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Batch listings are generally used as:

Clerical transmittal documents, for each batch in "AB" status

Records of batch contents to verify cases within the batch

Records of batch contents to locate cases within the batch

The primary sort of this listing is by sequence number. The Complete option displays the following data:

Sequence number (depends on the type of batch requested)

Reconsideration cases will be removed from the batch once the PC is committed.

Virtual Indicator (V), if applicable

SSN

Process Code

Process Code Date

Received Date

The Summary option displays the following data:

Process Code(s)

Volume for each PC

Total volumes of PCs

The primary sort of this listing is segmented by IPC/PC. The Complete option displays the following data::

Sequence Number (This number depends on the type of batch requested.)

Virtual Indicator (V), if applicable

SSN

IRS Received/Suspense Date

The Summary option displays the following data:

Process Code(s)

Volume for each PC

IRS received date for response batches or the Suspense date for suspense batches for each PC

Volume of cases for the IRS received date or the Suspense date and

Total volumes for all PCs and the dates

The primary sort of this listing is by sequence number. This listing displays the following data:

Sequence number - depends on the type of batch requested

Auto notice Virtual Indicator (A), if applicable

Virtual Indicator (V), if applicable

SSN

The Total Volume of cases in the batch displays as the last line of the listing.

The Batch Released Report displays a list of each batch type updated to Batch Finished (BF) status from all locations for a specified period of time. The listing displays a summary by location and a grand total summary of all locations.

This report can be accessed by taking the following actions:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Batch from the drop-down menu.

Select batch Released from the pull right menu. The Batch Released window displays with the cursor in the ENTER BEGINNING DATE field.

Enter the beginning and ending dates in MM/DD/YYYY format. The Batch Released Volume Report opens in a BOE Window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use the Batch Released Report to monitor the inventory worked by location and to determine how much work is being completed by the units. This report is used to determine productivity issues.

This report has been designated as one of the "Most Important" .

This report is generated on demand and can be viewed by the AUR Coordinator and technical managers.

The Cases In Error Report identifies cases with error conditions. This report is generated when the status of a specific batch is updated to BF or RB. Technical managers can access this report when updating a batch to BF status.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Cases in error from the drop-down menu.

Enter the batch number and press . The Cases In Error Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The report is used to identify and to resolve cases with error conditions (for example, new transactions, missing PCs, special paragraphs).

It is generated by batch number. The left side of the report shows the following case data:

SSN

Process Code

PC SEID

Sequence number within the batch

Owner SEID

The report lists the following error conditions which are marked as identified by the system:

Error Condition

Definition

NO PC

No PC assigned to the case

NEW TRN

New transaction is present on the case

PC NOT VER

PC has not been verified (clerical)

PYR AGT

New payer agent information is present for the case

REQUEST

Case has been requested by another user

OVER 100K

Tax increase is over $100,000 and requires review

LTR PAR

Special paragraph on a correspondex letter needs review

ACT REQ

Action required based on universal access

DIS ZIP

Case is in a federally declared disaster area

STAT IMM

Case is statute imminent

PEN STATUS CDWAIV

Case with a penalty the manager has not reviewed

STOL ID

Case has an identity theft indicator

DIG RESP

Case has a new digital response that hasn’t been reviewed

The following reports are located under the Clerical menu option:

Clerical Menu

Address update

Aging

Auto Assess

Check date list

Closed research

Disaster CSN/SSN

Lost case

Misc letter

New payer agent

New transaction

Pull listing

Return chargeout

Reworked cases

Release batch

Scanned Images

Undelivered notice

The Address Update Report provides a listing of cases with a new address since the case was batched into Aged CP 2000, CP 3219A BT 59. When BT 59 is updated to RB status, the system searches for receipt of a new address and identifies those cases.

The report must be printed before the system allows the batch to be updated to "RB" status. This report can be generated in CSN or SSN order.

This report displays two sets of three columns :

Sequence Number

SSN

A Virtual Indicator (V) appears to the right of the SSN if it is a virtual case.

Previous CSN

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select address uP date from the pull right menu. The Address Update Rpt window displays with the cursor in the ENTER BATCH NUMBER field.

Enter the batch number. The cursor moves to the ENTER SORT ORDER field.

Enter "S" for SSN or "E" for sequence number. The Address Update Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report each week to pull the cases with updated addresses and build them to Remail CP 2000/Recomp BT 38.

If the system prompts "IPC 6L" is on the case, build these into BT 84.

This report is generated on demand and can be viewed by the AUR Coordinator and clerical managers.

Aging reports identify cases having met a specified number of days, either systemically set or input by the AUR Coordinator, and are considered aged.

The report data can be sorted and displayed by one of the following pull right menu options:

Auto purge

Complete case

Disassem batch

Part agreed

stat Not gen

Susp aged batch

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Then select Aging from the pull right menu.

Select one of the available options from the pull right menu. The listing options display in the order stated in (1) above. The selected Aging Report opens in a Microsoft Edge window as a PDF file down-load or in the BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

These reports are updated weekly and can be viewed by the AUR Coordinator and clerical managers.

This report displays aged cases in batches having been through the disassembly process (DC status). Cases from batches in "DC" status display on the next week's report.

Cases in disassembled batches with IPC MI needing to be built to BT 61 and cases with IPC-RN needing to be built to BT 67.

The Disassembled/Age Batch Report displays the following:

Virtual Indicator (V)

SSN

A Virtual Indicator (V) appears to the left of the SSN if it is a virtual/digital case

Process Code

Batch

Batch Status Date

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull right menu.

Select Disassem batch from the pull right menu. The Disassembled Age Batch Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report on a weekly basis to monitor disassembled batches and SSNs (cases) not built to the appropriate batch.

If the user is unable to locate the case to build, make a site decision to either:

Continue processing without the physical case file or

Assign the SSN to Lost Case BT 98 and closely monitor for subsequent actions.

This report has been designated one of the"Most Important" .

The Disassembled/Age Batch Report is generated weekly by the system and can be viewed by the AUR Coordinator and clerical managers.

The Completed Case Report identifies cases in Missing Data Suspense BT 32 when the missing data has been received.

The Completed Case Report displays SSNs followed by the Virtual Indicator (V) if applicable. Cases are filed in the Missing Data Suspense in SSN order.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical form the drop-down menu.

Select Aging from the pull right menu.

Select Complete case from the pull right menu. The Completed Case Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is used each week to pull the cases from the suspense file and build to Completed Cases/Screening BT 31.

This report is system generated weekly and can be viewed by the AUR Coordinator and clerical managers.

This report indicates which suspense batches have met the appropriate suspense timeframes. The system has checked for the required conditions (for example, foreign addresses, new transactions, and new addresses) before updating each case with a code indicating the batch number for the cases next batch assignment.

The Suspense Aged Batch Report displays the following:

Suspense Batch

Notice Date of the Suspense Batch

Count

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull right menu.

Select Suspense Aged Batch from the pull right menu. The Suspense Aged Batch Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report on a weekly basis to monitor suspense batches, ensuring all cases meeting the appropriate suspense timeframes continue through AUR processing. Each week, clerical builds the cases present in the suspense batches listed on the report.

The report is system generated weekly and can be viewed by the AUR Coordinator and clerical managers.

This report displays Partial Agreed Batches (BT 67 and 87) in "AB" batch status for one or more processing cycles.

The Partially Agreed Aging Report displays the Batch Number and Status Date, the date the batch status was updated.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull right menu.

Select Part agreed from the pull right menu. The Partially Agreed Aging Report opens in a Microsoft Edge or Adobe window as a pdf document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report each week to determine which Partial Agreed BT 67 and 87 batches require updating to "RB" batch status, to ensure timely actions and minimal cycle time.

This report is generated on demand and can be viewed by the AUR Coordinator and clerical managers.

This report provides a list of cases from the prior week's Statutory Notice mailout not receiving a Certified Mail Number, indicating the Statutory Notice of Deficiency was not generated and mailed. The AUR system receives this data from Correspondence Production Services (CPS) within two weeks of the CP 3219A notice date.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR Main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull right menu.

Select Not gen from the pull-right menu. The Stat Not Generated Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The Stat Not Generated Report displays:

CSN and virtual indicator

SSN

Total number of cases

SCRS Due Date

This report is used to identify and transfer cases where a Stat Notice was not generated, to the AUR Coordinator or designated SEID.

This report has been designated as one of the "Most Important."

This report is generated weekly by the system and can be viewed for the prior week's Stat Notices.

This listing identifies cases containing conditions (fallouts) requiring TE review.

This listing displays the following information:

Notice Date

Suspense Sequence Number

Virtual Indicator

SSN

Target Batch

Fallout Condition

Restricted Case Code

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull right menu.

Select Auto purge from the pull right menu.

Select Auto purge pull list from the pull right menu. The Auto Purge Pull List window displays with the cursor in the ENTER BATCH NUMBER field.

Enter the batch number. The Auto Purge Pull List opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing each week to pull and build cases containing conditions (fallouts) requiring TE review.

This list is generated on demand and can be viewed .

This listing identifies cases remaining in the 40, 50, 55, 60, 70 Suspense batches.

The listing displays the following:

Target

Suspense CSN

Virtual Indicator

SSN

Total Volume to BT

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull right menu.

Select Auto purge from the pull right menu.

Select Auto purge pull list from the pull right menu. The Auto Purge Target Batch listing window displays.

Enter suspense batch number. The Auto Purge Target Batch Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This list is generated weekly and can be viewed .

This listing identities batch types 38, 49, 59, and 79 that were systemically built and ready to be updated to "RB" status. This listing also identifies systemically built BT 84 ready to be updated to AB status.

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Aging from the pull-right menu.

Select Auto purge from the pull-right menu.

Select Rb batches from the pull-right menu. The RB Auto Purge Batches Report displays in a Microsoft Edge window as a text document file.

This report is generated weekly and can viewed.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings,

The Auto Assessment Report provides a listing of cases in sequence number order, which have been automatically assessed in other than a Fully Agreed Response batch.

The auto assessment report does not generate for BT 51, 67, 71, and 87.

This report displays the following data:

Process Code

New Files Sequence Number

Virtual Indicator (V)

SSN

SOURCE DOC (An asterisk (*) displays in SOURCE DOC field when there are no attachments to associate with the CF 5147. An N displays in the SOURCE DOC field when there are no attachments for Files to associates.)

The SOURCE DOC field may display "N," R,Y or be blank. No clerical action is required.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select AUTO Assessment from the pull right menu. The Auto Assessment window displays.

Enter the batch number. The Auto Assessment Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The Auto Assessment Report is for PAS sample. This report should be run after a Disagreed Response batch is completed and updated to "RB" status.

This report is generated after the batch is verified and MUST be printed prior to updating the batch status to RB. The report may be printed or viewed by the Clerical Managers. Clerical Leads, and the Clerks.

This listing is generated by batch type and notice date. This listing displays the following:

Batch type

Notice Letter Date

Suspense batch

SSN

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Check Date List from the pull right menu. The Check Date Listing window displays in the cursor in the ENTER BATCH TYPE field.

Enter the Batch Type in the BATCH TYPE field.

Enter the Notice Date in the NOTICE DATE field. The Check Date Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listing, for information on how to view reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator or Clerical Managers.

Closed research reports provide information on cases with no return transaction information or where the tax return cannot be obtained from the Federal Record Centers.

The Closed research reports drop-down menu option has a pull right menu. Select one of the following closed research reports:

Closed Missing Data Case Report

Unavailable Return Report

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select closed researcH from the pull right menu.

Select one of the available options from the pull right menu. The listing options display in the order stated in (2) above. The selected Closed Research Reports opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report weekly to identify cases that are/can be closed.

These reports are generated weekly and can be viewed by the AUR Coordinator and clerical managers.

This report displays information on cases in Missing Data Suspense BT 32.

The Closed Missing Data Case Report displays SSNs in four columns. Cases are filed in the Missing Data Suspense area in SSN order.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select closed researcH from the pull right menu.

Select Missing data from the pull right menu. The Closed Missing Data Case Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report each week to pull the cases from the suspense file to be refiled at the appropriate FRC.

The Closed Missing Data Report shows SSNs of cases closed since being assigned to Missing Data Suspense batch (BT 32). If data is not secured within 45 days, these cases are systemically closed with a PC 29.

This report is system generated weekly and can be viewed by the AUR Coordinator and clerical managers.

This report displays information on systemically closed cases in Research BT 30 and BT 34 when the research/return has not been received. The system suspends the SSNs for 60 days before systemically closing with either PC 28 or 29.

The system does NOT automatically close Married Filing Separate (filing status (FS) 3) cases. These cases display at the end of the Closed Unavailable Return Case Report and must be manually closed with a PC 29.

The Closed Unavailable Return Case Report displays two columns: the SSN and CSN.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select closed research from the pull right menu.

Select Unavailable return from the pull right menu. The Unavailable Return Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report each week to pull the cases from the suspense file to be refiled to the appropriate Federal Record Center and to identify FS 3 cases requiring closure.

This report is system generated weekly and can be viewed by the AUR Coordinator and clerical managers.

This listing is used to monitor cases, impacted by a declared disaster, within a batch.

This listing displays the following information:

Batch Number

Batch Sequence Number

Work Unit

Sequence Number

SSN

Expiration Date

Virtual Case

Zip Type

Fema Num

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Disaster csn/ssn from the pull right menu. The Disaster CSN/SSN window displays with the cursor in the FEMA NUMBER field.

Enter the FEMA or batch number, then press enter. If neither are input, all disaster cases for the tax year will display. The Disaster CSN/SSN Listing opens in a BOE window.

Additional entries can be made such as State Code, Disaster Type, Zip code range, and Expire date range. See IRM 1.4.19.13.3.7, Disaster Case Processing, for additional information.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator.

The information displayed on this report represents all cases currently assigned an IPC LC which automatically moves the cases to Lost Case Suspense BT 98. The report data can be sorted by Batch Assigned Date, CSN or SSN.

The following information is displayed:

Report display

SSN

Virtual Indicator (V

Previous Process Code

Process Code Date

Old Batch Number

Old Batch Location

Old CSN

Notice Type

Notice date

Received Date

Total volume

To access the Lost Case Report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Then select LOst Case from the pull right menu.

Select one of the available options from the pull right menu. The listing options display in the order stated in (1) above. The selected Lost Case Report opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report to determine if Lost Cases are being worked timely. Frequently, this batch and the cases assigned there, receive low priority. However, lost cases are a significant contributor to increased cycle time and impact overall program goals (for example, the screening phase is completed, but there are screening cases in the Lost Case Report; cases assigned to this batch for over a year and no action has been taken). If there are a lot of Lost Cases this is an indication the site is having a problem keeping track of their work and could also indicate training needs. Use this report to monitor volumes and as a research document for locating missing cases.

This report has been designated as one of the "Most Important" .

The Lost Case Report is updated continuously and is generated on demand. It may be viewed by the AUR Coordinator and clerical managers.

This is a listing of cases where a letter was issued to the taxpayer, and another action was taken on the case(s) at the same time. These cases have PCs other than 3L, 3S, 6L, 6S, or 8L.

The Miscellaneous Letter Listing displays the Batch, Sequence Number, Work Unit, Case Number, and SSN in five columns. The listing also displays the total volume of cases.

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Misc letter from the pull right menu. The Miscellaneous Letter window displays with the cursor in the ENTER BATCH NUMBER field.

Enter five-digit batch number. The Misc. Letter Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The list is used to pull and mail the manual letters (prepared by the TE) from the identified cases.

Clerical generates this listing when a disagreed response batch is updated to "RB" batch status.

The New Payer Agent report provides a listing of cases where potential payer agent issue(s) have been identified. This listing is used to identify cases the TEs may have to rework based on new payer agent information. The listing displays the following:

SSN

CSN

EIN

Download Date

Total Volume

See IRM 4.19.3.6.2, AUR Site PayerAgent/Fraud Coordinator - Instructions, and IRM 4.19.3.6.3, National Designated PayerAgent/Fraud Coordinator - Instructions, for more information about the payer agent file and AUR payer agent responsibilities.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select New payer agent from the pull-right menu. The New Payer Agent window displays.

Enter the batch number. The New Payer Agent Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report can be viewed by the AUR Coordinator and Clerical managers.

The New Transactions Report provides a listing, by SSN/CSN, of all cases containing a new transaction prior to the upload for printing the notice.

This report can be generated for BT 89001 (Bankruptcy suspense).

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select nEw transactions from the pull right menu. The New Transactions window displays.

Enter the batch number, batch type, or notice date. The New Transactions Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing each week to identify cases which need to be reviewed to clear the system identified condition (new transaction).

This report is generated on demand and can be viewed by the AUR Coordinator and clerical managers.

are used to identify the location of a case once correspondence has been received. Pull Listings can be sorted and generated by Sequence Number or by Notice Date. The pull listing displays a V to indicate a Virtual Case.

The report displays the following:

Notice Date

Previous Case

Suspense Sequence Number

Virtual Case field

Current Case

Sequence Number

To view the pull listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select pull listinG from the pull right menu. The Pull Listing window displays with the cursor in the ENTER BATCH NUMBER field.

Enter the batch number and press .

The selected Pull Listings open in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Clerical uses this listing after received responses have been built into response batches in the system.

The listing can be viewed by the AUR Coordinator and clerical managers.

This option allows the user to reprint Forms 4251 when the return charge-outs are not available for an individual case or cases within a batch.

To eliminate unnecessary paper inventory, substitute charge outs should only be printed if absolutely necessary.

To access the Return Charge-out:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Return chargeout from the pull right menu. The Return Chargeout window displays.

Enter the SSN. The Return Chargeout opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This option can be viewed by the AUR Coordinator and managers.

The Reworked Cases listing displays cases in Review BT 95 which have been reworked by the TE.

The Reworked Case Listing displays three columns; Sequence Number and SSN, and the Total Volume of cases in the batch.

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select reworked cases from the pull right menu. The Reworked Cases window displays.

Enter the batch number. The Reworked Cases Listing opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The listing is used to identify the cases which must go through the Batch Disassembly Process. The cases in BT 95 not appearing on the list are refiled to the appropriate suspense batch after the batch status is updated to "RB" .

This listing may be printed/viewed by the AUR Coordinator and managers.

The RLS Batch Status Report identifies cases worked and released through the technical unit release but have not yet been processed by clerical.

The following information displays on the report:

Batch (two-digit batch number (36, 45, 65, 75) - shown only once per page)

SSN

Virtual Indicator (V)

PC

PC Date

SEID

Previous Location

Release Case Date

UWC CSN (when one is available)

RCC (Restricted Case Code)

This report should be run on a daily basis as there are virtual cases not physically available for the clerks to build. These cases should be built from the listing daily.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Released Batch from the pull right menu. The RLS Batch Status Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is used to monitor cases in RLS status to ensure timely clerical processing.

Cases released through Universal Work appear on this report as XX950.

This report is generated on demand and can be viewed by the AUR Coordinator and managers.

This report displays a listing of cases with digital images needing clerical processing. The report consists of cases sent to the AUR system digitally from scanning, the Document Upload Tool (DUT), and e-Fax uploads.

The report consists of two tabs, ACTION NEEDED and ALL. The ALL tab includes all digital documents. The ACTION NEEDED tab includes cases in need of additional processing by clerical.

Cases will remain on the ACTION NEEDED tab until clerical builds into a batch, or the examiner checks the response status box in the RESPONSES window of the Case History screen. Cases will always remain on the ALL tab.

The following information displays on the report:

Display

Description

CSN

Case Sequence Number

SSN

Social Security Number

IRS RCVD DT

IRS Received Date

UL DATE

Uploaded date

RESP TYPE

Response Type

SP HAND CODE

Special Handling Code

PC

Process Code

VIR CASE IND

Virtual Case Indicator

DOC TYPE

Document Type

Dig ID

Digital Batch ID

RCC

Restricted Case Code

UID

Assigned SEID

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Scanned Images from the pull-right menu. The Scanned Images window display with the cursor in the ENTER BEGINNING DATE field.

The date defaults to the last day available (the day before the current date). The user inputs the date range in MM/DD/YYYY format. The Scanned Images report opens in a BOE window.

See IRM 1.4.19.9.1.1 Accessing Reports and Listings, for information on how to view reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator and managers.

This report tracks the volume of undeliverables and those with updated addresses by notice type.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Clerical from the drop-down menu.

Select Undelivered notice from the pull right menu. The Undelivered Notice window displays with the cursor in the ENTER BEGINNING DATE field.

Enter a beginning date and ending date in MM/DD/YYYY format. The Undeliverable report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator or clerical managers.

The following reports are located under the Coordinator menu option:

Coordinator Menu

Action 61 ltr

Auto notice results

Batch irs rcvd

Batch Run By Site

Missing Assess

Notice dt List

Open Case listing

Reorder dates

Soft notice

Statistical

Weekly reports

The Action 61 Letter Report provides a list of batches for which the system has generated Letter 4314-C.

The report displays the following:

Batch number

Batch status

Batch volume

IRS Recd Date

Letter 4314-C Date

Letter 4314-C volume

The IRS received date displayed is the oldest received date for the letters generated. The report also displays total volumes of Letter 4314-C generated and mailed daily, weekly, with a cumulative total of letters mailed, and totals for each batch type at the end of the report.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu

Select aCtion 61 ltr from the pull right menu. The Action 61 (4314-C) Letter Report opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The report is generated when AURX075 is run and can be viewed by the AUR Coordinator and managers.

This report is used to identify closures and fallout conditions from the Auto Notice Run.

The report displays three different tabs:

Fallout Closure Counts

Cases by Result

Volume by Notice Type

This report defaults to Cases by Results and displays the following information:

SSN

Result (Fallout condition closure/fallouts)

Type

Run date

Subfile

Category

Subcategory

Extract

Site

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu

Select Coordinator from the drop-down menu

Select aUto notice from the pull right menu. The Auto Notice Results window displays with the cursor in the ENTER BEGINNING DATE field.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Enter a beginning date and ending date in MM/DD/YYYY format. The Auto Notice Results report opens in a BOE report.

The Batch IRS Received Date Report lists SSNs, older than a specified age, in a specific batch. The cases are listed in sequence number order with SSN.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select batch irs rcVd from the pull right menu. The Batch IRS Rcvd window displays with the cursor in the ENTER BATCH NUMBER field.

Enter the batch number and press . The cursor moves to the ENTER NUMBER OF DAYS field.

Enter the number of days and press . The Batch IRS Received Date Report opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report to monitor the age of cases within a batch.

This report can be used to monitor the date range (mixed dates) used in batch building to ensure aged inventory is not being mixed with new inventory.

This report is generated on demand and can be viewed by the AUR Coordinator and managers.

This report is used to monitor AUR run controls to determine if they have completed.

The report displays the following information at the top of each page:

AUR Run Control Number

Description of Run Number

Frequency

The report also displays the following information for each run:

Start Dt (displays the date and time the run started)

End Dt (displays the date and time the run ended)

Run Status

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Batch Run by Site from the pull right menu. The Batch Run By Site window displays with the cursor in the ENTER BEGINNING DATE field.

Enter the "beginning" date and "ending" date in MM/DD/YYYY format. The Batch Run Report Site Specific opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is used to monitor cases where an assessment sent from AUR did not post to IDRS within 10 business days.

AUR only receives one update, after the case has been closed, to indicate the assessment did not post. If the assessment posted after the update was received the case information remains on the report. Once the missing assessment is resolved, checking the CORRECTED UNPOSTABLE box in the Assessment window in Case History will remove the case from the Missing Assessment Report.

This report displays the following information:

SSN

Remark Text

Process code

Process code date

Assessment date

290/291 amount

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Missing Assess from the pull right menu.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report has been designated as one of the "Most Important" and must be run weekly to avoid barred assessments,

This report is generated on demand and can be viewed by the AUR Coordinator.

The NoticeMailout Dates Report lists the mail out dates for the various types of notices listed below:

CP 2501 Notice

CP 2000 Notice

Auto Notice

Recomp/Amended/PC57/PC95

CP 2057

Stat Notice

The information on this report updates at the disassembled process and displays the following columns:

Week Ending Date

Review Notice Date

Weekly Volume

Release Volume

Print Notice Date

Print Volume

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select notice dt List from the pull right menu. The Notice Mailout Dates Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator and clerical managers.

This listing identifies all open cases in a specific tax year. This information is beneficial in identifying cases in a statute year requiring immediate attention.

The report displays the following information:

CSN

PC

SSN

ASSMENT EXTN DT

DEF AMT

MOD BAL AMT

RCC

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu.

Select Open Case Listing from the pull right menu. The Open Case Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report has been designated as one of the "Most Important" .

This report is generated on demand and can be viewed by the AUR Coordinator and clerical managers.

The Re-order Dates report displays the information from the re-order date screen without being required to change or update the reorder dates already established.

The report displays the following information:

Extract

Reorder Date

-L Freeze Date

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Reorder dates from the pull right menu. The Re-Order Dates Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Only the AUR Coordinator can view this report.

This report is used to identify cases that fallout from the Soft Notice Run and is only available for 30 days after the soft notices have been run.

This report displays the following information:

SSN

Fallout condition

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu

Select COordinator from the drop-down menu

Select soft notice from the pull right menu. The Soft Notice Report opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Statistical reports show statistical data by Subfile and Category where an assessment has been uploaded.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Statistical from the pull right menu. The Statistical window displays with the cursor in the ENTER BEGINNING DATE field.

Enter the "beginning" date and "ending" date in MM/DD/YYYY format. The Assessment Report By Date opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report shows statistical data by Subfile and Income Category where an assessment or refund has been uploaded. Use this report to determine how good the inventory HQ selected for the site to work was.

These reports are system generated on demand and can be viewed by the AUR Coordinator.

provide breakdowns of inventory and are system generated during the normal batch processing runs. Report data is maintained by the system until the next time the Report is generated. User generated information is kept for various timeframes, depending on the Report selected. If a paper record is required for any data, it should be printed as soon as it is available and the paper record maintained per campus guidelines.

The following reports display under the weekly reports:

Based on your assigned profile code some of the menu options shown below may not be available.

Menu Options

Non-Stat Listing

Aged Response Batch Summary

Aged Screening Research

Extract Category

Inventory

MISTLE

MISTLE XCL

Notice Letter

Open Transfers

PC Status

Reject List (this option has a pull right menu with Current and History options)

Statute

Weekly PC/IPC

The following subsections provide descriptions of individual reports and more specific information.

The Non-Stat Listing provides SSNs of cases with non-statutory items. The Tax Court does not have the jurisdiction over certain underpayments and overstatements (non-statutory items). Therefore, when these non-statutory items exist in a case, an assessment or adjustment must be made prior to ASED expiration (IRC 31, IRC 6211 and IRC 6652(b)). See IRM 4.19.3 IMF Automated Underreporter Program.

When a Statutory Notice is issued, and a TC 560 is input to extend the ASED, it does not extend the non-statutory items ASED.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Non Stat Listing

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing to ensure non-statutory items cases are given priority treatment and assessed timely.

This report has been designated as one of the "Most Important" .

This report must be monitored on a weekly basis.

The listing is generated weekly and can be viewed by the AUR Coordinators.

The Inventory Report provides a comprehensive breakdown of the total case inventory by tax year in the site.

The report displays the following information (this list is not all inclusive):

total volume

volume of cases in the screening process

cases screened

cases closed

cases in the CP 2501 phase

cases in the CP 2000 phase

cases in the response phase

cases in the Stat phase

cases in suspense

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Inventory from the pull right menu. The Inventory Report opens in a Microsoft Edge window as a text document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report to determine the overall status of your site's inventory.

This report has been designated as one of the "Most Important" and should be monitored on a weekly basis.

The listing is generated weekly and can be viewed by the AUR Coordinator and managers.

The Weekly PC/IPC Listing provides weekly and cumulative volumes for all PCs and IPCs.

The report displays the following information:

Process Code

Released Weekly Count

Total Cumulative

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Weekly PC/IPC from the pull right menu and input the week ending date in MM/DD/YYY format. The AUR Weekly PC/IPC listing opens in BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing to monitor the use of PCs and IPCs (for example, is the site using PC RN and SR to process their partial agrees; how many letters are they issuing; how many cases are being referred to TAS).

This listing has been designated as one of the "Most Important" .

This listing is generated weekly and can be viewed by the AUR Coordinator and managers.

The Aged Screening Research Pull List displays information on cases more than 30 days old, assigned to Research Suspense (BT 34).

The listing displays the following:

Case Location

Assigned Date

Virtual Indicator (V)

SSN

Process Code

Freeze Code

Age Over 30 Days

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Coordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select aGed scrn rsrch from the pull right menu. The Aged Screening Research Pull List opens in a Microsoft Edge window as a PDF.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Clerical uses this listing to pull the aged cases as the system automatically closes these cases with PC 29 if the case has not been built into another batch within 60 days.

The listing is generated weekly and can be viewed by the AUR Coordinator and managers.

The Open Transfer Listing displays SSNs, by location, of cases transferred to a user and not accepted within five days. The report further identifies SSNs not accepted within 15 days. The transfer date and SEID are shown to identify the user needing to take action.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Open transfers from the pull right menu. The Open Transfers window displays.

Enter either a specific location number or "ALL" . The Open Transfer List opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This listing should be used each week to identify cases where the transfers have not been accepted and to ensure individual units are working their unit suspense cases timely, ensuring minimum cycle time.

Managers should ensure cases are accepted on a weekly basis and worked/released as quickly as possible.

This listing has been designated as one of the "Most Important" .

The report is generated weekly and can be viewed by the AUR Coordinator and managers.

The Aged Response Batch Summary Report displays batches older than the age set by the AUR Coordinator in the parameter table. The primary sort is batch status. The Batch Status Types are broken down by:

Batches Being Built (Unassociated)

Associated Batches

Assigned to Unit

Review Sample

Batch Finished

Unit Suspense Batches

The summary page also provides the total volume of all batches meeting the report criteria.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Weekly reports from the pull-right menu.

Select Aged Response Batch Summary from the pull right menu. The Aged Response Batch Summary Report opens in a BOE window.

See IRM 1.4.19.9.1.1 Accessing Reports and Listings, for more information on how to view reports and listings.

The following information displays for each batch status:

Response Type

Oldest IRS Received Date

Age

Batch Status Date

Batch Status Age

Batch Number

Volume/Aged Cases

Batch Status

Batch Location

The Batch Number Types are broken down by:

CP 2501

CP 2000

Statutory Notice

Unit Suspense

This report has been designated as one of the "Most Important" .

The listing is generated weekly and can be viewed by the AUR Coordinator or managers.

Use this report to determine response rates, to ensure the site is purging suspense batches timely and to identify problem cases that have not purged. Cases identified from this report should be monitored/reviewed to ensure they move to the next phase of the program to meet cycle times.

The following information displays:

Notice date

Original mail volume

TDC Count

Auto Generated Notice

Current Volume

Purge date

Batch Number

The Original Mail out Volumes column may be misleading due to system parameter constraints.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Notice letter from the pull right menu. The Notice/Letter Suspense Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report has been designated as one of the "Most Important" .

The listing is generated weekly and can be viewed by the AUR Coordinator or managers.

The Extract Category Listing shows the Subfile and Category types in a specific extract . The categories are further broken down into subcategories.

To access and view this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Coordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Extract cat from the pull right menu. The Extract Category Listing window displays.

Enter the six-digit cycle number (for example 202341). The Extract Category Listing opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is used to monitor the inventory download for each extract.

This report has been designated as one of the "Most Important" .

The Extract Category listing is generated weekly when the extract is downloaded. The listing can be viewed by the AUR Coordinator and managers.

The Statute Listing provides SSNs of cases with an imminent statute expiration of 120 days or less. The case sequence number and statute date are displayed with the SSN. The SSNs are shown with the earliest statute dates first.

The following information displays:

SSN

CSN

Statute Date

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Statute from the pull right menu. The Statute Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing to ensure imminent statute cases are given priority treatment.

This report has been designated as one of the "Most Important" .

This report must be monitored on a weekly basis.

The listing is generated weekly and can be viewed by the AUR Coordinator or managers.

Verify, on a quarterly basis, the Operation has completed the required search for statute imminent cases and take the following actions:

Complete Form 11122-A, Manager’s Statute Certification.

Forward completed Form 11122-A to the Planning and Analysis (P&A) Staff.

The P&A staff forwards a consolidated Campus report to the Headquarters Statute Analyst.

The AUR System generates a weekly Reject Listing, identifying rejected cases in CSN. These batches must be monitored weekly to ensure timely actions are taken.

There are six reject conditions for CP Notices.

1 - Restricted Interest

2 - Military Action

4 - Invalid Interest (per SCRS)

5 - Not found on TlF

6 - Invalid Interest (per AUR)

8 - Disaster Case Type 4

The listing is used by clerks to pull the cases and build as follows:

Reject codes 1, 2, 4, and 6 are built into BT 61 (Manual Interest)

Reject codes 5 and 8 are built into Reject BT 39

The information displayed on the list is as follows:

CSN

Virtual Indicator (V)

SSN

Reject Code

Total volume for each Reject Code

Total Reject Volume

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator form the drop-down menu.

Select Weekly reports from the pull right menu.

Select Reject list from the pull right menu.

Select Current from the pull right menu opens the most current listing . Selecting History from the pull-right menu opens a historical listing of prior weeks. The Reject Listing opens in a Microsoft Edge window as a text document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This listing has been designated as one of the "Most Important" and should be monitored on a weekly basis.

The listing is generated weekly and can be viewed by the AUR Coordinator, clerical managers and the lead clerk.

The PC Status Listing provides a period and a cumulative count of each PC uploaded.

The following information displays:

Code Description

Period

CUM

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Pc us from the pull right menu and input the week ending date in MM/DD/YYY format. The PC Status Listing opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing to see how the inventory has been closed, (for example, determine what percentage of cases were fully agreed, no change rate, screen out rate). The listing can also be used to determine if a site has obtained sufficient closures to meet closure goals.

This listing has been designated as one of the "Most Important" and should be monitored on a weekly basis.

The listing is generated weekly and can be viewed by the AUR Coordinator.

The MISTLE Report consists of two pages. The first page of the report provides period and cumulative totals of various PC groups. The second page provides information on in-house correspondence such as: volume of responses built, volume of aged responses, volume of cases awaiting Action 61/Policy Statement P-21-3, and volume of cases awaiting assessments for each phase of the program.

The following information displays:

URP Process Codes

Period

Cum

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select Mistle from the pull right menu and input the week ending date in MM/DD/YYYY format. The MISTLE Report opens in a Microsoft Edge window as a text document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report each week to monitor the overall progress of the program, including program benchmark dates and closures. The second page of the report is used to monitor in-house correspondence inventory and provides data for the Correspondence Inventory Report (CIR) required by Headquarters.

This report has been designated as one of the "Most Important" and should be monitored on a weekly basis.

This report is generated weekly and can be viewed by the AUR Coordinator and managers.

The MISTLE XCL Report displays as an Excel Spreadsheet. The report provides period and cumulative totals of various PC groups, and provides information on in-house correspondence such as: volume of responses built, volume of aged responses, volume of cases awaiting Policy Statement P-21-3, and volume of cases awaiting assessments for each phase of the program.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select COordinator from the drop-down menu.

Select Weekly reports from the pull right menu.

Select mistle X cl from the pull right menu.

Enter the week ending date in the ENTER WEEK ENDING DATE window. The MISTLE XCL report opens in a Microsoft Edge Window as an Excel file download.

Headquarters (HQ) uses this report each week to monitor the overall progress of the program, including program benchmark dates and closures. The report is used to monitor in-house correspondence inventory and provides data for the Correspondence Inventory Report (CIR) required by HQ.

This report has been designated as one of the "Most Important" and should be monitored on a weekly basis.

This report is generated weekly and can be viewed by the AUR Coordinators.

The following reports are located under the Specialized menu option:

This listing identifies cases viewed by another site (per phone call) and determined to have some type of action needed on the case (Action Required box is checked) that can’t be taken through UWC.

Menu Options

Action Required

AN (Auto Notice) review sampling

Batch suspense inventory

Bankruptcy sts

Employee

IDT suspense listing

MFT 31 inventory report

Payer agent list

Recon

Review sampling

Restricted case report

TDC notice suppression

This report is used to ensure timely actions are taken on these cases.

The report consists of seven columns for the following:

CSN

STATUS

SSN

A Virtual Indicator (V) displays to the right of the SSN if it is a virtual case.

Contact Date

Age From Contact Date

RCC

UID (SEID)

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select Action Required from the pull right menu.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The telephone contact is considered a taxpayer response and cases on this listing are handled like a response.

The Action Required Listing requires special handling. Use this listing each week to build to the appropriate response batch type or transfer to a locally designated SEID.

An SSN does not drop off the Action Required Listing until a TE takes the needed action and unchecks the box; therefore, SSNs show up on the Listing each day until a TE has worked the case.

This report can be generated on demand and can be viewed by the AUR Coordinator and managers.

The Auto Notice Review Sampling report identifies cases assigned to batch types 27XXX, which are cases screened through the auto notice process.

This report is generated and monitored by Headquarters when an auto notice batch is available for review.

The report provides the following information:

SSN

Name Control

Subfile Key

Category

Sub Category

Batch

Discrepancies

Result Group

Result Text

Process Code

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select AN Review Sampling from the pull right menu. The AN Review Sampling report opens in a BOE window

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to printview reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator.

The Specialty Batch Suspense Inventory report identifies cases assigned to batch types 89001, 89003, and 94. Cases in these batch types are either bankruptcy, identity theft, or fraud.

This report is used to monitor the bankruptcy, identity theft, and fraud suspense inventories.

The report is divided by batch number (89001, 89003, and 94) and provides the following information:

Virtual Indicator

SSN

SEID

Process Code

Days from Assign date

Days from IRS Rec’d date

Days from Last Letter

Days from Last CP Notice

Days from Last STAT Notice

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select Batch Suspense Inventory from the pull right menu. The Specialty Batch Inventory report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The Specialty Batch Suspense Inventory report is generated weekly. The report can be viewed by the AUR Coordinator, managers, and designated users.

The Bankruptcy us Listing displays cases identified as having a "-V" and/or "-W" freeze code present. Bankruptcy cases with a "-V" freeze can be identified by the presence of a TC 520 and closing code 60 through 67, 83 or 85 through 89. Bankruptcy accounts with a "-W" freeze will have a TC 520 with a closing code of 81 or 84. This report also displays freeze code(s), CSN, Virtual indicator, and SSN of each case identified as Bankruptcy when each extract is downloaded.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select BanKruptcy sts from the pull right menu. The Bankruptcy us Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this listing to identify Bankruptcy cases for pre-notice closure.

The listing is generated weekly, and can be viewed by the AUR Coordinator, managers, and Bankruptcy Coordinator.

In addition to the AUR reports, bankruptcy inventory should be reviewed every month using AIS, PACER, and IDRS.

The Employee reports provide information specific to employee cases.

This report option contains a menu, which allows the user with a specialized profile code to pull five different reports.

Auto Assessment

Closed Inventory

Employee Aging

Open Inventory

Open Transfers

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu

Select eMployee from the pull right menu.

Select one of the available options from the pull right menu. The listing options display in the order stated in (2) above. The selected Employee Report opens in either a Microsoft Edge or BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

These employee case reports can only be accessed, viewed by the manager authorized to handle employee cases, the AUR Coordinator, and designated user.

The Auto Assessment Report provides a listing of SSNs, in sequence number order, of employee cases which have been automatically assessed in other than a Fully Agreed Response batch. This listing is accessed to ensure employee cases are in correct adjustment sequence series order for shipment to files. An asterisk (*) displays in the NO SOURCE DOC field when there are no attachments to associate with the Computer Form (CF) 5147.

To access this report, see IRM 1.4.19.9.6.5, Employee Reports.

Generate this report after an employee batch is completed and updated to "RB" status. This report is updated daily by the system and must be printed/viewed daily. Each time the AURX060 is run, the report displays new information.

The Closed Inventory report displays all closed employee cases. This report displays the SSN, SEID, Process Code, and Process Code date.

To access this report, see IRM 1.4.19.9.6.5, Employee Reports.

This report is generated weekly by the system.

The Employee Aging Report indicates which employee cases have met appropriate timeframes, employee cases closed by the system and employee cases where missing data was received.

To access this report, see IRM 1.4.19.9.6.5, Employee Reports.

The report is updated weekly.

The report can be viewed by the AUR Coordinator and the manager authorized to handle employee cases.

The Open Inventory Report displays cases in BT 90 and 91 in CSN order and cases in BT 92 in SSN order.

To access this report, see IRM 1.4.19.9.6.5, Employee Reports.

Use this report to monitor open employee cases.

This report is generated weekly by the system.

The Open Transfer report displays the SSNs of employee inventory, by location, of cases transferred from one user to the user authorized to work employee cases and not accepted by the receiving user within five days. The report further identifies SSNs of cases not accepted within 15 days. The transfer date and receiver SEID are shown to identify the user needing to take action.

To access this report, see IRM 1.4.19.9.6.5, Employee Reports.

The report is updated by the system weekly.

The IDT Suspense List report identifies cases assigned to batch type 89003 that have been sent to IDTVA for determination.

This report is generated to monitor IDT inventory to ensure timely follow up.

This report provides the following information:

Primary SSN

Secondary SSN

Process Code

Process Code Date

Days from Process Code

Stat Date

Days From Stat

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select IDT Suspense listing from the pull right menu. The IDT Suspense Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report has been designated as one of the "Most Important" .

This report is generated on demand and can be viewed by the AUR Coordinators, managers, and designated user.

The MFT 31 Inventory Report identifies cases assigned to batch types 89004, 89005 and 89006. Cases in these batch types have either a single signature of agreement on a jointly filed return or only one spouse has petitioned the U.S. Tax Court (non-petitioning spouse (NPS)).

This report is used to monitor the Agree/Non-agree and NPS Suspense inventory.

The report is divided by batch number (89004, 89005, and 89006) and provides the following information:

Virtual Indicator (if applicable)

SSN

SEID

Process Code

Day from Assign Date

Days from IRS Rec'd Date

Days from Last Letter

Days from Last CP Notice

Days from Last Notice

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select MFT 31 Inventory Report from the pull right menu. The MFT 31 Suspense Inventory report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

The Agree/Non-agree Suspense Inventory report is generated weekly. The listing can be viewed by the AUR Coordinator, managers, designated user(s).

The Payer Agent list provides a listing of all identified payer agents.

To access this listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select payEr agent from the pull right menu. Select one of the options from the drop-down menu. The Bad Payer List opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This listing can also be accessed by taking the following actions:

Select the tax year from the AUR Year menu.

Select Payer/Fraud from the AUR main menu.

Select payer Agent list from the drop-down menu. The Bad Payer List opens in a Microsoft Edge window as a text document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This listing is system generated and can be viewed by the AUR Coordinator and the Payer Agent Coordinator.

The Recon reports provide information specific to recon cases.

The information displayed on this report represents all cases currently assigned to BT 81 and BT 82.

The following information is displayed:

CSN

SSN

Current SEID

PC

PC Date

SEID

Received Date

ASED Date

To access the Recon Open Inventory Report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Then select Recon from the pull right menu.

Select Open Inventory from the pull right menu. The Open Inventory Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report every week to determine if Recon Cases are being worked timely.

The Recon Open Inventory Report is updated continuously and is generated on demand. It may be viewed by the AUR Coordinator.

The information displayed on this report represents all cases which have been assigned a Recon process code in the specified time period.

The following information is displayed in two columns:

SSN

SEID

PC

PC Date

To access the Recon Open Inventory Report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Then select Recon from the pull right menu.

Select Closed Inventory from the pull right menu. The Closed Inventory Report opens in a BOE window. In the BOE Prompts window select a Start Date and End Date for the range.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report to determine the volume of Recon Cases closed for a specific tax year.

The Recon Closed Inventory Report is updated continuously and is generated on demand. It may be viewed by the AUR Coordinator.

The report displays the total volumes of Recon Codes by date range.

The following information is displayed:

Reconsideration Code

Reconsideration Issue

To access the Recon Issue Listing:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Then select Recon from the pull right menu.

Select Issue from the pull right menu. The Recon Issue Report window displays with the cursor in the ENTER BEGINNING DATE field.

Enter the "Beginning" date and "Ending" date in MM/DD/YYYY format. The Recon Issue Listing opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to View reports and listings.

Monitor/use this report to determine the volume of Recon Issue Codes.

Recon Issue Codes can be edited or deleted (set to "Reserved" ) by HQ Analysts.

The Recon Issue Listing is updated continuously and is generated on demand. It may be viewed by the AUR Coordinator.

The Product Review Sample List provides a listing of SSNs with a specified PC and in a specific batch. When generating the report, the system prompts the user for sample size.

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select review samplinG from the pull right menu.

Select Prod revw smpl from the pull right menu. The Create Product Review Sample window displays with the cursor in the BATCH NUMBER TO BE REVIEWED field.

Enter the batch number to be reviewed. The cursor moves to the PROCESS CODE TO BE REVIEWED field.

Enter the PC to be reviewed. The cursor moves to the SAMPLE PERCENT TO BE SELECTED field.

Enter the two-digit percent of sample size (01-50). The Product Review Sample List opens in a Microsoft Edge window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this list to generate a random sampling of work for managerial product reviews.

This listing is generated on demand and is available to technical managers for their unit only.

The Restricted Case Report consists of two tabs: Restricted Case (Open AUR Cases) and Restricted Case Batch 96 (Closed AUR Cases)

This report is generated to monitor the status of cases having a restricted case code.

The report provides the following information:

SSN

Old UID

Batch

Batch us

Process Code

Process Code Date

Restricted Case Code

Purge Date

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select Restricted case report from the pull right menu. The Restricted Case Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report has been designated as one of the "Most Important" and monitored on a daily basis.

Cases identified as batch status RLS need to be processed by clerical in a timely manner.

This report is generated on demand and can be viewed by the AUR Coordinators.

The TDC Notice Suppression report identifies cases where the mail out of the notices have been suppressed using the TDC Notice Suppression box.

This report is generated to monitor TDC cases by SSN to ensure recomputed notices have been provided to the taxpayer via eGain when the user checks the TDC upload box. t.

The report provides the following information:

SSN

Current Batch

Current PC

Notice Date

TDC Upload By

Uploaded

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Specialized from the drop-down menu.

Select TDC Notice Suppression from the pull right menu. The TDC Notice Suppression opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report has been designated as one of the "Most Important" .

This report is generated on demand and can be viewed by the AUR Coordinators and Manager.

The following reports are located under the Telephone menu option:

Telephone Case call out

Telephone Tracking report

The data for this report is pulled from cases where an outcall was indicated on the account.

The report displays the following information:

SSN

Category Code

Category Description

Correspondence Date

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Telephone from the drop-down menu.

Select telephone Case call out from the pull right menu. The Telephone Case Outcall Report window displays with the cursor in the ENTER BEGINNING DATE field. The Telephone Case Outcall report opens in a BOE window

Enter the beginning and ending dates in the MM/DD/YYYY format.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this list to generate a report of cases where an outcall was made.

This report is generated on demand and is available to view by the AUR Coordinator and technical managers.

The data for this report is pulled from cases where the phone contact box was checked.

This report displays the following information:

Number of calls received by category

Number of calls received by sub-file

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Telephone from the drop-down menu.

Select Telephone tracking from the pull right menu. The Telephone Case Tracking Report window displays with the cursor in the ENTER BEGINNING DATE field.

Enter the beginning and ending dates in MM/DD/YYYY format. The Telephone Case Tracking Report opens in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report is generated on demand and can be viewed by the AUR Coordinator and managers.

The Unit Inventory Report identifies the cases assigned to tax examiners. It can be generated by User ID, Location or all.

The report displays the following information for each tax examiners assigned to the unit:

Tax Examiner Name

SEID

Location

Employee Status code

The report also displays the following information:

Cases assigned to TEs through Universal Work (location XX950) do not appear on the Unit Inventory Report. Use Universal Work Suspense Report to identify and monitor UWCs needing to be worked.

Case Specifics

Site

Batch number

Work Unit (WU)

Sequence Number

SSN

Assigned date

PC

PC date

PC UID (SEID)

Received Date

New Tran

Payer Agent

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control menu.

Select Unit Inventory from the drop-down menu.

Enter either location number, a specific SEID, or "ALL" . The Unit Inventory Report opens in a Microsoft Edge window as a text document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

Use this report to monitor employee and unit inventories to determine if a unit or an employee is having difficulty working their inventory in a timely manner. As cases assigned to unit suspense are not used to determine "aged inventory" it is vital that employee unit suspense activity be closely monitored.

This listing has been designated as one of the "Most Important" .

This report is generated on demand and can be viewed by the AUR Coordinator and managers.

The following reports are located under the Universal menu option.

Universal Work (UW) Suspense

Universal Case (UC) Closed

If the Tax Examiner determines the action needs to be taken at the initiating site, they check a box, which places the SSN on the Universal Work (UW) Suspense listing.

This listing consists of two tabs: Your Users suspense and Your cases suspended:

Your users suspense identifies cases controlled by local users.

Your cases suspended identifies local cases controlled by users from any site.

This report is used to ensure timely actions are taken on these cases. The report consists of 10 columns for the following

Batch

SSN

Assign Date

ASED

Days Controlled

Process Code

Process Code Date

Assigned

Restricted Case Code

Case Site/User’s site

To access the listings:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Reports from the Control Menu.

Select universal from the drop-down menu.

Select UW Suspense from the pull right menu. The Universal Work Suspense opens in BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report can be generated on demand and can be viewed by the AUR Coordinator and managers.

This listing consists of two tabs:

Users in your site closed consist of cases worked by local users.

Cases closed to your site consist of local cases worked by users from any site.

This report is used to identify the volume of worked cases by PC/ IPC.

The report consists of 5 columns for the following:

Site

Weekly Volume

Weekly TDC

CUM

TDC Accept CUM

To access this report:

Select the tax year from the AUR Year menu.

Select Control from the AUR menu.

Select Reports from the Control menu.

Select universal from the drop-down menu.

Select UC Closed from the pull right menu. The Universal Closed Case listing opens in BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

This report can be generated on demand and can be viewed by the AUR Coordinator and managers.

While the Batch History is not a report it provides a complete history of any action taken on the batch.

To view the Batch History:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Batch from the Control menu.

Select batch History from the Batch menu. The Batch History window displays with the cursor in the BATCH field.

Enter the batch number and press . The current batch history displays.

Press to exit.

To query another Batch History, the user can press to clear the screen and enter the next batch number without exiting the window.

While the Case History is not a report it provides a complete history of any action taken on the batch.

Users with a clerical profile access case history by taking the following actions:

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Case from the Control menu.

Select Case history from the drop-down menu. The History/View/Request window displays with the cursor in the ENTER SSN field.

Enter the SSN.

Press and again to bypass the PHONE CONTACT box.

Press to exit.

Users with a technical profile access case history by taking the following actions:

Select the tax year from the AUR Year menu.

Select reView from the AUR main menu.

Select Case history from the drop-down menu. The History/View/Request window displays with the cursor in the ENTER SSN field.

Enter the SSN.

Press and again to bypass the PHONE CONTACT box.

Press to exit.

If a print of Case history is needed take the following actions,

Select the tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Print from the Control menu.

Select Case Contents from the drop-down menu.

Select case History from the pull right menu. The SSN FOR PRINT window displays with the cursor in the ENTER SSN field.

Enter the SSN. The Case History Transcript opens in a Microsoft Edge window as a text document file.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to print.

While the Unassociated Cases is not a report it provides a list of all digital documents which require update or correcting prior to being built into AUR. This listing is always accessed from the most current AUR tax year but includes documents for all tax years. It also shows a list of cases which have been rerouted as non-AUR documents.

To view the Unassociated Cases:

Select the current tax year from the AUR Year menu.

Select Control from the AUR main menu.

Select Batch from the Control menu.

Select Unassociated Cases from the Batch menu. The Unassociated Cases window defaults when the Unassociated Documents radio button is selected.

Click the Reroute Documents radio button to view rerouted documents instead.

Click the Report button to open both listings in a BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings

Press to exit the window in AUR.

The Unassociated Case window defaults with the Unassociated Documents radio button selected. Click the Reroute Documents radio button to view rerouted documents instead.

There are two non-radio buttons on the Unassociated Case window, SSN Search and Report:

SSN Search - opens the SSN Search window used to identify all tax years associated with the SSN.

Report - opens both the Unassociated case and Reroute Listings in the BOE window.

See IRM 1.4.19.9.1.1, Accessing Reports and Listings, for information on how to view reports and listings.

There are times when it is necessary to access reports not on the AUR system (for example IDRS reports, ORCAS). For additional information on IDRS security see IRM 10.8.34, IDRS Security Controls.

Control-D is Web Access software which allows viewing of reports electronically. Control-D reduces the print output and allows faster access and greater report management for users to their respective report files.

Users are required to complete BEARS process to gain access to Control-D.

Reports are made available to the users upon logging in to the Control-D server. This action is necessary to ensure employees have access to the correct Organization and workload.

Some of the Control - reports accessed by AUR users are:

CCA 4243

AMRH transcripts

Statutory notice

The IDRS CCA 4243 Report is generated weekly and is accessed using Control D. It contains all cases controlled to an IDRS employee number (in IRS received date order) and must be reviewed and monitored on a weekly basis to ensure inventory is moved according to first in/first out (FIFO) order. Managers use this report to:

Identify cases requiring action

Identify specific cases for review

Monitor the size of the employees' inventories

Determine if employees are working inventory in the proper order

Identify potential management problem cases

Monitor AMRH transcripts

In addition, discrepancies between the CCA report and physical inventory are identified. Timely action should be taken on the following:

Unpostable conditions

Aged correspondence

STAUPS

Statute imminent cases

Interim letters

Erroneous/multiple control bases

Open control bases on resolved cases

AMRH transcripts

The Manager/Lead should utilize CCA 4243 as a tool to identify weekly receipts and closures under each category and the number of cases aged upon receipt.

Department Managers or a delegate should review the report to monitor the number of cases and age of inventory in each category to determine if resource changes are needed. The Department Manager should maintain a copy of these reports for one year.

This report is generated weekly and can be accessed by anyone who has authorization to use Control D. For more information refer to your local Planning and Analysis (P&A).

ORCAS is an overage report generation system that utilizes the Control D 4243 report to create a personalized listing for the user. ORCAS will present the user with data from their assigned and controlled IDRS cases.

ORCAS provides the same data described in IRM 1.4.19.10.2(4) above. The data is generated in Microsoft Excel format which allows the user to sort and filter the data as needed.

ORCAS is available to all Service Centers: and is available to anyone needing to monitor their controlled IDRS inventory.

The ORCAS Delivery System has different versions and is managed at a campus level for security purposes. To gain access, contact your Service Centers POC at the following link Welcome to the ORCAS Page.

Once access is granted, it is recommended the ORCAS icon be saved to the desktop and run the application from there each week.

A Team ORG must be established in Control D in order for ORCAS to generate a report.

The import process can take an extended amount of time. On average ORCAS delivers about 3,000 cases a minute. Once the operation has completed, ORCAS will alert you when the operation is completed/done. Do not interrupt the process.

Once the information is imported to the ORCAS database, users can then use the TE and Manager version of ORCAS to pull their data. ORCAS delivery will automatically clear out the prior week data as well as update the run date.

Management is able to view all the team listings for the operation from the ORCAS team selection window. Team Managers should select their team’s number from the list to view.

ORCAS will save your settings for the next time you pull your report. Multiple teams can be selected and viewed together on the same report by selecting multiple teams.

Changes to your team selection can be made using the “Options” button in the main sheet and then selecting the “Update Teams” button. ORCAS then generates your report.

Tax Examiners using ORCAS for the first time will be alerted their IDRS number is not in the server and needs to be input. Tax Examiners need to log into IDRS so ORCAS can locate their IDRS number and store it in the server. After the initial request their IDRS number is stored and logging into IDRS will not be required. Once completed ORCAS will generate the aged listing for the specific user.

All file copies of an AUR Statutory Notice of Deficiency are housed on Control D.

When a request for a copy of a statutory notice of deficiency is received (for example, Appeals), Control D must be accessed to locate the requested file copy for tax year’s not in the AUR system.

There are several filters available to assist in locating the file. Only the following filter option is used by AUR: Remark.

To filter the report take the following actions:

Click on Filter, a box named Filter Report List appears.

Enter notice date in "YYYYMMDD" format in the Remark field.

Click the "Migrated" check box in the Report Status box.

Click "Apply" . This pulls up all notices for the specified date.

If unable to locate the file copy, send an email via secured messaging to the designated HQ Analyst.

This report is generated weekly and can be accessed by anyone who has authorization to use Control D.

eGain allows users to query data related to TDC cases and their associated activities through the Search and Advanced Search functions. The search functions can be used to view eGain (non-AUR) inventory and perform additional research as needed.

For more information on using eGain and running queries, see the Secure Messaging Taxpayer Digital Communication User Guide.

The AUR System security is designed to protect both the taxpayers and the AUR users. It is important to protect taxpayer data from unauthorized disclosure. It is equally important to prevent unauthorized adjustments to taxpayer accounts. Designated employees are given specific security responsibilities to protect hardware, software, and taxpayer information.

The System Security Analyst (SSA) duties are usually assigned to the AUR Coordinator. SSA responsibilities include:

Completing the actions necessary to add new users, delete users and/or update existing users.

Notifying management officials of any known or suspected security breaches.

AUR managers and the AUR Coordinator responsibilities include:

Providing for the physical and system security in their area (This includes questioning anyone attempting to use the AUR equipment if their identity and purpose is not known).

Initiating the addition, update and deletion of users.

Serving as backup, when needed, for another AUR manager to initiate adding, updating, and deleting users. Only an AUR Coordinator can add or update an AUR manager on the system.

Unlocking SEIDs and/or AUR terminals.

Assigning/updating appropriate status and profile codes for users.

Changing a user’s unit location number when appropriate. This function should only be used when an employee is reassigned to another unit.

Informing employees about their Security responsibilities.

AUR users are responsible for the following:

Using the AUR system and data only in performing their official duties.

Safeguarding data and equipment.

Reporting any infractions to the manager.

Protecting their passwords.

When a user is added to the AUR system, the employee is identified by their SEID. The SEID is a combination of numeric and alpha characters.

New users are required to complete the BEARS process to gain access to AUR. Once the BEARS has been approved a login and temporary password will be generated by the AUR system.

New AUR users will also need to request BOE USER PROD (AUTOMATED UNDERREPORTER-AUR) through BEARS to gain access to Business Objects (BOE) to access certain reports.

The first time the user logs on the AUR System using their temporary password, the system forces the user to change their password. The new password expires at a maximum of 90 days.

When a user forgets their password, a manager or AUR Coordinator has the ability to issue a temporary password and will take the following actions:

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After a temporary password is established, the user logs into the AUR System. An error message displays stating the password has expired. The user enters a new password.

The system requires a password change at least every 90 days. Shortly before this time expires the user is prompted to choose a new password.

This message should not be ignored.

The user is allowed to change their password once in any 24-hour period time by selecting the Change Password option on the Security menu.

SSN access restriction: The user is prevented from accessing any SSN which is not assigned to the user. This restriction, however, does not apply to View Case options or users who have Universal Access permissions.

Locked SEID: The system locks a user’s SEID after three successive unauthorized SSN access attempts and returns the user to the Login screen. The user’s status is automatically changed to "Locked" . If the user attempts to login, the system displays an error message and logs the user off the system.

When users are in production status, they are prevented from accessing any SSN not assigned to them (except when using Universal or View Case options). After three attempts to access a case not assigned, the system locks the user’s SEID and the user cannot proceed until their account is unlocked by a lead, manager or AUR Coordinator. The user Administration screen displays Locked in the Account Status field.

To unlock a SEID:

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Enter the locked SEID in the SEID field.

Click on the ACCOUNT STATUS field. The field changes to "Open" .

Press to exit.

When a user needs their session restarted due to a power outage, screen freeze, ungraceful logout (for example, Task Manager), the AUR System automatically resets the session upon login.

After accessing a Tax Year and there has been no activity for that TY for 30 minutes or longer, the system places an inactivity lock on AUR. An error message displays indicating inactivity. Close the browser window and login into AUR again.

Profile Codes are established so managers and AUR Coordinators can provide users with the appropriate access to the segments of the system (menu options) the users need to perform their responsibilities. Listed below are the different profile codes, titles, description and limitations for each site or ORG.

Profile Code

Title

Description

Limitation

2100

Tax Examiner

Allows the user the ability to screen and work responses

N/A

2234

Lead Tax Examiner

A tax examiner who can assist the manager in controlling work, perform some employee reviews, and address user profile issues

2 Per Org

2230

Back up lead

A tax examiner who can assist the lead in controlling work and some employee reviews.

2 Per Org

5200

Technical Manager

Manager for tax examiners and can assist with screening and response work. Has access to most reports and is able to transfer cases. Access to make profile changes/verifications. Responsible for employee reviews.

1 Per Org

5834

Employee manager

Manager for tax examiners who work the employee cases. Have access to work both screening and responses. Has access to most report and is able to transfer cases. Access to make profile changes/verification. Responsible for employee case reviews.

2 Per site

8234

Employee Coordinator

Allows users to access employee case files. Can build and release the case work for security reasons. Has access to reports and can transfer cases when needed.

2 Per site

9899

Employee HQ Analyst

Allows user to access employee case files. Access to reports and can transfer cases when needed

N/A

4000

Clerk

Allows the user the ability to control the AUR inventory.

N/A

4004

Clerk lead

A clerk who can assist the manager in pulling the needed reports ensuring the AUR inventory is moved and controlled timely.

2 Per Org

5400

Clerical Manager

Manager for clerks and can assist with the clerical work. Has access to reports needed in controlling AUR inventory and is able to transfer cases. Responsible for user profile changes/verifications. Responsible for employee reviews.

1 Per Org

7234

Special Project Coordinator

Allows user to access reports and transfer from speciality batches

10 Per site

9000

AUR Coordinator

Coordinator who has the ability to work all phases of AUR. Can transfer cases and review them as needed. Has access to almost all report. Set up or change profiles as needed.

2 Per site

9100

Back up coordinator

User who can aid the AUR coordinator work all phases of AUR. Can transfer cases and review them as needed. Has access to almost all reports. Set up or change profiles as needed.

10 Per site

6000

Satellite User

Allows user view case only access.

N/A

9999

HQ Analyst

HQ Analyst who can work all phases of AUR. Can transfer cases and review them as needed. Has access to all report. User can set up or modify profiles as needed.

N/A

designate the working status of a user. The manager or AUR Coordinator assigns users one of the following status codes:

P (Production) - able to perform all assigned work

F (Furloughed) - unable to access the AUR system

I (Inactivated) - extended detail out of AUR and unable to access the AUR system

D (Deleted) - no longer working in AUR

The AUR system stores various information that can be accessed by clicking on the appropriate tab in the User Administration screen. The following tabs are available in the User Administration screen:

User

History

Group

Audit

Archive

Unit

New Loc

Profile limits

The User tab is used to add, delete and/or change information for a specified user.

Data for any user can be researched by accessing the User tab as follows:

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Enter the SEID of the user to be researched and click the Query button.

Press to exit.

Users must not be added to the AUR system until the BEARS process has been completed. Once BEARS has been approved, Managers are responsible for adding their employees to the system. If the user’s manager is not available, another manager or the AUR Coordinator can add the user. The SSA or the AUR Coordinator adds all managers to the system.

Once a user has been placed in "D" (deleted) status they must be added to the system as a new user.

The employee agrees to all AUR Security rules by electronically signing BEARS which is electronically maintained at each site.

To add a user, take the following actions:

User Administration Screen Steps

Access the User Administration Screen by selecting Security Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab.

Enter the user's SEID in the SEID field.

Click in the SSN field and enter the user’s SSN.

The system checks to see if the SSN is currently being used. If the information is found, the system displays the user's information in the remaining fields. If no information is found, enter the user’s last name in the LAST NAME field.

Enter the user’s last name in the LAST NAME field.

Enter the user’s first name in the FIRST NAME field.

Enter the user’s middle initial in the MIDDLE INITIAL field. If no middle initial, enter X.

Enter the unit phone number in the PHONE field.

Enter the user's start time (TOD) in the HOURS field.

Enter the user's ending time (TOD) in the TO field.

Enter the user's IDRS number (optional) in the IDRS field.

The LOCATION is system populated with the user’s site location (for example, 19 would display for users in Brookhaven).

Enter the user’s assigned location number in the UNIT LOCATION field.

Click on the RECON field if the user needs to access recon cases.

Click on the UNIVERSAL WORK CASE field if the user needs access to Universal case permissions.

Click on the BANKRUPTCY field if the user needs access to Bankruptcy case permissions.

Click on the INNOCENT SPOUSE field if the user needs access to Innocent Spouse permissions

Click on the ID THEFT field if the user needs access to identity theft work.

Click on the RESTRICT CASE field if user needs access to Restricted Cases.

Click on the TDC field if the user needs to access TDC cases.

Enter the appropriate profile name in the PROFILE NAME field.

Enter the assigned organization code in the ORG number field.

The system allows only one manager per unit. If there is a manager currently in a unit and the AUR Coordinator is adding a new user to the unit with a manager profile code, or updating an existing user, the Change Unit Reference screen appears, displaying the current manager.

Enter the updated information in the NEW ENTRY FOR UNIT REFERENCE.

After clicking in the YES block of the UPDATE INFORMATION field, the Unit Reference Table updates to change the manager of record to the new manager.

The profile code of the current manager automatically changes to 3238.

Individual user data can be updated by accessing the User Administration screen. When this window is accessed, all existing data for a user displays. All fields can be changed by the AUR Coordinator or manager. Any field not changed remains as it appears on the screen.

The SSN can only be changed by the AUR Coordinator, see (2) below.

To update the SSN click on the Update SSN (radio button), a small window pops up with the displayed user’s SSN. To change the SSN, type in the new SSN and press ENTER.

To update the AUR status field of individual or multiple users in the same unit, the Update Group Status window can also be used.

The status code and for multiple users can be done by using the Group Status Update, see IRM 1.4.19.12.7.3 IRM 1.4.19.12.8.3, Group Tab.

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Enter the SEID.

Press . The system populates the remaining information for the user.

Click on the AUR Status field.

Enter the new status code of the user.

Whenever a user is updated to, D, status, the system removes the user completely from system data base. The user or their manager must input a BEARS request to remove the AUR application from the individual.

Press to commit.

Press to exit.

When making multiple changes to a manager’s AUR account, changes must be made in the following sequence to ensure the system properly updates the related tables:

Organization Code

Profile Code

Location Code

A user’s UNIT LOCATION number can be changed if a user needs to work in a different location.

To change a user’s Unit Location number:

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Enter either the user’s SSN or SEID. The system generates the data for remaining fields.

Click on the UNIT LOCATION number field. The system checks for any cases assigned to or being transferred to the user for all tax years.

If there are outstanding cases, the system displays the message: "THERE IS STILL WORK ASSIGNED OR OUTSTANDING TRANSFERS. LOCATION CHANGE IS NOT ALLOWED."

The system automatically displays the list of work assigned to the user.

Before the Location change can be completed, all outstanding cases must be closed or reassigned.

Delete the current UNIT LOCATION number and enter the new one.

Use the Change to Site drop down menu to select the site the user is being updated to.

Update the ORG number to match the new UNIT LOCATION number.

Changes do not take effect until the next time the user logs on.

The AUR Coordinator profile allows the user to be assigned two locations, primary location and unit location. The AUR Coordinator's unit location can be temporarily changed so the Coordinator can perform managerial/clerical functions for a specific unit.

Select Security from the AUR Year Menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Enter the SEID of the AUR Coordinator in the SEID field.

Click in the UNIT LOCATION number field. The system checks for any cases assigned to or being transferred to the user for all tax years.

If there are outstanding cases, the system displays the message: "THERE IS STILL WORK ASSIGNED OR OUTSTANDING TRANSFERS. LOCATION CHANGE IS NOT ALLOWED."

Although the message indicates the location change is not allowed, if the user has the Coordinator profile, the system will allow the unit location to be changed.

The system automatically displays the list of work assigned to the user.

Close the report and continue with location change.

Change the UNIT LOCATION number field to the specified unit.

Press to commit.

Press to exit.

When managerial/clerical functions are finished, the UNIT LOCATION number field should be changed back to the same entry as in the PRIMARY LOCATION number field. If the location is not changed back the Coordinator is not able to accept any transferred cases.

Historical security data for any user can be researched by accessing the User History window as follows:

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Click on the HISTORY tab. A message displays stating a SEID must be entered. Acknowledge the message, the User History screen displays with the cursor in the SEID field.

Enter the SEID of the user to be researched and click the Query button. All historical security data for the user displays.

Press to exit.

This screen is for information only, since no fields can be updated or changed.

All current data for the user appears at the top half of the screen, including the date and time of the most recent change, and the SEID of the manager who made the change to the user’s security information. The LCT field indicates the campus number.

The data under the heading HISTORICAL USER INFORMATION, is the prior security changes and are shown starting with the most current change, in reverse date order, and SEID of the manager who made the change. Scroll down for additional data.

To query data for another user, click the CLEAR PAGE button and follow the steps in (1) above.

User data for multiple users can be updated by accessing the Group Tab in the User Administration screen.

To update the status code of multiple users in the same unit, the Update Group Status window can be used.

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Click on the GROUP tab in User Administration. The Group Status window displays with the cursor in the REVIEW/UPDATE STATUS field.

The system generates the unit number of the manager taking the action in the UNIT field. If another unit number is required, click in the UNIT field and enter the unit number.

Enter the status code of the user(s) whose status code is to be changed. If no status code is entered, information for every user in the unit displays.

To update every user on the screen to the same status code, enter the new status code in the CHANGE STATUS TO field.

To update the status code for only some of the users, enter the new status code for each user in the corresponding STATUS CODE field(s).

Whenever users are updated to, D status, the system removes the user completely from system data base. The user or their manager must input a BEARS request to remove the AUR application from the individual.

The Audit tab displays actions taken by the user to change taxpayer data and is recorded in an Audit Trail table. The table displays the following columns:

Field

Description

TASK

All task codes used while working a case

MEANING

A description of the task code

TASK DATE

Date and time of access

ACCESS IND

The Access indicator field displays a code indicating the request for an SSN was successfully completed.

YEAR

Applicable AUR tax year

LOC, SEID

User’s SEID, and location of access

ORG number

User’s organization of access (can be a different location)

SITE

A two digit number indicating the site the case was accessed from

The codes display the user’s access on the AUR system. Codes and descriptions are shown below:

Code

Description

A

Own SSN Access Unsuccessful

B

Own SSN Access Successful

C

Employee SSN Access Unsuccessful

D

Employee SSN Access Successful

E

Other SSN Access Unsuccessful

F

Other SSN Access Successful

G

Spouse SSN Access Unsuccessful

H

Spouse SSN Access Successful

To access the Audit Trail data for a user:

The screen displays all cases worked for the current and previous day.

Audit trail menu options

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Click on the AUDIT tab in the User Administration screen. The Audit Trail Information screen displays with the cursor in the SEID field.

Enter the user’s SEID.

Press . The cursor moves to the TY field and is defaulted to ALL.

Enter the appropriate tax year or leave as ALL.

Enter Begin Query date and End Query Date.

Click on the Query button to display the records.

The AUR Coordinator can add or delete units, or change certain information for existing units by accessing the UNIT tab on the User Administration screen:

UNIT TAB menu options

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Click on the UNIT tab. The Update Unit Information screen displays with the cursor in the 1st box under the UNIT number field. All existing units display.

Click on the ADD A UNIT button. All the information for existing units is cleared and the cursor moves to the UNIT number field.

Click on the USER tab in the User Administration screen. Access the new manager’s account by entering the manager’s SEID.

It is important to make changes in the sequence listed in steps 8-13 below when making manager changes to a NEW unit.

Click on the NEW LOC tab in the User Administration screen. Type the new location number in the Enter a new location field and type the name of the new location in the Enter the name of location field. Press to commit.

Click on the UNIT LOCATION number field and change it to the new location. Press to move to the ORG number field.

Change the organization code of the manager to reflect the new unit number.

Press to move to the PROFILE CODE field and change the code if necessary.

Press . The Unit Information Table is updated with the correct information for the new unit.

Press to commit.

Press to exit.

To add a new unit enter the following fields if not already populated by the system:

In field

Enter the following:

UNIT

new organization code

MGR SEID

0000 or the SEID of the manager

SHIFT

"D" for Day or "S" for Swing a Unit name the manager's telephone number

The current location information for the SEID entered is generated into the LOC and LOCATION fields. This must be changed to the location for the new unit, along with other changes, as explained below.

To delete a unit:

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Click on the UNIT tab. The Update Unit Information screen displays with the cursor in the 1st box under the UNIT number field. All existing units display.

Click on the Unit Name to highlight the row.

Click on the DELETE A UNIT button. A window displays showing the unit to be deleted.

Enter "Y" in the Y/N field to acknowledge the correct unit in the window and press . The message "All Records have been committed to the Data Base" displays. Acknowledge the message.

Press to exit.

To change information in an existing unit:

Click on the field to be changed.

The LOC and LOCATION fields cannot be changed in this screen, use the User tab to change these fields.

Make the necessary updates.

Press to commit.

Press to exit.

The AUR Coordinator can create a New Location for new employees or to re-organize existing locations.

To add a New Location:

Select Security from the AUR Year menu.

Select user Administration from the drop-down menu. The User Administration window displays and is defaulted to the USER tab with the cursor in the SEID field.

Click on the NEW LOC tab. The Create a New Location screen displays with the cursor in the Enter a new location field.

Enter the new location in the ENTER A NEW LOCATION field.

Enter the name of the location in the ENTER THE NAME OF THE LOCATION field.

The new location is created for all AUR tax years and the corresponding suspense batches.

Press to commit.

Press to exit.

The Profile Limits tab displays a list of Profile Codes, User Limit and User Limit Scope.

Profile Codes 9000 and 9999 are able to view the information. However, only 9999 can edit information in the User Limit Field IRM 1.4.19.12.5, Profile Codes and Limitations.

The AUR system generates several reports designed to help managers monitor system security issues. These reports are found under the Security menu option on the AUR main menu.

There are two drop-down menu options found under the Security menu:

current access

Reports

When the current access option is selected a message displays in the Hint Text to let the user know what tax year they are accessing and whether they are in the production or training database.

When the Reports option is selected from the Security menu (AUR main menu), a pull right menu displays with the following options:

Profile code

AUR user list

The Profile Code Report provides information regarding employee profile codes. There are three types of profile code reports. These reports are available to the AUR Coordinator and managers.

The Unit report lists each employee in a unit by last name, first name, SSN, status, profile code, and profile date.

The Section report lists, by profile code, the number of users in work and non-work status for a specific section.

The Branch report lists, by profile code, the number of users in work and non-work status for the entire branch.

To access the Profile Codes, report take the following actions:

Select the tax year from the AUR Year menu.

Select Security from the AUR main menu.

Select Reports from the drop-down menu.

Select Profile Code from the pull right menu.

Select one of the menu options listed in (1) above. The selected Profile Code Report opens in a BOE window.

Select File from the menu.

Select Print from the drop-down menu.

To exit the report, select File then Close from the menu options at the top of the report or use the "X" in the top right-hand corner of the report.

Press to exit.

The AUR User List is a listing of users on the AUR system. There are five types of AUR User lists. The entire list can be accessed by the AUR Coordinator. Unit managers can view a list of their users.

The SEID list provides a complete list of users in numerical order.

The Unit list can be selected by either SEID (lists all the users in the unit in SEID order) or by Name (lists all the users in the unit in alphabetical order).

The Name list provides a complete list of users in alphabetical order.

The By Profile Code list user by their AUR Profile Code.

The By Org Code list provides a complete list of AUR users by their AUR Organization Code.

The AUR User List generates in a BOE report, tabs at the bottom of the page allow the Coordinator/ Manager to view all five lists. This list can also be exported from BOE into PDF, Excel, CSV Archive and Text.

To access the AUR User list take the following actions:

Select the current tax year from the AUR Year menu.

Select Security from the AUR main menu.

Select Reports from the drop-down menu.

Select AUR user list from the pull right menu. The AUR user list window displays.

Click in one of the report types (listed in (1) above).

Click on Print. The selected AUR User List opens in a BOE window.

Select File from the menu.

Select Print from the drop-down menu.

To exit the report use the "X" in the top right-hand corner of the report.

Press to exit.

The success of the AUR program in each center depends upon thorough coordination of all the affected functions, including Underreporter, Receipt and Control, Returns Files, Information Technology (IT), CPS, Machine Services, Planning and Analysis, and Compliance activities. Much of this is the responsibility of the AUR Coordinator. Since this program requires constant, careful monitoring, each AUR site ensures all responsible functions are aware of the processing activities and timeframes of the other affected functions. A designated individual monitors the processing to ensure it is progressing per the schedule reflected on the program planning documents. Any subsequent revisions to the schedule must be sent to the appropriate AUR Headquarters office.

In addition, the AUR Coordinator is responsible for:

Setting Notice Letter Mailout dates and volumes

Letter paragraphs

Setting Batch and Control Parameters

AUR Balancing and Control

Setting Extract Reorder Dates

Monitoring the runs to ensure extract accuracy

At the beginning of each tax year there are certain actions the AUR Coordinator must do to ensure a smooth startup. Prior to the startup of a new tax year, AUR HQ Analyst provides an email to the Coordinators outlining specific actions the Coordinator needs to take such as:

CP 2000 auto assess end date.

Stat auto assess end date.

Last day to Input CP 2501.

Last day to Input CP 2000.

Initial starts.

If the volume of initial starts is not known at the time the startup information is sent, enter the volume from the previous year.

In addition to the above actions, additional information/reminders are provided such as:

Verify service center information is correct, including the address.

If your site's payments go to a different service center, include the mailing address of that service center.

Verify P-21-3 fields are set, per IRM 1.4.19 and local preference in both the assigned unit and batch finished fields.

At the end of each tax year there are certain actions the AUR Coordinator must do to ensure a clean closeout of the tax year. Prior to the closeout of a tax year, AUR HQ Analyst provides an email providing information the Coordinator need to consider.

The closeout email provides the target date for shutdown and reminds the AUR Coordinator, cases in special programs (bankruptcy and ID theft), will need to be closed off the AUR system and worked manually.

The Coordinator is responsible for reviewing the following reports/listings to identify inventory requiring attention:

Inventory Report, see IRM 1.4.19.9.5.11.2

RLS Batch Status Report, see IRM 1.4.19.9.4.22

Open Case Listing, see IRM 1.4.19.9.5.7

Disassembled/Age Batch Report, see IRM 1.4.19.9.4.3

Notice/Letter Suspense Listing, see IRM 1.4.19.9.5.11.7

Bankruptcy Status, see IRM 1.4.19.9.6.4

Statute Listing, see IRM 1.4.19.9.5.11.9

Open Transfer Listing, see IRM 1.4.19.9.5.11.5

The above listed reports should be reviewed in accordance to the specific IRM instructions for each report.

In addition to the above reports the Coordinator should

Look at Batch history for each Extract to identify if any volume remains

If volume remains, pull a Seq-num-ssn listing to identify the specific cases remaining in the extract.

Check reorder dates to ensure all cases were reordered

Several parameters must be input by the AUR Coordinator (or rolled-over) prior to beginning each tax year. These parameters dictate several actions that take place in the system.

To access the AUR Coordinator window, select AUR Coord from the AUR main menu. A drop-down menu displays the following:

Notice dates

Batch parameter

Ctrl parameter

Ltr parameter

loc leTter

Reorder dates

Disaster zip cd

rUn Controls

The descriptions of the individual menu options in the following subsections provide more specific information.

The Notice Mailout Date window is used to set volumes for mailout of AUR notices. It is the responsibility of the AUR Coordinator to ensure the correct volumes are input in the notice mailout window. It may be necessary to update or change the volumes throughout the year.

The AUR system assigns a mailout date to each case with a notice PC when the batch is updated to "RB" status.

Notice dates and Notice Upload dates are systemically assigned and cannot be changed. The mailout volume is input by the AUR Coordinator and must be maintained.

The windows contain the following fields for CP 2501, CP 2000, Recomputed, Stat and TDC:

Notice Upload Date

CP 2501 - Notice Date

CP 2501 - Weekly Volume

CP 2501 - Release Volume

CP 2000 - Notice Date

CP 2000 - Weekly Volume

CP 2000 - Release Volume

CP 2000 Auto Notice - Notice Date

CP 2000 Auto Notice - Weekly Volume

CP 2000 Auto Notice - Release Volume

Recomputed Note Date and weekly volumes:

Recomp/Amended/PC57, 95 - Notice Date

Recomp/Amended/PC57, 95 - Weekly Volume

Recomp/Amended/PC57, 95 - Released Volume

Recomp/Amended/PC57, 95 - BT 67 Volume

Recomp/Amended/PC57, 95 - BT 87 Volume

Recomp/Amended/PC57, 95 - MI Reserve

Stat Notice date and weekly volumes:

Stat - Notice Date

Stat - Weekly Volume

Stat - Release Volume

TDC Count

To access the Notice Mailout Dates window:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select the Notice dates from the drop-down menu. The Notice Dates Mailout window displays with the cursor in the first box in the NOTICE UPLOAD DATE field.

Use or to advance the cursor.

Enter the correct volume in the appropriate field(s).

Press to commit.

Press to exit.

All of the notice dates can be printed from the Notice Mailout Dates Listing available from the Reports menu.

Notice Upload dates are Saturdays and display in MM/DD/YYYY format. If the Notice upload dates have already passed they do not display.

Notice volumes for CP 2000 and Recomp/Amended notices cannot be changed if within two weeks of the Notice Upload Date, due to the time needed for the interest calculations.

CP 2000 notices cannot be generated during the Master File dead cycles (interest computations cannot be downloaded). However, CP 2501, CP 2000 Recomp/Amended and CP 3219A Notices can be generated during the dead cycles as no Master File interest computation is required.

Headquarters provides notice dates where the volume of notices should be set to zero (0) for dead cycles and End of Year (EOY) processing.

An original CP 2000 request posts a PC 09 to request an interest computation from Master File.

Once the notice volume for a specific notice date has been exceeded, any additional notice volume is assigned (rolled over) to the next available notice date.

When notices are rolled over to a future date, address updates are taken into consideration.

Mailout volumes include cases with notice PCs from Employee BTs 90 and 91.

Mailout volumes do not include cases from Partially Agreed BT 67 and 87.

The Released Volume column for Recomp/Amended/PC 57, 95 includes volumes from BT 67 and 87. The Batch Type 67 and 87 columns display the volume of notices when the batch is updated to "AB" (Associated Batch) Status.

TDC Count establishes the TDC indicator on notices to include the TDC invitation. The volume is input by the AUR Coordinator and must be maintained. Coordinators will have a one week window to input this volume (3 weeks prior to Notice Date). Coordinator can add to the count but can’t reduce it once committed.

The AUR Coordinator is required to establish the operating parameters used for batch building. The following is set by the Coordinator for each batch type:

Maximum batch count

Maximum work unit count

Default location

Batch types are divided into three different categories.

User Built (UB) - UB batches need to have the Maximum Batch Count, Maximum Work Unit Count, and Default location set.

System Suspense (SS) - SS batches can only have the default location changed.

Unit Suspense (US) - US batches are system defined and cannot be changed.

Maximum Batch Count for suspense batches is limited to 9,999 cases in a batch. The Maximum Batch Count for any other batch type is 999. The Maximum Work Unit count is limited to 99 cases.

The default location input must match a location number previously established by IT.

To access the Batch Parameter screen take the following actions:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select the Batch parameter from the drop-down menu. The Update Batch Parameter screen displays with the cursor in the first box in the MAXIMUM BATCH COUNT field.

Use or to advance the cursor.

Enter the correct volume in the appropriate field(s).

Press to commit.

Press to exit.

Minimum batch parameters are set by HQ Policy. Batch building will not allow the batch to be closed until the minimum amount has been met. An error message will display when the volume count hasn’t been met." ERROR: MINIMUM BATCH SIZE NOT REACHED" .

The AUR Coordinator is responsible for ensuring control parameters are verified for the start-up of each new tax year and updated as appropriate. The fields and their descriptions are listed in (3) - (30) below.

To access the Control parameter screen take the following actions:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select the Ctrl parameter from the drop-down menu. The Update Control Parameter screen displays with the cursor in the CONTROL RELEASE LOCATION field.

Use or to advance the cursor.

Make changes as needed to the appropriate field(s). See (3) - (30) below for description of each field.

Press to commit.

Press to exit.

The CONTROL RELEASE LOCATION is the location where batches and released unit suspense cases are assigned when the status is updated to "BF" .

This field should always be set to "RLS" .

The RECEIVER EMPLOYEE NUMBER is used for automated return requests, transcript requests. The number is broken down into three components.

The first two digits are the campus code

The second three digits are the location number

The last five digits identify a specific employee or generic unit number

The NAME/ADDRESS/EMPLOYEE field is used when the AUR System sends address updates to ECC-MTB and letters to Correspondex. The number is broken down into three components.

The first two digits are the campus code

The second three digits are the location number

The last five digits identify a specific employee or generic unit number

The CP 2000 AUTO ASSESS END DATE field indicates when AUR CP 2000 auto assessments are suspended for a given tax year. This date is set to ensure all auto assessments are processed in time to meet the statute expiration date. PC 67 and IPC RN cases must have a date no later than February 28, of the Statute year.

The STAT AUTO ASSESS ENDING DATE field indicates when AUR Stat auto assessments are suspended for a given tax year. This date is set to ensure all auto assessments are processed in time to meet the statute expiration date. PC 87, 90 or IPC SR must have a date no later than June 30, of the Statute year. An automatic assessment record is always created for cases closed with PC 91, 92, or 93.

LAST DAY TO INPUT CP 2501 field indicates when CP 2501 notices should stop being generated for a given tax year. This date is set to ensure no CP 2501 notices are generated too late to complete processing the tax year before the statute expires.

LAST DAY TO INPUT CP 2000 field indicates when CP 2000 notices should stop being generated for a given tax year. The date is set to ensure no CP 2000 notices are generated too late to complete processing before the statute expires.

The EMPLOYEE CASE SEID is used when an employee case is identified during regular processing. The system displays a message to transfer the case to the Employee Case SEID. The employee must be in "P" status.

The AGE NUMBER reflects the number of days of aging for the Aged Response Batch Summary report.

The ESTAB MAXIMUM REMARKS field is used to indicate the maximum number of characters (including spaces) the user can enter in the REMARKS field on the Research screen.

The MAXIMUM CHECK DATE COUNT field limits the number of cases displayed within a particular notice date after No Response cases have been built. This prevents the system from displaying thousands of cases on a notice date that was not purged.

MAXIMUM LABEL COUNT limits the number of labels generated by one request.

MAXIMUM REPORT COUNT limits the number of SSNs that can be viewed or printed when accessing batch listings. Recommended volume of 9,999.

DUT PARAGRAPH NUMBER is a designated paragraph sent to Taxpayers on how to respond using the Document Upload Tool (DUT).

DUT START DATE is the date the paragraph will appear on the notice.

WAIVER LOCATION NAME is the campus name displayed in the symbols box in the upper right corner of Form 5564, Notice of Deficiency-Waiver. Up to 13 characters may be entered.

WAIVER STOP CODE is the mail stop displayed in the symbols box in the upper right corner of Form 5564. Up to 13 characters may be entered.

P-21-3 AGE DAYS is the number of days after the IRS received date a Letter 4314-C is mailed to the taxpayer. The system automatically generates and processes Letter 4314-C three to five days before the letter date. The three to five day timeframe allows for processing and printing of the letters. The system default for this field is 30.

If the number of days entered is 30, the system generates and processes the letters on the 25th - 27th day after the IRS received date.

P-21-3 RESPONSE DAYS is the number of days the taxpayer will be contacted again by IRS. The system default for this field is 30. HQ suggests setting the number of days to 60 to allow ample time to work responses.

P-21-3 ASSIGNED UNIT is used to automatically generate Letter 4314-C on cases meeting ACTION 61 AGED DAYS criteria for BTs 41, 44, 52, 53, 58, 72, 74, and 99 in "AU" status.

If this field is blank, a Letter 4314-C does NOT automatically generate.

P-21-3 BATCH FINISHED is used to automatically generate Letter 4314-C on cases meeting ACTION 61 AGED DAYS criteria for BT 41, 44, 52, 53, 58, 72, 74, 81 and 98 in "BF" status.

If this field is blank, Letter 4314-C does NOT automatically generate.

Letter 4314-C generates with paragraphs "A" and "S"

CP 2005/CP 2006 ADD DAYS is the number of days after batch disassembly date, the automated acknowledgement and/or no change letters are generated. This should be set to 7 days.

PLANNED INVENTORY is the total number of cases your campus is working for the tax year. This information is necessary for the MISTLE report to calculate correctly.

Changes to inventory must be input in order for the Mistle to reflect accurate information.

The following fields relate to the individual campus(es). Enter the appropriate information for your campus:

SERVICE CENTER CODE is the two-digit code for the campus.

SERVICE CENTER NAME

ABBR SERVICE CENTER NAME

RETURN STREET ADDRESS

RETURN CITY

RETURN STATE CODE - Select for a listing of valid state codes.

RETURN ZIP CODE

The following fields are only used when payments must be processed at another campus due to Submission Processing ramp-down. Enter the appropriate information for your campus, otherwise leave these fields blank:

STREET ADDR-RESP WITH PAYMENT

CITY-RESP WITH PAYMENT

STATE CODE-RESP WITH PAYMENT - Select for a listing of valid state codes.

ZIP CODE-RESP WITH PAYMENT

SUSPENSE INDICATOR indicates one copy of the letter is kept in a manual suspense file. Locally defined indicators A-Z or blank are used to identify suspense files. This must be coordinated locally with the Correspondex Coordinator.

SUSPENSE UNIT EMPLOYEE NAME is the name of the employee designated to receive Form 5703, IDRS Letter Enclosure, with attachments to be associated with the outgoing Correspondence. Each campus decides whether or not to designate an employee name for this field.

SUSPENSE UNIT MAIL STOP NUMBER is the mail stop number in the campus where Form 5703 with attachments is routed.

The TRS90 data fields in UPDATE CONTROL PARAMETERS represent an additional security feature for ordering various tax account transcripts and DLNs on the AUR system. Logins and passwords must be requested from the ECC-MTB using BEARS. The TRS90 data must be updated for ALL available tax years as the program goes to the oldest running tax year to get the TRS90 user information:

TRS90 ID is the seven-character Site-ID and Organization combination login, provided by ECC-MTB using the BEARS process. Alpha characters must be capitalized.

TRS90 ACCESS CODE is the eight-digit password, provided by ECC-MTB using the BEARS process. A new password must be requested every 360 days.

ACCESS CODE START DATE is the expiration date provided by ECC-MTB in MMDDYYYY format and must be updated every 360 days.

MAXIMUM SCREENING BATCH COUNT limits the number of SSNs that can be built to a batch to 999.

MAXIMUM RESPONSE BATCH COUNT limits the number of SSNs that can be built to a batch to 999.

Every type of notice and letter sent must contain contact information for your site. This information is entered in the Update Letter Parameters window. All entries must be carefully reviewed as this information displays on the notices and letters exactly as input.

Notices and letters include the CP notices (CP 2501, CP 2000, CP 2005 and CP 2006), CP 3219A notices and all correspondex letters (Letter 2626-C, Letter 4314-C, etc.).

To access/update the Letter Parameter Screen take the following action:

Steps to access the Letter Parameter

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select Ltr parameter from the drop-down menu.

Enter the type of notice or letter

Enter a Y in the LTR IND - for Correspondex (CRX) letters. For CP notices, leave the field blank.

Enter a two-character alpha code from IDRS Correspondex if a signature applies in the SIG CD field.

If personnel changes occur verify the signature on SERP (Correspondex Signature Codes ) under the Who/Where tab, Correspondence Signature Code or using IDRS Command Code (CC) MESSG.

Enter the signature name corresponding to the Laser Signature Code in the SIG. LINE 1 field.

Do not use first names on the signature line. Either use "Director/Operation Manager" or Mr., Mrs., Miss, or Ms. LAST name.

Enter the signature title corresponding to the Laser Signature Code in the SIG. LINE 2 field.

Enter additional title information for the Laser Signature Code, if applicable, in the SIG. LINE 3 field.

Enter the designated contact person’s name in the CONTACT NAME field, otherwise leave the field blank and the system defaults to the AUR user Information.

Enter the designated beginning and ending hours of telephone service, including AM and PM, in the HOURS field, otherwise leave the field blank and the system defaults to the AUR User Information.

User’s cannot override the CONTACT NAME and HOURS fields when creating letters. If the contact information needs to be changed the Paragraph must be deleted and the correct contact information included in a Special Paragraph.

Leave the CONTACT IND field blank for the designated CONTACT NAME from Step 9 above. Enter a "Y" for AUR User Information.

If you want a letter to automatically fill in with the TE's name, contact hours and phone number, you must put a "Y" in the "CONTACT IND" field for each letter and leave the rest of the fields (contact name, phone numbers and hours) blank.

Enter the appropriate contact type(s) and corresponding phone number(s) in the CONTACT TYPE 1, CONTACT TYPE 2, CONTACT TYPE 3 and PHONE field(s).

To enter manual letter numbers:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select Ltr parameter from the drop-down menu. The Letter Parameter Screen displays with the cursor in the first FORM LETTER field.

Click in the FORM LETTER field of the Manual Letter section.

Enter or edit all desired manual letter numbers. Each entry can be up to six characters in length. Press after each entry.

When all desired manual letter numbers have been entered, press to commit.

Press to exit.

To add a new letter to the Update Letter Parameter:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select Ltr parameter from the drop-down menu.

Place the cursor on the letter you want the new letter to follow.

Press . A blank new letter appears on the screen and the cursor moves to the Form Letter Field.

Fill in the information on the required lines per (2) above.

The LTR IND box is either blank or has a "Y" in it. Enter/verify the "Y" is in the box. The "Y" must be present in order for the AUR users to be able to select the letter and for the letter to appear in the "Update Local Letter Paras" screen. The new letter appears at the very end of the list.

The AUR Coordinator has the ability to input up to 20 local paragraphs for each Correspondex letter on the AUR system. These paragraphs are numbered 75 through 94. TEs can select paragraphs as either an "OPEN Paragraph" or a "Floating Paragraph" .

To create a new paragraph:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select loc leTter from the drop-down menu. The Update Local Letter Paras window displays with the cursor in the NUM field.

Place the cursor in the LETTER field and then use the arrow keys to find the specific letter.

Click on the blank NUM field and press to access the Create/Edit Local Letter Paragraph window.

Type in the paragraph text.

Click the Spellcheck button and make corrections as needed.

Click on the OK button.

Type in the title of the paragraph.

The title of the paragraph automatically displays in all capital letters and is not included on the letter.

Press to commit.

To edit an existing paragraph:

Select the tax year from the AUR Year menu.

Select AUR Coord from the AUR main menu.

Select loc leTter from the drop-down menu. The Update Local Letter Paras window displays with the cursor in the first box of the NUM field.

Place your cursor in the NUM field of the paragraph to be edited.

Press to display the Create/ Edit Local Letter Paragraph window. The cursor appears at the beginning of the existing text.

Make the changes and then click the Spellcheck button and make corrections as needed.

Click on the OK button.

Press to commit the changes.

Press again to ensure the paragraph is correctly formatted.

Once a paragraph is created it cannot be deleted. If the paragraph is no longer needed, type "RESERVED" in the paragraph body and title.

Sometimes a "gap" appears in the paragraph text, after it has been committed. This "gap" is the result of the way the window reads a cut-off point on the line. To correct this, take the following steps:

Place the cursor at the end (extreme right) of the line immediately above the line where the "gap" starts.

Press to create a "hard break" .

When the cursor goes to the next line it should have moved the first word over one space.

Use to remove the space at the beginning of the "gap" line. Move the cursor to the end of the line and use to remove the "gap" spaces.

Click on the Spellcheck button.

Click on the OK button.

Press to commit.

Press again to ensure the paragraph is correctly formatted.

Repeat the above steps until all the "gaps" are removed.